TITLE 21. Public Works
Division 1. Department of General Services
Chapter 1. Office of the State Architect

(Originally Printed 7-10-45)
Subchapter 1. Safety of Construction of Public Schools
Article 1. General Provisions
§1. Purpose.
Note     •     History

School buildings constructed pursuant to these rules and regulations shall be designed to resist earthquake forces generated by major earthquakes of the intensity and severity of the strongest experienced in California without catastrophic collapse, but with some repairable architectural or structural damage.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39140 and 81130, inclusive, Education Code.
HISTORY

1. Repealer of Group 1, Articles 1-6 (§§1-80) and new Group 1, Articles 1-5 (§§1-6, 8, 10, 10.5, 11-14, 16-26, 26.1, 26.2, 26.5-26.9, 27-40, 50, 51, 60, 61, 62, 80 and Appendix), filed 11-1-66; effective thirtieth day thereafter (Register 66, No. 38). For history of former sections see Registers 53, Nos. 15, 18; 54, No. 24; 55, No. 12; 56, No. 10; 59, No. 14; 60, Nos. 8, 16; 61, No. 19; 64, No. 13.
2. Amendment filed 6-29-76 as an emergency; designated effective 7-1-76 (Register 76, No. 27).
3. Certificate of Compliance filed 10-15-76 (Register 76, No. 42).
4. Amendment of NOTE filed 6-19-79; effective thirtieth day thereafter (Register 79, No. 25).
5. Repealer filed 9-24-82 by OAL pursuant to Government Code Section 11349.7(j); effective thirtieth day thereafter (Register 82, No. 39).
6. *Repealer of Group 1 (Articles 1-5, Sections 2-80, not consecutive) and new Group 1 (Articles 1-9, Sections 1-55, not consecutive and Appendix) filed 9-8-83; effective 9-15-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 40). For prior history, see Registers 79, No. 25; 77, No. 40; 76, No. 42; 76, No. 27; and 74, No. 38.

*The reorganization of Group 1 is printed as a repealer and adoption for clarity.
§2. Scope.
Note     •     History

Chapters 2-23, 2-24, 2-25, 2-26, 2-27, 2-28, 2-29, 2-30, 2-32, 2-37, 2-47 and 2-54 of Part 2, Title 24, CAC designate the structural building regulations which shall apply to the design of, construction, reconstruction, alteration of or addition to any school building as defined in Sections 39141 and 81131 of the Education Code. The term “school building” shall include all buildings, structures, appurtenances and related systems or facilities as interpreted in Section 14.
These rules and regulations established reasonable standards and minimum requirements for the structural integrity of public school buildings to resist, insofar as practicable, the forces of gravity, wind, and earthquake for the protection of life and property.
Further, the design and construction of the mechanical and electrical systems in school buildings and shall conform to the applicable building regulations in Title 24, CAC.
Further, the design and construction of school buildings shall comply with the regulations adopted by the State Fire Marshal for the particular occupancies concerned. (See Title 19, CAC.)
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39140 and 81130, Education Code.
HISTORY

1. Editorial correction of printing error (Register 83, No. 45).
§3. Delegation of Authority.
Note

All powers, duties, responsibilities pursuant to carrying out the provisions of the Field Act vested by law in the Department of General Services have been delegated by the department to the Chief Structural Engineer, Office of the State Architect, subject to the direction of the State Architect.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Section 14607, Government Code.
§5. Application of Building Standards.
Note

Building standards are set forth in Part 2, Title 24, CAC, and have been adopted as a basis for the approval of plans and specifications. These regulations shall not be construed to prevent the use of higher design standards nor to restrict the use of new or innovative design or construction techniques.
Where the designer desires to use innovative design or construction techniques not included in these regulations, it shall be necessary to submit for review and approval information including computations, test data and recommendations covering the design in question. The Office of the State Architect must be satisfied that the degree of safety achieved is equivalent to that achieved by the standard procedures.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39140 and 81130, Education Code.
§6. Approval of New School Buildings.
Note

Plans and specifications shall be submitted to the office for every new school building, regardless of cost, before the plans are adopted by the school board. Before the board may convert into a school building, a structure already owned, or an existing building which has been purchased or leased, the board shall submit application and plans of the building to the office for approval. The plans shall provide for the reconstruction and alterations necessary for compliance with the requirements of these rules and regulations.
The provisions of this section shall not apply to a “Temporary-use building.” (See Section 14 for definitions of “New school building” and “Temporary-use building.”)
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39140 and 81130, Education Code.
§7. Approval for Reconstruction of a Part or Wing of a School Building.
Note

The school board may submit plans and specifications for the reconstruction or alteration of or addition to any part or wing of a school building, even though the remainder of the building is not safe or has never met the requirements of the Field Act. Approval is given only when the part or wing is a distinct unit in itself from foundation to roof and surrounded by walls or comparable structural elements. The said part or wing must be structurally adequate, without dependence for stability placed on the unapproved parts and, in addition, must be capable of resisting safely any forces which adjacent or contiguous unapproved parts of the school building may exert on the said part or wing. Required exits shall not pass through or be subjected to the hazards of the unapproved parts of the building.
The school board may, on its own responsibility, use the remainder of the building for non-school building purposes and such use is not subject to the approval of the office provided that teachers and pupils are not permitted to enter the unapproved part and provided further that a public notice is posted in a conspicuous place stating that such remainder does not meet the structural standards imposed by law for earthquake safety.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39140, 39214, 39227, 81130 and 81165, Education Code.
§8. Reconstruction, Alterations or Additions Not in Excess of $20,000 in Cost.
Note

Projects involving only alterations, additions or reconstruction whose costs do not exceed $20,000 do not require approval by the Office of the State Architect, but such approval can be obtained at the request of the school board and by compliance with these regulations.
See Section 39143 or 81133 of the Education Code for requirements for projects with an estimated cost between $10,000 and $20,000.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39143 and 81133, Education Code.
§9. Reconstruction, Alterations or Additions in Excess of $20,000 in Cost.
Note     •     History

(a) General. All new construction work, including necessary connections to the existing structure, which is part of a reconstruction, alteration or addition project for an existing school building shall comply with the regulations for new building construction when the project cost exceeds $20,000.

Exception: Fire damage repair may be accomplished utilizing the approved plans and specifications for the original construction work. All regulations and standards in effect at the time of approval shall be complied with except that the testing and inspection requirements of current regulations shall apply to the reconstruction work. Minor modifications to the original approved plans may be made, subject to the approval of the Office of the State Architect/Structural Safety Section, provided that they do not reduce the structural capacity of the building.
Minor structural modifications to the structural system not exceeding the limits defined in subsection 9(c)2 A and B are permitted provided these modifications comply with the regulations in effect when the plans and specifications for the original construction were approved.
(b) Existing Non-Complying Nonstructural Elements. Existing non-complying nonstructural elements discovered during the design or construction of a reconstruction, alteration or addition to an existing complying school building shall be corrected to comply with the bracing and anchorage requirements of current regulations.
(c) Required Structural Rehabilitation. Existing complying school buildings for which a reconstruction, alteration or addition project is proposed shall be required to be retrofitted to conform to the requirements for new buildings contained in Part 2, Title 24, CAC under the following conditions:
(1) When the cost of the reconstruction, alteration or addition project exceeds $20,000 and 25 percent of the replacement value of the existing building.
(2) When the cost of the reconstruction, alteration, or addition project exceeds $20,000 but does not exceed 25 percent of the replacement value of the existing building and the proposed modifications either:
(A) Increase the existing lateral force story shear in any story by more than 5 percent or,
(B) Reduce the lateral force resisting capacity in any story or in the total building by more than 5 percent.
(d) Other Requirements. Individual lines of lateral force resisting elements which are to be altered or which are to be affected by other modifications shall be analyzed to determine the effects of increased loading and/or reduced capacity.
For existing flexible diaphragms or other flexible structural lateral load resisting elements the effects of lateral drift on nonstructural elements shall be analyzed. Lateral forces for this analysis shall be those in effect when the building was constructed.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39140, 39142, 39143, 81130, 81132 and 81133, Education Code.
HISTORY

1. New section filed 2-28-86; effective thirtieth day thereafter (Register 86, No. 9).
§10. School Garages, Warehouses, Storage and Similar Buildings, Dwellings for Employees and Miscellaneous Structures.
Note

The act does not apply to buildings or structures constructed by a school district for the purpose of, and used solely for, housing buses and minor mechanical equipment, or for non-school use where such buildings or structures do not provide facilities for either pupils or teachers and are not intended to be entered by them as such. Similarly, the act does not apply to dwellings for employees or to districtwide administrative buildings on sites separate from school sites, which are not to be used or entered by pupils or teachers, as such.
Buildings or structures of this nature may be constructed by the school board on its own responsibility without first submitting plans and specifications to the office but such buildings or structures shall never be used for school purposes. It shall be the responsibility of the school board to take all necessary measures and precautions to prevent such use and to prevent injuries to pupils or teachers on school grounds as a result of collapse of such buildings or structures. Any such building excluded from the provisions of these Rules and Regulations shall be posted with a sign pursuant to Sections 39214 and 81165 of the Education Code.
For these cases the office requires that a resolution be passed by the school board stating that the building or structure shall not be used for school purposes and that no pupils or teachers, as such, will ever be permitted to use or enter the said building or be subjected to a hazard resulting from its collapse. A copy of the resolution shall be submitted to the office. (See sample resolution in the appendix.)
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39140, 39214, 81130 and 81165, Education Code.
§11. Condemnation.
Note

The office has no authority under the act to order the closing of any school building. However, if requested, the office shall examine and report on the structural condition of a school building and shall state whether it is safe or unsafe for use. (See Sections 45 and 46.)
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39153 and 81143, Education Code.
§12. Demolition.
Note

Demolition is the entire razing or destruction of a school building or a school building unit. It is not necessary to secure the approval of the Office of the State Architect for such demolition.
Approval of the Office of the State Architect is required for any partial demolition of existing buildings or any demolition which is part of a reconstruction, alteration or addition.
NOTE

Authority cited: Section 39152 and 81142, Education Code. Reference: Sections 39152 and 81142, Education Code.
Article 2. Definitions
§13. General.
Note

The words defined in Section 14 shall have the meaning stated therein throughout the rules and regulations contained in Group 1, Subchapter 1, Chapter 1, Title 21, CAC.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39141, 39249, 81130, 81131 and 81529, Education Code.
§14. Definitions.
Note

“Act” shall mean the Field Act, Sections 39140-39155 and 81130-81145, inclusive, of the Education Code.
“Addition” as that term is used in the act shall mean an increase in floor area or volume of enclosed space which is physically attached to an existing building by connections which are required for transmitting vertical or horizontal loads between units. An “addition” which is not required to be physically attached either for its own support or for support of the existing building shall be separated as required by Title 24, CAC, Section 2-2312(h), and shall be deemed to be the construction of a school building as that term is used in Sections 39140 and 81130 of the act.
“Alteration” is a change within an existing building. The relocation or moving of an existing school building may be considered to be an alteration for filing purposes.
“Approved Building” shall mean a building which was constructed or reconstructed in accordance with Article 3 or 7 commencing with Sections 39140 and 81130, respectively, of the Education Code.
“Approved Plans and Specifications” as used in these rules and regulations shall mean plans, specifications, addenda and change orders which have been duly approved by the Office of the State Architect pursuant to Sections 39143 and 81133 of the Education Code and which are identified by a stamp bearing the name “Office of the State Architect,” the application number, date, and signature of an officer of the office.
“Architect” shall mean a certified architect holding a valid license under Chapter 3, Division 3, of the California Business and Professions Code.
“Garrison Act (1939),” Sections 39210-39227 and 81160-81178 of the Education Code, as amended, prescribes the actions to be taken by school board members to preclude personal liability for the continued use of unsafe school buildings.
“Inspector” shall mean any inspector duly approved by the office for a particular project. The project inspector shall be responsible for inspecting all work included in a contract. A special inspector shall be responsible only for inspecting the work for which he was approved.
“Maintenance” shall mean and include ordinary upkeep or repair work such as replacements in kind, repainting, replastering and reroofing.
“New School Building” shall mean any newly erected school building or any existing owned or purchased building converted to school use subsequent to the effective date of the act. (See Section 16.)
“Nonstructural Alterations” shall mean only such alterations as do not affect the safety of the school building and that do not change, in any manner, its structural elements.
“Office of the State Architect” or “office,” or initials “OSA,” shall mean the Structural Safety Section of the Office of the State Architect in the State Department of General Services. Approval, disapproval, orders and certificates of approval shall be issued directly by the Chief Structural Engineer who shall act for the Department of General Services in carrying out the provisions of the act.
“Offsite Location” is a building so designated by the governing board of any school district which is primarily used for other than public school purposes, and in which instruction in educational programs are conducted which require such an “offsite location” in order to fulfill the objective of the program. (See Education Code Sections 39249 and 81529.)
“Plans” as used in these regulations shall mean the drawings associated with the project such as but not limited to, vicinity maps, site plans, foundation plans, floor plans, ceiling plans, roof plans, cross-sections, interior elevations, exterior elevations and details.
“Professional Engineer” as used in these rules and regulations shall mean an engineer holding a valid certificate under Chapter 7, Division 3, of the California Business and Professions Code, in that branch of engineering which is applicable.
“Reconstruction” is the repair of damage to an existing approved school building or an alteration of an existing non-conforming building to bring it into full conformance with the safety standards established by these rules and regulations.
“Registered Engineer” as used in these rules and regulations shall mean a structural engineer or a professional engineer as defined in this section.
“Relocatable Structure” is any structure capable of being readily moved.
“School Board” shall mean and include district boards of trustees, city boards of education and other appropriate authorities for which any school building used or designed to be used for elementary or secondary school or community college purposes is to be constructed, reconstructed, altered, or added to by the state, or by any county, city, city and county, or other political subdivision, or by any school or community college district of any kind or character within the state, or by the United States government, or any agency thereof.
“School Building” as defined in Sections 39141 and 81131 of the act is interpreted to include all structures, including utility systems or facilities necessary to the complete functioning of the structures, used or designed to be used for instructional purposes, or intended to be entered by pupils or teachers, as such, or structures operated as school units, the collapse of which would endanger pupils or teachers on school grounds or in school buildings.
The following are not considered to be school buildings but may be included for review under the provisions of the act if desired by the school district: one story buildings not over 250 square feet in area when used exclusively as accessory facilities to athletic fields (equipment storage, toilets, snack bars, ticket booths, etc); lath houses and greenhouses not over 400 square feet in area; lighting poles less than 35 feet above the grade, antenna towers less than 35 feet above grade or less than 25 feet above a building roof line, retaining walls less than 4 feet above the top of foundations and not supporting a surcharge, concrete or masonry fences or yard walls less than 6 feet above adjacent grade, signs, scoreboards or solid clad fences less than 8 feet above adjacent grade, bleachers and grandstands 5 rows of seats or less above grade; playground equipment; all flagpoles; open mesh fences and baseball backstops; and “temporary-use” buildings as defined below.
“Structural Engineer” as used in these rules and regulations shall mean a professional engineer holding a valid certificate to use the title structural engineer under the law regulating the practice of civil engineering comprising Chapter 7 of Division 3, of the Business and Professions Code, relating to professional engineers.
“Temporary-Use Building” is any building for which the intended use by the school district at the time of entering into a lease contract or agreement is not for more than three years from the date of first occupancy.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39140, 39141, 39249, 81130, 81131 and 81529, Education Code.
Article 3. Approval of Drawings and Specifications
§15. Application for Approval of Drawings and Specifications.
Note

(a) General. Before adopting plans and specifications the school board shall submit an application to the Structural Safety Section of the Office of the State Architect for written approval of said plans and specifications for any of the following:
(1) The construction of any “new school building” as defined in Section 14.
(2) The reconstruction or alteration of, or addition to, any existing school building if the estimated cost exceeds $20,000. (See Section 8 for optional submittal.)
(3) The lease or purchase of any “relocatable structure” except where occupied as a “temporary-use” building.
(4) The extension of a lease for a “temporary-use” building for more than three years from the date of first occupancy.
(5) The conversion of a non-school building to use as a “school building.” (See Section 6.)
It is not necessary to secure approval for maintenance work on school buildings.
(b) Filing. A separate application, in triplicate (see Section 52 for exception), shall be filed with the office for each school building or group of school buildings on each school site. In the event that a number of school buildings, on various and separate sites, are to be constructed from the same plans and specifications, only one application shall be required, provided, that all the units are constructed at the same time and in the same school district. The application shall be submitted on Form SSS-1. Application for Approval of Plans and Specifications (see facsimile in the Appendix), which shall be furnished upon request. The application shall contain a definite identifying name for the school building or buildings, the name of the architect or registered engineer in general responsible charge of the work, the names of the architects or registered engineers who have been delegated responsibility for portions of the work (see Section 16), the estimated cost of the project and all such other information as is requested thereon.
An architect or registered engineer who is a contracting party or who has any employment relationship with any entity which may be a contracting party for the construction shall not perform the functions prescribed by Sections 39148 and 81138 of the Education Code or be delegated responsibility for any portion of the work.
(c) Delayed Filing. In case the plans and specifications for the reconstruction or alteration of, or addition to, any school building have not been submitted to the office under the assumption that the cost will not exceed $20,000, the school board shall, if the bids which are received indicate that the cost will be in excess of $20,000, delay letting a contract until such time as the plans and specifications have been submitted and the approval of the Department of General Services obtained. The contract or contracts, when made, shall be based upon the duly approved plans and specifications.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39143, 39148, 81133 and 81138, Education Code.
§16. Designation of Responsibilities.
Note

(a) General Responsible Charge. For every project there shall be an architect or structural engineer in general responsible charge of plans, specifications, and observation of the work of construction, except that where plans, specifications, or work of construction for alterations or repairs do not involve architectural or structural changes said plans, specifications and observation of the work of construction may be under the responsible charge of a professional engineer qualified to perform services and registered in that branch of engineering applicable to the work.
A project may be divided into parts, provided that each part is clearly defined by a building or similar distinct unit. The part, so defined, shall include all portions and utility systems or facilities necessary to the complete functioning of that part. Separate assignments of general responsible charge may be made for the parts. 
(b) Delegation of Responsibility. The architect or structural engineer in general responsible charge may delegate responsibility for any portion of the work to, or may employ or retain, other architects or registered engineers. No delegation to, or employment or retention of, others shall be construed as relieving the architect or structural engineer in general responsible charge of his rights, duties, and responsibilities under Sections 39148 and 81138 of the Education Code and Sections 36, 41 and 44 of these rules and regulations.
Subject to the provisions of the immediately precedent sentence, the architect or structural engineer in general responsible charge shall employ or retain, under his supervision, professional engineers registered in the applicable branches of engineering to design and observe the construction, including the making of verified reports (see Section 36), of the mechanical and electrical portions of the work, but this requirement for observation of construction may be waived when special mechanical and electrical inspection is provided in accordance with Section 33(c), where the elements of the mechanical and electrical portions of the work will not be significant to the safety of the building or its occupants.
(c) Assumption of Responsibility. The architect or registered engineer who submits for approval plans and specifications for any project or portion of a project which have been prepared by others shall assume responsibility for the safety of design of the completed construction and for the interpretation of and any necessary amplification of the plans and specifications of the project. He shall manually sign all plans submitted for approval to indicate his assumption of responsibility or may in lieu thereof, sign and submit plans prepared under his own charge. (See Section 17(h) for other signatures.)
When an architect or registered engineer accepts the responsibility for completion of a project or portion of a project relinquished by another, that architect or registered engineer thereby assumes responsibility as follows:
(1) If the relinquishment occurs prior to the completion of the design documents all responsibility shall be assumed. (See first paragraph of this subsection for procedure.)
(2) If the relinquishment occurs after the design drawings and specifications have been completed and approved by the office, the assuming architect or registered engineer shall be responsible for the construction of the project in accordance with the design of the relinquishing architect or engineer. The assuming architect or registered engineer shall assume responsibility for the interpretation of and any necessary amplification of the plans and specifications and shall manually sign any such documents prepared for that purpose.
(d) Acceptance of Responsibility. The assumption of general responsible charge or of delegated responsibility shall be clearly outlined, accepted and approved by the parties concerned (including the school board) Form SSS-1. Application for Approval of Plans and Specifications, provides for the common conditions of delegation of responsibility, but for unusual cases, or for changes in responsibility taking place after the plans have been submitted for approval, the delegation of responsibility, acceptances and approvals thereof, shall be submitted in letter form in duplicate, which shall include an indication that the school board has been notified.
(e) Evidence of Responsibility. The manual signature of the architect or registered engineer on a plan, specification, or other document shall be deemed evidence that full responsibility is assumed by the signatory for the work shown thereon, including also those portions of the accompanying computations, specifications, or plans which pertain to such work, unless express notice of disclaimer of responsibility is given in writing to the office prior to the approval of the plans and specifications.
(f) Alternates. The applicant, or the architect or registered engineer having general or delegated responsibility, may name one or more persons to act as alternate(s) for the design and/or observation of the work of construction provided such persons are architects or registered engineers who themselves are qualified under these rules and regulations to assume the responsibility assigned.
Alternates may be named on Form SSS-1, Application for Approval of Plans and Specifications, or in letter form in duplicate. Letter forms shall be submitted prior to performance of work by the alternate and shall include an indication that the school board has been notified.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39148 and 81138, Education Code.
§17. Plans, Specifications, Computations and Other Data.
Note

(a) General. When an application is filed, it shall be accompanied by one complete set of the plans and specifications, the structural design computations, and a fee calculated on the estimated cost. (See Section 20.)
The check prints of plans and specifications, computations and other data filed with the application are the property of and shall be retained by the office after the backcheck process is completed and until the project files are closed.
(b) Plans. Plans shall show the use or occupancy of all parts of the school buildings and shall give such other information as may be required to indicate the nature of the work proposed and to show compliance with the act and these rules and regulations. The plans shall be legible and sufficiently detailed and cross-referenced to show clearly the pertinent features of the construction, and shall have sufficient dimensions to be readily interpreted. Where a project includes several school buildings, the plans for each shall be drawn independently except that details common to all need not be repeated.
Submitted plans and specifications which are obviously incomplete or incorrect, shall be returned to the designer with a request for compliance with these rules and regulations before checking is resumed by the office.
(c) Specifications. Specifications shall completely set forth the requirements for the various types of materials that will enter into permanent construction and shall describe the methods not covered in the technical regulations which are to be used to obtain the required quality of the work shown on the plans as described in the specifications.
(d) Design Computations. Computations, stress diagrams and other pertinent data shall accompany the plans and specifications and shall be sufficiently complete so that calculations for individual structural members can be readily interpreted. The computations shall be prefaced by a statement clearly and concisely outlining the basis for the structural design and indicating the manner in which the proposed school building will resist vertical loads and horizontal forces. The computations shall be sufficiently complete to establish that the structure will resist the loads and forces prescribed in Part 2, Title 24, CAC. Assumed safe bearing pressures on soils and specified strengths of concrete shall be given in computations and noted on plans. Where unusual conditions occur, such additional data as are pertinent to the work shall be submitted.
(e) Site Data. Site data for all school sites shall include a soil investigation report including sub-surface site work, laboratory testing, an evaluation of site soil conditions, a recommendation for the type of foundations to be used and an allowable design value for the soil bearing capacity.
For new school sites located in the “Special Studies Zones” (commonly known as Alquist-Priolo Zones) as described in Sections 39002 and 39002.5 of the Education Code, a geologic and earthquake hazard report including an evaluation of both known and potentially active local and regional fault systems and of slope stability and liquefaction potential as hazards to school structures, shall be submitted with the application.
For existing school sites, the Architect shall prepare a geologic hazards statement evaluating the potential for geologic or earthquake damage for projects involving alterations, additions or new construction.
(f) Estimates of Cost. Estimates of cost shall be based on the cost prevailing at the time the plans and specifications are submitted to the office. The estimated cost of a project shall be increased as necessary to include the estimated cost of every alternate building or portion thereof shown on the plans or specifications as if each alternate building and portion were to be constructed separately and simultaneously.
When a contract amount, or the cumulative total of two or more contract amounts, exceeds the estimated cost by more than 30 percent the estimated cost shall be revised. An additional fee based upon the revision shall be paid before proceeding with the work. When the actual cost of constructing all the work shown on the approved plans is less than 70 percent of the estimated cost a refund may be claimed. (See Section 22 for actual cost.)
(g) Deferred Approvals. Where a portion of the construction cannot be adequately detailed on the approved plans because of variations in product design and manufacture, the approval of plans for such portion may be deferred until the material suppliers are selected provided the following conditions are met:
(1) The plans clearly indicate that a deferred approval by the office is required for the indicated portions of the work prior to fabrication and installation.
(2) The plans and specifications adequately describe the performance and loading criteria for such work.
(3) The architect or structural engineer responsible for preparation of plans and specifications for the project manually signs the plans and specifications for the deferred approval items. Such architect or structural engineer must prepare his own plans; however, he may adopt or modify plans prepared by a manufacturer or anyone else provided that he accepts responsibility thereof.
(h) Signatures Required. All plans and specifications submitted for approval shall bear the manual signature of the architect or professional engineer in general responsible charge of design. When responsibility for a portion of the work has been delegated, the plans and specifications covering that portion of design shall also bear the manual signature of the responsible professional engineer or architect. 
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39145, 39002, 39002.5, 81135, 81033 and 81033.5, Education Code.
§18. Procedure for Approval of Application and Voidance of Application.
Note

(a) General. After the Office has made its check of the documents submitted with the application, the checked prints of the plans and specifications, with the requests for corrections and/or additional information noted thereon, shall be returned to the responsible architect or registered engineer. When plans and/or specifications require extensive corrections, a corrected set of prints of the plans and specifications shall be submitted for rechecking if requested by the Office.
When the requested corrections have been made and/or the additional information has been provided by the responsible architect or registered engineer, an employee representative of the architect or registered engineer shall return the check set of plans and specifications along with the original plan tracings, the corrected specification pages and specification master cover sheet to the Office for backchecking. The backcheck is a comparison of the corrected plans and specifications with the check set of plans and specifications and shall be accomplished by either an Office conference between the employee representative of the architect or registered engineer and the checking engineer or by mail in the case of minor corrections to which all parties have agreed.
Changes in plans and specifications, other than changes necessary for correction,made after submission for approval, shall be brought to the attention of the Office in writing or by submission of revised plans identifying those changes clearly at the time of backchecking. Failure to give such notice automatically voids any subsequent approval given to the plans and specifications.
All requested corrections shall be made, additional requested information furnished or original design justified prior to or at the time of the backcheck. When the Office deems that the corrected plans and specifications comply with these regulations and the State Building Standards that pertain to public school construction, it shall place its stamp on the reproducible sheets of drawings and master cover sheet of the specifications. This stamp is affixed for purposes of identification only and shall not be construed as authorization to let the construction contracts. See Section 18(b). One set of prints of the stamped plans and one set of prints of the stamped specifications shall be submitted to the Office before the written approval of the application is issued.
(b) Approval of Application. The office shall issue to the school district a letter approving the application for the project upon receipt of the stamped copies of the approved plans and specifications. This letter shall constitute the “written approval of the plans, as to safety of design and construction” required by Sections 39144 and 81134, Education Code, before letting any contract and the approval thereof in writing which must be “had and obtained” before any valid contract may be made or executed. (See Section 30 for time limitations.)
(c) Voidance of Application. Any change, erasure, alteration or modification of any plans or specification bearing the stamp of the office automatically voids the approval of the application. However, the “written approval of plans” may be extended to include revised plans and specifications after submission for review. (See Section 23 for revised plans and Section 38 for addenda and change orders.)
The procedures leading to written approval of plans shall be carried to conclusion without suspension or unnecessary delay. The application shall be void where either (1) prints from corrected plans or corrected original plans are not filed for backcheck within 6 months after the date of return of checked plans to the architect or engineer, or, (2) prints of the stamped plans and one set of stamped specifications are not submitted for office files within 2 months after the date shown on the stamp of identification.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39143, 39144, 39150, 81133, 81134 and 81140, Education Code.
§19. Withdrawal of Application.
Note

If request is made by the school board for the cancellation or withdrawal of the application and return of the plans and specifications, together with the paid fee, it will be granted only when the check of plans and specifications has not actually started. If the checking of plans and specifications has started, 30% of the paid fee will be refunded or applied to a new application for the same project. No refund will be allowed for projects upon which only the minimum fee has been paid. No refund will be allowed after a contract has been let for any portion of the work except as provided by Section 17(f).
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39143, 39146, 81133 and 81136, Education Code.
Article 4. Fees
§20. Fees.
Note

The fees required by Sections 39146 and 81136 of the Education Code shall be in accordance with Section 21.1 or Section 21.2. The fee schedule in effect at the time of filing shall apply throughout the duration of such application. A list of prior fee schedules is available upon request from the office. The words “filing fee” mean the fee which shall accompany the application, or as corrected pursuant to Section 17(f), and the words “further fee” mean the fee which shall be paid to the office if the actual cost exceeds the estimated cost by more than 5 percent. The application is considered to be received when it, accompanied by the plans and specifications, structural design computations and filing fee, has been received by the office and the application number assigned.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39146 and 81136, Education Code.
§21.1. Fee Schedule 11.
Note

Applications Received On or After May 1, 1981. The filing fee for projects under applications received on or after May 1, 1981 shall be seven-tenths of one percent (.7%) of the first $1,000,000 of estimated cost and five-tenths of one percent (.5%) on the excess of the estimated cost over $1,000,000, except that the minimum fee in any case shall be $250.
If the actual cost exceeds the estimated cost by more than 5 percent, the further fee for such projects shall be equal to the difference between the filing fee paid and the amount computed under Fee Schedule 11 on the actual cost, the actual cost being determined according to Section 22.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39146 and 81136, Education Code.
§21.2. Projects Filed Prior to May 1, 1981.
Note

If the actual cost exceeds the estimated cost by more than 10 percent, the further fee for projects under applications filed prior to May 1, 1981 shall be computed in accordance with the fee schedule in effect at the time the application was filed. Detailed information covering such fee schedules shall be provided upon request.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39146 and 81136, Education Code.
§22. Project Cost.
Note     •     History

For purposes of determining fees, both the estimated and actual costs of the project shall be the total outlay for all work included in the approved plans and specifications (exclusive of fees paid, but not recovered, for architectural, engineering, inspection and testing services) regardless of whether the funds are provided by the school district, by other public or private agencies or by individuals. The cost shall include the cost of any moving or relocation. In the event a building is converted to school use (see Section 6) the cost shall include the value of the building. If work is done in portions the actual cost shall be determined at the completion of each contract. (See Section 25.)
The estimated cost and the fee based thereon shall not be amended after plan check has started except as provided by Section 17(f) or for permissible increase in scope of project. The scope of a project shall not be amended after bids for all or part of the project are opened. No portion of the fee can be returned after checking has been started except as provided by Sections 17(f) and 19.
Actual cost shall include all items which are normally considered to be contractor's operation costs such as district furnished labor and materials, bond, insurance and use of district facilities, and shall not be reduced by charge-backs such as those for testing, inspection or overrun of contract time. All fees and/or reimbursable charges paid the construction managers shall be included in the actual cost of construction. When the contract for the work includes items not otherwise subject to the approval of the office and not included in the approved plans and specifications the actual cost shall include this work unless such costs are segregated by separate bid items or by separately priced items of change orders, or by a certified copy of a subcontractor's bid. Such segregation shall not be made by contract price breakdown or estimates.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39146 and 81136, Education Code.
HISTORY

1. Editorial correction of printing error (Register 83, No. 45).
§23. Revisions of Plans and Specifications.
Note

No additional fee is charged upon submission of revisions to the approved plans and specifications, provided, that the entire matter is actually one transaction having to do with the same school building and the revisions do not require substantial review for safety of design. If the original plans are abandoned and the plans and specifications submitted n lieu thereof are in fact for a new project rather than for an identical building, or where a modified set of plans is for an essentially different structural concept, it is necessary that a new application be filed and fee paid. This is regardless of the fact that the school building may have the same name, be of the same general size, and be situated at the same location as the school building for which the original application was made.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39146 and 81136, Education Code.
§24. Examples and Explanations of Fee Computation.
Note     •     History

(a) Filing Fee to Accompany Application.
Filing Fee Under Schedule 11
  Estimated Cost $8,000
    0.7% x $8,000 = $40.00
    Filing Fee is the minimum charge = $250.00

Filing Fee Under Schedule 11
  Estimated Cost $925,000
  0.7% x $925,000 = $6,475.00

Filing Fee Under Schedule 11
  Estimated Cost $1,260,000  

 0.7% x $1,000,000	=	$7,000.00
   0.5% x $260,000	=	 1,300.00
		$8,300.00
Corrected Estimate Under Schedule 11
  Estimated Cost on Application $925,000
    0.7% x $925,000	=	$6,475.00

1st Contract	$700,000
  2nd Contract	525,000
	$1,225,000
(Exceeds $925,000 by more than 30%)

Corrected Estimated Cost $1,225,000*
   0.7% x $1,000,000	=	$7,000.00
   0.5% x 225,000	=	 1,125.00
		$8,125.00
Fee previously paid		$6,475.00
Corrected filing fee due		$1,650.00
(c) Further Fees Where the Actual Cost Exceeds the Estimated or Corrected Estimated Cost by More Than 5 Percent. 
Further Fee Under Schedule 11
Corrected Estimated Cost $1,225,000*

  Actual Cost $1,352,740.50
    0.7% x $1,000,000.00	=	$7,000.00
    0.5% x 352,740.50	=	 1,763.70
		$8,763.70
Filing Fee Paid
   0.7% x $1,000,000	=	$7,000.00
   0.5% x 225,000	=	 1,125.00
		$8,125.00
  Further Fee	=	$638.70

*The corrected estimated cost could be more than the sum of contracts if all work called for on plans is not yet under contract.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39146 and 81136, Education Code.
HISTORY

1. Editorial correction of printing error (Register 91, No. 30).
§25. Billing for Further Fees.
Note

The district shall be billed for further fees upon completion of the project or portion thereof if fee is due. Claims for refunds of five dollars or less due to errors in cost reporting or fee computation shall be made within six months from date of billing.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39146 and 81136, Education Code.
Article 5. Certification of Construction
§30. Time of Beginning Construction and Partial Construction.
Note

Construction work whether for a new school building, reconstruction, alteration, or addition, shall not be commenced, and no contract shall be let until the school board has applied for and obtained from the office written approval of plans and specifications. Construction of all work shown in the approved plans and specifications shall be commenced within one year after the approval of the application, otherwise the approval of the part not commenced shall be void. The office may require that the plans and specifications be revised to meet its current regulations before a renewal of the voided approval is granted. Renewal shall not be granted after a period of four years beyond the date of the application approval.
The school board may complete all work or proceed with the construction of any part of the work included in the approved plans and specifications with the intent of completing the work later. All work done and materials used and installed must be in accordance with and in conformity to the approved plans and specifications. The office shall be notified whenever work is being carried on and failure to give such notice automatically voids approval of the plans and specifications.
An uncompleted building shall not be considered as having been constructed under the provisions of Article 3 or 7 commencing with Sections 39140 and 81130 of the Education Code, respectively. Section 39227 of the Education Code restricts the use of such a building.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39140, 39227 and 81130, Education Code.
§31. Notice of Start of Construction.
Note

The architect or registered engineer responsible for the project shall give the office written notification before construction is to be started. As soon as a contract has been let, the architect or registered engineer shall furnish in duplicate (See Section 52) to the Office on Form SSS-102 (furnished by the office), the name and address of the contractor (See Section 40(c) for force account work), the contract price, the date on which the contract was let and the date of starting construction. The names and addresses of the subcontractors shall also be reported as soon as available. (See facsimile of Form SSS-102 in the appendix.)
NOTE

Authority cited: Sections 39152 and 81142; Education Code. Reference: Sections 39140, 39143 and 81130, 81133, Education Code.
§32. Notice of Suspension of Construction.
Note

(a) When construction is suspended for more than two weeks, the inspector shall notify the Office of the State Architect.
(b) If the construction is suspended or abandoned for any reason for a continuous period of one year following its commencement, the approval of the office shall become void. The office may reinstate the approval upon the request of the school board.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39152 and 81142, Education Code.
§33. Observation and Inspection of Construction.
Note

(a) Observation by Architect or Registered Engineer. The act provides that the observation of the work of construction, reconstruction, alteration, or addition shall be under the general responsible charge of an architect, structural engineer, or under certain conditions a professional engineer registered in that branch of engineering applicable to the work. (See Section 16.)
A civil engineer qualified in soils engineering shall provide the observation for placement of fills and shall submit verified reports.
(b) Inspection by Project Inspector. The school board must provide for and require competent, adequate and continuous inspection by an inspector satisfactory to the architect or registered engineer in general responsible charge of observation of the work of construction, to any architect or registered engineer delegated responsibility for a portion of the work, and to the office.
For every project there shall be a project inspector who shall have personal knowledge as defined in Sections 39151 and 81141 of the Education Code of all work done on the project or its parts as defined in Section 16. On large projects adequate inspection may require the employment of assistant inspectors. The employment of special inspectors or assistant inspectors shall not be construed as relieving the project inspector of his duties and responsibilities under Sections 39151 and 81141 of the Education Code and Sections 36 and 42 of these rules and regulations.
No work shall be carried on except under the inspection of an inspector approved by the office. The inspector shall be not less than 25 years of age, shall have had at least three years experience in construction work of a type similar to that for which he is proposed as inspector, shall have a thorough knowledge of building materials, and shall be able to read and interpret plans and specifications. Application for approval shall be made in duplicate (see Section 52 for exception) on Form SSS-5 (See Appendix).
The cost of project inspection shall be paid for by the school board. 
(c) Special Inspection. Special inspection by inspectors specially approved by the office may be required on all masonry construction, glued laminated lumber, wood framing using timber connectors, ready-mixed concrete, gunite, prestressed concrete, important steel fabrication, high strength steel bolt installations, welding, pile driving, electrical and mechanical work.
Special inspector approval shall be applied for in duplicate on Form SSS-5 (see Appendix).
The project inspector may be used for such inspection if he has been specially approved for such purpose and if he has the time available for the work.
The detailed inspection of all work covered by this section is the responsibility of the project inspector when special inspection is not provided (see Section 42.)
Where responsibility for observation of construction for mechanical work and electrical work is not delegated to professional engineers registered in these particular branches of engineering (See Section 16(b)), special mechanical and electrical inspection shall be provided.
The office may also require special inspection for any other shop fabrication procedures that preclude the complete inspection of the work after assembly. It may require special inspection at the site in addition to those listed above if found necessary because of the special use of material or methods of construction.
Special inspectors shall submit verified progress reports as required by Section 36, for the special work covered.
The costs of all special inspection required by this subsection shall be paid for by the school board, but if so specified the amount paid may be collected from the contractor.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39140, 39151, 39153, 81130, 81139, 31141 and 81143, Education Code.
§34. Supervision by the Office of the State Architect.
Note

During construction, reconstruction, repair, alteration of or addition to any school building, the office, as provided by the act, shall make such inspection as in its judgement is necessary or proper for enforcement of the act and the protection of the safety of the pupils, the teachers and the public. If at any time as the work progresses, prior to the issuance of the final approval, it shall be found that modifications or changes are necessary to secure safety, orders shall be issued by the office for such modifications or changes.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39153 and 81143, Education Code.
§35. Tests.
Note

(a) General. Tests of materials are required as set forth in these rules and regulations. Other materials or combinations of materials may require additional tests. Where job conditions warrant the architect or registered engineer may waive certain tests with the approval of the office.
(b) Performance of Tests. The school board with the approval of the architect or registered engineer shall select a qualified person or testing laboratory as the testing agency to conduct the tests.
Test samples or specimens of material for testing shall be taken by the architect or registered engineer, his representative, the inspector, or a representative of the testing agency. In no case shall the contractor or vendor select the sample.
Sampling, preparation of samples and tests shall be in accordance with the standards as provided for in the approved specifications or in the applicable building regulations.
Where a sample has failed to pass the required tests the architect or engineer, subject to the approval of the office, may permit retest of the sampled material. In such cases two new samples shall be tested and the material shall be rejected if either sample fails.
(c) Payments. The school board shall pay for all tests but if so specified the amount or a portion thereof may be collected from the contractor. When in the opinion of the architect or registered engineer, additional tests are required because of the manner in which the contractor executes his work, such tests shall be paid for by the school board, but if so specified the amount paid may be collected from the contractor. Examples of such tests are: tests of material substituted for previously accepted materials, retests made necessary by the failure of material to comply with the requirements of the specifications, and load tests necessary because certain portions of the structure have not fully met specification or plan requirements.
(d) Test Reports. One copy of all test reports shall be forwarded to the office, the architect, the structural engineer and the inspector by the testing agency. Such reports shall include all tests made, regardless of whether such tests indicate that the material is satisfactory or unsatisfactory. Records of special sampling operations as required shall also be reported. The reports shall show that the material or materials were sampled and tested in accordance with the requirements of these rules and regulations and with the approved specifications. In the case of masonry or concrete, test reports shall show the specified design strength. They shall also state definitely whether or not the material or materials tested comply with requirements.
(e) Verification of Test Reports. Each testing agency shall submit to the office a verified report in duplicate covering all of the tests which were required to be made by that agency during the progress of the project. Such report shall be furnished each time that work on the project is suspended, covering the tests up to that time, and at the completion of the project, covering all tests.
The verified report shall contain all the information included in the Sample of Laboratory Verified Report (see Appendix).
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39151 and 81141, Education Code.
§36. Verified Reports.
Note

(a) General. Sections 39151 and 81141 of the act require that from time to time as the work progresses, the architect, structural engineer or professional engineer in charge of observation of construction of the work, each architect or registered engineer delegated responsibility for a portion of the work, the inspector on the work, and the contractor shall each make a duly verified report to the office upon a prescribed form or forms, showing that of his or her own personal knowledge the work during the period covered by the report has been performed and materials have been used and installed in every material respect in compliance with the duly approved plans and specifications, and setting forth such detailed statements of fact as shall be required. (For a definition of personal knowledge see Sections 39151 and 81141 of the Education Code.)
(b) Report Form. Verified reports (number of copies shown below; see Section 52 for exceptions) shall be made on Form SSS-6 by inspectors and contractors and Form SSS-6A/E by architects and engineers. Form SSS-6A/E may be filed either separately or jointly by architects and engineers. Forms will be supplied by the office. (For facsimile of Forms SSS-6 and SSS-6A/E see the appendix.)
(c) Required Filing. Verified reports shall be made as follows:
(1) One copy on the first day of February, May, August and November, for every school building upon which any work of construction, reconstruction, alteration, or addition, has been prosecuted during the preceding quarter year.
(2) Duplicate copy by each contractor at the completion of his contract.
(3) Duplicate copy at the completion of the school building.
(4) Duplicate copy at the suspension of work for a period of more than one month.
(5) Duplicate copy whenever the services of an architect, registered engineer, inspector or contractor in connection with a project are terminated for any reason.
(6) Duplicate copy at any time that a special verified report is required by the office.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39151 and 81141, Education Code.
§37. Semimonthly Reports.
Note

In addition to the verified reports (Section 36) the project inspector shall make semimonthly reports of the progress of construction to the architect or registered engineer in general responsible charge. A copy of each such report shall be sent to the school board and to the office (see Section 52). Semimonthly reports shall state the name of the building, the school, and the school district, and give the file and application number. The reports shall include a list of official visitors to the project and whom they represent, a brief statement of the work done, instructions received from the architect or registered engineer during the period covered by the report and pertinent information regarding any unusual conditions or questions that may have arisen at the job. Forms are not provided by the office for semimonthly reports (see typical example for guide in the appendix). Failure to comply with this section will be cause for withdrawal of the approval of the inspector.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39140, 39151, 39152, 81130, 31141 and 31142, Education Code.
§38. Addenda and Change Orders.
Note

(a) General. Work shall be executed in accordance with the approved plans, addenda and change orders. Changes in the plans and specifications shall be made by addenda or change orders approved by the office. (See Section 18(b).)
(b) Addenda. Changes or alterations of the approved plans or specifications prior to letting a construction contract for the work involved shall be made by means of addenda. Addenda shall be manually signed by the architect or engineer in general responsible charge of preparation of the plans and specifications and by the architect or registered engineer delegated responsibility for the portion affected by the addenda. (See Section 17(h).) One copy is required for the files of the office.
(c) Change Orders. Changes or alterations of the approved plans or specifications after a contract for the work has been let shall be made by means of change orders. Change orders shall state the reason for the change and shall be accompanied by supplementary drawings where necessary. All change orders shall be manually signed by the architect or engineer in general responsible charge of observation of the work of construction of the project and by the architect or registered engineer delegated responsibility for observation of the portion of the work of construction affected by the change order and shall bear the approval of the school board. One copy of each change order is required for the files of the office. (See sample change order in the Appendix.)
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39144 and 81134, Education Code.
§39. Final Certification of Construction.
Note

The approval of the office will be issued when the work has been completed in accordance with the requirements as to safety of design and construction of Sections 39140-39154 and 81130-81144 of the Education Code.
The approval of the office may be evidenced either by letter or by certificate. A Certificate of Approval will, in general, be issued only for large new projects where the board may desire to display such certificate in a conspicuous place. The letter or Certificate of Approval will be directed to the school board.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39152 and 81142, Education Code.
Article 6. Duties Under the Act
§41. Duties of the Architect, Structural Engineer, or Professional Engineer.
Note

(a) General. The architect or professional engineer is responsible to the school board and to the office to see that the completed work conforms in every material respect to these rules and regulations and to the approved plans and specifications. (See Section 16.) He or she may, if so authorized, act as agent for the school board in completing and submitting the application Form SSS-1 to the office. (See Section 15.)
The architect or registered engineer, in no way, is relieved of any responsibility by the activities of the office in the performance of its duties.
(b) General Responsible Charge. The architect, structural engineer or professional engineer in general responsible charge shall advise the school board in regard to filing of the application for approval of plans, the selection of an inspector and the selection of a testing laboratory. He shall prepare plans, specifications, design computations and other data and shall prepare addenda and change orders authorized by the school board and as required by conditions on the project. He or she shall make, or cause to be made, the corrections required on the various documents to comply with the requirements of these rules and regulations (Section 17(i)), and shall indicate his or her responsibility for and approval of the documents presented to the office for approval, by his or her signature thereon (Section 17(h)).
He or she shall perform general observation of the work of construction, interpret the approved drawings and specifications and shall provide the inspector and testing agency with a complete set of stamped plans, specifications, addenda and change orders.
In general, the office directs all technical correspondence to the architect or registered engineer in general responsible charge of the project.
(c) Delegated Responsibility. An architect or registered engineer to whom responsibility has been delegated shall, under the general direction of the person in general responsible charge, prepare plans, specifications, computations and other data, and make corrections on these documents as required to comply with these rules and regulations. He or she shall consult with the person in general responsible charge in the preparation of addenda and change orders and the selection of inspectors and testing laboratory. He or she shall indicate his or her responsibility for the documents, which affect his or her portion of the work and are presented to the office for approval, by his or her manual signature thereon. He or she shall observe the work of construction of his or her portion of the project and shall consult with the person in general responsible charge in the interpretation of the approved drawings and specifications.
(d) Approval of Inspector. The architect or registered engineer in general responsible charge shall submit to the office the name of the person proposed as inspector of the work, together with an outline of his experience and pertinent qualifications on Form SSS-5 (see facsimile of Form SSS-5 in the Appendix), 10 days prior to the time of starting construction work so as to afford the office ample opportunity for determining the competency of such person. Form SSS-5 is furnished by the office. The architect or registered engineer shall provide general direction of the work of the inspector and shall immediately withdraw approval of the inspector by a letter to the school board if he or she finds the inspector is unable or unwilling to perform his or her duties properly, sending a copy of the letter to the office. Such a letter automatically voids approval of the inspector by the office. In view of his or her responsibilities for directing the activities of the inspector, the architect or registered engineer shall review the inspector's qualifications before approving the appointment. 
(e) Report of Contract. The architect or registered engineer in general responsible charge shall report contract information and time of starting work to the office. (See Section 31.)
(f) Verified Reports. All architects and registered engineers having responsibility for observation of the work of construction shall maintain such personal contact with the project as is necessary to assure themselves of compliance in every material respect with the approved plans and specifications and each shall submit verified reports to the office as required by Section 36. The architect or registered engineer in general responsible charge shall also satisfy himself or herself that the inspector's, the contractor's and the other architect's and engineer's verified reports are submitted as required.
(g) Testing Program. The architect or registered engineer in general responsible charge shall establish the extent of the testing of materials consistent with the needs of the particular project (see Section 35) and shall issue specific instructions to the testing agency. He or she shall also notify the office as to the disposition of materials noted on laboratory reports as not conforming to the approved specifications.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39148, 39151, 39152, 81138, 81141 and 81142, Education Code.
§42. Duties of the Inspector.
Note

(a) General. The inspector shall act under the direction of the architect or registered engineer.
(b) Duties. The general duties of the inspector in fulfilling his or her responsibilities are as follows:
(1) Continuous Inspection Requirement. He or she must have actual personal knowledge, obtained by his personal and continuous inspection of the work of construction in all stages of its progress, that the requirements of the approved plans and specifications are being completely executed.
Continuous inspection means complete inspection of every part of the work. Work, such as concrete work or brick work which can be inspected only as it is placed, shall require the constant presence of the inspector. Other types of work which can be completely inspected after the work is installed may be carried on while the inspector is not present. In any case, the inspector must personally inspect every part of the work. In no case shall the inspector have or assume any duties which will prevent him or her from giving continuous inspection.
The project inspector may obtain personal knowledge of the work of construction, either on-site or off-site, performed under the inspection of a special inspector or assistant inspector (Section 33), from the reporting of others on testing or inspection of materials and workmanship for compliance with the plans, specifications and applicable standards. The exercise of reasonable diligence to obtain the facts shall be required.
(2) Relations With Architect or Engineer. The inspector shall work under the general direction of the architect or registered engineer. All inconsistencies or seeming errors in the plans and specifications shall be reported promptly to the architect or registered engineer for his interpretation and instructions. In no case, however, shall the instruction of the architect or registered engineer be construed to cause work to be done which is not in conformity with the approved plans, specifications, and change orders.
(3) Job File. The inspector shall keep a file of approved plans and specifications (including all approved addenda or change orders) on the job at all times, and shall immediately return any unapproved documents to the architect for proper action. The inspector, as a condition of his employment, shall have and maintain on the job at all times, all codes and documents referred to in the plans and specifications.
(4) Inspector's Semimonthly Reports. The inspector shall keep the architect or registered engineer thoroughly informed as to the progress of the work by making semimonthly reports in writing as required in Section 37.
(5) Notifications to Office of the State Architect. The inspectors shall notify the office:
(A) When work is started on the project.
(B) At least 48 hours in advance of the time when foundation trenches will be complete, ready for footing forms.
(C) At least 48 hours in advance of the first pour of concrete.
(D) When work is suspended for a period of more than two weeks.
(6) Construction Procedure Records. The inspector shall keep a record of certain phases of construction procedure including, but not limited to, the following:
(A) Concrete pouring operations. The record shall show the time and date of placing concrete and the time and date of removal of forms in each portion of the structure.
(B) Welding operations. The record shall include identification marks of welders, lists of defective welds, manner of correction of defects, etc.
(C) Penetration under the last ten (10) blows for each pile when piles are driven for foundations.
All such records of construction procedure shall be kept on the job until the completion of the work. These records shall be made a part of the permanent school records.
(7) Deviations. The inspector shall notify the contractor, in writing, of any deviations from the approved plans and specifications which are not immediately corrected by the contractor when brought to his or her attention. Copies of such notice shall be forwarded immediately to the architect or registered engineer, and to the office.
Failure on the part of the inspector to notify the contractor of deviations from the approved plans and specifications shall in no way relieve the contractor of any responsibility to complete the work covered by his or her contract in accordance with the approved plans and specifications and all laws and regulations.
(8) Verified Report. The project and special inspectors shall each make and submit to the office verified reports (see Section 36).
The inspector shall prepare and deliver to the office detailed statements of fact regarding materials, operations, etc., when requested.
(c) Violations. Failure, refusal, or neglect on the part of the inspector to notify the contractor of any work which does not comply with the requirements of the approved plans and specifications, or failure, refusal, or neglect to report immediately, in writing, any such violation to the architect or registered engineer, to the school board, and to the office shall constitute a violation of the act and shall be cause for the office to take action.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39151, 39153, 81141 and 81143, Education Code.
§43. Duties of the Contractor.
Note

(a) Responsibilities. It is the duty of the contractor to complete the work covered by his or her contract in accordance with the approved plans and specifications therefor. The contractor in no way is relieved of any responsibility by the activities of the architect, engineer, inspector or the office in the performance of their duties.
(b) Performance of the work. The contractor shall study carefully the approved plans and specifications and shall plan his schedule of operations well ahead of time. If at any time it is discovered that work is being done which is not in accordance with the approved plans and specifications, the contractor shall correct the work immediately.
All inconsistencies or items which appear to be in error in the plans and specifications shall be promptly called to the attention of the architect or registered engineer, through the inspector, for interpretation or correction. Local conditions which may affect the structure shall likewise be brought to the architect's or structural engineer's attention at once. In no case, however, shall the instruction of the architect or registered engineer be construed to cause work to be done which is not in conformity with the approved plans, specifications, and change orders.
The contractor shall not carry on work except with the knowledge of the inspector.
(c) Verified Reports. The contractor shall make and submit to the office from time to time, verified reports as required in Section 36.
If work on the building is being done by independent contractors, having contracts with the school board, verified reports shall be submitted by each contractor regardless of the type of work involved. 
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39140, 39151, 81130 and 81141, Education Code.
§44. Duties of Mechanical and Electrical Engineers.
Note

The architect or structural engineer in general responsible charge is responsible for the designs prepared by the mechanical and electrical engineers, except that where plans, specifications, and estimates for alterations or repairs do not involve architectural or structural changes said plans, specifications, and estimates may be prepared and work of construction may be observed by a professional engineer in general responsible charge who is duly qualified to perform such services and who holds a valid certificate under Chapter 7 of Division 3 of the Business and Professions Code for performance of services in that branch of engineering in which said plans, specifications, and estimates and work of construction are applicable.
The mechanical or electrical engineer shall fulfill the duties outlined in Section 41 when assuming general responsible charge and shall submit verified reports as required in Section 36. When accepting delegated responsibility he or she shall comply with the requirements of Sections 36 and 41 insofar as these may relate to the work delegated to him or her.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39143, 39148, 39151, 81133, 81138 and 81141, Education Code.
Article 7. Examination and Report of Existing Buildings
§45. Request for Examination.
Note

Upon written request by the governing board of any school district or by at least 10 percent of the parents having pupils enrolled in any school district as certified to by the county superintendent of schools, the Office of the State Architect shall make an examination and report on the structural condition of any school building of the district. Whether or not such examination is requested of the office is entirely optional with the district or parents concerned, and consequently, in making such examination and report the office acts as the agent of the school district to whom the office makes its report and by whom it is guided in determining the extent and character of the examination made.
Upon receipt of request for examination the department shall furnish an application, blank, Form 2, which shall be filled out by the applicant, supplying such information as is available. (See facsimile of Form 2 in the appendix.)
The office is not authorized to prepare plans or make estimates of the cost necessary to make such repairs to the building or buildings as are necessary to meet structural safety standards. (See Sections 39212 and 81162 of the Education Code.) 
Upon completion of the examination and the submission of the report thereof to the school board, the office shall submit a statement of the actual expense involved in the examination and preparation of report. Payment by the school board shall be made to the office upon receipt of the statement of expense involved unless waived by the Office upon recommendation of the State Superintendent of Public Instruction.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39155 and 81145, Education Code.
Article 8. Documents and Records
§50. Records.
Note

The records pertaining to the supervision of the construction of school buildings by the Office of the State Architect are public documents and are open to inspection during office hours. Documents shall not be taken from the custody of the office except as required by law.
Examination reports prepared under the provisions of Sections 39155 and 81145 of the act (See Section 45) are considered to be the property of the school board. Inquiries regarding examination reports shall be referred to the school board concerned.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39143, 39155, 11133 and 81145, Education Code; and Sections 19850 through 19853, Health and Safety Code.
§51. Location of Records.
Note

A file of school building plans, specifications and documents for school projects in the area is maintained at San Francisco (Area I), Sacramento (Area II), and Los Angles (Area III).
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39143, 39145, 39151, 81133, 81135 and 81141, Education Code.
§52. Submission of Documents.
Note

(a) Application. Applications for approval of plans and specifications may be submitted to any of the three offices regardless of project location. Processing shall be completed by the receiving office but portions of the work may be reassigned. Only two copies of applications for projects are needed when submitted in Sacramento (see Section 15).
(b) Construction Documents. All documents such as notices (see Section 31), qualification records (see Section 33), and verified reports (See Section 36), in the number of copies required, shall be submitted to the appropriate area office according to location of project. When such documents are required in duplicate, single copies will be acceptable for projects submitted to the Sacramento office.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39143, 39145, 39151, 81133, 81135 and 81141, Education Code.
Article 9. State Advisory Board to the Office of the State Architect for the Field Act
§55. Advisory Board.
Note     •     History

(a) General. The Director of the Department of General Services may appoint an advisory board whose duty it is to serve in an advisory capacity to the office in connection with technical or structural matters and with reference to regulations and requirements pertaining to the administration of the act. This board shall also act as a board of review to which appeal can be made by school boards, architects, structural engineers, or other interested parties in case of disagreement with the decisions, rulings or acts of the office.
(b) Membership. The said board shall consist of 10 members appointed by the director and four ex officio members who are: State Superintendent of Public Instruction, the State Architect, the State Fire Marshal, and the Chief Structural Engineer. Of the appointive members, four shall be structural engineers, four shall be architects, one shall be a mechanical engineer, and one shall be an electrical engineer. Two of the structural engineers and two of the architects shall be residents in Northern and Southern California, respectively. The appointive members shall serve at the pleasure of the Director of the Department of General Services. He or she may also appoint as many other ex officio members as he or she may desire. Ex officio members are not entitled to vote. Nominations for board members, qualified by close connection with public school design and construction, are invited from the California Council, American Institute of Architects; the Structural Engineers Association of California; and the Consulting Engineers Association of California.
(c) Meetings. The board shall elect its own chairperson and vice chairperson and shall convene upon the call of the chairperson whenever it may be necessary in his or her judgment for the board to meet. The board shall adopt such rules of procedure as are necessary to enable it to perform the obligations delegated to it. The chairperson of the board shall at his or her discretion or upon instructions from the board designate subcommittees to study and report back to the board any technical subject or matter regarding which an independent review or further study is desired or regarding which appeal is made to the board from decisions or rulings of the office. The board members will be reimbursed from the fund defined in Sections 39147 and 81137 of the act for their reasonable actual expenses in attending meetings but shall receive no compensation for their services.
NOTE

Authority cited: Sections 39152 and 81142, Education Code. Reference: Sections 39152 and 81142, Education Code.
HISTORY

1. Editorial renumbering of Article 5 to Article 9 to correct printing error (Register 83, No. 45).
2. Repealer of Group 3 (Articles 1-16, Sections 200-T21-5406, not consecutive) filed 9-8-83; effective 9-15-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 40). 

Appendix

Applical Forms
(a) Form SSS-1--Application for Approval of Plans and Specifications.

View Graphic

View Graphic
NOTE

Authority cited: Sections 15451 through 15465, Education Code. Issuing agency, Department of General Services.
HISTORY

1. Amendment of Appendix filed 9-30-77; designated effective 11-1-77 (Register 77, No. 40). For prior history, see Register 76, No. 42.
2. Amendment of Appendix (a) filed 9-8-83; effective 9-15-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 40).
(b) Form 2--Application for Examination of School Buildings.

View Graphic
HISTORY

1. Amendment of Appendix (b) filed 9-8-83; effective 9-15-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 40).
(c) Form SSS-5--Inspector's Qualification Record.

View Graphic

View Graphic
HISTORY

1. Amendment of Form 5 filed 12-24-71; designated effective 2-1-72 (Register 71, No. 52).
2. Amendment of Form SSS-5 filed 9-30-77; designated effective 11-1-77 (Register 77, No. 40).
3. Amendment of Appendix (c) filed 9-8-83; effective 9-15-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 40).
(d) Verified Report.
1. Form SSS-6 to be filed by Contractor, Inspector, Company or School District Official. 

View Graphic
Sections 39151 and 81141 of the Education Code read in part:
The term “personal knowledge” as applied to the inspector means the actual personal knowledge which is obtained from his personal continuous inspection of the work of construction in all stages of its progress at the site where he is responsible for inspection and, when work is carried out away from the site, that personal knowledge which is obtained from the reporting of others on the testing or inspection of materials and workmanship for compliance with plans, specifications or applicable standards. The exercise of reasonable diligence to obtain the facts is required.
The term “personal knowledge” as applied to the contractor means the personal knowledge which is obtained from the construction of the building. The exercise of reasonable diligence to obtain the facts is required.
2. Form SSS-6A/E to be filed by Architect, Structural Engineer, Mechanical Engineer, and Electrical Engineer. 

View Graphic
Sections 39151 and 81141 of the Education Code read in part:
The term “personal knowledge” as used in this section and as applied to the architect, and the registered engineer, means the personal knowledge which is obtained from periodic visits to the project site of reasonable frequency for the purpose of general observation of the work, and also which is obtained from the reporting of others as to the progress of the work, testing of materials, inspection and superintendence of the work that is performed between the above-mentioned periodic visits of the architect or the registered engineer. The exercise of reasonable diligence to obtain the facts is required.
HISTORY

1. Amendment of Form SSS-6A/E filed 9-30-77; designated effective 11-1-77 (Register 77, No. 40). For prior history, see Register 76, No. 42.
2. Amendment of Appendix (d)1. and 2. filed 9-8-83; effective 9-15-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 40).
(e) Form SSS-102--Notice of Start of Construction.

View Graphic
HISTORY

1. Amendment of Form 102 filed 12-24-71; designated effective 2-1-72 (Register 71, No. 52).
2. Amendment of Form 102 filed 9-30-77; designated effective 11-1-77 (Register 77, No. 40).
(f) Sample of Semimonthly Report.

SAMPLE OF INSPECTOR'S SEMIMONTHLY REPORT

To be made on 1st and 15th of each month

Period from December 1 to December 15, 1966

File No.____________

Application No.____

MR. JOHN DOE, Architect

Pasadena, California

Subject: Compton Heights Elementary School

DEAR SIR:
Following is my report on the progress of the above job:
The foundation of the East Wing is complete.
Forms for the foundations of the Library Section are ready for the pouring of concrete. Trenches for the south wall footings were lowered one foot as directed by James Wilson, Structural Engineer.
Excavations are complete and part of the forms are in place for the West Wing.
Thirty percent of the excavation and backfill has been completed. Reinforcing is in place for the footing of the brick wall of the arcade.
Where forms have been stripped from the concrete already poured the surfaces show good workmanship.
Progress of work is slow but is progressing as fast as can be expected with the class of labor that we have.
Change Orders Numbers 1 and 2 have been received and have been called to the attention of the Superintendent.

Very truly yours,

(Signed) RICHARD ROE, Inspector

123 Camino Road

Compton Heights
Copies
1 copy to Department of General Services
1 copy to Engineer
1 copy to School Board

(See Sections 37 and 42)
HISTORY

1. Amendment of Appendix (f) filed 9-8-83; effective 9-15-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 40).
(g) Sample of Change Order. 

SAMPLE CHANGE ORDER

GEORGE WASHINGTON HIGH SCHOOL

CAFETERIA BUILDING

PALOMARES HIGH SCHOOL DISTRICT

Change Order No. 1

December 1, 1966

File No.

Application

To: Smith Construction Co., Contractors
You are hereby authorized to make the following changes, when this order has been approved by the Department of General Services:

Item 1. Lower the footing at the north end as shown on the attached sketch numbered XI.
Reason: Necessary to found footings on firm soil.
Requested by the Structural Engineer.

Extra--$150.00

Item 2. Furnish and install galvanized plate bolts of size shown on the attached sketch numbered XII with a three-inch length of the stem at   bottom bent at 90 degrees to the axis, in lieu of the washer and nut on   the embedded end as indicated on approved drawings.
Reason: Necessary to prevent turning of bolt in the concrete.
Requested by the Contractor.

No change in price

Original Contract Price	 $25,245.00
This Change Plus	 150.00
	$25,395.00
Approved
____________________________________________________________________________________________________  	
	School Authority
____________________________________________________________________________________________________
	Architect 
____________________________________________________________________________________________________
	Structural Engineer or Other Applicable Professional Engineer
Accepted 
 ____________________________________________________________________________________________________
	Contractor

(See Section 38)
HISTORY

1. Amendment of Appendix (g) filed 9-8-83; effective 9-15-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 40).
(h) Sample of Letter Requesting Approval of Completed Building. (Repealed.)
(i) Sample of Resolution for an Exempt Building.

SAMPLE OF RESOLUTION PASSED BY SCHOOL

BOARD COVERING A TYPE OF BUILDING EXEMPTED FROM

THE ACT

VALLEY VIEW UNION HIGH SCHOOL

ESSEX, CALIFORNIA
WHEREAS, This board did heretofore authorize the construction of a garage building for housing the school buses and tractor and mechanical equipment, same to be located on the westerly portion of the school grounds; and
WHEREAS, Some question has arisen as to whether such building would be used or entered by pupils or teachers as such and therefore come within the provisions of Sections 15451 through 15464 Education Code; now, therefore, be it
Resolved, By the Board of Trustees of the Valley View Union High School District that said building when constructed will be used exclusively as a garage for housing the school buses and tractor and mechanical equipment and will not be used or entered, or be available to entry, by pupils or teachers of this school as such; and be it further
Resolved, That the superintendent is hereby instructed to see that no pupils or teachers as such shall be permitted to use or enter said building at any time.
As Clerk of the Board of Trustees of the Valley View Union High School District, I do hereby certify that the foregoing resolution was duly adopted at a regular meeting of said board held at the school building on September 18, 1959.

(Signed) JOHN J. DOE

Clerk of Board

(See Section 10)
HISTORY

1. Amendment filed 8-17-59; designated effective 9-18-59 (Register 59, No. 14).
2. Amendment of Appendix (i) filed 9-8-83; effective 9-15-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 40).
(j) Sample of Laboratory Verified Report.

SAMPLE OF LABORATORY VERIFIED REPORT

File No.________________

Application No.________

Affidavit
THIS IS TO CERTIFY, That all of our tests and inspection of materials used in construction of the

Classroom Building

Alta Vista School, Alta Vista, California            
were made in accordance with the approved plans and specifications and the rules and regulations of the Department of General Services and that all were reported to said department.
All the tests required by the approved plans and specifications were made.
I certify (or declare) under penalty of perjury that I have read the above report and know the contents thereof; that all of the above statements are true.

NORTHERN CALIFORNIA TESTING LABORATORY

By ________________________________
Note: If all the tests and inspections required by the approved plans and specifications were not made by the laboratory making this affidavit, those which were made should be either (1) outlined in lieu of the last sentence of the certificate or (2) covered by reference to a letter of instruction or check list, from the architect or engineer, a copy of which accompanies this affidavit.

(See Section 35)
HISTORY

1. Amendment of Appendix (j) filed 9-8-83; effective 9-15-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 40).
Subchapter 2. Access to Public Buildings by Physically Handicapped Persons
Article 1. Compliance Procedures
§81. Purpose.
Note     •     History

These regulations implement Sections 4450 et seq. of the Government Code to insure that where State funds are utilized for the construction or alteration of any public building or facility or where the funds of counties, municipalities, or other political subdivisions are utilized for the construction or alteration of elementary, secondary or community college buildings and facilities that the plans and specifications for such buildings and facilities are reviewed by the Office of the State Architect and certified to be in compliance with the “Access to Public Buildings by Physically Handicapped Persons Law” prior to a contract being awarded.
NOTE

Authority cited: Sections 4450, 4453 and 4454, Government Code. Reference: Section 4454, Government Code.
HISTORY

1. New Group 2 (§§81 through 86) filed 3-5-71 as an emergency; effective on filing. Certificate of Compliance included (Register 71, No. 10). For history of former Group 2 see Register 66, No. 38.
2. Amendment filed 11-24-78; designated effective 1-1-79 (Register 78, No. 47).
§82. General.
Note     •     History

For the purpose of assuring compliance with handicapped design requirements, the governmental agency controlling the appropriation from which the project is funded shall submit an application, together with plans and full, complete, and accurate specifications and filing fee, to the State Architect. The Office of the State Architect will process the documents. Written approval shall be obtained prior to award of a construction contract.
NOTE

Authority cited: Section 4453, Government Code. Reference: Section 4454, Government Code.
HISTORY

1. Amendment filed 11-24-78; designated effective 1-1-79 (Register 78, No. 47).
§83.1. Application.
Note     •     History

For each project to be reviewed and certified, a separate application (Form No. OSA 100-46) shall be submitted to the Office of the State Architect. The application shall be accompanied by a complete set of project plans and specifications and an appropriate filing fee (see Section 83.2).
The above documents shall be submitted to either of the following offices:

OFFICE OF THE STATE ARCHITECT
1500 5TH STREET
SACRAMENTO, CALIFORNIA 95814
ATTENTION: ACCESS COMPLIANCE SECTION

OR

OFFICE OF THE STATE ARCHITECT
107 SOUTH BROADWAY, ROOM 3029
LOS ANGELES, CALIFORNIA 90012
ATTENTION: ACCESS COMPLIANCE SECTION
The application shall be considered received when all the required documents and fees have been received by the office and the application number assigned.
The documents submitted for review and used for certification shall be retained by the Office of the State Architect.
NOTE

Authority cited: Section 4454, Government Code. Reference: Section 4454, Government Code.
HISTORY

1. Amendment filed 11-24-78; designated effective 1-1-79 (Register 78, No. 47). For prior history, see Register 76, No. 25.
2. Renumbering and amendment of former Section 83 to Section 83.1 filed 8-30-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 35).
§83.2. Fees.
Note     •     History

The filing fee for projects under applications received on or after September 1, 1984 shall be two-tenths of one percent (.2%) of the first $500,000.00 of the estimated project cost plus one-tenth of one percent (.1%) of the project cost greater than $500,000.00 up to and including $2,000,000.00 plus one-hundredth of one percent (.01%) of the excess of the estimated project cost over $2,000,000.00, except that the minimum fee in any case shall be $200.00.
Example of filing fee to accompany application:
Estimated project cost = $250,000.00

.002 x $250,000.00 = 	$500.00
Estimated project cost = $1,500,000.00

.002 x $ 500,000.00 = 	$1,000.00

.001 x $1,000,000.00 = 	 1,000.00

	$2,000.00
Estimated project cost = $5,000,000.00

.002 x $ 500,000.00 = 	$1,000.00

.001 x $1,500,000.00 = 	1,500.00

.0001 x $3,000,000.00 = 	   300.00

	$2,800.00
The fee schedule in effect at the time of filing shall apply throughout the duration of such application.
If the actual project cost exceeds the estimated cost by more than 5 percent, a further fee for such projects shall become due and shall be equal to the difference between the filing fee paid and the amount computed under the schedule above using the actual cost of the project. The actual project cost shall be determined as directed in Section 83.3 and billed according to Section 83.5.
If the applicant requests the cancellation or withdrawal of the application and return of the plans and specifications and filing fee, this shall be granted unless the review has begun. No portion of the filing fee can be returned after the review has started.
NOTE

Authority cited: Section 4453, Government Code. Reference: Section 4454, Government Code.
HISTORY

1. New section filed 8-30-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 35).
§83.3. Project Cost.
Note     •     History

For purposes of determining the fees, both the estimated and actual project cost shall be the cost for the total outlay contemplated for all work included in the certified plans and specifications. The term “project” shall be defined as all buildings and other structures, together with the development of the site, but in the event the plans and specifications submitted with the application do not provide for the construction of, addition or alteration to a building or structure, then it shall be for the site development proposed in the application.
The actual project cost shall include all items which are normally considered to be contractors operation costs. Addenda or change order items which increase the contract amount shall be included in the final actual project cost computation.
All fees and/or reimbursable charges paid the construction managers shall be included in the actual project cost. When the contract for the work includes items not otherwise subject to the approval of the office and not included in the approved plans and specifications the actual cost shall include this work unless such costs are segregated by separate bid items or by separately priced items of change orders, or by a certified copy of the subcontractor's bid. Such segregation shall not be made by contract price breakdown or estimates.
NOTE

Authority cited: Section 4454, Government Code. Reference: Section 4454, Government Code.
HISTORY

1. New section filed 8-30-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 35).
§83.4. Revision of Plans and Specifications.
Note     •     History

No additional fee is charged upon submission of revisions to the approved plans and specifications, provided that the entire matter is actually one transaction having to do with the same project and the revisions do not require substantial review for accessibility. If the original plans are abandoned and the plans and specifications submitted in lieu thereof are in fact for a new project rather than an identical project, or where a modified set of plans is for an essentially different concept, it is necessary that a new application be filed and a fee paid. This is regardless of the fact that the project may have the same name, be of the same general size, and be situated at the same location as the project for which the original application was made.
NOTE

Authority cited: Section 4454, Government Code. Reference: Section 4454, Government Code.
HISTORY

1. New section filed 8-30-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 35).
§83.5. Billing for Further Fees.
Note     •     History

For public school projects the Office of the State Architect shall determine whether or not further fees are due and shall bill the district for such further fees.
For projects other than public schools, the applicant or owner shall submit to the office a report verifying the actual project cost within 90 days after the completion of the project. This actual project cost shall be the basis for the further fee computation. The accuracy and timely submission of this actual project cost report shall be the responsibility of the owner or his designated agent. The owner shall be billed for further fees upon completion of the project or portion thereof if fee is due.
NOTE

Authority cited: Section 4454, Government Code. Reference: Section 4454, Government Code.
HISTORY

1. New section filed 8-30-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 35).
§83.6. Refunds.
Note     •     History

Claims for refunds of five dollars or less due to errors in cost reporting or fee computation shall be made within one year from the date of payment.
NOTE

Authority cited: Section 4454, Government Code. Reference: Section 4454, Government Code.
HISTORY

1. New section filed 8-30-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 35).
§84. Review of Plans and Specifications.
Note     •     History

The Office of the State Architect will review the submitted documents to insure that the requirements cited in Article 1 are fully met.
NOTE

Authority cited: Section 4453, Government Code. Reference: Section 4454, Government Code.
HISTORY

1. Amendment filed 11-24-78; designated effective 1-1-79 (Register 78, No. 47).
§85. Written Approval.
Note     •     History

(a) Approval Obtained. Upon completion of review, the Office of the State Architect will return to the awarding authority a written approval, if the documents comply with the requirements. This approval of the application constitutes the “written approval” required by Section 4454 of the Government Code. No changes or revisions shall be made following written approval which affect handicapped compliance items unless such changes or revisions are submitted to the Access Compliance Section of the Office of the State Architect for approval.
(b) Approval Denied. If the documents fail to meet the requirements of these regulations, the Office of the State Architect will return to the awarding authority the plans with corrections noted thereon together with instructions for resubmittal of the plans and specifications. The corrected plans are the property of the Office of the State Architect and shall be returned within six months or the application will be void. No valid construction contract may be awarded before written approval is obtained.
(c) Unauthorized Deviations. In the event that there is an unauthorized deviation from the requirements of these regulations with respect to the standards specified, the same shall be rectified by full compliance therewith within ninety (90) days after discovery of such deviation.
(d) Notification. Where the State Architect is the enforcement authority and any project is proposed to be approved and such approval action would deny accessibility either required by Sections 4450 and 4458, inclusive, of the Government Code to handicapped persons, or by reason of an equivalent facilitation exception granted pursuant to Section 4451 of the Government Code, the State Architect shall notify affected handicapped persons or organizations and others who have made written requests to be informed as to such proposals under consideration.
NOTE

Authority cited: Sections 4450 and 4453, Government Code. Reference: Sections 4451 (as interpreted by the California Superior Court, City and County of San Francisco, in California Association of the Physically Handicapped vs. Trustees of the California State University and Colleges, No. 692231, judgment entered 9-16-80) and 4454, Government Code.
HISTORY

1. Amendment filed 11-24-78; designated effective 1-1-79 (Register 78, No. 47).
2. New subsection (d) filed 3-6-81 as an emergency; effective upon filing (Register 81, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-4-81.
3. Order of Repeal of 3-6-81 emergency order filed 3-13-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 11).
4. New subsection (d) filed 7-28-82; effective thirtieth day (Register 82, No. 31).
5. Amendment of subsection (a) filed 7-17-85; effective thirtieth day thereafter (Register 85, No. 29).
§86. General Requirements.
Note     •     History

General requirements and building standards are located in Title 24, Part 6, Division T21, Chapter 1, Subchapter 1, Group 2, Section T21-81 through T21-85.
NOTE

Authority cited for Group 3: Sections 39152 and 81142, Education Code. Reference: Sections 39140-39156 and 81130-81146, Education Code.
HISTORY

1. Repealer of Article 1 (§§101 through 117) and new Article 1 (§§100 through T21-2314, not consecutive) filed 12-24-71; designated effective 2-1-72. Approved by State Building Standards Commission (Register 71, No. 52). For prior history, see Registers 60, No. 8; 66, No. 38; 69, No. 46. Ed. Note--see Article 23. For history of repealers of Articles 2 through 12, see Registers 69, No. 46, and 71, No. 52.
2. Repealer of Group 3 (Sections 100-T21-4713, not consecutive) and new Group 3 (Sections 200-T21-5406, not consecutive) filed 5-31-78; designated effective 7-1-78 (Register 78, No. 22). Approved by State Building Standards Commission 6-23-78. For prior history, see Registers 71, No. 52; 72, No. 40; 74, No. 27; 75, No. 26; and 76, No. 42.
3. Repealer of Group 3 (Articles 1-16, Sections 200--T21-5406, not consecutive) filed 9-8-83; effective 9-15-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 40).
Subchapter 2.5. Voluntary Certified Access Specialist Program
Article 1. General Provisions
§111. Purpose of the Chapter.
Note     •     History

These regulations are adopted by the Division of the State Architect to implement and make specific the voluntary Certified Access Specialist Program commencing with Section 4459.5 of the Government Code.
Participation in this program is voluntary and is designed to ensure that the individuals participating in this certification program are knowledgeable of state and federal accessibility laws and regulations and possess the expertise to promote access to facilities for persons with disabilities. 
NOTE

Authority cited: Section 4459.5, Government Code. Reference: Section 4459.5, Government Code.
HISTORY

1. New subchapter 2.5 (articles 1-5, sections 111-153), article 1 (sections 111-114) and section filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
§112. Authority.
Note     •     History

The State Architect is responsible for determining the criteria for eligibility and certification of individuals participating in this voluntary Certified Access Specialist Program pursuant to the provisions of Chapter 7, Division 5, Title 1, Government Code, Section 4459.5.
Certification shall only be granted by the voluntary Certified Access Specialist Program, which operates within the Division of the State Architect.
NOTE

Authority cited: Section 4459.5, Government Code. Reference: Section 4459.5, Government Code.
HISTORY

1. New section filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
§113. CASp Scope of Work.
Note     •     History

Services rendered by a CASp, upon authorization by a facility owner and/or authorized requesting party, may include the following:
(a) Review of facility plans and specifications for compliance with state and federal accessibility laws, codes and regulations. 
(b) Investigate a facility for compliance with state and federal accessibility codes and regulations.
(c) Conduct accessibility research, prepare accessibility reports, and/or conduct accessibility inspections, as authorized. 
NOTE

Authority cited: Section 4459.5, Government Code. Reference: Section 4459.5, Government Code.
HISTORY

1. New section filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
§114. Work Limited to Design Professionals.
Note     •     History

Individual design professionals licensed and/or registered by the State of California as an architect, landscape architect, civil engineer, and/or structural engineer may provide professional design services permitted by their applicable license or registration. Their services may be inclusive of Section 113. CASp Scope of work. However CASp certification requires completing the application process and obtaining a passing score on the CASp examination, and after payment of all required fees. 
NOTE

Authority cited: Section 4459.5, Government Code. Reference: Section 4459.8(a), Government Code.
HISTORY

1. New section filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
Article 2. Definitions
§121. Definitions.
Note     •     History

As used in this Chapter, the term:
“Access Requirement” means a provision for disability access in federal or state law, regulation, building code or government standard, applicable to the design, construction or inspection of facilities.
“Certified Access Specialist (CASp)” means an individual currently holding a certificate of Certified Access Specialist.
“Facility” means all or any portion of buildings, site improvements, roads, walks, passageways, or parking lots.
“GED” means General Equivalency Diploma.
“Program” means the voluntary Certified Access Specialist Program.
NOTE

Authority cited: Section 4459.5, Government Code. Reference: Sections 4459.5 and 4459.7(c), Government Code.
HISTORY

1. New article 2 (section 121) and section filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
Article 3. Certification Process
§131. Candidate Eligibility Application.
Note     •     History

In order to apply to be a CASp, candidates must submit a completed Candidate Eligibility Application form, Form DSA-600, 1/05/08 to establish eligibility for the certification examination. 
NOTE

Authority cited: Section 480 and 481, Business and Professions Code; and Section 4459.5, Government Code. Reference: Sections 480, 481 and 493, Business and Professions Code.
HISTORY

1. New article 3 (sections 131-136) and section filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
§132. Criminal Convictions.
Note     •     History

(a) The State Architect or Designee may deny acceptance of an applicant into the Program because of a criminal conviction as set forth in Section 151(a)(2).
(b) The State Architect or Designee shall require the applicant or certificate holder to provide documents concerning criminal convictions as set forth in Section 151(a)(2) including, but not limited to, certified court documents, certified court orders or sentencing documents. Failure to provide those documents shall result in application denial, certificate suspension, or denial of certification renewal. 
NOTE

Authority cited: Sections 480 and 481, Business and Professions Code; and Section 4459.5, Government Code. Reference: Sections 480, 481, 493, 7066, 7069, 7073 and 7153.1, Business and Professions Code.
HISTORY

1. New section filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
§133. Education and Experience.
Note     •     History

Minimum candidate education and experience eligibility for examination acceptance may be satisfied by: 
EITHER:
(A)1 Education: Thirty semester units of college coursework with major work in Architecture, Architectural Technology, Building Science, City and Regional Planning, Civil Engineering, Construction Management, Environmental Design, Industrial Design, Interior Architecture/Design, Landscape Architecture, Urban and Regional Design; and
(A)2 Experience: Two years of employment 
(a) by a code enforcement agency (state, city, and/or county building department); as a plan reviewer, building inspector, or consulting entity; or
(b) by a licensed architect, licensed landscape architect, interior designer, registered civil engineer and/or registered structural engineer and with responsibility for planning, design, and/or field inspection; or
(c) as a licensed general contractor (Class A or B); or 
(d) by a licensed general contractor as a superintendent with project management oversight.
OR:
(B)1 Education: High school diploma or GED; and
(B)2 Experience: Four years of employment: 
(a) by a code enforcement agency (state, city, and/or county building department); as a plan reviewer, building inspector, or consulting entity; or
(b) by a licensed architect, licensed landscape architect, interior designer, registered civil engineer and/or registered structural engineer and with responsibility for planning, design, and/or field inspection; or
(c) as a licensed general contractor (Class A or B); or
(d) by a licensed general contractor as a superintendent with project management oversight.
OR: 
(C) Three years of employment in a specialized area of disability access rights, conducting assessments of facilities to determine adequacy related to the specific needs of the disability community. 
OR:
(D) Professional license, or registration, issued by the State of California as an architect, landscape architect, civil engineer, and/or structural engineer.
NOTE

Authority cited: Section 4459.5, Government Code. Reference: Section 4459.5, Government Code.
HISTORY

1. New section filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
§134. Candidate Examination.
Note     •     History

An examination will be administered to assess each candidate's knowledge of access laws, codes and regulations. The examination may cover a variety of areas including:
(a) Public Services (Title II), Public Accommodations and Services Operated by Private Entities (Title III), and Miscellaneous Provisions (Title V) of the Americans with Disabilities Act of 1990 (42 USC Chapter 126), and promulgating regulations, the Americans with Disabilities Act Accessibility Guidelines (ADAAG). 
(b) Regulations for accessibility throughout all parts of the current edition of the C.C.R., Title 24, California Building Standards Code.
(c) California Laws for accessibility in the Government Code, Health and Safety Code, and Civil Code. 
(d) Fair Housing Amendments Act of 1988 (42 USC Sections 3601-3620) and promulgated technical guidance in the Fair Housing Accessibility Guidelines.
(e) Architectural Barriers Act of 1968, as amended (42 USC Section 4151 et seq) and promulgating regulations, the Uniform Federal Accessibility Standards (UFAS).
(f) American National Standard for Accessible and Usable Buildings and Facilities (ANSI A117.1).
(g) California Department of Housing and Community Development (HCD) A Voluntary Model Universal Design Local Ordinance (AB 2787) (Chapter 726 of Statutes of 2002, adopted Section 17959 of the Health & Safety Code) most recent edition.
(h) HCD New Home Universal Design Checklist (Section 17959.6 of the Health and Safety Code) the most recent edition.
NOTE

Authority cited: Section 4459.5, Government Code. Reference: Section 4459.5, Government Code.
HISTORY

1. New section filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
§135. Certification Qualification.
Note     •     History

A candidate becomes eligible for certification as a CASp after attaining a passing score on the Candidate Examination, and after payment of the certification fee. The passing standard for the examination shall be established in accordance with professional standards such as the Standards for Educational and Psychological Testing (AERA/APA/NCMA, 1999), the Principles for the Validation and Use of Personnel Selection Procedures, the Federal Uniform Guidelines on Employee Selection Procedures (1978), and recommendations described in the Standards for the Accreditation of Certification Programs (NOCA, 2006) by the National Commission for Certifying Agencies (NCCA).
Upon successful completion of the Candidate Examination, an individual, after payment of certification fee, will receive an official CASp Certificate, which evidences the successful completion of the examination and certification as a CASp under the voluntary Certified Access Specialist Program. This certification will be valid for a three year period.
NOTE

Authority cited: Section 4459.5, Government Code. Reference: Section 4459.5, Government Code.
HISTORY

1. New section filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
§136. Certification Renewal.
Note     •     History

A CASp becomes eligible for renewal of certification upon payment of a recertification fee, together with verification of having completed, during each three year period of certification, a minimum of 15 Continuing Education Units (CEU's), of classes in Federal and State regulatory updates, and Universal Design. Classes should address changes to the laws and regulations identified in Section 134. Each CEU is equivalent to one hour of instructional time. When a certificate holder meets all the requirements for recertification, the certificate holder will be certified for an additional three year period. 
NOTE

Authority cited: Section 4459.5, Government Code. Reference: Section 4459.8(a), Government Code.
HISTORY

1. New section filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
Article 4. Fees
§141. Fees.
Note     •     History

In order to participate in the voluntary Certified Access Specialist Program, the following fees will be required:
(a) Initial certification. The total in fees for initial certification is $1,600.00
1. $500.00 Application Fee, for processing Candidate Application; non-refundable. This fee will cover the administrative cost of application processing and eligibility evaluation. It is required of all new candidates, and is due at the time the application is submitted.
2. $800.00 Candidate Examination Fee, to take the Certification Examination; non-refundable. This fee will cover the cost of examination process administration. Fee is due at registration.
3. $300.00 Certification Fee, for program administration over the initial three-year term of certification; non-refundable. Fee is due when candidate is notified of having passed the examination.
(b) Certification renewal. The total in fees for certification renewal is $500.00.
1. $200.00 Verification of CEU's prior to Certification Renewal. This fee is non-refundable and will cover administration costs for reassessment of qualifications related to renewal of certification, prior to expiration of the current term of certification. Fee is due with the application for certification renewal prior to expiration of current certification.
2. $300.00 Certification Renewal Fee, for program administration over an additional three-year term of certification; non-refundable. Fee is due upon notification of approval of renewal.
NOTE

Authority cited: Section 4459.8(b)-(c), Government Code. Reference: Section 4459.8(b)-(c), Government Code.
HISTORY

1. New article 4 (section 141) and section filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
Article 5. Enforcement
§151. Grounds for Certification Suspension, or Denial of Certification Renewal.
Note     •     History

(a) The State Architect or Designee may suspend certification or deny certification renewal when any of the following conditions exist:
1. The requirements of this subchapter have not been satisfied.
2. The certificate holder or recertification candidate has been convicted of a crime considered to be substantially related to the qualifications, functions or duties of a person holding a certificate to perform the functions authorized by the certificate in a manner consistent with the public health, safety, or welfare. Such crimes shall include but not be limited to the following:
(a) A conviction of child abuse. 
(b) A conviction as a sex offender.
(c) The conviction of any crime involving narcotics, dangerous drugs, or dangerous devices, as defined in Section 4022 of the Business and Professions Code.
(d) A conviction for assault and/or battery or lewd conduct. 
3. The State Architect has received a factual complaint, or other relevant information regarding the work of a certified access specialist. The State Architect, upon consideration of any factual complaints regarding the work of a certified access specialist or of other relevant information, may suspend certification or deny renewal of certification. The State Architect will be evaluating the work of the Certified Access Specialist based upon compliance with the existing codes, regulations and statutes.
(b) The notice of suspension of a certificate or denial of a certification renewal shall be in writing and shall specify the grounds for the suspension or denial of the certification.
NOTE

Authority cited: Section 4459.8, Government Code. Reference: Sections 4459.5-4459.8, Government Code.
HISTORY

1. New article 5 (sections 151-153) and section filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
§152. Criteria for Rehabilitation.
Note     •     History

When considering initial certification, suspension of certification, or denial of certification renewal on the grounds of Article 5, Section 151(a) of an applicant or certificate holder convicted of a crime, the State Architect or Designee in evaluating the rehabilitation of such person and his/her eligibility for examination or certification may consider the following criteria:
(a) Nature and severity of the act(s) or offense(s).
(b) The time that has elapsed since commission of the act(s) of offense(s).
(c) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
NOTE

Authority cited: Sections 481, Business and Professions Code; and Section 4459.8, Government Code. Reference: Sections 480 and 481, Business and Professions Code; and Sections 4459.5-4459.8, Government Code.
HISTORY

1. New section filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
§153. Filing an Appeal.
Note     •     History

(a) The State Architect or his/her designee has the discretion to immediately order that a certification be temporarily invalidated or to seek additional information, pending a final determination by the State Architect or his/her designee pursuant to Section 151(a). The decision to temporarily invalidate a certification will be made on a case by case basis, as necessary to ensure public health, safety and welfare. 
(b) State Architect or his/her designee shall provide the CASp with written notice that their certification has been temporarily invalidated as of a specific date or is subject to suspension or denial pursuant to Section 151(a), pending a final determination. The written notice shall include the reasons for the action being taken or investigated, as applicable, and provide a summary of the facts and allegations. Service of the written notice of the proposed action shall be confirmed by certified mail.
(c) Written notice of the final determination by the State Architect or his/her designee shall be confirmed by certified mail within 60 days from the initial written notification. The time to render his/her determination may be extended an additional 30 days, as necessary to consider any additional supporting documentation provided to the State Architect, voluntary Certified Access Specialist Program, relevant to the issue being investigated.
(d) An appeal of an action by the State Architect or his/her designee to suspend certification or to deny renewal of a certification must be filed in writing with the Division of the State Architect, voluntary Certified Access Specialist Program within 60 days of the date posted on the certified service of the written notice of the final determination from the State Architect. Unless a hearing is specifically requested as provided in subsection (f) below, the appeal will be based on an analysis of the materials available.
(e) Within 60 days from the date of receipt of the appeal, the State Architect or his/her designee shall render his/her determination on the appeal. The time to render the determination may be extended an additional 30 days, as necessary to conclude any research or investigation required, at the discretion of the State Architect or his/her designee.
(f) Should an individual submit a written request for a hearing, the State Architect may designate an appropriate hearing officer to conduct the hearing. Written notice of the date and time of the hearing and the reasons for the action being taken or investigated, as applicable, shall be provided to the applicant or CASp. The hearing shall be limited in scope to the actions stated in the written notice. The applicant may bring a representative of his/her choice.
(g) The applicant or CASp shall be notified in writing of the determination made by State Architect or his/her designee regarding the appeal. Service of the written notice of the decision shall be confirmed by certified mail.
(h) Any appeal of a decision rendered by the State Architect or his/her designee regarding certification may be appealed to the Superior Court.
NOTE

Authority cited: Section 4459.8, Government Code. Reference: Sections 4459.5-4459.8, Government Code.
HISTORY

1. New section filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
Subchapter 4. Selection Process for Private Architectural and Engineering Firms
Article 1. General Provisions
§1301. Definitions.
Note     •     History

As used in these regulations:
(a) “Firm” means any individual, firm, partnership, corporation, association, joint venture or other legal entity permitted by law to practice the professions of architecture, engineering or land surveying.
(b) “Director” is the Director of General Services.
(c) “Department” is the Department of General Services.
(d) “Architectural engineering and land surveying services” are those services to be procured outside State of California Civil Service procedures and of a character necessarily rendered by an architect, engineer or land surveyor, but may include ancillary services logically or justifiably performed in connection therewith. Such services need be procured pursuant to these regulations only if they are of the type which would lead to, or result in, instruments of service for the construction of a “project” as that term is used in the State Contract Act (commencing at Section 14250, Government Code). Services performed by engineers in reviewing, for compliance with code requirements, instruments of service prepared by others need not be procured pursuant to these regulations.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4525 and 4526, Government Code.
HISTORY

1. Amendment filed 7-10-75 as an emergency; effective upon filing. Certificate of Compliance included (Register 75, No. 28).
2. Order of Repeal of subsection (b) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
3. Renumbering and amendment of former Section 1302 to new Section 1301 filed 7-8-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 28). For history of former Section 1301, see Registers 85, No. 26; 75, No. 28; 75, No. 11 and 71, No. 25.
Article 2. Procedures for Procuring Services
§1310. Publication of Announcement.
Note     •     History

(a) When a project requiring architectural, engineering or land surveying services of a value of over $25,000 is identified, an announcement shall be made by the Director through publication of professional societies as follows:
(1) If the services will be predominantly architectural, the California Council, American Institute of Architects.
(2) If the services will be predominantly engineering, the Consulting Engineers Association of California and the California Society of Professional Engineers.
(3) If the services will be predominantly landscaping, the American Society of Landscape Architects.
(4) If the services will be predominantly land surveying, the Consulting Engineers Association of California.
The publication of each of the above societies has statewide distribution.
(b) For projects where such services in each instance shall not exceed $25,000, the Director may make annual announcements, published as above, which identify the general needs of the State.
(c) The announcement shall contain the following minimal information:
The nature of the work, the criteria upon which the award shall be made, and the time within which statements of interest, qualification and performance data will be received.
NOTE

Authority cited: Section 4526, Government Code. Reference: Section 4526 and 4527, Government Code.
HISTORY

1. Amendment filed 7-10-75 as an emergency; effective upon filing. Certificate of Compliance included (Register 75, No. 28).
2. Amendment filed 7-8-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 28).
§1311. Establishment of Criteria.
Note     •     History

The Director shall establish criteria which will comprise the basis for selection for each project which shall include such factors as professional excellence, demonstrated competence, specialized experience of the firm, education and experience of key personnel, staff capability, workload, ability to meet schedules, principals to be assigned, nature and quality of completed work, reliability and continuity of the firm, location, professional awards and other considerations deemed relevant. Such factors shall be weighted by the Director according to the nature of the project, the needs of the State and complexity and special requirements of the specific project.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4527, Government Code.
HISTORY

1. New NOTE filed 7-8-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 28).
§1312. Selection of Architects, Engineers, or Land Surveyors.
Note     •     History

After expiration of the period stated in the publications, the Director shall evaluate statements of qualifications and performance data on file in the Department. The Director shall conduct discussions with no less than three firms regarding anticipated concepts and the relative utility of alternative methods of approach for furnishing the required service. From the firms with which discussions are held, the Director shall select no less than three, in order of preference, based upon the established criteria, who are deemed to be the most highly qualified to provide the services required.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4527, Government Code.
HISTORY

1. Amendment filed 7-8-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 28).
§1313. Estimate of Value of Services.
Note     •     History

Before any discussion with any firm concerning fees, the Director shall cause an estimate of the value of such services to be prepared. Such estimate shall be, and remain, confidential until award of contract or abandonment of any further procedure for the services to which it relates. No award shall be made which would exceed the estimate by 10%
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4528, Government Code.
HISTORY

1. New NOTE filed 7-8-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 28).
§1314. Abandonment of Estimate.
Note     •     History

At any time the Director determines the State's estimate to be unrealistic due to rising costs, special conditions, or for other relevant considerations, the Director may require that the estimate be reevaluated.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4528, Government Code.
HISTORY

1. Amendment filed 7-8-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 28).
§1315. Negotiation.
Note     •     History

The Director shall attempt to negotiate a contract with the best qualified firm. Should the Director be unable to negotiate a satisfactory contract with the firm considered to be the most qualified at fair and reasonable compensation, negotiations with that firm shall be terminated. The Director shall then undertake negotiations with the second most qualified firm. Failing accord, negotiations shall be terminated. The Director shall then undertake negotiations with the third most qualified firm. Failing accord, negotiations shall be terminated. Should the Director be unable to negotiate a satisfactory contract with any of the selected firms, the Director may select additional firms in the manner prescribed and continue the negotiation procedure.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4528, Government Code.
HISTORY

1. Amendment filed 7-8-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 28).
§1330. Emergency.
Note     •     History

Where the Director makes a finding that the public health, safety, or welfare would be adversely affected in a significant way because insufficient time exists within which to implement the foregoing procedure to secure necessary services, the Director may negotiate a contract for such services without the necessity of following such procedure, or any part thereof.
NOTE

Authority cited: Section 4526, Government Code. Reference: Section 4526, Government Code.
HISTORY

1. Amendment filed 7-8-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 28).
§1341. Amendments.
Note     •     History

In instances where the State effects a necessary change in the project during the course of performance of the contract, the firm's compensation may be adjusted by mutual written agreement in a reasonable amount where the amount of work to be performed by the firm is changed from that which existed previously in the contemplation of the parties.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4528, Government Code.
HISTORY

1. New NOTE filed 7-8-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 28).
§1351. Contracting in Phases.
Note     •     History

Should the Director determine that it is necessary or desirable to have a given project performed in phases, it will not be necessary to negotiate the total contract price in the initial instance, provided that the Director shall have determined that the firm is best qualified to perform the whole project at reasonable cost, and the contract contains provisions that the State, at its option, may utilize the firm for other phases and that the firm will accept a fair and reasonable price for subsequent phases to be later negotiated, mutually agreed upon and reflected in a subsequent written instrument. The procedure with regard to estimates and negotiation shall otherwise be applicable.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4528, Government Code.
HISTORY

1. Amendment filed 7-10-75 as an emergency; effective upon filing. Certificate of Compliance included (Register 75, No. 28).
2. New NOTE filed 7-8-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 28).
§1361. Small Business Participants.
Note     •     History

The Director shall endeavor to provide to all small business firms who have indicated an interest in receiving such, a copy of each announcement for projects for which the Director concludes that small business firms could be especially qualified. The Director shall assist firms in attempting to qualify for small business status. A failure of the Director to send a copy of an announcement to any firm shall not operate to invalidate any contract.
NOTE

Authority cited: Section 4526, Government Code. Reference: Section 4526, Government Code.
HISTORY

1. Amendment filed 7-8-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 28).
Subchapter 5. Earthquake Sensitive Gas Shutoff Valves--Certification
§1371. Scope.
Note     •     History

The provisions of Sections 1371 through 1385 as appropriate, shall apply to every manufacturer of earthquake sensitive gas shutoff valves intended for installation in buildings open to the public; to every testing laboratory desiring to be verified for the testing of earthquake sensitive gas shutoff valves; and to every inspection service agency desiring to be verified to inspect a manufactured production line certified earthquake sensitive gas shutoff valve. Tests and inspections of such valves shall be performed in accordance with the provisions of S.B. Standard No. 12-16-1 as shown in Part 12, Title 24, CCR.
NOTE

Authority cited: Sections 19180-19183, Health and Safety Code. Reference: Section 19183, Health and Safety Code.
HISTORY

1. New Group 5 (Sections 1371-1385) filed 11-8-82; designated effective 11-15-83 (Register 82, No. 46).
2. Change without regulatory effect amending section filed 6-21-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 25).
§1372. Definitions.
Note     •     History

(a) CERTIFIED means a verification issued by the State Architect that a specified earthquake sensitive gas shutoff valve has been tested and complies with S.B. Standard No. 12-16-1.
(b) S.B. STANDARD means a State Building Standard developed and adopted specifically for inclusion in Part 12, Title 24, CCR.
(c) VALVE means an earthquake sensitive gas shutoff device intended to prevent gas flow in a gas piping line following a specified degree of seismic disturbance.
NOTE

Authority cited: Sections 19180-19183, Health and Safety Code. Reference: Section 19183, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending section filed 6-21-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 25).
§1373. Application for Certification.
Note     •     History

Any manufacturer desiring certification of a valve as defined herein shall submit a completed application to the State Architect on forms provided by the Division of the State Architect. Such forms shall be accompanied by material and data specified in Section 1375 and by the fee specified in Section 1383.
NOTE

Authority cited: Sections 19180-19183, Health and Safety Code. Reference: Section 19183, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending section filed 6-21-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 25).
§1374. Certification Limitation.
Note

Certification shall be limited to the valve identified on the application form and shall not extend to any other product. Any change in a certified valve or any change in manufacturing procedures shall render such certification null and void, unless the State Architect has granted a modification to the certification. Such modification may be granted without re-application if the State Architect finds that the modification will not affect the operation or character of the valve.
NOTE

Authority cited: Sections 19180-19183, Health and Safety Code. Reference: Section 19183, Health and Safety Code.
§1375. Required Submissions for Certification.
Note     •     History

(a) Test Reports and Technical Data. Every application for certification shall be accompanied by a test report issued by a verified testing laboratory. Additional technical data shall be submitted with the application when required by the State Architect. 
(b) Sample Specimens. The State Architect may require that sample specimens, taken from regular production be submitted to the Division of the State Architect for evaluation. The State Architect may require the erection or installation of a sample specimen for evaluation purposes.
The applicant shall assume all responsibility relating to the erection or installation of such specimen, including but not limited to the cost, liability and removal thereof. The applicant shall arrange for the removal of any specimen submitted for evaluation within 60 days of notification by the State Architect. The State Architect may dispose of any submitted specimen following the 60 day notice without further notification.
NOTE

Authority cited: Sections 19180-19183, Health and Safety Code. Reference: Section 19183, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsection (b) filed 6-21-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 25).
§1376. Test Specimens.
Note

Specimens submitted to laboratories for testing shall be representative samples of the manufactured product.
NOTE

Authority cited: Sections 19180-19183, Health and Safety Code. Reference: Section 19183, Health and Safety Code.
§1377. Publication of Submitted Data.
Note

The State Architect reserves the right to publish all or any part of any submitted test report or technical data relating to a certified valve.
NOTE

Authority cited: Sections 19180-19183, Health and Safety Code. Reference: Section 19183, Health and Safety Code.
§1378. Labels.
Note     •     History

Every valve which is certified by the State Architect shall bear a label conforming to the provisions of this section. Labels shall be placed in a conspicuous location on the exterior of the valve and on the exterior of the box or container in which the valve is sold or distributed. Valve labels shall be attached by the manufacturer during production or fabrication. Container labels shall be attached by the manufacturer or the manufacturers authorized representative during production of the container. For other specific marking requirements see S.B. Standard No. 12-16-1.
(a) Size. Labels shall be of sufficient size to render all data specified thereon clear and legible.
(b) Color. Labels shall be of a contrasting color to the material or equipment to which it is attached.
(c) Format.
(1) Labels shall be produced or obtained by the manufacturer and such labels shall be of the following configuration.

View Graphic
(A) Insert in the top space the name and address of the manufacturer.
(B) Insert in the bottom space the certification number issued by the State Architect and all other data such as Manufacturers Model and Size Numbers, as may be specified by the State Architect.
(2) In lieu of the label specified in Section 1378(c)(1) above, labels intended for use on valves may be engraved, embossed, etched or adhesively applied and may be of the following configuration.

------------
CA - OSA
XX XX
------------
(A) The top line signifies certification by the California Division of the State Architect.
(B) The bottom line shall contain two sets of numbers as assigned by the State Architect. The first set shall consist of two numbers identifying the manufacturer as recorded within the files of the State Architect. The second set shall consist of two numbers identifying a particular product as recorded within the manufacturer's file as recorded in the Division of the State Architect.
(d) Material. Labels may be of any durable material and shall be attached to the certified valve in such a manner that removal thereof will cause destruction of the label.
(e) Approval. Prior to the use of any label, the manufacturer shall submit to the State Architect a sample of each label intended to be used with any certified valve. Labels shall not be used until written approval therefore has been received from the State Architect.
(f) Illegal Use. No person shall attach any label conforming to the provisions of this section to any product which is not certified by the State Architect.
No person shall knowingly or intentionally use, represent or present any label as an approved label when such label does not fully conform to the provisions of this section but which could, through the exercise of reasonable judgment or observation, be assumed to be a label approved by the State Architect.
(g) Inspection Service. Every manufacturer using the label described in this section shall provide for the inspection service specified in Section 1382, and shall provide the inspection service agency with the date of production 2 weeks in advance of such dates. 
NOTE

Authority cited: Sections 19180-19183, Health and Safety Code. Reference: Section 19183, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending first paragraph and subsections (c)(2)(A) and (c)(2)(B) filed 6-21-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 25).
§1379. Issued Certifications.
Note     •     History

Upon submission of a completed application accompanied by the required test report and other technical data as specified in Section 1375, and the required fee as specified in Section 1383, the State Architect shall grant certification to those valves which have successfully complied with the provisions of S.B. Standard No. 12-16-1 and have been shown to comply with the intent and purpose of these regulations. No certification shall be issued for any valve which does not conform to all of the appropriate provisions of these regulations. Valve certifications may include variations in size and physical dimensions as may be allowed by the State Architect.
NOTE

Authority cited: Sections 19180-19183, Health and Safety Code. Reference: Section 19183, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending section filed 6-21-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 25).
§1380. Qualified Testing Laboratories.
Note

(a) Qualifications. Qualified testing laboratories shall be those which are:
(1) Equipped to perform tests in accordance with the required test procedures, and
(2) Staffed with personnel who are qualified for testing. Such personnel shall perform or supervise the performance of all testing and shall so certify on the test report. Evidence of such qualifications include persons who are registered civil, structural, mechanical or quality control engineers, and
(3) Designated as being qualified by the State Architect. It shall be incumbent upon the laboratory desiring verification as a qualified testing laboratory to initiate a request and present to the State Architect evidence of the above qualifications which in the judgement of the State Architect are sufficient to grant verification. The applicant shall submit sample copies of typical test reports to demonstrate completeness and compliance with requirements of the test standard.
(b) Discontinued Verification. Any testing laboratory which is or has been verified as a qualified testing laboratory either prior to or after the effective date of this section may continue as a verified testing laboratory until verification is rescinded by the State Architect for cause.
(c) Affidavit. The applicant requesting verification pursuant to this section shall submit a notarized affidavit to the effect that: 
(1) The applicant testing laboratory has no financial interest in any company manufacturing or distributing any portion of the products to be tested or inspected.
(2) The testing laboratory is not owned, operated or controlled by any company manufacturing or distributing any portion of the products to be tested or inspected.
(d) Inspections. Test facilities shall be subject to periodic unannounced inspections by the State Architect to verify the adequacy of existing test equipment, test methods and personnel. If the inspection reveals noncompliance, the State Architect may rescind acceptance and remove the laboratory from the verified list of qualified laboratories.
(e) Change of Status. Verified testing laboratories shall notify the State Architect at the Headquarters Office located in Sacramento, California, of any of the following occurrences within 30 days of such events. Notification shall be in writing.
(1) Any change in name or address.
(2) Any change in major test equipment or procedures.
(3) Changes in principal officers or in supervisory and responsible personnel.
NOTE

Authority cited: Sections 19180-19183, Health and Safety Code. Reference: Section 19183, Health and Safety Code.
§1381. Testing Equipment.
Note     •     History

(a) General. Testing equipment used or intended to be used to determine the qualities of a valve intended for certification may be inspected and evaluated by the State Architect to determine conformance with the required conditions for such testing equipment as set forth in S.B. Standards No. 12-16-1.
(b) Maintenance. All testing equipment shall be maintained in good repair devoid of any defect which would affect the test performance of any valve intended for certification.
(c) Cost of Inspection and Evaluation. Any testing laboratory which desires verification pursuant to Section 1380 shall be liable for the necessary advance arrangements and for all costs incurred by the Division of the State Architect in conducting any inspection and evaluation rendered under Section 1381(a) above.
NOTE

Authority cited: Sections 19180-19183, Health and Safety Code. Reference: Section 19183, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsections (a) and (c) filed 6-21-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 25).
§1382. Qualified Inspection Service Agency.
Note

(a) General. A qualified inspection service agency is any person, firm, corporation, or association which periodically and on a continuous basis, conducts inspections of certified valves to determine if the production line fabrication and workmanship is in accordance with the conditions of certification.
(b) Qualifications. Qualifications for verification as a qualified inspection service agency shall include any person, firm, corporation, or association which conforms to all of the following: 
(1) Submits a request to the State Architect for verification as a qualified inspection service agency.
(2) Employs personnel who are qualified for inspection service. Such personnel shall perform or supervise the performance of all inspections and shall so certify on the inspection report required under Section 1382(f). Evidence of such qualifications may include persons who are registered civil, structural, mechanical, or quality control engineers.
(3) Designated as being qualified by the State Architect. It shall be incumbent upon persons, firms, corporations, or associations desiring verification as an inspection service agency to initiate a request and present to the State Architect evidence of the above qualifications which in the judgement of the State Architect is sufficient to grant verification. The applicant shall submit sample copies of typical inspection reports to demonstrate completeness and ability to reflect compliance with requirements of the test standard.
(c) Discontinued Verification. Any inspection service agency which is or has been verified as a qualified inspection service agency either prior to or after the effective date of this section may continue as a verified inspection service agency until verification is rescinded by the State Architect for cause.
(d) Affidavit. The applicant requesting verification pursuant to this section shall submit a notarized affidavit to the effect that: 
(1) The applicant inspection service agency has no financial interest in any company manufacturing or distributing any portion of the products to be inspected.
(2) The inspection service agency is not owned, operated or controlled by any company manufacturing or distributing any portion of the products to be inspected.
(e) Frequency of Service. Inspections by a qualified inspection service agency shall be made not less than four times each calendar year of the production run of every valve model in accordance with the provisions of Section 1382(a). Such inspections shall be on an unannounced basis.

Exception: When written approval is granted by the State Architect, the inspection frequency rate may be amended in specific cases to correspond more appropriately with production schedules.
(f) Reports. Reports shall be made by the inspection service agency of every inspection made, the original of which shall be submitted to the manufacturer and a copy thereof submitted to the State Architect within 30 days of inspection.
(g) Change of Status. Verified inspection service agencies shall notify the State Architect at the Headquarters Office located in Sacramento, California, of any of the following occurrences within 30 days of such events. Notification shall be in writing.
(1) Any change in name or address.
(2) Any change in inspection forms or procedures.
(3) Changes in principal officers or in supervisory and responsible personnel.
NOTE

Authority cited: Sections 19180-19183, Health and Safety Code. Reference: Section 19183, Health and Safety Code.
§1383. Fees.
Note

Each application for certification shall be accompanied by a fee in accordance with the provisions of this section. The fee for evaluating every different valve, type, style, sizes or configuration of valve shall be $500 or less as established by the State Architect. Whether or not the valve is found to be in conformance with the provisions of these regulations, the evaluation fee shall be retained by the State Architect to offset the costs incurred through evaluation of the test report, technical data, and issuance of certification or notice of rejection. Reevaluation of any application is considered as a new application.
NOTE

Authority cited: Sections 19180-19183, Health and Safety Code. Reference: Section 19183, Health and Safety Code.
§1384. Misrepresentation.
Note

No person, firm, corporation or association shall knowingly or intentionally represent any valve as being certified by the State Architect when such valve is not so certified.
NOTE

Authority cited: Sections 19180-19183, Health and Safety Code. Reference: Section 19183, Health and Safety Code.
§1385. Request for Reconsideration.
Note

Any person, manufacturer, testing laboratory or inspection service agency affected by any decision made by the State Architect relative to these regulations concerning certification, testing or inspection of valves as defined herein, may request reconsideration of such decision.
Requests submitted to the State Architect pursuant to this section, shall be in writing and shall set forth the reasons for reconsideration.
The State Architect shall respond in writing to every request for reconsideration within 60 days of receipt.
NOTE

Authority cited: Sections 19180-19183, Health and Safety Code. Reference: Section 19183, Health and Safety Code.
Subchapter 6. Excess Flow Automatic Gas Shut Off Valves -- Certification
§1386. Scope.
Note     •     History

The provisions of Sections 1386 through 1400 shall apply to all residential excess flow automatic gas shut off valves or systems offered for sale or proposed for installation in California: to every testing laboratory desiring to be verified for the testing of these valves or systems; to every inspection service agency desiring to be verified to inspect a  manufacturing production line for these valves or systems. Tests and inspections shall be performed in accordance with the provisions of Chapter 12-16-2 (Standards available from CSA International, 8501 East Pleasant Valley Road, Cleveland, OH 44131) for excess gas flow actuated shutoff valves or systems in Part 12, Title 24, California Code of Regulations.
NOTE

Authority cited: Sections 19200-19204, Health and Safety Code: Reference: Sections 19201.5 and 19202, Health and Safety Code.
HISTORY

1. New subchapter 6 (sections 1386-1400) and section filed 5-16-2001; operative 6-15-2001 (Register 2001, No. 20).
§1387. Definitions.
Note     •     History

(a) CERTIFIED means a verification issued by the State Architect that a specified excess flow automatic gas shutoff valve or system subject to these regulations has been tested and determined to be in compliance with the requirements of Chapter 12-16-2, Title 24, CCR.
(b) EXCESS FLOW ACTUATED GAS SHUTOFF VALVE OR SYSTEM means a device or system designed to automatically shutoff gas flow in a piping system in the event of significant overpressure surge or rupture of the gas supply line downstream of the device or system. 
(c) GAS means natural gas, manufactured gas, propane, butane and any combination of these gases. 
(d) TESTED means verification that the devices, equipment, materials and systems have been tested according to Chapter 12-16-2, Title 24, CCR, and have been found acceptable by the State Architect.
NOTE

Authority cited: Sections 19200-19204, Health and Safety Code. Reference: Sections 19201.5 and 19202, Health and Safety Code.
HISTORY

1. New section filed 5-16-2001; operative 6-15-2001 (Register 2001, No. 20).
§1388. Application for Certification.
Note     •     History

Any manufacturer desiring certification of a valve as defined herein shall submit a completed application to the State Architect on form DSA 190 (dated 12-27-00) provided by the Division of the State Architect. Such form shall be accompanied by material and data specified in Section 1390 and by the fee specified in Section 1398.
NOTE

Authority cited: Sections 19200-19204, Health and Safety Code. Reference: Sections 19201.5 and 19202, Health and Safety Code.
HISTORY

1. New section filed 5-16-2001; operative 6-15-2001 (Register 2001, No. 20).
§1389. Certification Limitation.
Note     •     History

Certification shall be limited to the valve identified on the application form and shall not extend to any other product. Any change in a certified valve or any chance in manufacturing procedures shall render such certification null and void, unless the State Architect has granted a modification to the certification. Such modification may be granted without re-application if the State Architect finds that the modification will not affect the operation or character of the valve. 
NOTE

Authority cited: Sections 19200-19204, Health and Safety Code. Reference: Sections 19201.5 and 19202, Health and Safety Code.
HISTORY

1. New section filed 5-16-2001; operative 6-15-2001 (Register 2001, No. 20).
§1390. Required Submissions for Certification.
Note     •     History

(a) Test Reports and Technical Data. Every application for certification shall be accompanied by a test report issued by a verified laboratory. Additional technical data shall be submitted with the application when required by the State Architect. 
(b) Sample Specimens. The State Architect may require that sample specimens, taken from regular production be submitted to the Division of the State Architect for evaluation. The State Architect may require the erection or installation of a sample specimen for evaluation purposes. 
The applicant shall assume all responsibility relating to the erection or installation of such specimen, including but not limited to the cost, liability and removal thereof. The applicant shall arrange for the removal of any specimen submitted for evaluation within 60 days of notification by the State Architect. The State Architect may dispose of any submitted specimen following the 60-day notice without further notification.
NOTE

Authority cited: Sections 19200-19204, Health and Safety Code. Reference: Sections 19201.5 and 19202, Health and Safety Code.
HISTORY

1. New section filed 5-16-2001; operative 6-15-2001 (Register 2001, No. 20).
§1391. Test Specimens.
Note     •     History

Specimens submitted to laboratories for testing shall be representative samples of the manufactured product.
NOTE

Authority cited: Sections 19200-19204, Health and Safety Code. Reference: Sections 19201.5 and 19202, Health and Safety Code. 
HISTORY

1. New section filed 5-16-2001; operative 6-15-2001 (Register 2001, No. 20).
§1392. Publication of Submitted Data.
Note     •     History

The State Architect reserves the right to publish all or any part of any submitted test report or technical data relating to a certified valve.
NOTE

Authority cited: Sections 19200-19204, Health and Safety Code. Reference: Sections 19201.5 and 19202, Health and Safety Code. 
HISTORY

1. New section filed 5-16-2001; operative 6-15-2001 (Register 2001, No. 20).
§1393. Labels.
Note     •     History

Every valve certified by the State Architect shall bear a label conforming to the provisions of Section 1378 for seismic gas shutoff valves except that the label shall designate an excess flow gas shutoff valve Labels shall be placed in a conspicuous location on the exterior of the valve and on the exterior of the box or container in which the valve is sold or distributed. Valve labels shall be attached by the manufacturer during production or fabrication. Container labels shall be attached by the manufacturer or the manufacturer's authorized representative during the production of the container. For other specific marking requirements see S. B. Standard 12-16-2.
NOTE

Authority cited: Sections 19200-19204, Health and Safety Code. Reference: Sections 19201.5 and 19202, Health and Safety Code. 
HISTORY

1. New section filed 5-16-2001; operative 6-15-2001 (Register 2001, No. 20).
§1394. Issued Certifications.
Note     •     History

Upon submission of a completed application accompanied by the required test report and other technical data as specified in Section 1390, and the required fee as specified in Section 1398, the State Architect shall grant certification to those valves which have successfully complied with the provisions of S. B. Standard No. 12-16-2, and have been shown to comply with the intent and purpose of these regulations. No certification shall be issued for any valve which does not conform to all of the appropriate provisions of these regulations. Valve certification may include variations in size and physical dimensions as may be allowed by the State Architect. DSA shall notify the manufacturer within 10 working days if additional information and/or data are required to complete the submittal. Within 60 days DSA shall complete the review of the submittal and provide written notice to the manufacturer of DSA certification of the proposed valves if all the requirements of this chapter and S.B. 12-16-2 have been fulfilled.
NOTE

Authority cited: Sections 19200-19204, Health and Safety Code. Reference: Sections 19201.5 and 19202, Health and Safety Code. 
HISTORY

1. New section filed 5-16-2001; operative 6-15-2001 (Register 2001, No. 20).
§1395. Qualified Testing Laboratories.
Note     •     History

Qualified testing laboratories shall be those complying with the requirements stated in Section 1380 for earthquake sensitive gas shut off valve testing laboratories.
NOTE

Authority cited: Sections 19200-19204, Health and Safety Code. Reference: Sections 19201.5 and 19202, Health and Safety Code. 
HISTORY

1. New section filed 5-16-2001; operative 6-15-2001 (Register 2001, No. 20).
§1396. Testing Equipment.
Note     •     History

(a) General. Testing equipment used or intended to be used to determine the qualities of a valve intended for certification may be inspected and evaluated by the State Architect to determine conformance with the required conditions for such testing equipment as set forth in S. B. Standards 12-16-2.
(b) Maintenance. All testing equipment shall be maintained in good repair devoid of any defect which would affect the test performance of any valve intended for certification.
(c) Cost of Inspection and Evaluation. Any testing laboratory which desires verification pursuant to Section 1380 shall be liable for the necessary advance arrangements and for all costs incurred by the Division of the State Architect in conducting any inspection and evaluation rendered under Section 1381(a).
NOTE

Authority cited: Sections 19200-19204, Health and Safety Code. Reference: Sections 19201.5 and 19202, Health and Safety Code. 
HISTORY

1. New section filed 5-16-2001; operative 6-15-2001 (Register 2001, No. 20).
§1397. Qualified Inspection Service Agency.
Note     •     History

(a) Excess flow gas shutoff valve manufacturers shall employ a qualified inspection agency to inspect periodically their production process for compliance with the requirements of Part 12, Chapter 2-16-2, Title 24, CCR.
(b) A qualified inspection service agency is any person, firm, corporation, or association which periodically and on a continuous basis conducts inspections of certified excess flow gas shutoff valves as required by Part 12, Chapter 12-16-2, Title 24, CCR, to determine if the production line fabrication and workmanship are in accordance with the conditions of certification.
(a) Qualifications for verification as a qualified inspector service agency shall include any person, firm, corporation, or association which conforms to the requirements for qualified inspection service agencies as stated in Section 1382 for earthquake sensitive gas shut off valves.
NOTE

Authority cited: Sections 19200-19204, Health and Safety Code. Reference: Sections 19201.5 and 19202, Health and Safety Code. 
HISTORY

1. New section filed 5-16-2001; operative 6-15-2001 (Register 2001, No. 20).
§1398. Fees.
Note     •     History

Each application for certification shall be accompanied by a fee in accordance with the provisions of this section. The application fee for valve certification is $1000. Multiple size valves may be considered on one application if it determined by DSA that all of the valves are of the same type, style, configuration, constructed of the same materials and have the same operational characteristics. Whether or not the valve is found to be in conformance with the provisions of these regulations, the evaluation fee shall be retained by the State Architect to offset the costs incurred through evaluation of the test report, technical data, and issuance of certification or notice of rejection. Reevaluation of any application is considered a new application.
NOTE

Authority cited: Sections 19200-19204, Health and Safety Code. Reference: Sections 19201.5 and 19202, Health and Safety Code. 
HISTORY

1. New section filed 5-16-2001; operative 6-15-2001 (Register 2001, No. 20).
§1399. Misrepresentation.
Note     •     History

No person, firm, corporation or association shall knowingly or intentionally represent any valve as being certified by the State Architect when such valve is not so certified.
NOTE

Authority cited: Sections 19200-19204, Health and Safety Code. Reference: Sections 19201.5 and 19202, Health and Safety Code. 
HISTORY

1. New section filed 5-16-2001; operative 6-15-2001 (Register 2001, No. 20).
§1400. Request for Reconsideration.
Note     •     History

Any person, manufacturer, testing laboratory or inspection service agency affected by any decision made by the State Architect relative to these regulations concerning certification, testing or inspection of valves as defined herein, may request reconsideration of such decision.
Request submitted to the State Architect pursuant to this section, shall be in writing and shall set forth the reasons for reconsideration.
The State Architect shall respond in writing to every request for reconsideration within 60 days.
NOTE

Authority cited: Sections 19200-19204, Health and Safety Code. Reference: Sections 19201.5 and 19202, Health and Safety Code. 
HISTORY

1. New section filed 5-16-2001; operative 6-15-2001 (Register 2001, No. 20).
Division 2. Department of Transportation
Chapter 1. Toll Bridge Facilities
Article 1. Definitions and General Provisions Relating to the Use of Toll Facilities
§1401.1. Definitions.
Note     •     History

The following definitions shall govern the construction of this subchapter:
(a) “Department” shall mean the California Department of Transportation.
(b) “Bridge” or “toll bridge” is a vehicular crossing defined by Section 23254 of the Vehicle Code.
NOTE

Authority cited: Section 23334, Vehicle Code. Reference: Section 30158, Streets and Highways Code.
HISTORY

1. Repealer of Subchapter 1 (Sections 1401.1-1405.5) and new Subchapter 1 (Sections 1401.1 through 1404.5) filed 8-22-77; effective thirtieth day thereafter (Register 77, No. 35).
2. Order of Repeal of subsections (a)-(c), (e) and relettering of subsections (d) and (f) to (a) and (b) filed 8-26-82by OAL pursuant to Government Code Section 11349.7(j) (Register 82, No. 35).
3. Editorial correction filed 11-19-82 (Register 82, No. 47).
§1401.2. Prohibited Vehicles and Loads.
Note     •     History

None of the following will be permitted to operate on any toll bridge under the jurisdiction of the Department:
(a) Any vehicle transporting a weapon of war employing atomic fission or fusion.
(b) Track laying vehicles.
(c) Vehicles with metal tires. (Based on Section 22410 of the California Vehicle Code).
(d) Pushcarts, wheelbarrows and similar vehicles.
(e) Vehicles transporting hazardous materials or combinations thereof, if prohibited by United States Department of Transportation Regulations, as specified and defined in 49 Code of Federal Regulations sections 177.821-177.823, which regulations are incorporated herein by reference.
(f) See Section 1402.1 for prohibitions on the San Francisco-Oakland Bay Bridge.
(g) See Section 1403.1 for prohibition on the San Diego-Coronado Bridge.
(h) Other vehicles which, due to their load or condition, are likely, in the opinion of the Department, to endanger persons or property or to render the use of the bridge unsafe.
NOTE

Authority cited: Section 23334, Vehicle Code. Reference: Sections 23330(d) and 23334, Vehicle Code.
HISTORY

1. Amendment filed 3-5-79 as an emergency; effective upon filing (Register 79, No. 10).
2. Certificate of Compliance filed 7-3-79 (Register 79, No. 27).
3. Renumbering of subsection (g) to subsection (h) and new subsection (g) filed 1-22-80; effective thirtieth day thereafter (Register 80, No. 4).
4. Editorial correction filed 11-19-82 (Register 82, No. 47).
§1401.3. Vehicles of Excess Weight or Dimensions.
Note     •     History

(a) Permits. All vehicles which do not comply with all height, weight, length, or width limitations set forth in the California Vehicle Code shall be allowed only by special permit issued in advance.
(b) Applications for Permits. Applications may be made as prescribed in Section 1411.2 of this Title.
NOTE

Authority cited: Section 23334, Vehicle Code. Reference: Sections 23330(d) and 35780-35796, Vehicle Code.
HISTORY

1. Editorial correction adding NOTE filed 11-19-82 (Register 82, No. 47).
§1401.4. Evidence of Compliance.
Note     •     History

The driver of any commercial vehicle crossing the bridge may be required to produce appropriate documents or otherwise establish that the vehicle and loan under his control are not in violation of the regulations of this subchapter.
NOTE

Authority cited: Section 23334, Vehicle Code. Reference: Sections 23330(d) and 23334, Vehicle Code.
HISTORY

1. Editorial correction renumbering former Section 1401.5 to Section 1401.4 filed 11-19-82 (Register 82, No. 47). For history of former Section 1401.4, see Registers 82, No. 35 and 77, No. 35.
§1401.5. Tire Changes and Repairs.
Note     •     History

Vehicles having pneumatic tires which are flat shall not enter onto any toll bridge under the jurisdiction of the Department. Tire changes and repairs to tires or vehicles shall not be made on the bridge except when authorized by a member of the California Highway Patrol or by a uniformed employee of the Department and done in his presence.
NOTE

Authority cited: Section 23334, Vehicle Code. Reference: Sections 23330(d), 23333 and 23334, Vehicle Code.
HISTORY

1. Editorial correction renumbering former Section 1401.5 to Section 1401.4 and renumbering former Section 1401.6 to Section 1401.5 filed 11-19-82 (Register 82, No. 47).
§1401.6. “U” Turns.
Note     •     History

“U” turns shall be made only with the permission and under the direction of a member of the California Highway Patrol or a uniformed employee of the Department.
NOTE

Authority cited: Section 23334, Vehicle Code. Reference: Sections 23333 and 23334, Vehicle Code.
HISTORY

1. Editorial correction renumbering former Section 1401.6 to Section 1401.5 and renumbering former Section 1401.7 to Section 1401.6 filed 11-19-82 (Register 82, No. 47).
Article 2. Special Regulations--San Francisco-Oakland Bay Bridge
§1402.1. Prohibited Loads and Vehicles.
Note     •     History

In addition to those vehicles specified in Section 1401.2, the following will not be permitted on the San Francisco-Oakland Bay Bridge:
(a) Class A and B Explosives.
(b) Tank vehicles which are placarded “Flammable” under D. of T. Regulations, whether loaded or empty.
NOTE

Authority cited: Section 23334, Vehicle Code. Reference: Section 23330(d), Vehicle Code.
HISTORY

1. Amendment filed 3-5-79 as an emergency; effective upon filing (Register 79, No. 10).
2. Certificate of Compliance filed 7-3-79 (Register 79, No. 27).
§1402.2. Special Hazardous Materials Permit Loads. [Repealed]
Note     •     History

NOTE

Authority cited: Section 23334, Vehicle Code. Reference: Section 23334, Vehicle Code.
HISTORY

1. Repealer filed 3-5-79 as an emergency; effective upon filing (Register 79, No. 10).
2. Certificate of Compliance filed 7-3-79 (Register 79, No. 27).
Article 3. Special Regulations--San Diego-Coronado Bridge
§1403.1. Prohibited Loads and Vehicles.
Note     •     History

In addition to those vehicles specified in Section 1401.2, the following will not be permitted on the San Diego-Coronado Bridge:
(a) Class A and B Explosives.
(b) Tank vehicles which are placarded “Flammable” under D. of T. regulations, whether loaded or empty.
NOTE

Authority and reference cited: Section 23334, Vehicle Code.
HISTORY

1. New Article 3 (Section 1403.1.) filed 1-22-80; effective thirtieth day thereafter (Register 80, No. 4). For prior history of former Article 3, see Register 79, No. 27).
Article 4. Use on a Credit Basis of Toll Bridges Acquired or Constructed Under the Terms of the California Toll Bridge Authority Act
§1404.1. Permit.
Note     •     History

A permit to use any such bridge on a credit basis shall obligate the permittee to make payment for all toll and service charges incurred during any calendar month within 10 days of the date of mailing of invoices.
NOTE

Authority cited: Section 23334, Vehicle Code. Reference: Section 30158, Streets and Highways Code.
HISTORY

1. Renumbering of Article 4 (Sections 1404.1-1404.5) to Article 3 filed 3-5-79 as an emergency (Register 79, No 10).
2. Certificate of Compliance filed 7-3-79 (Register 79, No. 27).
3. Renumbering of Article 3 (Sections 1404.1-1404.5) to Article 4 filed 1-22-80; effective thirtieth day thereafter (Register 80, No. 4).
4. Editorial correction of NOTE filed 11-19-82 (Register 82, No. 47).
§1404.2. Application.
Note     •     History

Prior to the granting of a permit for the use of any bridge on a credit basis, there shall be filed with, and approved by, the Department an application for permit, together with a cash deposit or corporate surety bond in the amount hereinafter specified.
NOTE

Authority cited: Section 23334, Vehicle Code. Reference: Section 30158, Streets and Highways Code.
HISTORY

1. Editorial correction adding NOTE filed 11-19-82 (Register 82, No. 47).
§1404.3. Credit Cards.
Note     •     History

The granting of any such permit, with respect to the use of any toll crossing by employees or by particular vehicles of such permittee, shall be evidenced by credit cards to be issued for such period as may hereafter be determined.
NOTE

Authority cited: Section 23334, Vehicle Code. Reference: Section 30158, Streets and Highways Code.
HISTORY

1. Editorial correction renumbering former Section 1404.4 to Section 1404.3 filed 11-19-82 (Register 82, No. 47).
§1404.4. Forms.
Note     •     History

The following forms have been prepared by the Department and they shall be used by all applicants for, and holders of, credit permits: 
(a) Application for permit to use all State toll facilities pursuant to provisions of California Toll Bridge Authority Act on a credit basis.
(b) Bond guaranteeing toll charges.
(c) Permit to use all State toll facilities on a credit basis.
(d) Credit cards.
NOTE

Authority cited: Section 23334, Vehicle Code. Reference: Section 30158, Streets and Highways Code.
HISTORY

1. Editorial correction renumbering former Section 1404.4 to Section 1404.3 and renumbering former Section 1404.5 to Section 1404.4 filed 11-19-82 (Register 82, No. 47).
Chapter 2. Vehicle Rate Restrictions on Designated State Highways [Repealed]
NOTE

Authority and reference cited: Sections 20 and 50, Streets and Highways Code; and Sections 14001, 14007, 14008 and 14010, Government Code.
HISTORY

1. Renumbering from Section 1425 filed 4-6-70; effective thirtieth day thereafter (Register 70, No. 15). For prior history, see Register 64, No. 20.
2. Amendment filed 8-7-73 as procedural and organizational; effective upon filing (Register 73, No. 32).
3. Repealer of Subchapter 2 (Section 1406.1) filed 1-13-82; effective thirtieth day thereafter (Register 82, No. 3).
Chapter 3. Relocation Assistance
Article 1. General Provision
§1407. Department of Transportation Relocation Assistance.
Note     •     History

The regulations adopted under this subchapter implement the requirements of Section 7267.8 of the Government Code for all public entities to adopt rules and regulations to implement payments and to administer relocation assistance in accordance with the rules and regulations adopted by the Department of Housing and Community Development. With respect to a federally funded project, the Department of Transportation shall make relocation assistance payments and provide relocation advisory assistance as required under federal law. The Department of Housing and Community Development Relocation Guidelines (Title 25, California Code of Regulations, Chapter 6, commencing with Section 6000 and concluding with Section 6176), including any subsequent amendments thereto, are hereby incorporated by reference as if fully set forth in this subchapter.
NOTE

Authority cited: Section 7267.8, Government Code. Reference: Sections 7260 to 7277, Government Code.
HISTORY

1. New section filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.01. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7267.8, Gov. Code. Reference: Sections 7260 through 7274, Gov. Code.
HISTORY

1. Amendment of subsections (t), (w), (y) and (cc) filed 12-10-73; effective thirtieth day thereafter (Register 73, No. 50). For prior history, see Register 73, No. 32.
2. Amendment filed 8-28-75; designated effective 10-1-75 (Register 75, No. 35).
3. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.02. Eligibility. [Repealed]
History

HISTORY

1. Amendment of subsection (b)(4) and repeal of subsection (f) filed 7-28-72; designated effective 8-31-72 (Register 72, No. 31).
2. Amendment of subsections (b) and (d) filed 12-10-73; effective thirtieth day thereafter (Register 73, No. 50).
3. Amendment filed 8-28-75; designated effective 10-1-75 (Register 75, No. 35).
4. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.03. Standards for Decent, Safe, and Sanitary Dwellings. [Repealed]
History

HISTORY

1. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.04. Relocation Payments--General Provisions. [Repealed]
History

HISTORY

1. Amendment of subsection (a) and new subsection (i) filed 8-28-75; designated effective 10-1-75 (Register 75, No. 35).
2. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.05. Moving and Related Expense Payments--General Provisions for All Relocated Individuals, Families, Businesses and Farms. [Repealed]
History

HISTORY

1. Amendment of subsection (i) filed 7-28-72; designated effective 8-31-72 (Register 72, No. 31).
2. Amendment of subsection (l) filed 12-10-73; effective thirtieth day thereafter (Register 73, No. 50).
3. Amendment and new subsections (o), (p) and (q) filed 8-28-75; designated effective 10-1-75 (Register 75, No. 35).
4. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.06. Moving Payments to Individuals and Families. [Repealed]
History

HISTORY

1. Amendment of subsection (b)(1) filed 9-6-72; effective thirtieth day thereafter (Register 72, No. 37).
2. Amendment of subsection (b) filed 12-10-73;effective thirtieth day thereafter (Register 73, No. 50).
3. Amendment of subsections (b) and (c) filed 8-28-75; designated effective 10-1-75 (Register 75, No. 35).
4. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.07. Moving Payments to Businesses. [Repealed]
History

HISTORY

1. Amendment of subsection (e)(1)(B) filed 7-28-72; designated effective 8-31-72 (Register 72, No. 31). For prior history, see Register 71, No. 49.
2. Amendment of subsection (b)(1) filed 9-6-72; effective thirtieth day thereafter (Register 72, No. 37).
3. Amendment of subsection (b)(1) filed 1-5-73; effective thirtieth day thereafter (Register 73, No. 1).
4. Amendment of subsection (b) filed 12-10-73; effective thirtieth day thereafter (Register 73, No. 50).
5. Amendment of subsections (a), (b) and (e) filed 8-28-75; designated effective 10-1-75 (Register 75, No. 35).
6. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.08. Moving Payments to Farm Operators. [Repealed]
History

HISTORY

1. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.09. Moving Payments to Nonprofit Organizations. [Repealed]
History

HISTORY

1. Amendment filed 7-28-72; designated effective 8-31-72 (Register 72, No. 31).
2. Amendment of subsection (a) filed 8-28-75; designated effective 10-1-75 (Register 75, No. 35).
3. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.10. Advertising Signs. [Repealed]
History

HISTORY

1. Amendment of introductory paragraph and subsection (e)(2) filed 7-28-72; designated effective 8-31-72 (Register 72, No. 31).
2. Amendment of subsections (a) and (e) filed 8-28-75; designated effective 10-1-75 (Register 75, No. 35).
3. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.11. Replacement Housing Payments; General. [Repealed]
History

HISTORY

1. Amendment of introductory paragraph and subsection (e)(2) filed 7-28-72; designated effective 8-31-72 (Register 72, No. 31).
2. Amendment of subsections (a) and (e) filed 8-28-75; designated effective 10-1-75 (Register 75, No. 35).
3. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.12. Replacement Housing Payments to Owner-Occupant for 180 Days or More Who Purchases a Replacement Dwelling. [Repealed]
History

HISTORY

1. Amendment of subsection (c)(4) filed 7-28-72; designated effective 8-31-72 (Register 72, No. 31).
2. Amendment of subsection (c) filed 12-10-73; effective thirtieth day thereafter (Register 73, No. 50).
3. Amendment of subsection (c) filed 8-28-75; designated effective 10-1-75 (Register 75, No. 35).
4. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.13. Rental Replacement Housing Payment to Owner-Occupant for 180 Days or More Who Rents a Replacement Dwelling. [Repealed]
History

HISTORY

1. Amendment of subsection (b) filed 8-28-75; designated effective 10-1-75 (Register 75, No. 35).
2. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.14. Replacement Housing Payment to Owner-Occupant for Less Than 180 Days but Not Less Than 90 Days Who Purchases a Replacement Dwelling. [Repealed]
History

HISTORY

1. Amendment of subsection (b) filed 12-10-73; effective thirtieth day thereafter (Register 73, No. 50).
2. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.15. Rental Replacement Housing Payment to Owner-Occupant for Less Than 180 Days but Not Less Than 90 Days Who Rents a Replacement Dwelling. [Repealed]
History

HISTORY

1. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.16. Rental Replacement Housing Payment to Tenant-Occupant for Not Less Than 90 Days Who Rents a Replacement Dwelling. [Repealed]
History

HISTORY

1. Amendment of subsection (b)(1)(A) filed 7-28-72; designated effective 8-31-72 (Register 72, No. 31).
2. Amendment of subsections (b) and (d) filed 12-10-73; effective thirtieth day thereafter (Register 73, No. 50).
3. Amendment of subsection (d) filed 8-28-75; designated effective 10-1-75 (Register 75, No. 35).
4. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.17. Replacement Housing Payment to Tenant-Occupant for Not Less Than 90 Days Who Purchases a Replacement Dwelling. [Repealed]
History

HISTORY

1. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.18. Replacement Housing Payment to Tenant of a Sleeping Room for Not Less Than 90 Days. [Repealed]
History

HISTORY

1. Amendment of subsection (b) filed 12-10-73; effective thirtieth day thereafter (Register 73, No. 50).
2. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.19. Mobile Homes--General. [Repealed]
History

HISTORY

1. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.20. Moving Expenses for Mobile Homes. [Repealed]
History

HISTORY

1. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.21. Replacement Housing Payments for Owner-Occupants of Mobile Homes for 180 Days or More. [Repealed]
History

HISTORY

1. Amendment of subsections (b)(3), (b)(4), (d)(1)(A), (d)(2) and (e)(2)(A) filed 7-28-72; designated effective 8-31-72 (Register 72, No. 31).
2. Amendment of subsections (b), (c) and (d) filed 12-10-73; effective thirtieth day thereafter (Register 73, No. 50).
3. Amendment of subsections (a), (b), (c), (d) and (e) filed 8-28-75; designated effective 10-1-75 (Register 75, No. 35).
4. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.22. Replacement Housing Payments for Owner-Occupants of Mobile Homes for Less Than 180 Days but More Than 90 Days. [Repealed]
History

HISTORY

1. Amendment of subsections (a), (b), (c) and (d) filed 12-10-73; effective thirtieth day thereafter (Register 73, No. 50).
2. Amendment of subsection (a) filed 8-28-75; designated effective 10-1-75 (Register 75, No. 35).
3. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.23. Replacement Housing Payments to Tenants of Mobile Homes for 90 Days or More. [Repealed]
History

HISTORY

1. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1407.24. Public Notice of Date of Initiation of Negotiations on the Project. [Repealed]
History

HISTORY

1. Repealer filed 8-28-75; designated effective 10-1-75 (Register 75, No. 35). 
Chapter 4. Relocation Housing Program [Repealed]
NOTE

Authority cited for Article 7: Section 135.5(c), Streets and Highways Code. Reference: Section 135.3 through 135.7, Streets and Highways Code. Additional authority cited: Sections 14001, 14007, 14008, and 14010, Government Code and Sections 20 and 50, Streets and Highways Code.
HISTORY

1. New Article 7 (Sections 1435 and 1436) filed 2-26-69 as an emergency; effective upon filing (Register 69, No. 9.)
2. Certificate of Compliance (Sec. 11422.1, Gov. Code) filed 5-15-69 (Register 69, No. 20).
3. Renumbering from Section 1435 filed 4-6-70; effective thirtieth day thereafter (Register 70, No. 15).
4. Amendment of subsection (a) filed 8-7-73 as procedural and organizational; effective upon filing (Register 73, No. 32).
5. Repealer of Subchapter 4 (Sections 1408.1 and 1408.2) filed 7-12-82; effective thirtieth day thereafter (Register 82, No. 29).
Chapter 5. Official Traffic Control Devices [Repealed]
NOTE

Authority cited: Section 21400, Vehicle Code. Additional authority cited: Sections 14001, 14007, 14008 and 14010, Government Code; and Sections 20 and 50, Streets and Highways Code.
HISTORY

1. New Article 8 (§§ 1437, 1437.1 through 1437.6, and 1438) filed 10-31-69 as an emergency; designated effective 11-10-69 (Register 69, No. 44).
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 12-17-69 (Register 69, No. 51).
3. Renumbering from Section 1437 filed 4-6-70; effective thirtieth day thereafter (Register 70, No. 15).
4. Amendment of subsection (a) filed 8-7-73 as procedural and organizational; effective upon filing (Register 73, No. 32).
5. Repealer of Subchapter 5 (Sections 1409.1-1409.9) filed 12-5-83; effective thirtieth day thereafter (Register 83, No. 50). For prior history, see Registers 73, No. 19; 72, No. 19; 70, No. 41 and 70, No. 25.
Chapter 6. Guidelines for Traffic Control Devices on State Highways Near Schools [Repealed]
HISTORY

1. Repealer of chapter 6 (section 1410.4) filed 4-10-97; operative 5-10-99 (Register 2009, No. 41). For prior history of sections 1410.1, 1410.2 and 1410.3, see Regsiter 83, No. 50.
Chapter 7. Transportation Permits
§1411.1. Definitions.
Note     •     History

The following terms when used in this Chapter have the following meaning:
(a) “Department” means the California Department of Transportation.
(b) “Permits” means a Transportation Permit issued by the Department pursuant to Article 6 (commencing with Section 35780) of Division 15 of the California Vehicle Code.
(c) “Fire truck” means any fire apparatus defined in 35002(b)(3) of the California Vehicle Code.
(d) “Aerial platform ladder fire truck” means a fire suppression vehicle, or vehicle combination, equipped with an elevating platform that may include a continuous egress route from the elevated position to the ground.
(e) “Aerial ladder fire truck” means a fire suppression vehicle or vehicle combination equipped with a self-supporting, turntable mounted, power operated aerial ladder of two or more sections permanently attached to the vehicle and designed to provide a continuous egress route from the elevated position to the ground.
(f) “Aerial water tower fire truck” means a pumper fire truck equipped with a device consisting of permanently mounted power operated booms and a water way designed to supply a large capacity mobile elevated water stream. The booms may be of articulating design or telescoping design and may be equipped with a ladder for continuous egress.
(g) “Pumper fire truck” means a single unit fire suppression vehicle equipped with a fire pump, water tank, hose, and equipment designed for sustained pumping operations during fire fighting and supporting associated fire department operations.
NOTE

Authority cited for Article 9: Section 35795, Vehicle Code. Additional authority cited: Sections 14001, 14007, 14008 and 14010, Government Code and Sections 20 and 50, Streets and Highways Code. Reference: Section 35002, Vehicle Code.
HISTORY

1. New article (§§1439, 1439.1 through 1439.5) filed 11-24-69 as an emergency; designated effective 1-1-70 (Register 69, No. 48).
2. Certificate of Compliance--section 11422.1, Gov. Code, filed 12-31-69 (Register 70, No. 1).
3. Renumbering from section 1439 filed 4-6-70; effective thirtieth day thereafter (Register 70, No. 15).
4. Amendment of subsection (a) filed 8-7-73 as procedural and organizational; effective upon filing (Register 73, No. 32).
5. New subsections (c)-(h) and amendment of Note filed 8-23-93; operative 9-22-93 (Register 93, No. 35).
6. Amendment of first paragraph and subsection (c) and repealer of subsection (h) filed 6-2-2010; operative 7-2-2010 (Register 2010, No. 23).
§1411.2. Issuance of Permits.
Note     •     History

Permits shall be issued by the Department through its District Offices following the procedures outlined in the Department's Transportation Permits Manual.
NOTE

Authority cited: Section 35795, Vehicle Code and Section 14010,  Government Code. Reference: Sections 14001, 14007 and 14008, Government Code; and Sections 20 and 50, Streets and Highways Code.
HISTORY

1. Renumbering from section 1439.1 filed 4-6-70; effective thirtieth day thereafter (Register 70, No. 15).
2. Amendment filed 8-7-73 as procedural and organizational; effective upon filing (Register 73, No. 32).
3. Amendment of section and Note filed 1-12-93; operative 2-15-93 (Register 93, No. 3).
§1411.3. Permit Fees.
Note     •     History

(a) The permit fees shall be as follows:

Single trip permit or rider 	 $16.00

Annual permit 	 $90.00
(b) In addition, a special service charge of $50.00 per hour will be imposed on the permittee for each hour expended directly on engineering investigations, routing definition, coordination, and control of permit movement for each individual load which meets any one of three following criteria:
(1) Loads in excess of 14 feet wide.
(2) Loads in excess of 135 feet in overall length.
(3) Loads that are of a weight that require:
(A) More than a 13-axle, single-vehicle width hauling combination, or
(B) A 13-axle, single-vehicle width hauling combination with a load deck where the inner axles in the groups bordering the load deck are 40 feet or more apart, or
(C) Two or more side-by-side vehicles with a combined width of 14 feet or more supporting the load.
(c) The total hours charged will be a summation of the time expended by:
(1) Sacramento Headquarters Office of Permits to review load reducibility and potential for safe movement;
(2) Sacramento Headquarters Office of Structures to examine the individual bridges to be crossed for capacity adequate to sustain the load;
(3) District Permit Offices to define specific routing with operational conditions and to coordinate movement with the California Highway Patrol and adjacent states, cities and counties, and
(4) District Maintenance and Traffic Personnel to implement lane closures, traffic control support, temporary movement of signs or traffic signal mast arms or other actions essential to specific load movement. Although it is not standard practice, if it is determined for safety reasons that traffic operational personnel must accompany the load for the entire trip, those charges would be imposed on the permittee.
(d) Where engineering investigations, route definition, and coordination apply to a request involving more than one identical load, those hours will be charged only for the first load. Other actions required for each of the additional load movements, such as sign removal and replacement, will be charged separately, based on the hours expended for those additional actions. The summation of charges will be rounded up/or down to the nearest whole hour.
(e) The charge per permit issued for repetitive loads of ten or more trips will be the same amount as is charged for the annual permit. To qualify as a repetitive load, the commodity must be of the same size and description, with evidence presented with the application of the anticipated number of loads and an estimate of the anticipated total time involved in the shipment. This type of permit shall also be limited to travel from the specified point of origin to the destination, i.e., restricted haul from point A to point B only. No charge shall be made to renew, within a 12-month period, a permit to haul a single saw log.
(f) The specific fee to be charged shall be determined by a review at the beginning of each fiscal year by the Department to ensure that the income derived from such fees does not exceed the cost of administration.
NOTE

Authority cited: Section 35795, Vehicle Code. Reference: Section 35795, Vehicle Code; and Section 92, Streets and Highways Code.
HISTORY

1. Amendment of subsection (a) filed 1-2-70 as an emergency; effective upon filing. Certificate of Compliance included (Register 70, No. 1).
2. Renumbering from Section 1439.2 filed 4-6-70; effective thirtieth day thereafter (Register 70, No. 15).
3. Amendment of subsection (b) filed 8-7-73 as procedural and organizational; effective upon filing (Register 73, No. 32).
4. Amendment of subsection (a) filed 8-20-73; effective thirtieth day thereafter (Register 73, No. 35).
5. Amendment of subsection (a) filed 9-14-88; operative 10-14-88 (Register 88, No. 38).
6. Amendment of subsection (a) filed 12-3-90; operative 1-2-91 (Register 91, No. 3).
7. Amendment of subsection (a),  redesignation of subsections and amendment of newly designated subsection (b) filed 1-12-93; operative 2-15-93 (Register 93, No. 3).
§1411.4. Payment.
Note     •     History

Applicants shall pay for permits, upon receipt, with cash, money order, corporate checks, certified checks, or VisaTM or MasterCardTM credit cards. Personal checks in amounts less than $100 will be accepted. Existing monthly billing accounts in good standing shall be continued as long as the accounts remain current.
NOTE

Authority cited: Section 35795, Vehicle Code. Reference: Section 35795, Vehicle Code; and Section 92, Streets and Highways Code.
HISTORY

1. Repealer and new section filed 5-13-93; operative 6-14-93 (Register 93, No. 20). For prior history, see Register 70, No. 15.
§1411.5. Time Limitations on Single Trip Permits.
History

The effective period of a “single trip” permit shall include a reasonable time in transit plus additional time for anticipated delays due to adverse conditions. Requests to cover return trips on one permit will be approved with the effective duration to allow a reasonable travel time, with two days additional for transfer of load and also additional time for possible inclement weather, up to a maximum total time of 14 days. The permit shall include a full description of all loads hauled within authority of the permit.
HISTORY

1. Renumbering from Section 1439.4 filed 4-6-70; effective thirtieth day thereafter (Register 70, No. 15).
§1411.6. Public Entities.
History

No charge for transportation permits shall be imposed on governmental agencies or public corporations using their own equipment.
HISTORY

1. Renumbering from Section 1439.4 filed 4-6-70; effective thirtieth day thereafter (Register 70, No. 15).
§1411.7. Fire Trucks.
Note     •     History

(a) Any fire truck may exceed the maximum allowable weights of the Department's Transportation Permit Program, but shall not exceed the following axle weight limits:

	Axle Configuration	Max. allowable weight

	Single steering axle (front and rear)	24,000 pounds
	Single drive axle	31,000 pounds
	Tandem axles	48,000 pounds
	Tandem rear drive steer axles	48,000 pounds
	Tridem axles	54,000 pounds
(b) A fire truck designed to carry a minimum capacity of 1,200 gallons and exceed axle weights authorized in California Vehicle Code Section 35551 or Section 35551.5 shall be permanently marked on the manufacturer's GVW rating plate with the gallonage the fire truck is designed to carry.
(c) Tandem axles shall have a minimum axle spacing of 4 feet and tridem axles shall have a minimum axle spacing of 9 feet as measured from the centerline of the first axle to the centerline of the last axle in the axle group. Tandem axle spacing shall not exceed 8 feet and tridem axles shall not exceed 10 feet as measured from the centerline of the first axle to the centerline of the last axle in the axle group.
Except for front and rear steer axles, all axles within the same loading group shall have a common suspension system that naturally divides weight between all axles in the suspension group equally and equitably, both statically and dynamically under all loading conditions without any influence from an outside source.
(d) All fire truck axles shall have a minimum of 4 tires per axle, except for front and rear steer axles. Four-tired axles may be equipped with super single tires with a minimum of 18 inches (445 mm) of cross section and 19.5 inches of bead diameter. When super singles are used on a single axle application, the maximum weight on that axle shall be limited to 24,000 pounds. The tires must have a rated capacity marked on the sidewall of the tire as required by the U.S. Department of Transportation, Standard FMVSS 119. The sum of the rated capacities of the tires on the axle shall equal or exceed the axle weight.
(e) Fire truck axle weights shall not exceed the axle manufacturer's rated axle capacity when the axles are equipped with axle components of a corresponding rating.
(f) Fire trucks may exceed width limitations provided in Division 15 of the California Vehicle Code but cannot exceed 120 inches. All fire trucks shall comply with the length, height, and overhang limitations of Division 15 of the Vehicle Code except that single-unit fire apparatus may have a maximum length of 52 feet provided that they travel on roads that can safely accommodate them, and fire trucks defined in sections 1411.1(d), (e) and (f) may have a maximum front overhang of 8 feet from the front bumper provided that the driver's vision to the left and right is not impaired by the projecting or supporting structure. A fire truck with two parts coupled together at an articulation point is defined in this regulation as a “combination of vehicles,” regardless of whether the parts detach, and therefore must comply with the length limits for a combination of vehicles in Vehicle Code Section 35401(a).
(g) Fire trucks meeting the requirements of this regulation may operate on State and local roadways without a transportation permit. Fire trucks that exceed the weight requirements of this regulation for tandem or tridem axles may receive transportation permits from the Department to operate on State routes and from local governments to operate on local roads. The permit shall not allow any increase in single axle weights. The permit shall limit tandem and tridem weights to no more than 15 percent over the weights allowed in these regulations. The permit shall allow bridge access only on bridges with a capacity rating that is adequate for the additional axle weights.
(h) Nothing in this Section shall preempt the requirements of Vehicle Code Section 35002(d) and Section 35002(e).
(i) Fire trucks exempted from provisions in Division 15 of the Vehicle Code shall comply with California Vehicle Code Section 24011.
(j) Fire trucks may not travel on a bridge where the weight of the fire truck exceeds the posted maximum bridge weight.
(k) All fire trucks shall comply with the Vehicle Code Chapter 3, Brakes, commencing with Section 26301. In addition, fire trucks purchased on or after January 1, 1994, that exceed the axle weight limits of 22,500 pounds on a single axle or 34,000 pounds on a tandem axle assembly, or where the gross vehicle weight exceeds statutory weight limits shall be equipped with a brake system designed to enhance vehicle control and stability during adverse weather conditions and emergency stops. Each type of fire truck purchased on or after January 1, 1994, that exceeds the axle weight limits of 22,500 pounds on a single axle or 34,000 pounds on a tandem axle assembly, or where the gross vehicle weight exceeds statutory weight limits, prior to sales in California, shall be tested for compliance with the following Performance Tests:
(1) Performance Tests
A vehicle with a brake system that is designed to enhance vehicle control and stability shall be tested for the following “Dry Road, Straight Line Stops” and “Slippery Road, Curved Stops” under the control of the General Test Conditions:
(A) General Test Conditions
The following test conditions are applicable to both the “Dry Road, Straight Line Stops” and the “Slippery Road, Curved Stop” test:

*	Level 12-foot width lane;

*	Vehicle shall be centered in the lane at the initiation of braking;

*	Test driver shall be allowed to steer as necessary during braking;

*	Brake shall be fully applied as rapidly as possible;

*	Initial brake temperature shall not exceed 250 degrees F (in lining) at the hottest brake, as measured by brake thermocouple installed in accordance with SAE J843;

*	The transmission shall be in the neutral position or the clutch depressed;

*	Test vehicle shall be tested both empty as delivered to the Fire District without the miscellaneous equipment installed by the Fire District, and loaded to the maximum gross vehicle weight rating. Vehicles equipped with tanks for liquid fire retardants shall be tested with tanks 2/3 filled with liquid.

*	Surface Friction - Peak Friction Coefficient (PFC) as determined with an ASTM E 1134 tire on ASTM traction trailer using ASTM E 1337 procedure. Average value of 10 runs spaced evenly over the test surface.

*	Brake Burnish - Burnish brakes as per FMVSS 121 burnish procedure prior to testing (i.e., 500 snubs from 40 to 20 mph at 10 fpsps on a 1.0 mile interval; 

*	The brakes shall be adjusted within the manufacturer's recommended tolerances;

*	The tires shall be inflated to the manufacturer's recommended pressure for the load of the tire.
(B) Dry Road, Straight Line Stops
The fire truck shall enter the test lane described in the General Test Conditions with the surface friction and initial speed shown below. Thereafter, the brakes shall be applied as required in the General Test Conditions:

*	Surface friction level-PFC=0.9 (Most dry asphalt and concrete surfaces are at this level);

*	60 mph initial speed;

*	3 repeat runs.
(C) Slippery Road, Curved Stops
The fire truck shall enter the test lane described in the General Test Conditions at the surface friction, radius, and initial speed shown below. Thereafter, the brakes shall be applied as required in the General Test Conditions:

*	Surface friction level-PFC=0.5 (wet, sealed asphalt in good condition is usually at or below this level);

*	500 ft. curve radius (lane centerline);

*	Initial speed to be the lower of 30 mph (48 km/h) or 75 percent of the maximum drive through speed. Drive through speed is the highest speed that the vehicle can be driven through 200 feet (60.8 meter) of the 500 foot radius curve without leaving the lane. The vehicle is to be centered in the lane at the initiation of the drive through test;

*	3 repeat runs.
(2) Fail-safe Protection and Failure Warning
In the event of an electrical failure in the system installed to enhance the vehicle stability and control, the performance of the basic foundation brakes shall be unaffected. The vehicle shall be equipped so that when the left front, right front, left rear, or right rear brake assembly of the enhanced system fails to function as designed, the operator can tell without the need to connect external test equipment. Upon failure of the system, an amber light(s) shall illuminate on the instrument panel of the vehicle. The system installed to enhance the stability and control shall continue to operate without malfunction when electrical current to the stop light circuit fails.
(3) Test Results
The final stage manufacturers shall test each type of fire truck and show compliance with (k)(1)(B) and (k)(1)(C) when tested under the General Test Conditions of (k)(1)(A) above. Each type of fire truck shall be capable of making a full emergency stop in both the Straight Line Stop and the Curved Stop without any portion of the fire truck leaving the test lane. The test report shall be written in simple terms, and shall include Performance Test results in (k)(1)(B) and (k)(1)(C). The final stage manufacturers shall make the test report available upon written request from State, city, or county officials.
(l) Manufacturer's Certification.
Each fire truck equipped with a system to enhance stability and control shall be certified by the final stage manufacturer that the additional brake enhancing system is installed and functional.
NOTE

Authority cited: Sections 35002 and 35795, Vehicle Code. Reference: Sections 35002 and 35780, Vehicle Code.
HISTORY

1. New section filed 8-23-93; operative 9-22-93 (Register 93, No. 35).
2. Amendment filed 6-2-2010; operative 7-2-2010 (Register 2010, No. 23).
Chapter 7.5. California Toll Bridge Authority *[Repealed]

* California Toll Bridge Authority regulations were formerly in Subchapter 3 (§§1440-1444) of Chapter 2, see Register 70, No. 15.

Note: Authority cited: Sections 70, 213, and 30050, California Transportation Commission.
HISTORY

1. Repealer of Subchapter 7.5 (Article 1, Sections 1420-1426, consecutive) filed 1-10-79 as procedural and organizational; effective upon filing (Register 79, No. 2). For former history, see Registers 74, No. 40; 70, No. 15.
Chapter 8. Encroachment Permits
§1412.1. Definitions.
Note     •     History

The following terms when used in this Chapter, have the following meanings:
(a) “Broadband” is a data transmission with speeds exceeding 200 kilobits per second (Kbps), or 200,000 bits per second, in at least one direction (downstream or upstream.)
(b) “Broadband Permit Dispute Resolution Committee” (BPDRC) is a committee that formally recommends resolution of an appeal to the Department Director from broadband applicants who wish to encroach upon the State Right-of-Way to perform work.
(c) “Denial Letter” is a letter that is sent by the District Permit Office to a broadband applicant informing him/her that their request to encroach upon State-Right-of-Way is denied. This letter would state specifically the reasons for denial.
(d) “Dispute Letter” is a letter prepared and sent by the broadband applicant via certified mail to the District Director to set forth the grounds for challenging the denial or disputed conditions. An electronic version of the letter may also be sent, but it does not replace the certified Dispute Letter as an official dispute of a denial or disputed condition. 
(e) “Dispute Resolution Package” is a package containing all the supporting documentation prepared and attached to a “Dispute Letter” (see (d) above) and sent by the broadband applicant to the District Director via certified mail as further evidence of the grounds challenging the denial of the encroachment permit. An electronic version of the package may also be sent, but it does not replace the certified mail package as an official Dispute Resolution Package.
NOTE

Authority cited: Section 671.5, Streets and Highways Code. Reference: Sections 660, 671.5(b) and 671.5(c), Streets and Highways Code; and Executive Order S-23-06.
HISTORY

1. New chapter 8 (sections 1412.1-1412.9) and section filed 10-6-2009; operative 10-6-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 41). For prior history of chapter 8, sections 1451-1452, see Register 79, No. 2.
§1412.2. Broadband Encroachment Permit Application Process.
Note     •     History

All encroachment permits for broadband facility installation shall be issued by the Department of Transportation through its District Offices. All applicants shall apply at the appropriate District Encroachment Permit Office. Encroachment Permit applications for broadband facility installations shall receive priority processing.
NOTE

Authority cited: Section 671.5, Streets and Highways Code. Reference: Sections 670 and 671.5(a), Streets and Highways Code; and Executive Order S-23-06.
HISTORY

1. New section filed 10-6-2009; operative 10-6-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 41).
§1412.3. Conditions for Denial of Broadband Facilities Installation and Use Request Application.
Note     •     History

An encroachment permit for broadband use shall be denied when:
1. the Department lacks legal authority to issue an encroachment permit for the subject real property; or
2. the use adversely affects the safety, capacity, or integrity of the State highway rights-of-way.
An encroachment permit for broadband use may be denied when:
1. the applicant has not complied with the provisions of prior encroachment permits; 
2. the applicant has not rectified a violation of a previous encroachment permit;
3. the applicant is delinquent with payment on prior permits; 
4. the use does not have approval from a governmental body with jurisdiction, such as a local land use authority or Public Utilities Commission, if applicable;
5. the environmental effects are significant and cannot be mitigated or mitigation is infeasible;
6. the installation and/or maintenance associated with the installation creates a safety hazard;
7. the service access requires a lane closure on an access controlled highway;
8. the service access points are not provided outside of the controlled access right of way;
9. the service requires entry through a right-of-way fence.
NOTE

Authority cited: Section 671.5, Streets and Highways Code. Reference: Sections 670 and 671.5(b), Streets and Highways Code.
HISTORY

1. New section filed 10-6-2009; operative 10-6-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 41).
§1412.4. Encroachment Permit Fees.
Note     •     History

Broadband providers installing broadband facilities within the State highway right-of-way shall be responsible for reimbursing the Department for the actual costs incurred by the State to issue an encroachment permit.
NOTE

Authority cited: Section 671.5, Streets and Highways Code. Reference: Sections 671.1, Streets and Highways Code; and Executive Order S-23-06.
HISTORY

1. New section filed 10-6-2009; operative 10-6-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 41).
§1412.5. Process for Denial of Broadband Facilities Installation and Use Request Application.
Note     •     History

Within 60 days of receiving a completed encroachment permit application package for broadband installation, the Department must either approve or deny the application. Upon denial of an application, a “Denial Letter” shall be sent via electronic and certified mail to the applicant clearly specifying the reasons for denial. The letter shall include the statutory or regulatory authority relied upon for denial that conflicts with the applicant's proposed plan.
NOTE

Authority cited: Section 671.5, Streets and Highways Code. Reference: Sections 670 and 671.5, Streets and Highways Code.
HISTORY

1. New section filed 10-6-2009; operative 10-6-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 41).
§1412.6. Informal Meeting for Dispute Resolution.
Note     •     History

Upon receiving the “Denial Letter”, the Applicant has the option to request an informal meeting with the District Permit Office within 10 days of receipt of the certified mail. The District Permit Office shall in turn meet with the applicant within 10 business days of the applicant's request. If no resolution is achieved, the applicant may submit a “Dispute Resolution Package” to the District Director within another 5 business days.
If the Applicant chooses to forgo the informal meeting with the District Permit Office, but wishes to challenge the denial, the Applicant must submit a “Dispute Resolution Package” to the District Director within 15 business days of receiving the certified mail “Denial Letter.”
NOTE

Authority cited: Section 671.5, Streets and Highways Code. Reference: Sections 670 and 671.5, Streets and Highways Code; and Executive Order S-23-06.
HISTORY

1. New section filed 10-6-2009; operative 10-6-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 41).
§1412.7. Process for Requesting Reconsideration (District Director Review) of Denial of Encroachment Permit Application for Broadband Facility Installation.
Note     •     History

The applicant may request reconsideration of the denial of an encroachment permit application for broadband facility installation or the grant of a permit with conditions that the applicant challenges, by sending a “Dispute Letter” to the District Director setting forth the grounds for challenging the denial or disputed conditions within 15 business days of the date the “Denial Letter” was mailed.
The District Director or delegate shall send a written response to the applicant within 15 business days of receiving the “Dispute Letter.” In the response, the District Director or delegate shall:
1. grant the permit; or
2. clearly state the availability, if any, of alternative routes known by the Department or mitigation measures that would result in a grant of the permit; or
3. deny the permit and advise the applicant of the opportunity to engage in a formal appeal process.
If the District Director denies the request, the applicant shall respond within 15 business days of receipt of the District Director's denial to request an appeal to the Department Director.
NOTE

Authority cited: Section 671.5, Streets and Highways Code. Reference: Sections 670 and 671.5, Streets and Highways Code; Executive Order S-23-06.
HISTORY

1. New section filed 10-6-2009; operative 10-6-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 41).
§1412.8. Formal Appeal Process for Dispute Resolution.
Note     •     History

If the applicant elects to engage in the formal appeal process, the applicant shall submit a “Dispute Resolution Package”, including all documentation substantiating the appeal, to the Department Director. The “Dispute Resolution Package” shall then be reviewed by a Broadband Permit Dispute Resolution Committee (BPDRC), which shall make a recommendation to the Department Director. The committee consists of (1) Department's Chief, Division of Traffic Operations, (2) a designee from the Administration appointed by the Business, Transportation and Housing Agency's Secretary and (3) Department's Chief, Division of Design. The Chief, Division of Design shall be the Chair of the committee. A Department Right-of-Way representative, may also be utilized on an as-needed basis. Designees for the Chief, Division of Traffic Operations and/or Chief, Division of Design may serve on the panel if necessary to expedite a decision.
The applicant shall pay a deposit of $500 towards the cost of the appeal.
The committee shall establish the necessary framework for reaching consensus with the applicant by exploring and attempting to accommodate the underlying interests of each party. If consensus cannot be reached, the Chair of the committee shall make a recommendation to the Department Director, including any dissenting opinions. The Department Director shall make the final decision on the appeal and reply to the applicant within 60 calendar days of receipt of the formal appeal. The Applicant shall reimburse the State 50 percent of the administrative cost of conducting the “Dispute Resolution” with the Director regardless of the outcome.
When the appeal process is completed, the applicant will be billed and shall reimburse the State 50 percent of the administrative costs of conducting the dispute resolution, which includes staff time and the cost of mail, minus the $500 deposit, regardless of the outcome of the appeal.
NOTE

Authority cited: Section 671.5, Streets and Highways Code. Reference: Sections 670 and 671.5, Streets and Highways Code.
HISTORY

1. New section filed 10-6-2009; operative 10-6-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 41).
§1412.9. Relocation Costs.
Note     •     History

Applicants shall be solely responsible for the costs of relocating their broadband facilities to facilitate any highway improvement projects.
NOTE

Authority cited: Section 671.5, Streets and Highways Code. Reference: Section 673, Streets and Highways Code.
HISTORY

1. New section filed 10-6-2009; operative 10-6-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 41).
Chapter 9. Excess Real Property [Repealed]
NOTE

Authority cited: Sections 101.7 and 118.6, Streets and Highways Code. Reference: Sections 101.7 and 118.6, Streets and Highways Code.
HISTORY

1. New Subchapter 4.5 (Sections 1460 through 1468) filed 3-7-73 as an emergency; designated effective 3-7-73 (Register 73, No. 10).
2. Certificate of Compliance filed 5-3-73 (Register 73, No. 18).
3. Amendment of subsection (a) filed 8-7-73 as procedural and organizational; effective upon filing (Register 73, No. 32).
4. Repealer of Subchapter 9 (Sections 1460-1468) filed 11-5-81; effective thirtieth day thereafter (Register 81, No. 45). 
Chapter 10. Bicycle Lane Account [Repealed]
HISTORY

1. Repealer of Subchapter 10 (Sections 1470.1-1470.5) and new Subchapter 10 (Sections 1470.1-1470.3) filed 11-19-82; effective thirtieth day thereafter (Register 82, No. 47). For prior history, see Registers 76, No. 24; 73, No. 32; and 73, No. 21.
2. Repealer of chapter 10 (sections 1470.1 through 1470.3) and section filed 10-15-96; operative 11-14-96 (Register 96, No. 42).
Chapter 11. Regulations for Implementation of the California Environmental Quality Act of 1970
Article 1. General
§1501. Authority.
Note     •     History

The regulations adopted under this Subchapter implement the requirements of the California Environmental Quality Act (hereinafter “CEQA”) commencing with Public Resources Code Section 21000 and the State CEQA Guidelines issued by the Resources Agency contained in Title 14 commencing with Section 15000. The State CEQA Guidelines (Title 14, California Code of Regulations, Chapter 3), including all subsequent amendments thereto, are hereby incorporated by reference as if fully set forth in this subchapter. In the event of any conflict or ambiguity between the provisions of these regulations and the State CEQA Guidelines, the provisions of the latter shall control.
NOTE

Authority cited: Section 21082, Public Resources Code. Reference: Sections 21000-21174, Public Resources Code. 
HISTORY

1. New Subchapter 5 (Sections 1500 through 1516.4, not consecutive) filed 4-10-73 as an emergency; effective upon filing. Certificate of Compliance included (Register 73, No. 15).
2. Renumbering of Subchapter 5 to Subchapter 11 filed 8-7-73 as procedural and organizational; effective upon filing (Register 73, No. 32).
3. Repealer of Subchapter 11 (Sections 1500-1516.4, not consecutive, and Appendixes A and B) and new Subchapter 11 (Sections 1501-1512.3, not consecutive, and Appendixes A-D) filed 6-20-75 as an emergency; effective upon filing (Register 75, No. 25). For history, also see Register 73, No. 25; Register 74, Nos. 8 and 24.
4. Certificate of Compliance filed 9-26-75 (Register 75, No. 39).
5. Amendment filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
§1501.1. Short Title.

These regulations may be cited as “Environmental Regulations.”
Article 2. Purpose
§1502. Purpose.
Note     •     History

These regulations set forth the criteria, objectives, procedures, and timelines to be used by the Department of Transportation and the California Transportation Commission in implementation of the California Environmental Quality Act of 1970, Public Resources Code Section 21000 et seq.
NOTE

Authority cited: Section 21082, Public Resources Code. Reference: Sections 21000-21174, Public Resources Code.
HISTORY

1. Amendment filed 8-18-78 as an emergency; effective upon filing (Register 78, No. 33).
2. Reinstatement of section as it existed prior to emergency amendment filed 8-18-78 by operation of Section 11422.1(b), Government Code (Register 79, No. 3).
3. Amendment refiled 1-19-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 3).
4. Amendment filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
5. Amendment filed 8-5-2004; operative 9-4-2004 (Register 2004, No. 32).
Article 3. Policy
§1503. Legislative Declaration. [Repealed]
History

HISTORY

1. Repealer filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
§1503.1. State Policy. [Repealed]
History

HISTORY

1. Repealer filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
§1503.1.1. Additional Policies. [Repealed]
History

HISTORY

1. New section filed 3-30-77 as an emergency; effective upon filing (Register 77, No. 14).
2. Certificate of Compliance filed 7-19-77 (Register 77, No. 30).
3. Repealer filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
§1503.1.2. California Transportation Commission (Hereinafter “Commission”) Policies Regarding Use of Environmental Documents.
Note     •     History

(a) Commission Review Requirements: The Commission reviews and considers environmental documents and findings as part of its responsibilities to allocate funding for state or local capital projects and approve the location of state highway routes, and may need to review and consider environmental documents for other discretionary decisions.
(b) Scope of Commission Review: The Commission generally examines and considers effects related to project cost and funding, including costs of mitigation measures being considered or proposed, and may consider any other environmental effects; the Commission advises agencies preparing environmental documents at a minimum to describe scope and cost of project alternatives, including costs for mitigation measures, and the complete funding package for the project, in documents that they send to the Commission.
(c) Basis of Commission Action: The Commission uses the final environmental document as a basis to ratify and approve project scope, cost, and funding participation for subsequent allocation of funds; the Commission as a matter of practice schedules large, complex projects into the first two years of state programs ready for allocation of funding only after final environmental documents required under CEQA have been completed.
(d) Linkage to Commission Responsibilities: The Commission may postpone or refuse allocation of funds to a project when it has not previously been given an opportunity to review environmental documents.
NOTE

Authority cited: Section 21082, Public Resources Code. Reference: Section 75, Streets and Highways Code; and Sections 21102 and 21104, Public Resources Code.
HISTORY

1. New section filed 8-18-78 as an emergency; effective upon filing (Register 78, No. 33).
2. Repealed by operation of Section 11422.1(c), Government Code, effective 12-16-78 (Register 79, No. 3).
3. New section refiled 1-19-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 3).
4. Amendment of section heading and repealer and new section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
5. New subsection (a), subsection relettering and amendment of newly designated subsection (c) and Note filed 8-5-2004; operative 9-4-2004 (Register 2004, No. 32).
§1503.2. Informational Documents. [Repealed]
Note     •     History

NOTE

Authority cited: Section 21082, Public Resources Code. Reference: Sections 21000-21174, Public Resources Code.
HISTORY

1. Amendment filed 3-30-77 as an emergency; effective upon filing (Register 77, No. 14).
2. Certificate of Compliance filed 7-19-77 (Register 77, No. 30).
3. Amendment filed 8-18-78 as an emergency; effective upon filing (Register 78, No. 33).
4. Reinstatement of section as it existed prior to emergency amendment filed 8-18-78 by operation of Section 11422.1(b), Government Code (Register 79, No. 3).
5. Amendment refiled 1-19-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 3).
6. Repealer filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
§1503.3. Time of Preparation. [Repealed]
History

HISTORY

1. Amendment filed 3-30-77 as an emergency; effective upon filing (Register 77, No. 14).
2. Certificate of Compliance filed 7-19-77 (Register 77, No. 30).
3. Repealer filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
§1503.4. Terminology. [Repealed]
History

HISTORY

1. Repealer filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
Article 4. Definitions [Repealed]
HISTORY

1. Amendment filed 8-18-78 as an emergency; effective upon filing (Register 78, No. 33).
2. Reinstatement of section as it existed prior to emergency amendment filed 8-18-78 by operation of Section 11422.1(b), Government Code (Register 79, No. 3).
3. Amendment refiled 1-19-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 3).
4. Amendment filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
5. Repealer of article 4 (sections 1504-1504.29) filed 8-5-2004; operative 9-4-2004 (Register 2004, No. 32).
Article 5. General Procedures and Timelines
§1505. Timely Compliance.
Note     •     History

(a) Circulation to the Commission: A lead agency shall submit to the Commission all notices of preparation, draft environmental documents, and final environmental documents for any projects for which the Commission will later be asked to allocate state or federal funds; agencies submitting environmental documents for Commission review shall send the executive summary to each individual Commissioner and one copy of the complete document to Commission staff at its office in Sacramento for purposes of agenda calendaring, staff review, and transmittal of responses, and must send a copy of the complete document to any Commissioner who requests one.
(b) Commission review procedure: The Commission itself reviews environmental documents, and authorizes the Executive Director subsequently to send comments and file notices of determination; the Commission may receive and consider recommendations from its staff.
(c) Commission timelines: The Commission generally meets every five weeks with meeting agenda published 10 days before each meeting; the Commission typically will calendar and review environmental documents on its next available agenda following receipt of those documents, which requires lead time of 15 days before scheduled meetings, and yields a typical response time from the Commission of 20 to 60 days following receipt of documents.
NOTE

Authority cited: Section 21082, Public Resources Code. Reference: Section 75, Streets and Highways Code; and Sections 21102 and 21104, Public Resources Code.
HISTORY

1. Repealer and new section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Amendment of article heading, subsection (a) and Note filed 8-5-2004; operative 9-4-2004 (Register 2004, No. 32).
§1505.0.1. Lead Agency CEQA Time Limits. [Repealed]
Note     •     History

NOTE

Authority cited: Section 21082, Public Resources Code. Reference: Sections 21000 through 21174, Public Resources Code.
HISTORY

1. New section filed 8-18-78 as an emergency; effective upon filing (Register 78, No. 33).
2. Repealed by operation of Section 11422.1(c), Government Code, effective 12-16-78 (Register 79, No. 3).
3. New section refiled 1-19-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 3).
4. Repealer filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
§1505.0.2. Responsible Agency CEQA Time Limits. [Repealed]
Note     •     History

NOTE

Authority cited: Section 21082, Public Resources Code. Reference: Sections 21000 through 21174, Public Resources Code.
HISTORY

1. New section filed 8-18-78 as an emergency; effective upon filing (Register 78, No. 33).
2. Repealed by operation of Section 11422.1(c), Government Code, effective 12-16-78 (Register 79, No. 3).
3. New section refiled 1-19-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 3).
4. Repealer filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
§1505.1. Responsibility of Office of Planning and Research (OPR). [Repealed]
Note     •     History

NOTE

Authority cited: Section 21082, Public Resources Code. Reference: Sections 21000-21174, Public Resources Code.
HISTORY

1. Amendment filed 3-30-77 as an emergency; effective upon filing (Register 77, No. 14).
2. Certificate of Compliance filed 7-19-77 (Register 77, No. 30).
3. New subsection (c) filed 8-18-78 as an emergency; effective upon filing (Register 78, No. 33).
4. Repealer of subsection (c) by operation of Section 11422.1(c), Government Code, effective 12-16-78 (Register 79, No. 3).
5. New subsection (c) refiled 1-19-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 3).
6. Repealer filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
§1505.2. Responsibility of Resources Agency. [Repealed]
History

HISTORY

1. Repealer filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
§1505.3. Fees. [Repealed]
History

HISTORY

1. Repealer filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
Article 6. Projects Which May Not Require an EIR or ND [Repealed]
HISTORY

1. Repealer of article 6 (sections 1506-1506.6) and section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
Article 7. Projects Controlled by Federal, State, and Local Agencies [Repealed]
HISTORY

1. Amendment of subsections (a), (b), (e) and (f) filed 3-30-77 as an emergency; effective upon filing (Register 77, No. 14).
2. Certificate of Compliance filed 7-19-77 (Register 77, No. 30).
3. Repealer of article 7 (sections 1507-1507.1) and section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
Article 8. Lead Agency [Repealed]
HISTORY

1. Amendment filed 3-30-77 as an emergency; effective upon filing (Register 77, No. 14).
2. Certificate of Compliance filed 7-19-77 (Register 77, No. 30).
3. Amendment filed 8-18-78 as an emergency; effective upon filing (Register 78, No. 33).
4. Reinstatement of section as it existed prior to emergency amendment filed 8-18-78 by operation of Section 11422.1(b), Government Code (Register 79, No. 3).
5. Amendment refiled 1-19-78 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 3).
6. Repealer of article 8 (sections 1508-1508.1) and section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
Article 9. Application of the Act to Projects [Repealed]
HISTORY

1. Repealer of article 9 (sections 1509-1509.16) and section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
Article 10. Categorical Exemptions [Repealed]
HISTORY

1. Amendment filed 3-30-77 as emergency; effective upon filing (Register 77, No. 14).
2. Certificate of Compliance filed 7-19-77 (Register 77, No. 30).
3. Repealer of article 10 (sections 1510-1510.13) and section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
Article 11. Contents of Environmental Impact Reports [Repealed]
HISTORY

1. Amendment filed 3-30-77 as an emergency; effective upon filing (Register 77, No. 14).
2. Certificate of Compliance filed 7-19-77 (Register 77, No. 30).
3. Repealer of article 11 (sections 1511-1511.6) and section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
Article 12. Evaluation of Environmental Impact Reports [Repealed]
HISTORY

1. Amendment of subsections (b) and (c) filed 3-30-77 as an emergency; effective upon filing (Register 77, No. 14).
2. Certificate of Compliance filed 7-19-77 (Register 77, No. 30).
3. Repealer of article 12 (sections 1512-1512.4) and section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
Article 13. Litigation [Repealed]
HISTORY

1. New Article 13 (Sections 1513-1513.2) filed 8-18-78 as an emergency; effective upon filing (Register 78, No. 33).
2. Repealer of Article 13 (Sections 1513-1513.2) by operation of Section 11422.1(c), Government Code, effective 12-16-78 (Register 79, No. 3).
3. New Article 13 (Sections 1513-1513.2) refiled 1-19-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 3).
4. Repealer of article 13 (sections 1513-1513.2 and appendices A-D) and section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
Chapter 12. Selection Process for Private Architectural and Engineering Firms
Article 1. General Provisions
§1520. Purpose and Scope.
Note     •     History

The purpose of these regulations is to establish those procedures authorized and required by legal enactments, including the following: 
-- Chapter 1434 of the Statutes of 1974, as amended, which added Chapter 10 (commencing with Section 4525) of Division 5 of Title 1 of the Government Code. 
-- Initiative Measure of 2000 (Proposition 35, § 4, approved November 7, 2000, effective November 8, 2000), which added Chapter 10.1 (commencing with Section 4529.10) of Division 5 of Title 1 of the Government Code. 
-- Article XXII of the California Constitution, which was added by Initiative Measure, and amended the California Constitution. 
Such procedures shall require the securing of services covered under Chapter 10 and Chapter 10.1 of the Government Code on the basis of demonstrated competence and on the professional qualifications necessary for the satisfactory performance of the services required. 
The Department of Transportation is authorized to contract with qualified entities for the services listed in Government Code Section 4529.10. 
The regulations in this chapter are intended to be broad enough to encompass all matters needed for the Department of Transportation to carry out its mission and vision, which include the duties to provide the safest transportation system in the nation for users and workers; optimize transportation system throughput and provide dependable travel times; improve delivery of projects and services; provide mobility choices through strategic partnerships; and, preserve and enhance California's resources and investments. 
NOTE

Authority cited: Section 4526, Government Code; and Article XXII, California Constitution, Sections 1-2. Reference: Sections 4525-4529, Government Code; and Article XXII, California Constitution, Sections 1-2.
HISTORY

1. New section filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40). For prior history, see Register 82, No. 35.
§1520.1. Definitions.
Note     •     History

As used in these regulations:
(a) “Firm” means any individual, firm, partnership, corporation, association, or other legal entity permitted by law to practice the professions of architecture or engineering, as defined in section 1520.1(e) of these regulations.
(b) “Small business” firm is a firm certified as a “small business” in accordance with Section 14837 of the Government Code or its successor provisions. 
(c) “Director” is the Director of the Department of Transportation.
(d) “Department” is the Department of Transportation.
(e) The term “architectural and engineering (hereafter “A&E”) services” shall include all architectural, landscape architectural, environmental, engineering, land surveying, right of way engineering, construction engineering, construction management and project management services, as well as incidental services that members of these professions and those in their employ may logically or justifiably perform, in support of the aforementioned services, including permitting and environmental studies, design phase services, construction phase services, public outreach and meeting facilitation related to the foregoing. “A&E services” shall not include legal services rendered to the Department, provided that nothing in these regulations shall prevent an A&E contractor from consulting legal counsel and including the fees as part of its reasonable overhead. 
(f) “Project” includes a project as defined in Section 10105 of the Public Contract Code, or as defined in Public Resources Code Section 21065. Project shall also include any and all transportation projects and any and all related services including all architectural, landscape architectural, environmental, engineering, land surveying, right of way engineering, construction engineering, construction management and project management services. “Project” also includes “services” which relate to public works of improvement or other similar Department needs. “Services” shall mean any activity described in Section 1520.1(e) including incidental or ancillary services typically, logically or justifiably performed in connection therewith. Such incidental services may include educational, instructional, training, and public outreach services, providing workshops, making presentations and facilitating meetings. Furthermore, “project” means the nature or scope of work being solicited as defined by a statewide announcement and/or Request for Qualifications. 
(g) “RFQ” is an acronym for Request for Qualifications, the solicitation document used to request a Statement of Qualifications of firms that perform A&E services. 
(h) “SOQ” is an acronym for Statement of Qualifications, the response to an RFQ or annual announcement submitted by firms that perform A&E services. 
NOTE

Authority cited: Sections 4526 and 4529.10, Government Code. Reference: Article XXII, California Constitution, Sections 1-2; Sections 4525, 4526, 4527 and 4529.10, Government Code; Section 21065, Public Resources Code; and Section 10105, Public Contract Code..
HISTORY

1. Editorial correction of NOTE filed 12-14-82 (Register 82, No. 51).
2. Amendment of section and Note filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
§1520.2. Annual Announcements for Statement of Qualifications and Performance Data.
Note     •     History

On an annual basis, or more or less frequently as needed by the Department, the Director may request SOQs for specified A&E services by statewide announcement as provided in Section 1520.5 of these regulations. This announcement must, at a minimum, include a description of the project or proposed services, a Department contact, and the date, time and location for submission of SOQs. The announcements may also identify the criteria upon which the award will be made. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Section 4527, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. Editorial correction renumbering Section 1521.1 to Section 1520.2 filed 12-14-82 (Register 82, No. 51).
2. Renumbering of former section 1520.2 to section 1520.3 and new section 1520.2 filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
§1520.3. Establishment of Criteria.
Note     •     History

The Director shall establish criteria which will comprise the basis for the selection of a firm for each project. The criteria shall include such factors as professional excellence, demonstrated competence, specialized experience of the firm, education and experience of key personnel to be assigned, staff capability, workload, ability to meet schedules, nature and quality of completed work, reliability and continuity of the firm and/or subcontractors, location, or other considerations deemed relevant. Such factors shall be weighted by the Director according to the nature of the project, the needs of the state and complexity and special requirements of the specific project.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526, 4527 and 4529.12, Government Code; and Article XXII, California Constitution, Sections 1-2.
HISTORY

1. Editorial correction renumbering Section 1521.3 to Section 1520.3 filed 12-14-82 (Register 82, No. 51).
2. Renumbering of former section 1520.3 to section 1520.4 and renumbering of former section 1520.2 to section 1520.3, including amendment of section and Note filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
§1520.4. Estimate of Value of Services.
Note     •     History

Before any discussion with any firm concerning fees may take place, the Director shall cause an estimate of the value of such services to be prepared. This estimate may be based on such factors as a market survey, comparison with fees paid to other departments' or agencies' contractors for similar services, or comparison with the salaries of comparable positions within the Department, within State service, or within other governmental entities. This estimate shall serve as a guide in determining fair and reasonable compensation for the services rendered. Such estimate shall be, and remain, confidential until approval of contract or abandonment of any further procedure for the services to which it relates. At any time the Director determines the State's estimates to be unrealistic due to rising costs, special conditions, or for other relevant considerations, the estimate shall be reevaluated and modified if necessary. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526, 4528 and 4529.12, Government Code; and Article XXII, California Constitution, Sections 1-2.
HISTORY

1. Editorial correction renumbering Section 1521.4 to Section 1520.4 filed 12-14-82 (Register 82, No. 51).
2. Repealer of former section 1520.4 and renumbering of former section 1520.3 to section 1520.4, including amendment of section and Note filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
§1520.5. Request for Qualification -- Publication of Announcement.
Note     •     History

(a) The Department shall make a statewide announcement of all projects using A&E services through publications of the respective professional societies utilizing one or both of the following options: (1) in a construction journal or other appropriate publications; (2) through electronic communications media which support bulletin boards or Internet web sites that have demonstrated statewide accessibility and are regularly maintained at established addresses by professional organizations which are representative of the services to be procured. Failure of any professional society or construction trade journal to publish the announcement shall not invalidate any contract. 
(b) The announcement shall include information describing the project or services, a Department contact for obtaining RFQs and the due date, time and location for submission of SOQs. The announcement may also identify the criteria upon which the award will be made. 
(c) If the Department has received at least three SOQs from qualified firms through the annual announcement issued pursuant to Section 1520.2, the Director may waive the statewide announcement required in subdivision (a) of this section. 
(d) The Director shall disseminate RFQs to those firms responding to the announcement and to qualified firms providing SOQs pursuant to Section 1520.2. The RFQs shall include a description of the project, the criteria upon which the award shall be made, the due date, SOQ submission and contract requirements. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4527 and 4529.12, Government Code; and Article XXII, California Constitution, Sections 1-2.
HISTORY

1. Editorial correction renumbering Section 1521.6 to Section 1520.5 filed 12-14-82 (Register 82, No. 51).
2. Renumbering of former section 1520.5 to section 1520.9 and renumbering of former section 1521 to section 1520.5, including amendment of section and Note filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
§1520.6. Selection Process.
Note     •     History

After expiration of the period stated in the announcement prescribed in Section 1520.5, the Director shall evaluate statements of qualifications and performance data that have been submitted to the Department. Discussions shall be conducted with no less than three firms regarding the required service. From the firms with which discussions are held, the Director shall select no less than three, in order of preference, based upon the established criteria, that are deemed to be the most highly qualified to provide the services required. Where three firms cannot be found that could provide the required service, a full explanation including names and addresses of firms and individuals requested to submit qualifications must be entered in the files. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4527, 4528 and 4529.12, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. Editorial correction renumbering and amending Section 1521.7 to Section 1520.6 filed 12-14-82 (Register 82, No. 51).
2. Renumbering of former section 1520.6 to section 1520.10 and new section 1520.6 filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
§1520.7. Negotiation.
Note     •     History

The Director shall attempt to negotiate a contract with the most highly qualified firm. In negotiating fees and executing a contract, the procedure described in Section 6106 of the Public Contract Code (or any successor statute) shall be followed. When the Director is unable to negotiate a satisfactory contract with this firm with fair and reasonable compensation provisions as determined by the procedure set forth in Section 1520.4, negotiations shall be terminated. The Director may then undertake negotiations with the second most qualified firm on the same basis. Failing accord, negotiations shall be terminated. The Director may then undertake negotiations with the third most qualified firm on the same basis. Failing accord, negotiations shall be terminated. Should the Director be unable to negotiate a satisfactory contract at fair and reasonable compensation with any of the selected firms, additional firms may be selected in the manner prescribed and the negotiation procedure continued.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4528 and 4529.12, Government Code; Section 6106, Public Contract Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
§1520.8. Audits.
Note     •     History

Contracts for A&E services are subject to standard accounting practices. The Director may require pre-, interim- and/or post-award financial and performance audits as necessary to ensure contract services are delivered within the agreed schedule and budget. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Section 4529.14, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
§1520.9. Amendments.
Note     •     History

Where the Director determines that a change in the contract is necessary during the performance of the services, the parties may, by mutual consent, in writing, agree to modifications, additions or deletions in the general terms, conditions and specifications for the services involved, including extensions of time, with a reasonable adjustment in the firm's compensation. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526, 4528 and 4529.12, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. Renumbering of former section 1520.5 to new section 1520.9, including amendment of section and Note filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
§1520.10. Contracting in Phases.
Note     •     History

Where the Director determines it is necessary or desirable for a project to be performed in separate phases, the Director may negotiate a price for the initial phase work. To establish a contract price for the initial portion of phased work, the Director must first determine that the chosen firm is best qualified to perform the entire project. A contract for work to be performed in phases without a negotiated total contract price must provide that the state may, at its option utilize that firm to perform other phases of the work to be later negotiated and reflected in a subsequent written instrument. The procedures established herein with respect to estimates and negotiation as specified herein shall otherwise apply. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Section 4526, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. Renumbering of former section 1520.6 to new section 1520.10, including amendment of section and Note filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
§1520.11. Requirements/Needs Contracts.
Note     •     History

Pursuant to the Department's authority as set forth in Article XXII of the California Constitution, the Director may identify the general need for A&E services to assist in its overall mission and may enter into contracts for such services through a requirements contract, also commonly known as an “on-call” contract. Requirements contracts will provide a process for the development and execution of task orders for defined as-needed A&E work. Rates for such work shall be specified in a rate schedule to be attached to the original contract provided that rates may be modified and categories of work added by mutual agreement of the parties. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Section 4526, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
§1520.12. Emergencies.
Note     •     History

Where the Director determines that an emergency exists, the Director may negotiate a contract for such services, including amendments, without the necessity of issuing a Request for Qualifications or following the selection provisions set forth in this Article. For purposes of this section, “emergency” is defined as a sudden, unexpected occurrence that poses a clear and imminent danger, requiring immediate action to prevent or mitigate the loss or impairment of life, health, property, or essential public services.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4525-4529.5 and 14120, Government Code; Section 1102, Public Contract Code; Sections 92 and 94, Streets and Highways Code; Article XXII, California Constitution, Sections 1-2; Professional Engineers in California Government v. Department of Transportation (1993) 13 Cal. App. 4th 585, 597; Los Angeles Dredging Co. v. City of Long Beach (1930) 210 Cal. 348, 354-355; Los Angeles Gas & Electric Corp. (1922) 188 Cal. 307, 319; and Grayden v. Pasadena Redevelopment Agency (1980) 104 Cal App. 3d 631, 635-637.
HISTORY

1. New section filed 3-5-2007; operative 4-4-2007 (Register 2007, No. 10).
§1520.13. Director's Power to Require Bids.
Note     •     History

Where the Director determines that the services needed are technical in nature and involve little professional judgment and that requiring bids would be in the public interest, a contract may be awarded on the basis of bids rather than by following the foregoing procedures for requesting qualifications and negotiation. 
NOTE

Authority cited: Section 4526, Government Code; and Article XXII, California Constitution, Section 1. Reference: Section 4529, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
§1520.14. Prohibited Practices and Conflict of Interest.
Note     •     History

(a) Practices which might result in unlawful activity, including but not limited to rebates, kickbacks, or other unlawful consideration are strictly prohibited. The Department shall require a contract entered into pursuant to this chapter to include a provision in which the firm certifies that the contract was not obtained through rebates, kickbacks, or other unlawful considerations either promised or paid to a Department employee. In addition to any other applicable legal proscriptions, failure to adhere to the certification may be cause for contract termination and recovery of damages under the rights and remedies due the Department under the default provision of the contract. 
(b) A Department employee shall not participate in the selection process if the employee has a relationship, as specified in Section 87100 of the Government Code, with a firm seeking a contract subject to this chapter. 
(c) Nothing in this chapter shall be construed to abridge the obligation of the Department or the firm to comply with all laws regarding political contributions, conflicts of interest, or unlawful activities. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526, 4529.12 and 87100, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
§1520.15. Small Business Participation.
Note     •     History

The Director shall encourage small business firms to become certified through the State Department of General Services and to subscribe to the California State Contracts Register for advertisement notifications. The Director shall participate in outreach programs to provide small business with information on Departmental contracting opportunities.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4527, Government Code; and Article XXII, California Constitution, Sections 1-2.
HISTORY

1. Renumbering of former section 1521.9 to new section 1520.15, including amendment of section and Note filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
§1521. Publication of Announcement.
Note     •     History

NOTE

Authority cited: Section 4526, Government Code. Reference: Section 4527, Government Code.
HISTORY

1. Editorial correction (Register 76, No. 24).
2. Order of Repeal of subsection (a) filed 8-26-82 by OAL pursuant to Government Code Section 11349.7(j) (Register 82, No. 35).
3. Editorial correction adding NOTE filed 8-8-85; effective thirtieth day thereafter (Register 85, No. 32).
4. Renumbering of former section 1521 to section 1520.5 filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
§1521.1. Establishment of Criteria.
Note     •     History

NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4527, Government Code.
HISTORY

1. Editorial correction (Register 76, No. 24).
2. Editorial correction renumbering Section 1521.1 to Section 1520.2 filed 12-14-82 (Register 82, No. 51).
§1521.2. Selection of Architects or Engineers.
History

HISTORY

1. Order of Repeal filed 8-26-82 by OAL pursuant to Government Code Section 11349.7(j) (Register 82, No. 35).
§1521.3. Estimate of Value of Services.
Note     •     History

NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4527, Government Code.
HISTORY

1. Editorial correction renumbering Section 1521.3 to Section 1520.3 filed 12-14-82 (Register 82, No. 51).
§1521.4. Abandonment of Estimate.
Note     •     History

NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4527, Government Code.
HISTORY

1. Editorial correction renumbering Section 1521.4 to Section 1520.4 filed 12-14-82 (Register 82, No. 51).
§1521.5. Negotiation.
History

HISTORY

1. Order of Repeal filed 8-26-82 by OAL pursuant to Government Code Section 11349.7(j) (Register 82, No. 35).
§1521.6. Amendments.
Note     •     History

NOTE

Authority cited: Section 4526, Government Code. Reference: Section 4526, Government Code.
HISTORY

1. Editorial correction renumbering Section 1521.6 to Section 1520.5 filed 12-14-82 (Register 82, No. 51).
§1521.7. Contracting in Phases.
Note     •     History

NOTE

Authority cited: Section 4526, Government Code. Reference: Section 4526, Government Code.
HISTORY

1. Editorial correction renumbering and amending Section 1521.7 to Section 1520.6 filed 12-14-82 (Register 82, No. 51).
§1521.8. Director's Power to Require Bids.
History

HISTORY

1. Order of Repeal filed 8-26-82 by OAL pursuant to Government Code Section 11349.7(j) (Register 82, No. 35).
§1521.9. Small Business Participants.
Note     •     History

NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4527, Government Code.
HISTORY

1. Editorial correction adding NOTE filed 8-8-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Renumbering of former section 1521.9 to new section 1520.15 filed 10-2-2006; operative 11-1-2006 (Register 2006, No. 40).
Chapter 13. Grade Separation Projects--Applications for Allocation or Supplemental Allocations
Article 1. Applications
§1552. Last Date to File.
Note     •     History

April 1 of each fiscal year is the last date on which applications for allocation of grade separation funds in that fiscal year can be filed; provided, however, if April 1 is a Saturday, Sunday, or a State of California holiday, then the last date of filing shall be the next business day following April 1. Filing is accomplished by filing the application with the Department of Transportation in the manner hereafter stated.
NOTE

Authority and reference cited: Sections 2450-2461, Streets and Highways Code; and City of San Marcos v. California Highway Commission, 60 Cal. App. 3d 383.
HISTORY

1. New Subchapter 13 (Sections 1550-1559) filed 2-9-77; effective thirtieth day thereafter (Register 77, No. 7).
2. Editorial correction repealing Article 1 (Sections 1550 and 1551) and renumbering Article 2 (Sections 1552-1556) to Article 1 (Sections 1552-1556) filed 8-18-82 (Register 82, No. 34).
§1553. Place to File.
Note     •     History

The complete application in triplicate must be received in the Office of the District Director of Transportation, State of California, in the transportation district in which the applicant is located, no later than 4:00 p.m. on the last day for filing.
NOTE

Authority and reference cited: Sections 2450-2461, Streets and Highways Code; and City of San Marcos v. California Highway Commission, 60 Cal. App. 3d 383.
HISTORY

1. Editorial correction of NOTE filed 8-18-82 (Register 82, No. 34).
§1554. Contents of Application.
Note     •     History

The complete application must include a written request for an allocation in a specified monetary amount along with copies of each of the following attached to it:
(a) All necessary orders of the Public Utilities Commission of the State of California. Necessary orders of the Public Utilities Commission include:
(1) An order authorizing construction of the project;
(2) A statement of the applicant's position on the annual priority list established by the Public Utilities Commission pursuant to Streets and Highways Code Section 2452;
(3) In case the applicant and affected railroad or railroads cannot agree as to the apportionment of the cost of the project between them, an order apportioning such cost pursuant to Public Utilities Commission Code Section 1202.5, but in no case shall an allocation be made unless the railroad or railroads contribute no less than the amount required by Section 2454 of the Streets and Highways Code, except as may be otherwise provided by law.
(b) All necessary agreements with the affected railroad or railroads fully executed by railroad or railroads and applicant. The necessary agreements with the railroad include:
(1) Permission to enter upon railroad right of way for construction, or, in lieu thereof, an order of the Public Utilities Commission or of a court of competent jurisdiction authorizing such entry for construction purposes;
(2) A description of the project on a plan setting forth the area and items of the project and the particular area and items of the project to which the railroad or railroads agree to contribute;
(3) the percentage of railroad's or railroads' contribution to the cost of the area and items to which railroad or railroads agree to contribute;
(4) Identification and estimated cost of the area and items to which railroad or railroads do not contribute;
(5) Agreement that railroad or railroads shall contribute a minimum of 10 percent of the cost of the project without a maximum dollar limitation on the railroad's contribution, except that the contribution may be less than 10 percent of the cost of the project where expressly so provided by law.
(6) When two or more railroads are affected by a project, their combined contribution must be a minimum of 10 percent of the cost of the project without a maximum dollar limitation on the combined contribution, except that such combined contribution may be less than 10 percent of the cost of the project when expressly so provided by law.
(c) A certified resolution by the applicant's governing body authorizing the filing of an application.
(d) Certified resolution by the applicant's governing body stating that all matters prerequisite to the awarding of the construction contract can be accomplished within two years after the allocation of the funds for the project by the California Transportation Commission.
(e) A certified resolution by applicant's governing body stating that sufficient local funds will be made available as the work of the project progresses.
(f) Copies of all necessary Environmental Impact Reports or Negative Declarations, with a certified Notice of Determination and approval or acceptance of these documents by the Lead Agency. In cases where an Environmental Impact Statement or Negative Declaration has been prepared for the project pursuant to the requirements of the National Environmental Policy Act of 1969 and implementing regulations thereto, such documents may be submitted in lieu of an approved Environmental Impact Report or Negative Declaration and Notice of Determination, provided the Environmental Impact Statement or Negative Declaration fully develops the factors required in Title 14, Section 15143, of the State Administrative Code including Title 20, Section 17.1(d)(2), of the State Administrative Code, and such Environmental Impact Statement or Negative Declaration has received Federal approval.
(g) General plan of the project, including profiles and typical sections.
(h) Project cost estimate, which is to be broken down to construction, preliminary and construction engineering, work by railroad forces, right of way costs, and utility relocation.
NOTE

Authority cited: Sections 2455 and 2456, Streets and Highways Code; and City of San Marcos v. California Highway Commission, 60 Cal. App. 3d 383. Reference: Sections 2453, 2454, 2455, 2456, 2460, 2460.5 and 2460.7, Streets and Highways Code.
HISTORY

1. Editorial correction of subsection (d) filed 8-18-82; effective thirtieth day thereafter (Register 82, No. 34).
2. Amendment of subsection (d) and Note filed 5-14-2009; operative 5-14-2009  pursuant to Government Code section 11343.4 (Register 2009, No. 20).
§1555. Project Limitation.
Note     •     History

Participation of the grade separation fund is limited to only that portion of the project which, in the determination of the California Transportation Commission, is necessary to make the grade separation operable and to effect the separation of grades between the highway and the railroad track or tracks, or necessary to effect the relocation of track or highway. Off-track maintenance roads shall be nonparticipating unless the existing access for maintenance purposes is severely impaired by the project. Participating items include, but are not limited to, approaches, ramps, connections, drainage, erosion control of slopes, such as ivy, iceplant, and rye grass, and preconstruction costs, such as right of way acquisition, preparation of environmental impact reports and utility relocation, necessary to make the grade separation operable. In any dispute as to scope of project or qualification of an item, the decision of the California Transportation Commission shall be conclusive.
NOTE

Authority and reference cited: Sections 2450-2461, Streets and Highways Code; and City of San Marcos v. California Highway Commission, 60 Cal. App. 3d 383.
HISTORY

1. Editorial correction filed 8-18-82 (Register 82, No. 34).
§1556. Allocation Limitation.
Note     •     History

Initial allocation of grade separation funds by the California Transportation Commission shall be limited to that based upon applicant's estimate of cost of project specified by applicant and utilized by the Public Utilities Commission of the State of California in establishment of applicant's priority pursuant to Streets and Highways Code Section 2452 of the State of California. A planned project must be a complete and operable project, and effect the separation of grades, relocation of the highway or railroad, in order to qualify for an allocation.
NOTE

Authority cited: Sections 2455 and 2456, Streets and Highways Code; and City of San Marcos v. California Highway Commission, 60 Cal. App. 3d 383. Reference: Sections 2453, 2454, 2455, 2456, 2460, 2460.5 and 2460.7, Streets and Highways Code.
HISTORY

1. Editorial correction filed 8-18-82 (Register 82, No. 34).
2. Amendment of section and Note filed 5-14-2009; operative 5-14-2009  pursuant to Government Code section 11343.4 (Register 2009, No. 20).
Article 2. Supplemental Allocations
§1557. Last Date to File.
Note     •     History

The last date on which an application for a supplemental allocation can be filed for the subsequent fiscal year is May 1 of the current calendar year. If May 1 is a Saturday, Sunday, or a State of California holiday, then the last date of filing shall be the next business day following May 1. A formal application must be filed by the applicant, accompanied with the project final report.
NOTE

Authority and reference cited: Sections 2450-2461, Streets and Highways Code; and City of San Marcos v. California Highway Commission, 60 Cal. App. 3d 383.
HISTORY

1. Editorial correction renumbering Article 3 (Sections 1557-1559) to Article 2 (Sections 1557-1559) filed 8-18-82 (Register 82, No. 34).
§1558. Place to File.
Note     •     History

The complete application in triplicate must be received in the Office of the District Director of Transportation, State of California, in the transportation district in which the applicant is located, no later than 4:00 p.m. on the last day for filing.
NOTE

Authority and reference cited: Sections 2450-2461, Streets and Highways Code; and City of San Marcos v. California Highway Commission, 60 Cal. App. 3d 383.
HISTORY

1. Editorial correction of NOTE filed 8-18-82 (Register 82, No. 34).
§1559. Contents of Application.
Note     •     History

The application must include a written request for a supplemental allocation in a specified amount along with copies of each of the following attached thereto.
(a) A certified resolution by the applicant's governing body certifying that:
(1) Applicant has authority to make request for supplemental allocation;
(2) The project has been completed and has been accepted by the governing body;
(3) The actual and final cost of the project has been determined and is set forth in the supplemental application;
(4) All costs set forth in the request for a supplemental allocation were necessary to make the grade separation operable and effect the separation of grades or the relocation of track or highway.
(5) That railroad or railroads have contributed 10 percent of the cost of the project unless a lesser contribution is expressly provided by law.
(b) Evidence that funds would have been allocated for the project had the actual cost been used by the Public Utilities Commission of the State of California in determining the project's ranking on the priority list.
(c) A final accounting of the cost of the project with a statement explaining in detail why the original allocation was not sufficient. 
NOTE

Authority and reference cited: Sections 2450-2461, Streets and Highways Code; and City of San Marcos v. California Highway Commission, 60 Cal. App. 3d 383.
HISTORY

1. Editorial correction of NOTE filed 8-18-82 (Register 82, No. 34).
Chapter 14. Department of Transportation--Conflict of Interest Code
Article 1. Conflict of Interest Code
NOTE: It having been found, pursuant to Government Code Section 11409(a), that the printing of the regulations constituting the Conflict of Interest Code is impractical and these regulations being of limited and particular application, these regulations are not published in full in the California Code of Regulations. The regulations are available to the public for review or purchase at cost at the following locations:

DEPARTMENT OF TRANSPORTATION
1120 N STREET
SACRAMENTO, CA 95814

FAIR POLITICAL PRACTICES COMMISSION
1100 K STREET
SACRAMENTO, CA 95814

ARCHIVES
SECRETARY OF STATE
1020 O STREET
SACRAMENTO, CA 95814
The Conflict of Interest Code is designated as Chapter 14, Division 2, of Title 21 of the California Code of Regulations, and consists of sections numbered and titled as follows:

	Chapter 14. Department of Transportation--Conflict of Interest Code

	Section
	1575.	General Provisions
		Appendix
NOTE

Authority cited: Sections 87300 and 87304, Government Code. Reference: Sections 87300, et seq., Government Code.
HISTORY

1. New Subchapter 14 (Sections 1575-1584 and Exhibits A-D) filed 12-15-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 10-4-77 (Register 77, No. 51).
2. Repealer of Subchapter 14 (Article 1, Sections 1575-1584 and Exhibits A-D) and new Subchapter 2 (Section 1575 and Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
3. Editorial correction of History Notes Nos. 1 and 2 (Register 82, No. 30).
4. Amendment of Appendix filed 7-23-82; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 5-3-82 (Register 82, No. 30).
5. Amendment of Appendix filed 2-15-2008; operative 3-16-2008. Approved by Fair Political Practices Commission 1-25-2008  (Register 2008, No. 7). 
Chapter 15. Nonurbanized Public Transportation
Article 1. Applicability
§1650. Applicability.
Note     •     History

These regulations are applicable to the Federal formula grant program for nonurbanized areas provided for under Section 18 of the Urban Mass Transportation Act of 1964, as amended. These regulations specify how Section 18 funds are made available in California. They supplement, and do not supersede, Federal regulation of the program. 
NOTE

Authority cited: Section 14031, Government Code; and Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614). Reference: Section 14031, Government Code; Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614); and Urban Mass Transportation Administration Circular 9040.1.
HISTORY

1. Repealer of Article 1 (Section 1650) and new Article 1 (Section 1650) filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
Article 2. Definitions
§1651. A-95 Process. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14031 and 14033, Government Code. Reference: Sections 14031 and 14033, Government Code.
HISTORY

1. Repealer filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1652. Applicant.
Note     •     History

“Applicant” means Indian Tribes, the State of California and its subdivisions including local public agencies authorized to provide public transportation services under State law.
The State of California and its subdivisions shall also include, but not be limited to, the State Universities and Colleges, the University of California and any wholly owned or controlled nonprofit corporation of these subdivisions.
The local public agencies shall include cities, counties, special districts and any wholly owned or controlled nonprofit corporation thereof.
NOTE

Authority cited: Section 14031, Government Code; and Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614). Reference: Section 14031, Government Code; Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614); and Urban Mass Transportation Administration Circular 9040.1.
HISTORY

1. Amendment of NOTE filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1653. Apportionment, County. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14031 and 14033, Government Code. Reference: Sections 14031 and 14033, Government Code.
HISTORY

1. Repealer filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1654. Apportionment, State. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14031 and 14033, Government Code. Reference: Sections 14031 and 14033, Government Code.
HISTORY

1. Repealer filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1655. Department.
Note     •     History

“Department” means the California Department of Transportation.
NOTE

Authority cited: Section 14031, Government Code; and Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614). Reference: Section 14031, Government Code: Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614); and Urban Mass Transportation Administration Circular 9040.1.
HISTORY

1. Amendment of NOTE filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1656. Discretionary Reserve, State. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14031 and 14033, Government Code. Reference: Sections 14031 and 14033, Government Code.
HISTORY

1. Repealer filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1657. Eligible Recipients.
Note     •     History

“Eligible recipients” under Section 18 include State agencies, local public bodies, and agencies thereof, private nonprofit organizations, Indian tribes and groups and operators of public transportation services. Eligible recipients who do not qualify as applicants shall contract with applicants in order to obtain funds. Eligible recipients are responsible for obtaining any necessary certificates or permits as their operations may require.
NOTE

Authority cited: Section 14031, Government Code; and Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614). Reference: Section 14031, Government Code; Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614); and Urban Mass Transportation Administration Circular 9040.1.
HISTORY

1. Amendment filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1658. Handicapped Person. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14031 and 14033, Government Code. Reference: Sections 14031 and 14033, Government Code.
HISTORY

1. Repealer filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1659. Nonurbanized Area.
Note     •     History

“Nonurbanized area” means that area not included within the boundaries of an urbanized area as defined by the U.S. Bureau of Census in their latest decennial census.
NOTE

Authority cited: Section 14031, Government Code; and Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614). Reference: Section 14031, Government Code; Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614); and Urban Mass Transportation Administration Circular 9040.1.
HISTORY

1. Amendment of NOTE filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1660. Programming, Local. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14031 and 14033, Government Code. Reference: Sections 14031 and 14033, Government Code.
HISTORY

1. Repealer filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1661. Programming, State. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14031 and 14033, Government Code. Reference: Sections 14031 and 14033, Government Code.
HISTORY

1. Repealer filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1662. Regional Transportation Plan (RTP). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14031 and 14033, Government Code. Reference: Sections 14031 and 14033, Government Code.
HISTORY

1. Repealer filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1663. Transportation Planning Agency (TPA).
Note     •     History

“Transportation planning agency” means the entity designated pursuant to Section 29532 of the Government Code and as supplemented by the County Transportation Commission created pursuant to Division 12 (commencing with Section 130000) of the Public Utilities Code.
NOTE

Authority cited: Section 14031, Government Code; and Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614). Reference: Section 14031, Government Code; Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614); and Urban Mass Transportation Administration Circular 9040.1.
HISTORY

1. Amendment of NOTE filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1664. Section 18.
Note     •     History

“Section 18” means Section 18 of the Urban Mass Transportation Act of 1964 as amended.
NOTE

Authority cited: Section 14031, Government Code; and Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614). Reference: Section 14031, Government Code; Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614); and Urban Mass Transportation Administration Circular 9040.1.
HISTORY

1. Amendment of NOTE filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
Article 3. Roles and Responsibilities
§1665. Applicants.
Note     •     History

The applicant shall develop the project application and supporting documentation in a format determined by the Department. The applicant shall act either as an operator directly or on behalf of a private or private nonprofit provider of public transportation service. Projects may include purchase of service agreements with private providers of public transportation services.
NOTE

Authority cited: Section 14031, Government Code; and Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614). Reference: Section 14031, Government Code; Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614); and Urban Mass Transportation Administration Circular 9040.1.
HISTORY

1. Amendment of NOTE filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1666. Transportation Planning Agencies.
Note     •     History

The transportation planning agency (TPA) shall plan and program all projects that are of local significance within each county for which funds are requested by applicants for this program. If funds from the State Discretionary Reserve are also requested, the TPA shall submit a priority list for projects for the proposed use of these funds. The TPA shall submit the program of projects for the counties within its jurisdiction to the Department.
In the Counties of Los Angeles, Orange, Riverside and San Bernardino, planning and programming roles and responsibilities shall be in accordance with Division 12 (commencing with Section 130000) of the Public Utilities Code.
NOTE

Authority cited: Section 14031, Government Code; and Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614). Reference: Section 14031, Government Code; Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614); and Urban Mass Transportation Administration Circular 9040.1.
HISTORY

1. Amendment of NOTE filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1667. The Department.
Note     •     History

The Department shall provide overall program administration, provide liaison to applicants and transportation planning agencies, provide technical assistance to applicants, give program direction and review of local, regional and State processes, receive and review project applications, aid applicants in carrying out their project responsibilities, provide coordination for interregional projects, make application and provide liaison to the U.S. DOT on behalf of all accepted applicants through submittal of a unified State program of projects, resolve issues common to all applicants and represent the best interest of the local operators and the State to the Federal Government, execute agreements to implement projects, and arrange for payment of invoices.
NOTE

Authority cited: Section 14031, Government Code; and Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614). Reference: Section 14031, Government Code; Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614); and Urban Mass Transportation Administration Circular 9040.1.
HISTORY

1. Amendment filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1668. Director.
Note     •     History

The Director of the Department shall be responsible for final decisions resolving conflicts or appeals on local, regional, or State decisions.
NOTE

Authority cited: Section 14031, Government Code; and Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614). Reference: Section 14031, Government Code; Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614); and Urban Mass Transportation Administration Circular 9040.1.
HISTORY

1. Amendment of NOTE filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
Article 4. Funding
§1670. Distribution of Funds.
Note     •     History

The Department shall distribute the State's annual apportionment of Section 18 funds as follows:
(a) Up to fifteen percent (15%) for program administration and technical assistance in accordance with Section 18.
(b) Up to twenty percent (20%) to the State Discretionary Reserve for the Department to distribute to capital or operating assistance projects that exceed a region's ability to fund, to projects that are multi-regional in nature, or to projects that address statewide interest or concerns as determined by the Department. Criteria for selection of the projects shall include such items as Statewide significance, use of other available funding, local support, ranking of projects by the TPA, relation of project to local needs and other similar criteria.
(c) Not less than sixty-five percent (65%) for county apportionments for capital or operating assistance projects. The county apportionment shall be calculated on the basis of the latest Federal decennial census of the nonurbanized area population that, for any county that is entirely nonurbanized area, the county apportionment shall not be less than $15,000 per year. County apportionments for a multi-county transportation planning agency shall be treated as a single apportionment. These apportionments shall be programmed exclusively by the TPA for projects selected by the TPA, subject to meeting the applicable State and Federal regulations. In order for an applicant to qualify for the State Discretionary Reserve for a project, all county apportionment funds available to that county for the current fiscal year shall be programmed.
NOTE

Authority cited: Section 14031, Government Code; and Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614). Reference: Section 14031, Government Code; Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614); and Urban Mass Transportation Administration Circular 9040.1.
HISTORY

1. Amendment filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1674. Redistribution Process.
Note     •     History

Any amount of a county apportionment for which a completed project application has not been received by the Department by the end of the State Fiscal Year after its original availability (e.g., by June 30, 1985, for funds from the 1983-84 apportionment) shall be redistributed to the State Discretionary Reserve.
NOTE

Authority cited: Section 14031, Government Code; and Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614). Reference: Section 14031, Government Code; Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614); and Urban Mass Transportation Administration Circular 9040.1.
HISTORY

1. Amendment filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1675. Special Redistribution of County Apportionments. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14031 and 14033, Government Code. Reference: Sections 14031 and 14033, Government Code.
HISTORY

1. Repealer filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
Article 5. Project Funding
§1676. Project Funding.
Note     •     History

Funds made available for projects under subsections (b) and (c) of Section 1670 may be used for public transportation projects which are included in a State program of projects for public transportation in areas other than urbanized areas. The Federal share for any construction or capital project under this Section shall not exceed eighty percent(80%) of the net cost of such construction or capital project. The Federal share for any project for the payment of financial assistance for operating expenses as defined by the United States Department of Transportation shall not exceed fifty percent (50%) of the net cost of such operating expense project. At least fifty percent (50%) of the remainder of the net cost for both capital and operating projects shall be provided in cash, or cash equivalent from sources other than Federal funds or revenues from the operation of public mass transportation systems. Up to fifty percent (50%) of the remainder of the net cost may be made up of unrestricted funds from other Federal programs.
NOTE

Authority cited: Section 14031, Government Code; and Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614). Reference: Section 14031, Government Code; Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614); and Urban Mass Transportation Administration Circular 9040.1.
HISTORY

1. Amendment filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
§1677. Use of Other Federal Funds.
Note     •     History

Applicants that have used funds pursuant to Section 5 or Section 9 of the Urban Mass Transportation Act in the past for services that extend into nonurbanized areas shall continue to use these Section 5 or Section 9 funds for these purposes as long as the services are appropriate for the area. Section 18 funds shall be used only for new or expanded services in these nonurbanized areas.
NOTE

Authority cited: Section 14031, Government Code; and Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614). Reference: Section 14031, Government Code; Section 18 of the Urban Mass Transportation Act of 1964 (49 USC 1614); and Urban Mass Transportation Administration Circular 9040.1
HISTORY

1. Amendment filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
Article 6. Planning [Repealed]
NOTE

Authority cited: Sections 14031 and 14033, Government Code. Reference: Sections 14031 and 14033, Government Code.
HISTORY

1. Repealer of Article 6 (Sections 1678 and 1679) filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
Article 7. Programming [Repealed]
NOTE

Authority cited: Sections 14031 and 14033, Government Code. Reference: Sections 14031 and 14033, Government Code.
HISTORY

1. Repealer of Article 7 (Sections 1680 and 1681) filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
Article 8. Implementation [Repealed]
NOTE

Authority cited: Sections 14031 and 14033, Government Code. Reference: Sections 14031 and 14033, Government Code.
HISTORY

1. Repealer of Article 8 (Sections 1685 and 1686) filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
Article 9. Accounting, Reporting, and Auditing [Repealed]
NOTE

Authority cited: Sections 14031 and 14033, Government Code. Reference: Sections 14031 and 14033, Government Code.
HISTORY

1. Repealer of Article 9 (Sections 1688 and 1689) filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
Article 10. Settlement of Conflicts [Repealed]
NOTE

Authority cited: Sections 14031 and 14033, Government Code. Reference: Sections 14031 and 14033, Government Code.
HISTORY

1. Repealer of Article 10 (Section 1690) filed 1-17-85; effective thirtieth day thereafter (Register 85, No. 3).
Chapter 16. Compatibility Specifications for Automatic Vehicle  Identification Equipment
Article 1. Summary of Key Compatibility Specifications for Automatic Vehicle Identification Equipment
§1700. Summary.
Note     •     History

The compatibility specifications for automatic vehicle identification (AVI) equipment have been developed around two principal components: a reader and a transponder. The minimum role of the reader is to:
1) trigger or activate a transponder.
2) poll the transponder for specific information, and
3) provide an acknowledge message to the transponder after a valid response to the polling message has been received.
A half-duplex communications system is envisioned where the transponder takes its cues from the reader.
The specification is meant to define a standard two way communications protocol and to further define an initial set of data records.
A summary of the key compatibility specifications found in this Chapter are set forth below:

Reader Specifications:

Reader Trigger Signal	33 microseconds of unmodulated RF
Reader Send Mode (Downlink)

Carrier Frequency:	915 ± 13 MHz (subject to FCC assignment)
Carrier Modulation:	Unipolar ASK (Manchester Encoded)
Data Bit Rate:	300 kbps
No. Data Bits:	Application Specific
Field Strength
 at Transponder Antenna:	500 mV/m (minimum)

Transponder Specifications:

Technology Type:	Modulated Backscatter
Transponder Antenna Polarization:	Horizontal
Field-of-View:	Operation within 90o conical angle
Location:	Front of Vehicle
Transponder Send Mode (Uplink)
Carrier Frequency:	Same as Reader Send Mode
Carrier Modulation:	Subcarrier AM
Subcarrier Modulation:	FSK
Subcarrier Frequencies:	600 kHz ± 10% and 1200 kHz ± 10%
Data Bit Rate:	300 kbps
No. Data Bits:	Application Specific
Receiver Field-Strength
  Threshold:	500 mV/m ± 50 mV/m (minimum)
Note: All mV/m specifications are in RMS voltage.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New chapter 16, articles 1-4 and sections 1700-1705.8, not consecutive filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
2. Amendment filed 5-1-98; operative 5-31-98 (Register 98, No. 18).
§1701. Definition of Technical Terms.
Note     •     History

The following are definitions of technical terms used throughout this Chapter:
(a) AM - Amplitude modulation
(b) ASK - Amplitude shift keying
(c) BCC - Block check character
(d) CRC - Cyclic redundancy check
(e) CW - Continuous wave
(f) EIRP - effective isotropically radiated power = gain x net power
(g) EM - Electromagnetic
(h) FCC - Federal Communications Commission
(i) FSK - Frequency-shift keying
(j) ID - Device identification
(k) kbps - kilobits per second
(l) kHz - kilohertz (103 hertz)
(m) kph - kilometer per hour
(n) MHz - megahertz
(o) m/Vm - milliVolts/meter
(p) Reader - A fixed-position reader, associated transmit and receive (Tx/Rx) antenna(s), and modulation and demodulation hardware and software.
(q) RF - Radio frequency
(r) Transponders - Electronic devices that contain information which can be communicated to the reader. The transponders may have the capability to read and write information.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
2. Amendment of subsections (c)-(e), new subsection (o), subsection relettering, and amendment of newly designated subsection (r) filed 5-1-98; operative 5-31-98 (Register 98, No. 18).
Article 2.0. Introduction
§1702.1. Objectives.
Note     •     History

This chapter defines the compatibility requirements for automatic vehicle identification (AVI) equipment. Supplemental agency (e.g., toll authority) specifications will detail the technical, environmental, and operational specifics for each site implementation. The immediate mandate for this compatibility specification is for electronic toll collection.
AVI equipment will essentially consist of two functional elements: vehicle-mounted transponders and fixed-position reader units.
The specification is meant to define a standard communications protocol and to further define an initial set of data records. The initial data records are designed for voluntary implementations of electronic toll collection.
It is further envisioned that more complex data records will be developed to handle anonymous transactions, secure funds transfers, information transfers, and other transactions between the reader and the transponder that will be defined as needed. The transponders may have the capability to read and write information. Caltrans shall function as the standards monitoring authority to authorize the use of new record types and to assign record type numbers to newly authorized records. Caltrans shall pass this responsibility to an appropriate standards setting organization when one is established and recognized with Caltrans retaining representation in the standards setting organization.
Nothing in these regulations shall preclude the addition of functions and technologies to the transponder and/or reader systems.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
2. Amendment adding last sentence filed 2-16-93; operative 3-18-93 (Register 93, No. 8).
3. Amendment of first and fourth paragraphs filed 5-1-98; operative 5-31-98 (Register 98, No. 18).
§1702.2. Organization.
Note     •     History

This chapter consists of four articles. An overview and summary of the key specifications is given in Article 1. Article 2 presents the objectives and definitions for data codes. Articles 3 and 4 provide specifications unique to the reader and transponder respectively.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
§1703. Definitions for Data Codes.
Note     •     History

(a) Agency Code: This 16-bit code field identifies the agency that has authority to conduct the transaction.
(b) Byte Order: Numeric fields shall be transmitted most significant bit first. If a numeric field is represented as multiple bytes, the most significant bit of the most significant byte is transmitted first. This document represents the most significant and first transmitted to the left on a line and to the top of a multi line tabulation.
(c) Error Detection Code: The error detection code utilized in the defined records is the CRC-CCITT, with a generator polynomial of X16+X12+X5+1. This results in a 16-bit BCC transmitted with each data message. The data field protected by the CRC excludes any preceding header in every case.
(d) Filler Bits: Filler bits are used to adjust the data message length to a desired length and shall be set to zero.
(e) Header Code: The header is the first field in each data message for either reader or transponder transmissions and consists of an 8-bit and a 4-bit word for a total of 12 bits. The header provides a signal that may be used by a receiver to self-synchronize (selsyn) with the data being transmitted, thus the notation selsyn. The selsyn signal has binary and hexadecimal values: 10101010 and AA, respectively.
The header code also provides for a unique, 4 bit flag that is recognized by a receiver decoder as the end of the header with the data message to follow. The flag signal has binary and hexadecimal values: 1100 and C respectively.
(f) Reader ID Number: This 32-bit field is used to uniquely identify the reader conducting the transaction.
(g) Transaction Record Type Code: This 16-bit code uniquely identified a specific type of valid transaction between a reader and a transponder. This code uniquely defines the transponder message fields and functions permissible with the transaction type specified by the polling message as described in Section 1704.5(e)(1). Hexadecimal numbers 1 through 7FFF are set aside for transponder message structures and 8000 through FFFF are dedicated for reader-to-transponder message structures.
(h) Transaction Status Code: Used to provide status information to the transponder.
(i) Transponder ID Number: This 32-bit code uniquely identifies which transponder is responding to a polling request or is being acknowledged.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
2. Amendment of subsections (a), (c), (e) and (g) filed 5-1-98; operative 5-31-98 (Register 98, No. 18).
Article 3. Reader Specifications
§1704.1. General.
Note     •     History

The reader will transmit a RF trigger pulse to activate (turn-on) the transponders. After a time delay, the reader then will transmit an encoded signal, referred to as the polling message which, upon detection and decoding by the transponder, will provide initial information to the transponder including the type of transaction the reader wishes to conduct.
The reader will then transmit an unmodulated CW.RF signal for the transponder to modulate with a data message while backscattering to the reader. The reader may repeat the polling-to-backscattering sequence until it obtains an error free data message from the transponder. The reader will then transmit an encoded acknowledge message to the transponder providing status information and requesting that the transponder not respond to the same polling message again for a fixed time period.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
2. Amendment filed 5-1-98; operative 5-31-98 (Register 98, No. 18).
§1704.2. RF Carrier Frequency.
Note     •     History

The RF carrier frequency shall be taken from the 915 MHz ± 13 MHz range. Specific frequency and bandwidth depend upon pending FCC assignment.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
§1704.3. Reader Antenna Specifications.
Note     •     History

(a) Reader Antenna Polarizations.
The reader transmit and receive antennas shall have predominant EM field components that are co-polarized to the horizontal polarization specified for the transponder transmit and receive antennas in section 1705.3(a). Horizontal, linear, circular or elliptical polarizations are allowed.
(b) Reader Antenna Location.
The reader antenna location is site specific.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
2. Amendment of subsection (a) filed 5-1-98; operative 5-31-98 (Register 98, No. 18).
§1704.4. Reader-To-Transponder Trigger Pulse.
Note     •     History

(a) Trigger Pulse Definition.
The reader shall provide a wakeup trigger for the transponder. The trigger shall consist of a 33 microsecond long, RF pulse at the assigned carrier frequency that is modulated with a continuous string of ones. The trigger pulse shall be followed immediately by a delay (i.e., no RF transmission) of 100 microseconds duration. The wakeup pulse is intended to signal a dormant transponder to fully activate itself.
(b) Trigger Pulse Field Strength.
The required horizontal component of field strength produced by the trigger pulse at the maximum downlink range (site dependent) of the reader shall be greater than 500 mV/m.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
§1704.5. Reader Communications Protocol.
Note     •     History

(a) AM Modulation Scheme.
The downlink (reader-to-transponder) modulation scheme shall be unipolar ASK of the RF carrier using Manchester encoding. A data bit `1' is transmitted by sending an RF pulse during the first half of the bit period and no signal during the second half, while for a `0' data bit the reverse order is used; i.e., no signal during the first half of the bit period and an RF pulse transmission during the second half.
(b) Data Bit Rates.
The data bit rate for reader-to-transponder messages shall be 300 kbps.
(c) Field Strength.
The field strength of a reader data message at the transponder shall be greater than 500 mV/m.
(d) Standard Reader Data Message Format.
The standard portion of a reader data message shall consist of a header and transaction record type code. The subsequent length, data content, and error detection scheme shall then be established by the definition for that transaction record type.
(e) Reader Data Message Formats for AVI.
There may be several reader-to-transponder data message formats. The format is determined by the transaction record type code sent by the reader. The following is the reader-to-transponder message format presently specified for AVI electronic toll collection applications:
(1) Reader Transaction Record Type 1 (Polling Message).
The polling message (which follows the 100 microsecond delay after the trigger signal) tells the transponder the type of transaction the reader wishes to conduct. For AVI electronic toll collection applications, reader transaction record type 1 (polling message) also would identify the agency or toll authority. For AVI applications, the reader-to-transponder type 1 polling message shall be structured using the following ordered data bit fields:

Field Definition	No. Bits	Hexadecimal Value

Header Code
 Selsyn	8	AA
 Flag	4	C
Transaction Record Type Code	16	8000
Agency Code	16
Error Detection Code	16
	Total: 60
(2) Reader Transaction Record Type 2 (Acknowledge Message).
A reader-to-transponder acknowledge data message shall be provided to inform specific transponders that they have been successfully processed and to stop responding to further identical reader polling requests. The acknowledge message is used to terminate the transaction, and is only sent if the transaction is successfully completed. Reader transaction record type 2 (acknowledge message) shall consist of the following ordered data bit fields:

Field Definition	No. Bits	Hexadecimal Value

Header
 Selsyn	8	AA
 Flag	4	C
Transaction Record Type Code	16	C000
Transponder ID Number	32
Reader ID Number	32
Transaction Status Code	16
Error Detection Code	16
	Total: 124
(f) Reader End-of-Message Frame.
The end-of-message signal for reader-to-transponder data messages shall consist of a minimum of 10 microseconds of no RF carrier signal. Transponder decoders shall have the ability to detect this condition as an invalid Manchester code.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
2. Amendment of subsections (d)-(f) filed 5-1-98; operative 5-31-98 (Register 98, No. 18).
3. Change without regulatory effect amending subsection (e)(1) filed 7-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 28).
§1704.6. Reader Field Strength for Modulated Backscattering.
Note     •     History

The electric field strength produced by a reader is a function of the EIRP. The EIRP required to detect a modulated backscattered RF signal from a transponder with a reasonably high signal-to-noise ratio is determined by the maximum range to the transponder and the detection sensitivity of the reader receiver plus any gain margin. If the overall gain characteristics of the transponder were held constant, the required EIRP then becomes site dependent.
The electric field strength to accomplish modulated backscattering is expected to be lower than that required for triggering a transponder or for sending a reader data message. Sensitive reader receivers likely will be necessary, however, such as that obtained with homodyne or heterodyne technology.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
Article 4. Transponder Specifications
§1705.1. General Description.
Note     •     History

Transponders will be encoded with unique identification data together with other coded data as described in this section. On passing through any AVI reader zone, the transponder will provide the coded data to the reader only on receipt of a valid reader polling command. Transponders must be capable of being turned on and off as specified herein. Transponders must be capable of two-way data communications. Transponders may be portable. The transponders may have the capability to read and write information.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
2. Amendment filed 5-1-98; operative 5-31-98 (Register 98, No. 18).
3. Change without regulatory effect amending section filed 7-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 28).
§1705.2. Transponder RF Carrier Frequency.
Note     •     History

The transponder RF carrier frequency in a backscatter system is identical to that used by the reader; the frequency will be in the range of 915 MHz ± 13 MHz. The transponder shall be capable of operating over the full ± 13 MHz band to allow site flexibility in reader implementation.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
§1705.3. Transponder Transmit and Receive Antennas.
Note     •     History

(a) Antenna Polarizations.
The transponder transmit and receive antennas shall have EM field components that are predominantly horizontally polarized transverse to normal traffic flow. Horizontal, linear, circular or elliptical polarizations are allowed.
(b) Antenna Field of Views.
The transponder transmit and receive antennas shall have a field of view which is a 90o cone in front of the vehicle. The projection of the horizontal component of the cone's axis shall be parallel to the lane and the vertical component of the cone's axis shall be 35o horizontal.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
2. Amendment of subsection (a) filed 5-1-98; operative 5-31-98 (Register 98, No. 18).
§1705.4. Transponder Activation.
Note     •     History

(a) Activation Timing.
Within 1 millisecond of entry into the reader's modulated RF field, a transponder shall be fully activated and ready to decode the polling message from the reader within 100 microseconds of receipt of a 33 microsecond long modulated RF trigger pulse from the reader.
(b) Activation Timing for Battery Power Management.
As an alternative to 1705.4(a), a delay of 20 additional milliseconds is permissible for a transponder using multiple-stage activation to conserve battery life. Within 21 milliseconds of entry into the reader's modulated RF field, such a transponder shall be fully activated and ready to decode the polling message from the reader within 100 microseconds of receipt of a 33 microsecond long modulated trigger pulse from the reader.
(c) Activation Field Strength.
The transponder receiver shall be capable of recognizing and acting on a trigger signal and polling message when the free-space field strength at the transponder location exceeds 550 mV/m and will not respond to field strengths below 450 mV/m (Electric field strengths are to be measured in free-spece and in the absence of any vehicle). After completion of the polling message, the transponder shall begin modulating and backscattering RF with continuous zero bits. 100 microseconds after completion of the polling message, the transponder shall begin transmitting its message. If a newly activated transponder does not immediately receive a polling message, it shall remain activated and ready to receive a subsequent reader message for at least 20 milliseconds.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
2. Repealer and new section filed 5-1-98; operative 5-31-98 (Register 98, No. 18).
§1705.5. Transponder Communications Protocol.
Note     •     History

(a) Subcarrier Modulation Scheme.
The transponder-to-reader (uplink) modulation scheme shall be amplitude modulation of an RF carrier backscatter created by varying the reflecting crossection of the antenna as seen by the incident carrier signal. The antenna crossection shall be varied between upper and lower limits with a 50 percent duty cycle and rise and fall times of less than 75 nanoseconds. The transponder baseband message signal shall modulate the subcarrier using FSK modulation with a center frequency of 900 kHz and frequency deviation of ± 300 kHz. The lower and upper subcarrier frequencies correspond to data bits `0' and `1' respectively. The message information is conveyed by the subcarrier modulation frequencies of the transponder backscattered signal and not by amplitude or phase.
(b) Data Bit Rates.
The data bit rate for transponder-to-reader data messages shall be 300 kbps.
(c) Field Strength.
The field strength at which a transponder data message is transmitted using backscatter technology is dependent upon the incident field strength from the reader, the transponder receive and transmit antenna gains, and any RF gain internal to the transponder. The transponder and antenna gain taken together shall effect a change in the backscattering cross section of between 45 and 100 square centimeters.
(d) Standard Transponder Data Message Format.
The standard portion of a transponder data message shall consist of a header and transaction record type code. The subsequent length, data content, and error detection scheme shall then be established by the definition for that transaction record type.
(e) Transponder Data Message Formats for AVI Toll Collection.
There may be numerous transponder-to-reader data message formats. The format is determined by the transaction record type code sent by the transponder. The following is the reader-to-transponder message format presently specified for AVI electronic toll collection applications:
(1) Transponder Transaction Type 1 (Data Message).
Transponder transaction type 1 (data message) allows for unencrypted transponder ID numbers to be transmitted. Type 1 (data messages) shall be structured using the following ordered data bit fields:

Field Definition	No. Bits	Hexadecimal Value

Header Code
 Selsyn	8	AA
 Flag	4	C
Transaction Record Type Code	16	1
Transponder ID Number	32
Error Detection Code	16
	Total: 76
(f) Transponder End-of-Message Frame
The End-of-Message signal for transponder data messages shall consist of a minimum of 10 microseconds of no modulation.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
2. Amendment of subsections (d)-(e)(1) filed 5-1-98; operative 5-31-98 (Register 98, No. 18).
§1705.6. Transponder Response to Reader Acknowledge Message.
Note     •     History

The transponder shall discontinue responding to identical reader polling requests for a period of 10 seconds once a valid reader acknowledgement message has been received. The transponder shall, however, respond to polling messages that are not identical to the polling message that lead to the valid acknowledgement.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
2. Amendment filed 5-1-98; operative 5-31-98 (Register 98, No. 18).
§1705.7. Multiple Transponder Responses to a Reader Polling Message.
Note     •     History

Each transponder data message transmittal must be in response to a reader polling message.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
§1705.8. Transponder Positioning.
Note     •     History

Transponders shall be positioned at the front of the vehicle with a clear line of sight to the reader antenna without degrading the performance of the reader-transponder system below minimum specified standards. As a minimum, transponders shall operate up to a maximum of 76cm (30”) offset from the longitudinal center line of the vehicle.
The front of the vehicle shall be defined as that portion of the vehicle from the driver's eyes forward.
NOTE

Authority cited: Section 27565, Streets and Highways Code. Reference: Sections 27564 and 27565, Streets and Highways Code.
HISTORY

1. New section filed 6-26-92; operative 7-27-92 (Register 92, No. 26).
Chapter 18. Junkyard Control [Repealed]
HISTORY

1. New Subchapter 18 (Articles 1-4, Sections 2000-2041, not consecutive) filed 3-11-80; effective thirtieth day thereafter (Register 80, No. 11).
2. Repealer of chapter 18 (articles 1-4, sections 2000-2041) filed 9-16-96; operative 10-16-96 (Register 96, No. 38). For prior history of section 2000, see Register 82, No. 35.
Chapter 19. Placement of Motorist Services Informational Signs Near Highway Exits Along Interstate Route 5
Article 1. Introduction
§2100. Purpose.
Note     •     History

The purpose of these regulations is to establish standards for signs, displays and devices on the motorist services informational signs (LOGO Sign Program) to be erected by the State Department of Transportation in the interest of the traveling public at highway exits within the right-of-way of those portions of highways described in the Streets and Highways Code Section 101.7.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New chapter 19 (articles 1-6, sections 2100-2120) filed 5-18-93; operative 6-17-93 (Register 93, No. 21). For prior history, see Register 81, No. 45.
§2101. Severability.
Note     •     History

If any provisions or clauses of this subchapter or application thereof to any person or circumstance is held invalid, the invalidity does not affect other provisions or applications of the subchapter that can be given effect without the invalid provision or application, and to this end the provisions of this subchapter are severable.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
§2102. Intent.
Note     •     History

The intent of the Department in the adoption of these regulations is to provide guidelines for the placement of motorist services informational signs (LOGO Signs) along those portions of highways described in the Streets and Highways Code Section 101.7.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
§2103. Objective.
Note     •     History

The objective of the LOGO sign program is to inform motorists of specific “FUEL,” “FOOD,” “LODGING,” AND “CAMPING” roadside services available at locations conveniently accessible from a freeway exit.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
§2104. Enforcement.
Note     •     History

The Division of Right of Way of the Department of Transportation and its authorized representatives in each district office are hereby authorized and directed to enforce the provisions of Section 101.7 of the Streets and Highways Code and these regulations and are further authorized and directed to issue and deny permits and to revoke any permit issued for any violation of the statute or these regulations.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
§2105. Construction of Terms.
Note     •     History

The following rules of construction shall apply to all regulations in the subchapter:
(a) “Shall” is mandatory and “may” is permissive.
(b) The singular and the plural shall include the other.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
Article 2. Definitions
§2106. Definitions.
Note     •     History

All terms defined in this subchapter are applicable to terms used in these regulations only. These terms have the following meanings:
(a) Business Sign. A separate sign affixed to a specific informational panel, a Supplemental Directional Panel, or to a trailblazer bearing the name, brand name, trademark, logo or distinctive symbol or any combination of these of a Qualified Motorist Service Business.
(b) Department. The California Department of Transportation and any of its district offices.
(c) Double Exit Interchange. Two off-ramps in the direction of travel from the traveled way which provide access to the local street system on one side of the freeway and by means of a loop road provide access to a grade separation structure to carry traffic across the freeway.
(d) Gore. The area immediately beyond the divergence of the traveled way with the off-ramp, bounded by the edges of pavement of these roadways.
(e) Guide Sign. A general term, which includes among other signs, motorist service signs, used to describe signs which provide directional, route, recreational and roadside service information.
(f) Logo. A single or multicolored symbolic design unique to a product, a business or a service facility; a national, regional or local commercially recognized pictorial reference to a specific product, service or business used as a means of identification of a business's products, services or business.
(g) Motorist services informational sign. A general term which refers only to specific informational panels and Supplemental Directional Panels.
(h) On-site sign. A sign located on the business premises of a Qualified Motorist Service Business which states the name of the business and/or advertises the service provided.
(i) Owner. The holder of fee title or a leasehold estate in the real property upon which a Qualified Motorist Service Business operates and who has authority to enter into and be bound by agreements relevant to matters covered by these regulations.
(j) Qualified Motorist Service Business. A business whose primary and principal source of revenue is from the sale of goods, products, or services which fall within the motorist service categories of “FUEL,” “FOOD,” “LODGING,” and/or “CAMPING” and which in all other respects qualifies for signing under these regulations. In case of a multi-business facility, the business owner is obligated to prove to the Department that more income is generated from one of the qualified businesses listed above than from any of the unqualified businesses.
(k) Responsible Operator. A person or entity other than an owner who has the authority to enter into and be bound by agreements relevant to matters covered by these regulations.
(l) Rural Area. An area outside of an urban area.
(m) Sign Arrangement. Business signs shall be placed on specific informational panels generally having two rows of business signs in order of increasing state measured distance as follows: closes--upper left; second--lower left; third--upper center; fourth--lower center; fifth--upper right; sixth--lower right. For a single row, the business signs shall be placed on the panel in order of increasing distance from left to right.
(n) Single Exit Interchange. An off-ramp in the direction of travel from the traveled way which provides access to the local street system on one side of the freeway and which may also provide, without means of a loop road, access to a grade separation structure to carry traffic across the freeway.
(o) Specific Information Panel. An official panel placed by the Department within the right-of-way in advance of freeway exits in the same manner as other official signs, readable from the traveled way, with the words “FUEL,” “FOOD,” “LODGING,” or “CAMPING” or appropriate combinations thereof, appropriate directional information and with space for one or more individual business signs which may be attached to the panel.
(p) State Measured Distance. The vehicular distance from the gore of the off-ramp which provides the most direct access to the qualified business and the nearest point of intersection of the traveled way of a public road with the nearest driveway of the business premises of the qualified business.
(q) Supplemental Directional Panel. An official panel placed by the Department and located on, opposite, or at the terminus of an off-ramp from the freeway, readable from the off-ramp, with the words “FUEL,” “FOOD,” “LODGING,” or “CAMPING” or appropriate combinations thereof, appropriate directional arrows and with space for one or more individual business signs and individual distance information which may be attached to the panel.
(r) Trailblazer. A directional sign placed by the Department outside the freeway right-of-way to further direct motorists to a Qualified Motorist Service Business whose business sign is displayed on either the specific information panel or the Supplemental Directional Panel, or both.
(s) Traveled Way. The portion of the roadway used for the movement of vehicles, exclusive of shoulders and auxiliary lanes.
(t) Urban Area. A geographic area encompassing a population of 5,000 or more as identified on maps prepared by the department based upon census data developed by the federal Bureau of the Census.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New article 2 and section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
Article 3. Sign Fabrication And Placement
§2107. General Application.
Note     •     History

All Specific Informational Panels, Supplemental Directional Panels, and Business Signs shall be fabricated and installed in accordance with these regulations. The decision to place any Specific Informational Panels or Supplemental Directional Panels shall be at the sole discretion of the Department.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New article 3 and section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
§2108. Specific Informational Panels.
Note     •     History

(a) Except as provided herein, Specific Informational Panels shall be located between the previous interchange and sufficiently in advance of the approaching interchange so that the last panel is at least one-quarter ( ) mile in advance of the gore of the approaching interchange with at least 800-foot spacing between all informational panels and between informational panels and guide signs.
At the discretion of the Department, the location of the panels with respect to their distances from the gore may be increased to avoid conflict with existing guide signs. As viewed in the direction of travel, the placement of successive panels shall be those for “CAMPING,” “LODGING,” “FOOD,” and “FUEL” in that order.
(b) The panels shall be located within the right-of-way, near the right-of-way line, but not more than 40 feet from the edge of pavement and shall be readable from the traveled way. The panels shall be located so as to take advantage of the natural terrain, to have the least impact on the scenic environment and to avoid visual conflict with other guide signs.
The panels shall not be permitted at locations where, in the opinion of the Department, the directional information contained thereon may be misinterpreted, misleading or otherwise confusing to the traveling public.
(c) Except as provided in Section 2110, Subdivision (f), of these regulations, separate Specific Informational Panels shall be used for “FUEL”, “FOOD”, “LODGING”, and “CAMPING” motorist services. Where one of the qualifying types of motorist services is not available at an interchange, the Specific Informational Panel for that type of service shall not be installed. Not more than one Specific Informational Panel for each of the four qualifying types of motorist services shall be provided in each direction of travel from an interchange.
(d) Specific Informational Panels shall not be installed in advance of an off-ramp at an interchange unless an on-ramp is also located at that interchange, or at another reasonably convenient location to permit a motorist to re-enter the freeway and continue in the same direction of travel without undue indirection, circuity of travel or the use of poor connecting roads.
(e) Existing Guide Signs with word messages and/or symbols for “FUEL”, “FOOD”, “LODGING”, “CAMPERS”, or “CAMPING” will be removed when a corresponding Motorist Services Informational Sign for “FUEL”, “FOOD”, “LODGING”, or “CAMPING” is installed at the same interchange. Guide Signs with word messages and/or symbols not contained on the Specific Informational Panels will remain.
(f) At Double Exit Interchanges where the same qualifying types of motorist services are to be signed for each off-ramp, the sign assembly shall consist of two single row panels of appropriate size, one for each exit, fastened one above the other, for “FUEL”, “FOOD”, “LODGING”, and “CAMPING.” The top panel shall display appropriate directional information and the individual business signs for businesses most directly accessible from the first exit, and the lower panel shall display appropriate directional information and the individual business signs for businesses most directly accessible from the second exit.
If one off-ramp is not signed for one or more of the four qualifying groups of motorist services, the Specific Informational Panel used for the other exit for that service group may be the single-exit type.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
§2109. Supplemental Directional Panels.
Note     •     History

(a) Supplemental Directional Panels shall be located on, opposite of, or at the terminus of an off-ramp, in the same direction of travel as the Specific Informational Panels. As viewed in the direction of travel, the successive panels shall be those for “CAMPING,” “LODGING,” “FOOD,” and “FUEL” in that order.
(b) If either the business premises or an on-site sign of a Qualified Motorist Service Business is visible from any point on the off-ramp or from the terminus of the off-ramp, the Owner or Responsible Operator may apply for placement of a business sign on the Supplemental Directional Panel. If either the business premises or an On-Site Sign of a Qualified Motorist Service Business is not visible from any point on the off-ramp or from the terminus of the off-ramp, the Owner or Responsible Operator shall be required to make application to have a Business Sign placed on a Supplemental Directional Panel.
The Department may require that a Business Sign be placed on a Supplemental Directional Panel when either the business premises or an On-Site Sign is visible from the off-ramp or from the terminus of the off-ramp, if a sign is necessary to avoid misdirection of the motorist because of the complexity of the interchange.
(c) Appropriate Trailblazers may be required by the Department along other public highways as necessary to adequately direct motorists to the business referred to on any business sign.
(d) The Business Signs fastened to a Supplemental Directional Panel or a Trailblazer shall be the same in shape, color, and message as those shown on the Specific Informational Panels, but shall be of smaller size.
(e) Where space is available, a Qualified Motorist Service Business whose Business Sign is not displayed on the Specific Informational Panel located in advance of the off-ramp because permits have already been issued for the maximum number of business signs, may have its Business Sign displayed on the Supplemental Directional Panel.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
§2110. Business Signs.
Note     •     History

(a) General requirements and responsibilities:
(1) Business Signs are to be fabricated by the applicant in accordance with all specifications set forth in these regulations required by the Department and are to be affixed to Special Informational Panels and Supplemental Directional Panels by the Department.
(2) All Business Signs will be delivered to the location designated by the Department at no cost to the Department. A Business Sign which does not conform to the Department's specifications, or which would mislead or which has pictorials, words, symbols, logos and/or trademarks that the Department determines to be offensive to good taste or decency or which would misinform the traveling public or which is unsightly, badly faded or in a state of disrepair, shall not be displayed.
(3) The Department may require an applicant to file written assurances that adequate Supplemental Directional Signs and/or Trailblazers shall be installed and maintained.
(4) Where business operations are seasonal, the Department shall remove or cover the Business Sign for each specific location and shall charge the appropriate fee for this service, as provided in the business sign permit.
(5) The Business Sign of a Qualified Motorist Service Business shall be installed only at the interchange which provides the most direct access to the business premises.
(b) Installation and maintenance. The Department shall be solely responsible at its discretion for furnishing, installing, and maintaining all Specific Informational Panels and Supplemental Directional Panels.
Each Qualified Motorist Service Business upon notification of approval of its application shall arrange to have its individual Business Sign fabricated.
The Department shall be solely responsible for the installation and removal of all Business Signs fastened to Motorist Services Informational Panels. Under no circumstances will anyone other than employees of the Department or the Department's contractors and agents be permitted to enter within the highway right-of-way for the installation, maintenance, or removal of any panel or sign.
The Department shall not be responsible for lost, stolen, defaced, deteriorated, damaged, or destroyed business signs regardless of the cause. The applicant shall be responsible for delivering to the location designated by the Department a replacement or renovated sign to the Department to replace any sign which is lost, stolen, defaced, damaged, or destroyed or which is in a deteriorated condition.
(c) Specifications. Each Business Sign placed on a Specific Informational Panel shall be 48 inches wide by 36 inches high. Each Business Sign placed on a Supplemental Directional Panel shall be 18 inches wide by 12 inches high. It is required that a single aluminum sheet of 0.050 inches, or thicker, be used for each business sign.
It is intended that when symbols, logos, or trademarks are used, they cover as much of the rectangular area as possible, consistent with their design.
The messages, background, and borders on all Business Signs shall be fully reflectorized. The signs for a Specific Informational Panel shall have a three-quarter (3/4) inch white border and the signs for a Supplemental Directional Panel shall have a three-eights (3/8) inch white border, except that when commercial symbols, logos, or trademarks are used, the border may be omitted. They shall have only the full business name shown on the business license and the application/permit as a white, reflectorized message on a blue background except that business signs composed of nationally, regionally, or locally known commercial symbols, logos, or trademarks shall be used when applicable. If a commercial symbol, logo, or trademark is available and it does not contain any word, symbol, or trademark which the Department determines to be offensive to good taste and decency or misinformative to the traveling public, it shall be used in preference to any other form of business identification and shall be reproduced with the colors, general shape, and design consistent with customary use and with any On-Site Signs. Any integral legend shall be proportional to the size customarily used on a said symbol, logo, or trademark. Regardless of whether a symbol, logo, or trademark or the name of the business is used, the display shall be centered both vertically and horizontally on the Business Sign.
The principal legend on all Business Signs should be at least 10 inches in height on signs to be fastened on the Specific Informational Panels and at least four (4) inches in height on signs to be fastened on the Supplemental Directional Panels.
(d) Arrangement of Business Signs on Specific Informational Panels. Business Signs for “FUEL”, “FOOD”, “LODGING”, and “CAMPING” shall be arranged according to Section 2106(m).
Not more than six Business Signs shall be placed on one Specific Informational Panel with not more than three Business Signs in each horizontal row.
(e) Arrangement of Business Signs on Supplemental Directional Panels. Not more than six Business Signs for “FUEL”, “FOOD”, “LODGING”, and “CAMPING” shall be placed on one Supplemental Directional Panel in not more than two horizontal rows. The upper row may contain the signs of those businesses which may be reached by a left turn, or by proceeding in a direction other than a right turn, and the lower row may contain the sign of those businesses which may be reached by a right turn, or by proceeding in a direction other than a left turn. Within each row, the Business Signs shall be arranged from left to right in order of increasing State Measured Distance.
(f) Where Business Sign permit applications have not been received from a sufficient number of qualified businesses, or where there are not sufficient qualified businesses to warrant separate Specific Informational Panels, Business Signs for combinations of motorist services may be displayed on any one panel. However, not more than two service groups shall be combined on any one panel and not more than three Business Signs for each of the service groups shall be displayed on the panel.
(g) Prohibitions. Any messages, logos, symbols, or trademarks on a Business Sign which interfere with, imitate, or resemble any official warning or regulatory sign, signal, or traffic control device or attempt or appear to attempt to direct the movement of traffic, are prohibited. Any Business Sign which includes pictorials, words, symbols, logos, and/or trademarks that are used to offer or represent other service(s) being provided in the same establishment, other than a Qualified Motorist Service, is prohibited. Any Business Sign which serves to advertise rather than identify a Qualified Motorist Service Business is prohibited; except that as to “FUEL” Business Signs, a permittee may include the word “Diesel” or a Department-approved symbol for diesel, or the letters “LPG” for liquid propane fuel, or any other word or symbol that has been approved by the Department which represent a type of fuel on the business sign as specifically provided in the permit.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
Article 4. Business Sign Eligibility
§2111. Criteria and Waiver.
Note     •     History

(a) Criteria. A Qualified Motorist Service Business is eligible to apply for a permit to place its Business Sign on a Motorist Services Informational Panel if the business premises have a generally neat, clean, and comfortable appearance and an adequate scope of services as determined by the Department and it meets the following minimum criteria:
(1) FUEL. The business:
(A) Shall be located not more than one (1) mile from the interchange where the Business Sign is to be displayed according to the State Measured Distance.
(B) Shall provide vehicle services, including but not limited to: fuel, oil, tire repair, battery, and radiator water.
(C) Shall provide public rest room facilities, each containing at least a sink, running water, and a flush toilet.
(D) Shall provide a drinking water fountain for public use.
(E) Shall provide a public telephone.
(F) Shall be open for business, with all of the above services and facilities available, and in a continuous operation, for at least 16 consecutive hours daily, seven (7) days a week, except that the qualified business shall not be considered to be in violation of this requirement when, as a result of a shortage of fuel, the facility is closed or when its hours of operation are reduced.
(G) Shall obtain and display any appropriate license or permit as may be required by law.
(2) FOOD. The business:
(A) Shall be located not more than three (3) miles from the interchange where the Business Sign is to be displayed according to the State Measured Distance.
(B) Shall accumulate at least seven (7) points from the following four (4) categories, but at least one point must be accumulated from Category 3:
Category 1. If the State Measured Distance is:

a.	0 to 1/2 mile, inclusive	assign 3 points

b.	Over 1/2 mile to 1 mile, inclusive	assign 2 points

c.	Over 1 mile to 3 miles, inclusive	assign 1 point
Category 2. If the number of traffic control devices consisting of traffic signals or stop signs between said gore and said nearest driveway is:

a.	0-1 device	assign 3 points

b.	2-3 devices	assign 2 points

c.	4-5 devices	assign 1 point
d. More than 5 devices....assign 0 points
Category 3.
a. If the number of indoor seats totals:

(1)	50 or more seats	assign 3 points

(2)	30 seats to 49 seats	.assign 2 points

(3)	15 seats to 29 seats	assign 1 point

(4)	Less than 15 seats	assign 0 points
or 
b. If the parking facilities for drive-in or drive-through service totals:

(1)	20 or more spaces	assign 3 points

(2)	11 spaces to 19 spaces	assign 2 points

(3)	5 spaces to 10 spaces	assign 1 point

(4)	Less than 5 spaces	assign 0 points
Category 4. When the distance as measured from said gore of the interchange where the Business Sign is to be displayed to the gore of the next exit served by a food establishment which business would qualify for signing is:

a.	Over 10 miles	assign 3 points

b.	Over 3 miles to 10 miles, inclusive	assign 2 points

c.	1 mile to 3 miles, inclusive	assign 1 point

d.	Less than 1 mile	assign 0 points
(C) Shall be in compliance with respect to licensing, approval, and regulation by any state agency and/or any political subdivision of the state having or exercising jurisdiction over the business premises. Licenses and permits required and issued by the state or its political subdivisions shall be displayed on the premises.
(D) Shall provide a public telephone.
(E) Shall provide public rest room facilities, each containing at least a sink, running water, and a flush toilet.
(F) Shall be open for business, with all the above services and facilities available, and in continuous operation for at least 12 consecutive hours daily, beginning not later than 7 a.m., seven (7) days a week, and serving breakfast, lunch, and dinner.
(3) LODGING. The business:
(A) Shall be located not more than three (3) miles from the interchange where the Business Sign is to be displayed according to the State Measured Distance.
(B) Shall accumulate at least seven (7) points from the following four (4) categories:
Category 1: If the distance is:

a.	0 to 1/2 mile, inclusive	assign 3 points

b.	Over 1/2 mile to 1 mile, inclusive	assign 2 points

c.	Over 1 mile to 3 miles, inclusive	assign 1 point
Category 2. If the number of traffic control devices consisting of traffic signals or stop signs between said gore and said nearest driveway is:

a. 	0-1 device	assign 3 points

b. 	2-3 devices	assign 2 points

c.	4-5 devices	assign 1 point

d.	More than 5 devices	assign 0 points
Category 3.
a. If the number of lodging units, each with private bath facilities, is:

(1)	50 or more units	assign 3 points

(2)	30 units to 49 units	assign 2 points

(3)	15 units to 29 units	assign 1 point

(4)	Less than 15 units	assign 0 points
Category 4. When the distance as measured from the gore of the interchange where the Business Sign is to be displayed to the gore of the next exit served by a lodging establishment which would qualify for signing is:

a.	Over 10 miles	assign 3 points

b.	Over 3 miles to 10 miles, inclusive	assign 2 points

c.	1 mile to 3 miles, inclusive	assign 1 point

d.	Less than 1 mile	assign 0 points
(C) Shall be in compliance with respect to licensing, approval, and regulation by any state agency and/or any political subdivision of the state having or exercising jurisdiction over the business premises. Licenses and permits which are issued by the state or its political subdivisions shall be displayed on the premises.
(D) Shall provide at least one off-street passenger vehicle parking space for each lodging unit available for rent.
(E) Shall provide a public telephone.
(f) Shall be open for business, with all of the above services and facilities available, and in continuous operation 24 hours a day, seven (7) days a week.
(4) CAMPING. The business:
(A) Shall be located not more than 10 miles from the interchange where the Business Sign is to be displayed according to the State Measured Distance.
(B) Shall be in compliance with respect to licensing, approval, and regulation by any state agency and/or any political subdivision of the state having or exercising jurisdiction over the business premises or be operated by a governmental agency. Any license or permits which are issued by the state or a local governmental body shall be displayed on the premises.
(C) Must establish eligibility under at least one of the following three criteria:
1. Shall have not less than 25 vehicular overnight camping units or spaces available for rent. Each unit or space must provide individual service and utility hook-ups suitable for travel trailers, campers, and other recreational vehicles.
The facility shall be accessible to and capable of accommodating all types of recreational vehicles, travel trailers and campers.
2. Shall have not less than 15 overnight camping units or spaces available which will accommodate tents, and have at least one vehicle parking space for each unit or space available for rent. Shall have sanitary facilities, and drinking water, for the units or spaces, but not necessarily at each individual campsite.
3. Shall have not less than 30 overnight camping units or spaces available, consisting of a combination of the types specified in items 1. and 2. hereinabove.
(D) Shall have an attendant on duty 24 hours a day to manage and maintain the facility while it is open for business.
(E) Shall be open for business and in continuous operation 24 hours a day, seven (7) days a week, except that seasonally the facility may be closed to the public for not more than 150 consecutive days, provided the Department has received proper notification together with a request to cover or remove all Business Signs fastened to the Motorist Service Informational Panels.
(5) “FUEL”, “FOOD”, “LODGING”, and “CAMPING”
A Qualified Motorist Service Business shall give written assurances of its conformity with all applicable laws concerning the provisions of public accommodations without regard to race, sex, religion, color, or national origin and shall not be in continuing breach of that assurance.
(b) Waiver. If a Qualified Motorist Service Business does not meet the eligibility criteria set forth in subdivision (a) of this section, and provided space is available, a waiver may be granted by the Department upon a showing by the applicant of all of the following:
(1) The waiver will not be contrary to any provisions of federal, state, or local laws or regulation.
(2) Granting the waiver will not detract from the purpose of these regulations and the statute under which these regulations were instituted.
(3) A substantial benefit to the motoring public will be realized if the waiver is granted.
(4) If the Qualified Motorist Service Business is a “FUEL”, “FOOD”, or “LODGING” facility it must be located within three (3) miles from the interchange where the Business Sign is to be displayed according to the State Measured Distance.
(5) If the Qualified Motorist Service Business is a “CAMPING” facility it must be located within 20 miles from the interchange where the Business Sign is to be displayed according to the State Measured Distance.
A permittee which has its Business Sign placed under a waiver will be issued a conditional permit. If the Motorist Services Informational Panel is filled and a subsequent Business Sign permit application from a Qualified Motorist Service Business which meets the eligibility criteria is reviewed and approved by the Department, then, the Department shall notify the permittee(s) under waiver whose business is located the greatest distance according to the State Measured Distance that the conditional permit will not be renewed more than once and that the sign will be removed not later than the expiration date of the conditional permit.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New article 4 and section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
Article 5. Permit Administration
§2112. Permit Application and Priorities.
Note     •     History

(a) Permit application. The Owner or Responsible Operator of a Qualified Motorist Service Business must file a Motorist Services Informational Signing Program Application And Permit dated 1-93 as provided by the Department. The completed application together with the current permit fee is to be forwarded to the appropriate district office of the Department. All permit applications are reviewed by the Department, and the Department shall have final responsibility and authority to grant or deny a permit.
Applications for permits will be denied for businesses which do not meet the eligibility criteria or whose signs do not meet the specifications as provided in Sections 2109 and 2110, and Subdivision (a) of Section 2111 of these regulations, except as provided in Subdivision (b)(2) of Section 2113 and Subdivision (b) of Section 2111.
Within 30 days of receipt of the permit application by the Department, each applicant shall be notified in writing that the application is complete and accepted for filing or that the application is deficient. If the application is deficient, the Department shall specify, in writing, the information required to complete the application. Within 30 days from the filing of the completed application, the Department shall notify the applicant of approval or denial of the permit.
No Business Sign shall be affixed by the Department until a Business Sign permit has been issued and the applicable annual rental fee has been paid.
Applications shall be considered to be received by the Department upon the date of receipt. A Business Sign permit shall be effective for the portion of the calendar year the permit is issued by the Department or the entire year if issued on January 1. In the case of a renewal, the Business Sign permit is effective for one year beginning on the first day of January and expires on the 31st day of December.
An Owner or Responsible Operator shall furnish the necessary Business Sign to the Department district office or the location designated by the Department within 60 days after notification by the Department that the Business Sign application has been approved. The Business Sign permit may be canceled by the Department if the sign is not furnished within the 60-day period or does not meet other provisions of these regulations. Under any of these circumstances, the applicant shall forfeit the permit fee, but receive a full refund of any rental fee which has been paid.
An application may be denied if the Department determines that adequate directional information cannot be given to enable motorists to locate the business premises, or the applicant refuses to place adequate Trailblazers on other public highways at the applicant's sole cost and expense.
(b) Priorities.
(1) The order of priority for granting permits to “LODGING” or “CAMPING” businesses for the installation of their Business Signs on Specific Informational Panels or Supplemental Directional Panels, when applications are received from a greater number of Qualified Motorist Service Businesses which meet the eligibility criteria than there is space available on the Motorist Services Informational Panel, shall be determined based upon the State Measured Distance; with first priority going to the closest business, second priority to the next closest business, and so on until all available space on the Motorist Services Informational Panel has been allocated. The same order of priority shall apply when the maximum number of permits has been issued and a new application is received from a Qualified Motorist Service Business located closer to the interchange than another qualified business which is already signed.
(2) The order of priority for granting permits to “FOOD” or “FUEL” businesses for the installation of their Business Signs on Specific Informational Panels or Supplemental Directional Panels, when applications are received from a greater number of Qualified Motorist Service Businesses which meet the eligibility criteria than there is space available on the Motorist Services Informational Panel, shall be based upon the highest point accumulation from the following two (2) categories:
Category 1: If the State Measured Distance is:

a.	0 to 1/2 mile, inclusive	assign 3 points

b.	over 1/2 mile to 1 mile, inclusive	assign 2 points

c.	over 1 mile to 3 miles, inclusive	assign 1 point
Category 2. If the business is open:

a.	20-24 hours per day	assign 3 points

b.	16-20 hours per day	assign 2 points

c.	12-16 hours per day	assign 1 point
The same order of priority shall apply when the maximum number of permits has been issued and a new application is received from a Qualified Motorist Service Business with a higher point accumulation than another qualified business which is already signed.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New article 5 and section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
§2113. Permit Expiration, Revocation, and Sign Removal.
Note     •     History

(a) The permit for a Business Sign expires by its own terms.
(b) The permit for a Business Sign shall be revoked as specifically provided in the permit and for any one of the following reasons:
(1) For making any false or misleading statements in the Business Sign permit application, whether or not those statements were material to or relied upon by the Department in the issuance of such permit, when such false or misleading statements shall remain uncorrected after the expiration of 30 days following written notification thereof.
(2) If the Motorist Services Informational Panel is filled and a subsequent Business Sign permit application is reviewed and approved by the Department for a qualified business which has a higher order of priority as described in Section 2112(b) of these regulations than an existing permittee business, then, the Department shall notify the existing permittee located the greatest distance according to the State Measured Distance that the Business Sign permit will not be renewed more than once and that the sign will be removed not later than the expiration date of the permit for the renewal period following the expiration of the current permit.
(3) For failure to provide the services and/or facilities required by these regulations, and/or for failure to open for business for more than seven (7) consecutive days or for fewer than 10 days cumulatively during a one-year period, unless the business is of a seasonal nature and permittee had previously notified the Department of the intended closure to which the Department agreed, or the Department finds the Owner or Responsible Operator was in substantial compliance or that such failure was beyond the control of the Owner or the Responsible Operator, or that the failure was justified by extenuating circumstances.
(4) For failure to comply with the application and permit, except in isolated instances without the knowledge of the Owner or the Responsible Operator, or on any occasion unless steps are promptly taken to ensure to the fullest extent reasonably possible that such instances will not recur.
(c) A Business Sign shall be temporarily removed from or covered on all Motorist Services Informational Panels if, due to fire, accident or other similar causes, a Qualified Motorist Service Business becomes inoperable for a period of time exceeding seven (7) days, but not more than 90 days. Under these circumstances, a business shall not lose its priority nor be required to reapply for a permit prior to the normal time for a renewal application. A further extension of time may be granted upon a showing of good cause. Failure to reopen the business within 90 days or failure of the Owner or Responsible Operator to proceed with necessary repairs as rapidly as possible will be the basis for revocation of the permit and removal of the sign.
(d) If a permit is revoked or allowed to expire, a new application must be submitted to the Department. The applicant must then requalify the business in the same manner required for initial permit applicant. 
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
§2114. Permit, Rental, Service and Transfer Fees.
Note     •     History

(a) Permit, rental, service, and transfer fees shall be established by the Department and shall not be less than 25% above the estimated cost of placement and maintenance of the motorist informational signs (LOGO signs). The permit and rental fees shall be charged to the Owner or Responsible Operator of a Qualified Motorist Service Business per sign per direction of travel every year. The service fee shall be charged to the Owner or Responsible Operator when the Department changes, covers, uncovers, removes, reinstalls, or replaces a Business Sign. The transfer fee shall be charged when the Qualified Motorist Service Business changes owners.
(b) Permit, rental, service, and transfer fees shall be revised and adjusted annually to not less than 25% above the estimated cost of placement and maintenance by the Department. The Department shall establish a schedule setting forth these fees. A copy of the current schedule of fees shall be attached to each application for an initial Business Sign permit, and to each annual billing for the renewal of a Business Sign permit.
(c) Permit fee. The Department shall charge an annual permit fee of $100.00 for affixing a Business Sign to a Motorist Services Informational Panel in each direction of travel. Renewal applications with the permit fee shall be submitted not later than 30 days prior to the expiration of the current permit.
(d) The Department shall charge an annual rental fee of $250.00 for affixing a Business Sign to a Motorist Services Informational Panel in each direction of travel. The fee shall be the same amount whether the Business Sign is placed on either Specific Informational Panel or a Supplemental Directional Sign, or both.
For both initial and renewal applications, the annual rental fee is due within 30 days after receipt of notification of approval of the application. Failure to pay renewal permit or rental fees will result in the cancellation of the permit and removal and disposal of the Business Sign by the Department.
(e) Service fee. When required by the Department or when requested by the Owner or Responsible Operator, and upon payment of a service fee of $100.00 for each main line sign or $50.00 for each directional sign, the Department may change, cover, uncover, remove, install, reinstall, or replace a Business Sign. Any new or renovated Business Sign required for this purpose shall be provided by the applicant.
(f) Transfer fee. Permits for the installation of Business Signs are transferable; however, any change in ownership of the Qualified Motorist Service Business will require reapplication, approval by the Department, and the payment of a transfer fee of $50.00 for each permit. Failure of the new owner to apply for transfer of the permit will be the basis to revoke the existing permit and remove the sign.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
§2115. Refunds of Permit and Rental Fees.
Note     •     History

Once the fees are received by the Department and the sign affixed, there shall be no refunds except under the following conditions:
(1) The permit provides for a refund. Any such refund will be a prorated amount of the rental fees only.
(2) The business premises are acquired by eminent domain.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
Article 6. Hearings
§2116. Demand for Hearing.
Note     •     History

Whenever the Department has denied a permit or has revoked a permit the Owner or Responsible Operator receiving the notice or subject to the action taken or proposed to be taken may, within ten days, demand a hearing which shall be granted.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New article 6 and section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
§2118. Waiver of Hearing.
Note     •     History

Failure to respond to the denial of a permit or revocation of a permit by the Department within ten days is a waiver of the right to a hearing.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
§2119. Hearing.
Note     •     History

Whenever the Department grants a hearing as provided in these provisions, the Department shall fix a time and place for a hearing as early as may be arranged in the District office responsible for issuance of the permit, and shall give 10 days notice of the hearing to the applicant or licensee. Hearings shall be conducted by a hearing board appointed by the Director of the Department.
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
§2120. Findings and Decision.
Note     •     History

Upon the conclusion of a hearing the board shall make findings on the matters under consideration and shall prepare and submit recommendations within 30 days, to the Director of the Department who shall make the decision. 
NOTE

Authority cited: Section 101.7, Streets and Highways Code. Reference: Section 101.7, Streets and Highways Code.
HISTORY

1. New section filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
Chapter 20. Permissible Activity and Use of Safety Roadside Rest Areas and Vista Points in and Along California State Highways
Article 1. Introduction
§2200. Objective.
Note     •     History

The objective of these regulations is to assure and provide safe, healthful, clean, aesthetically pleasant and comfortable safety roadside rest areas and vista points to the highway traveler and at the same time permit and provide for uses and activities that do not unreasonably interfere with such use and enjoyment.
NOTE

Authority cited: Sections 225 and 225.5, Streets and Highways Code. Reference: Sections 218, 220, 220.5, 223, 224 and 226, Streets and Highways Code.
HISTORY

1. New Subchapter 20 (Articles 1-6, Sections 2200-2213, not consecutive), and Appendices I and II filed 8-11-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 33).
2. Amendment of section and Note filed 3-7-95; operative 4-6-95 (Register 95, No. 10).
§2201. Enforcement.
Note     •     History

The Department of Transportation, through its Director, District Directors and department Divisions of Maintenance, Operations, Right of Way, Traffic and Administration, and any California peace officer, as provided by law, shall enforce the provisions of this subchapter. A first-time citation issued by a California peace officer for a violation of any provision of these regulations is an infraction. A second citation is a misdemeanor.
No provision of these regulations is intended to supersede, nor shall a provision herein supersede, any provision of Title 23, United States Code, and regulations promulgated thereunder.
NOTE

Authority cited: Sections 225 and 225.5, Streets and Highways Code. Reference: Sections 218, 220, 220.5, 223, 224, 225, 225.5, 226 and 731, Streets and Highways Code; Sections 2400, 2410, 2812, 22520.5 and 22520.6, Vehicle Code; Title 23, United States Code.
HISTORY

1. Amendment of section and Note filed 3-7-95; operative 4-6-95 (Register 95, No. 10).
§2202. Severability.
Note     •     History

If any provisions or clauses of this subchapter or application thereof to any person or circumstances are held invalid or unconstitutional, the invalidity or unconstitutionality shall not affect other provisions or applications of the subchapter that can be given effect without the invalid or unconstitutional provision or application, and to this end the provisions of this subchapter are severable.
NOTE

Authority cited: Sections 225 and 225.5, Streets and Highways Code. Reference: Sections 218, 220, 220.5, 223, 225, 225.5 and 226, Streets and Highways Code.
HISTORY

1. Amendment of section and Note filed 3-7-95; operative 4-6-95 (Register 95, No. 10).
§2203. Construction of Terms.
Note     •     History

The following rules of construction shall apply to all regulations in this subchapter:
(a) “Shall” is mandatory and “may” is permissive.
(b) The singular and the plural shall include the other.
NOTE

Authority cited: Sections 16, 17, 225 and 225.5, Streets and Highways Code. Reference: Sections 218, 220, 220.5, 223, 224, 225, 225.5 and 226, Streets and Highways Code.
HISTORY

1. Amendment of subsection (b) and Note filed 3-7-95; operative 4-6-95 (Register 95, No. 10).
Article 2. Definitions
§2204. Definitions.
Note     •     History

(a) Commercial Activity. An activity which includes the sale, advertisement or display of goods or services for profit.
(b) Commercial Displays. Permissible displays under an agreement which are placed in or on traveler information centers.
(c) Department. Refers to the Department of Transportation and those delegated the responsibility within the department to enforce and administer the provisions of these regulations.
(d) Kiosk. Traveler information centers at safety roadside rest areas and vista points which are enclosures upon which public information displays and commercial displays may be posted.
(e) Newspaper Vending Machine. A self-service and coin-operated box, container, storage unit or other dispenser installed, used or maintained for the display and sale of newspapers.
(f) Public Information Displays. Department-owned displays which provide information the department determines to be of a specific value, interest or assistance to the traveler. Such displays are placed upon kiosks, comfort station buildings, bulletin boards, information panels, display cases or other portions of the facilities in safety roadside rest areas and vista points.
(g) Safety Roadside Rest Areas. Those designated areas within and along state highways that are used for purposes set forth in Sections 220 and 220.5 of the Streets and Highways Code.
(h) Selling. A commercial activity which is any exchange of any item or service for monetary or voluntary consideration.
(i) Solicitation. An appeal by a solicitor for a monetary donation or anything of value made verbally, by conduct or in writing by any individual or organization.
(j) Solicitor. Any individual on his own behalf, or on the behalf of others or an organization who solicits monetary donations or anything of value for goods or services.
(k) Traveler Information Center. A building, kiosk or covered panel constructed by or for the department upon which public information and commercial displays may be placed in safety roadside rest areas and vista points.
(l) Vending Machines. Any machine, case, cabinet or other device, except a newspaper vending machine, installed, placed in or connected to any building, structure or kiosk that is self-service and coin-operated and is used and maintained for the sale and dispensing of food or merchandise, as allowed under agreement in a safety roadside rest area.
(m) Vista Point. Any signed roadside area within the right of way of a state highway, the purpose of which is to provide the traveler a viewpoint from which to observe the scenic panorama or point of visual interest.
NOTE

Authority cited: Sections 225 and 225.5, Streets and Highways Code. Reference: Sections 218, 220, 220.5, 223, 224, 225.5 and 226, Streets and Highways Code.
HISTORY

1. Amendment of subsection (a), repealer of subsections (d), (g), (i), (m) and (p), subsection relettering, new subsection (h), and amendment of redesignated subsections (i), (j), (m), and Note filed 3-7-95; operative 4-6-95 (Register 95, No. 10).
Article 3. General Prohibitions and Restrictions
§2205. General.
Note     •     History

It is the responsibility and desire of the department to protect and ensure the convenience, enjoyment, health and safety of users of safety roadside rest and vista point areas. Unless allowed under other provisions of these regulations, the following are prohibitions and restrictions for all users of safety roadside rest and vista point areas.
(a) Camping is prohibited.
(b) Vehicles shall not be parked and persons shall not remain for more than eight (8) hours in any twenty-four (24) hour period.
(c) No parking is allowed for any period of time for the purpose of allowing any traveler to engage in any activity off of the safety roadside rest area or vista point. It is the intent to forbid persons to use the safety roadside rest area or vista point to park their vehicle so as to allow the occupants to engage in activities that include, but are not limited to, cross-country skiing, off-road vehicle use, fishing, hiking, camping or hunting.
(d) Pitching of tents or erection of other shelter is prohibited.
(e) Building or maintaining campfires or other open fires is prohibited.
(f) Use of gas-fueled stoves is permitted within suitably equipped vehicles, such as recreational vehicles, travel trailers and motor homes.
Small portable gas-fueled campstoves and small portable charcoal hibachis, barbecues or braziers, may be used if placed on the ground or on designated stands and used in safe manner, in accordance with fire and safety laws and ordinances and regulations thereunder.
(g) Solicitation for money is strictly prohibited.
(h) Vehicles shall only be parked in designated parking areas.
(i) All litter and garbage shall be placed in trash receptacles provided.
(j) The use of noise-producing instruments, megaphones, loudspeakers or other similar devices which are used to amplify sound is not permitted.
(k) All use and activity shall cease in case of emergency situations involving danger to the general public which result from fire, flood waters, traffic conditions, hazardous substances, gases or other conditions whether occurring on or off the state highway.
Final determination of when such conditions exist shall be made by a department representative or a California peace officer at the safety roadside rest area or vista point.
(l) All animals shall be on a leash; animals not restrained by a leash shall be controlled by appropriate enclosures or other adequate restraint.
(m) The unauthorized use of the department's water, electrical and gas utilities is prohibited.
(n) Selling, publicizing or other means of merchandising any article of merchandise, food, service or thing is a prohibited commercial activity.
(o) There shall be no dumping of sanitary wastes except at designated sanitary dump stations.
(p) Signs, cards, handbills, flags, pennants, streamers or other such material shall not be attached, nailed, placed or otherwise affixed to any tree, fence, building, light standard or other such fixture or facility.
(q) Users shall not block vehicular or pedestrian traffic.
NOTE

Authority cited: Sections 225 and 225.5, Streets and Highways Code and 22651, Vehicle Code. Reference: Sections 220, 225, 225.5, 670 and 731, Streets and Highways Code; Sections 22520.5, 22520.6 and 22651, Vehicle Code; Sections 370, 374.3 and 374.4, Penal Code.
HISTORY

1. Amendment of section and Note filed 3-7-95; operative 4-6-95 (Register 95, No. 10).
§2205.1. Nighttime Closing of Specified Vista Points.
Note     •     History

NOTE

Authority cited: Section 225, Streets and Highways Code. Reference: Sections 124 and 125, Streets and Highways Code; and Section 22520.6, Vehicle Code.
HISTORY

1. New section filed 5-24-95 as an emergency; operative 5-24-95 (Register 95, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-21-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 50).
Article 4. Procedures to Follow in Obtaining an Agreement or Permit for Permissible Activities
§2206. General Application.
Note     •     History

Except as specifically provided by statute or as allowed by written agreement or permit in this Article, the following uses and activities shall be allowed at safety roadside rest areas and in vista points:
(a) Agricultural displays.
(b) Traveler information centers.
(c) Newspaper vending machines.
(d) Other uses and activities.
The placement, installation, construction, use, operation and maintenance of statutorily permissible uses or activities shall only be permitted as provided in Sections 2207-2210 of this Article.
NOTE

Authority cited: Sections 225, 670 and 671.5, Streets and Highways Code. Reference: Sections 155.6, 218, 220, 220.5, 223 and 225, Streets and Highways Code.
HISTORY

1. Repealer of article 4 (sections 2206-2207) and section, renumbering of former article 6 (sections 2209-2213) to article 4, and renumbering and amendment of former section 2209 to section 2206 filed 3-7-95; operative 4-6-95 (Register 95, No. 10).
§2207. Newspaper Vending Machines.
Note     •     History

(a) Installation, construction, operation, use and maintenance of newspaper vending machines at safety roadside rest areas and vista points is permissible, and upon compliance with the provisions of this section, herein set forth a permit shall be issued to the applicant to place and maintain newspaper vending machines.
(b) Any person or organization, which for purposes of this section may include any corporation, partnership, firm, unincorporated association or any other group or combination acting as a unit, desiring to obtain a permit for placement of a newspaper vending machine at a safety roadside rest area or vista point shall file a written application with the department's Division of right of way in Sacramento. Upon receipt of a written application or upon notice requesting applications for placement of newspaper vending machines, the department shall review applications of interested parties.
The following procedures and rules shall apply to the department's review of the application and issuance of a permit:
(1) The application shall state the name, address and telephone number of the applicant, of the contact or spokesperson for the applicant and of the responsible dealer or vendor, together with the name of the newspaper to be distributed.
(2) The application shall identify the safety roadside rest area or vista point where the applicant desires to place a newspaper vending machine. An applicant may seek to place a newspaper vending machine at more than one safety roadside rest area or vista point and may also seek to place more than one newspaper vending machine at any given safety roadside rest area or vista point.
(3) The applicant shall provide the manufacturer's name and model of the newspaper vending machine with its application to allow the department to determine consistency with the specification and design provisions established by the department under this section. 
(4) Subject to subsection (5) below, each application for a permit shall be approved or denied in writing by the department within forty-five (45) days after receipt of an application furnishing all the information required by this section. A permit shall be issued if the application provides all the required information and it meets the requirements and specifications of this section. The department's District Permit Office will issue an encroachment permit within seven (7) working days of receipt of a copy of the required information, a completed encroachment permit and approval from the department's Division of Right of Way.
(5) Should the department deny the application it shall set forth the reasons for the denial, specifically identifying provisions of these regulations with which the applicant has not complied. Such denial shall be appealable as provided in Section 2207(h) herein.
(6) If the department cannot reasonably process the application within the forty-five (45) day period, it shall notify the applicant in writing of the reasons therefor, together with an estimate of when the review will be completed. Unless there is an agreement to the contrary, the time within which to approve or deny the issuance of a permit shall not be extended more than fifteen (15) days from the end of the forty-five (45) day period.
(7) the permit shall be effective as to each newspaper vending machine described in said permit from the date of its issuance to the date the newspaper vending machine is permanently removed by the applicant or the department, except, that a permit shall terminate and be of no force or effect if the vending machine is not installed within six (6) months of the issuance of the permit.
The removal of any newspaper vending machine shall not affect the validity of the permit with respect to any other newspaper vending machine described in said permit.
(8) At the discretion of the department, an identifying sticker shall be required to be affixed to the machine. If required to be affixed, it shall be placed on the inside of the window at the lower right-hand corner, or in such other manner as may be prescribed by the department.
(9) The dealer or vendor shall notify the department in writing of a transfer of its rights or interests under the permit or to the vending machine not later than ten (10) days after the transfer.
(c) Newspaper vending machines to be installed shall be fabricated in accordance with the design and specification criteria established by the department in its guideline, attached as Appendix II, dated February 1, 1979, entitled “Newspaper Vending Machine Design and Specification Criteria,” which by this reference is incorporated herein.
(d) Newspaper vending machines are to be installed and maintained by the applicant under the direction of and with the supervision of the department at locations meeting the following siting criteria:
(1) The machines are to be located in areas that will permit the installation to be unobtrusive and not detract from other elements of the safety
roadside rest area or vista point while at the same time being convenient and easily accessible to the public.
(2) Whenever practicable to do so, the machines are to be located in planted areas, adjacent to walkways and to the extent possible, adjacent to electroliers to reduce the exposure to vandalism and theft.
(3) The front edge of machines located in planted areas should be parallel with the edge of the walkway. Unrelated angles which might conflict with the normal flow pattern of walkways are to be avoided. 
(4) The height of the machines as measured from the top of the pavement to the top of the machine shall be between thirty-six (36) and forty (40) inches.
(5) the machines are to be securely fastened to square steel pedestal mounts which are to be set in a concrete footing located within the planted area. The top of the concrete footing is to be covered with soil, mulch or ground cover to restore the area to its previous appearance to as great an extent as possible. Machines furnished with a pedestal mount equipped with a steel flange base designed to be bolted to concrete surfaces are to be used only where directed by the department.
(6) Within each safety roadside rest area or vista point, the machines installed shall all be of the same type, model, manufacture and color so that a uniform appearance is maintained.
(7) Each machine shall be maintained in a clean, neat and attractive condition and in good repair at all times. Machines that are damaged or which are in a state of disrepair or which due to wear and tear no longer are in a clean, neat and attractive condition or in good condition shall be replaced or repaired by the owner as soon as practicable after discovery or notification by the department to do so.
(8) Machines which have been lost, stolen or vandalized and machines which are no longer to be used to display newspapers shall be replaced or removed as soon as practicable after discovery or upon notification by the department. If the missing machines are not to be replaced or if the vandalized or unused machines are to be removed and not replaced, then the pedestal base shall be modified to properly accommodate the remaining machines. If no machines remain, the base shall be removed and the site shall be returned, to as great an extent as possible, to the condition in which it was found.
(e) Except as otherwise provided in these regulations, no advertising signs or publicity material of any type, including labels, identification stickers, plates or other similar attachments may be fastened to or otherwise displayed on the newspaper vending machine, except that the name or logotype of the newspaper shall be lettered or stenciled, using the same shade of dark brown paint as is used on the pedestal base, on the lower front face of the machine below the window using the type style customarily employed by the publication.
(f) If required by the department, each newspaper vending machine shall display, affixed to the inside lower left-hand corner of the window in the format and manner prescribed by the department, the name, address and telephone number of the responsible dealer or vendor with the message that they may be contacted concerning refund requests.
(g) Should the department determine that a newspaper vending machine has been placed or is being maintained in violation of the provisions of these regulations, the following procedures shall be followed:
(1) A written notice (Notice of Violation) shall be given to the person or organization identified in the permit application. The Notice of Violation shall be mailed to such person or organization to the address provided in the application or to such address as has otherwise been provided to the department. The Notice of Violation shall describe the violation and shall advise that the newspaper vending machine may be required to be removed unless the violation is corrected within ten (10) days from the date of the Notice of Violation, and shall state the procedure for obtaining a hearing concerning the violation as provided in Section 2207(h) herein.
(2)(A) If within ten (10) days of the date of the Notice of Violation, the violation has not been corrected or otherwise resolved to the satisfaction of the department or a hearing has not been requested, the department may issue a “Request to Remove” the machine. The Request to Remove the machine shall notify the owner that if the machine is not removed within seven (7) days from the date of the removal notice, the department may cause the machine to be removed and impounded and the site returned to its original condition. A Notice of Removal and Impoundment shall be mailed to such person or organization within five (5) days after removal. The Notice of Removal and Impoundment shall state the date of removal, the reasons therefor, and the location and procedures for claiming the newspaper vending machine.
The cost of removal and storage and the expense of restoring the site to its original condition shall be borne by the owner. Failure to claim the impounded machine within a thirty (30) day period will result, at the option of the department, in either the destruction or sale of the machine. Proceeds from any sale, less the total moneys owed the department for its costs and expenses, will be returned to the owner. If a deficiency results, the department shall have an action to recover its deficiency, attorneys' fees and litigation expenses.
(B) If a hearing is requested within ten (10) days of the Notice of Violation or if otherwise specifically allowed by the department, the machine in violation of the provisions of this section may remain until a hearing is held and a final administrative decision is made as regards the violation.
If after the hearing the permit is revoked or the machine is required to be removed, the procedure outlined in Section 2207(g)(2)(A) above shall be applicable.
(h) If the person or organization identified in the application wants to appeal the denial of a permit or the issuance of a Notice of Violation pursuant to Section 2207(g)(1), the following procedure shall apply:
(1)  Within ten (10) days after the date of denial of a permit or the issuance of a Notice of Violation, the person or organization notified may make a written request to the department for a hearing. All appeals for a hearing shall be mailed to the Chief of the Division of Right of Way, P.O. Box 942874, Sacramento, California 94274-0001. Failure to appeal within the specified time shall result in a waiver of the right to appeal under these regulations.
(2) An informal hearing shall be conducted not later than fifteen (15) days after receipt by the department of the written request. The time, location and date of the hearing, as determined by the department, may be given by telephone to the person or organization requesting the hearing. Written notification shall also be given.
(3) Evidence may be written and oral. Either party may call and examine witnesses and introduce exhibits. If a reporter is requested by either party, the party making the request shall make the arrangements and payment therefor.
(4) the department representatives shall include the Chief of the Division of Right of Way or his designee.
(5) The findings and decision of the hearing panel are final. The decision shall be posted to the appellant not later than five (5) days after the hearing. If a permit is revoked or a vending machine must be removed, a Notice to Remove the machine shall be included with the decision.
(i) Unless otherwise provided, applications for a permit may be received from and returned to:

CALIFORNIA DEPARTMENT OF TRANSPORTATION
DIVISION OF RIGHT OF WAY
BOX 942874
SACRAMENTO, CA 94274-0001
NOTE

Authority cited: Sections 225, 670 and 671.5, Streets and Highways Code. Reference: Sections 220 and 220.5, Streets and Highways Code.
HISTORY

1. Repealer of section 2207 and renumbering and amendment of former section 2210 to section 2207 filed 3-7-95; operative 4-6-95 (Register 95, No. 10).
§2208. Agricultural Displays as authorized in Streets and Highways Code section 220.
Note     •     History

(a) When the department determines that it would be in the best interest of the state and the traveling public, it shall consider unsolicited formal proposals, publish a request for formal proposals, or both, to place, install, construct, use, operate and maintain agricultural displays in safety roadside rest areas.
(b) The notice for formal written proposals shall be published in at least one (1) newspaper of general circulation in the state. the department shall also notify individuals or groups who may have an interest or who have expressed interest in conducting any of these activities. Unless otherwise provided in the notice for a request for proposal, all proposals shall be sent to:

CALIFORNIA DEPARTMENT OF TRANSPORTATION
DIVISION OF RIGHT OF WAY
BOX 942874
SACRAMENTO, CA 94274-0001
(c) The notice may include specific minimum requirements for proposed facilities to be placed, installed or constructed, as well as terms and conditions as to use, operation and maintenance. The notice may also request the interested person or organization to submit a proposal using its plans, designs and specifications and manner of operation, use and maintenance. Proposals determined by the department to meet the best interests of the state and the traveler, shall be accepted for further consideration. Acceptance for further consideration or rejection of a proposal by the department shall be final. Unless otherwise provided in the notice, the department's determination shall be forwarded to the applicant not later than sixty (60) days after receipt of the proposal.
(d) Once a formal written proposal is accepted for further consideration by the department, the applicant shall be requested to supplement and provide further specific information. Once a proposal is approved in concept by the department, terms and conditions shall be set forth in a written agreement.
(e) The applicant whose proposal is approved may enter upon the safety roadside rest area only as provided in the written agreement. (f) Where feasible and in the best interest of the department, an agreement may be entered into which includes the terms and conditions of use.
(g) The agreement shall provide for its revocation for any violation of the agreement provisions or these regulations. Upon revocation, unless otherwise provided in the agreement, the person or company shall be given thirty (30) days to remove, at his/its sole cost and expense, any and all facilities or equipment, installed, placed or constructed under the agreement.
Failure to do so shall result in the removal of any and all equipment or facilities by the department for storage on behalf of the person or company for up to thirty (30) days. The cost of removal and storage shall be borne by said person or company. Failure to claim the confiscated items within the thirty (30) day period shall result in either their destruction or sale. Proceeds from any sale less the total moneys owed the department for its costs and expenses shall be returned to the person or company. If a deficiency results, the department shall have an action to recover its deficiency, including the costs, attorneys' fees, and expenses of suit.
(h) Agricultural displays and examples of California agriculture may be allowed at safety roadside rest areas and vista points as determined by the department.
NOTE

Authority cited: Sections 225 and 225.5, Streets and Highways Code. Reference: Sections 220, 220.5 and 225.5, Streets and Highways Code.
HISTORY

1. Repealer of article 5 (section 2208) and section, and renumbering and amendment of former section 2211 to section 2208 filed 3-7-95; operative 4-6-95 (Register 95, No. 10).
§2209. Traveler Information Centers.
Note     •     History

(a) The department has constructed buildings and kiosks and may construct others at safety roadside rest areas and vista points for the express purpose of providing a facility upon which to display traveler information. Displays are placed in or on these structures to provide public information about local and state points of interest, local communities and community service facilities, statewide identification of state highways, location of recreation areas and the location of other safety roadside rest areas and vista points. Permissible commercial information to be displayed in safety roadside rest areas may include the identification and location of service stations, recreational facilities, food, lodging and camping services and other traveler service-related facilities.
(b) Public information displays are department-owned displays and are placed upon the kiosk or other structure as determined by the department to be in the best interest of the traveler.
(c) Commercial displays may be placed upon a structure or kiosk by the department only after the department has agreed thereto, pursuant to the procedures and conditions established below:
(1) When determined by the department to be in the best interest of the traveler, it shall consider both solicited and unsolicited written proposals, or publish a request for written proposals or both so as to consider whether and which commercial displays shall be allowed to be placed upon a kiosk or other structure at any safety roadside rest area.
The proposal shall be the application. If accepted, the proposal shall be the basis for preparation of an agreement. Agreements shall be denied or granted, based solely upon the criteria set forth in this section.
Notification of denial or approval of a proposal shall be sent to the applicant not later than sixty (60) days after receipt of the proposal by the department. If denied, the reasons therefor may be stated.
(2) The agreement shall provide for exhibit of the person's or company's display for an agreed period of time and thereafter until canceled by thirty (30) days' advance written notice by either party. However, the department may cancel the agreement at any time upon ten (10) days' written notice, upon a determination that the person or company, or the display violates any provision of law, these regulations or the exhibit agreement. Such cancellation and removal shall be at the sole cost and expense of the person or company.
(3) The exhibit fee is $50.00 per month per display based on a one- (1) year agreement. The fee shall be prorated from the date of installation, payable in advance in equal monthly installments due on the first day of each month beginning with the month following the month the display was installed or on such other basis as the department may establish.
(4) Failure to make payment as provided in the agreement or other default in the performance of any of the terms and conditions of the agreement, shall, at the department's option, be deemed a breach of the agreement. Upon such failure or default and ten (10) days' written notice by the department to the person or company of such failure or default, the full amount remaining to be paid shall immediately become due and payable. Such notice shall be deemed given when the department shall have deposited a notice to the person or company in the United States mail, with postage prepaid. If the person or company fails to make payment in full or continues in breach of any provision of the agreement, the department may remove the display and relet the exhibit space. The person or company shall be obligated to pay any and all amounts due and owing for the remaining term of the agreement or until the display space has been relet, whichever occurs first.
(5) Display copy is to be reverse silk screen on the back side of a 28” x 28” x 1/8” sheet of LEXAN, or on comparable material agreed on between the parties.
The person or company shall arrange for the production of the display at his/her/its sole cost and expense. Prior to production, the format and content of the display must be approved in writing by the department and the display shall not subsequently be changed or altered unless the department has given its prior written approval. The display shall conform to all applicable laws, rules, regulations and requirements of all governmental bodies having or exercising jurisdiction.
The department reserves the right to reject or refuse at its sole discretion any display which is false or misleading, which may misinform, or which does not qualify as traveler information under the department's rules and regulations. Any display which does not conform to the department's specifications, which is unsightly or which is in a bad state of repair, shall not be exhibited.
(6) The person or company shall assume full and complete responsibility and liability for the content of the display and shall agree to save, defend, indemnify and hold the department, its officers, agents and employees, harmless against any and all demands, claims, liability, damages and causes of action, including attorneys' fees and all costs of any legal action occasioned by or resulting from injuries or losses to any person, firm or corporation, however occurring, resulting from their reliance on the person's or company's display or from the form, content or representations contained therein.
(7) The person or company shall deliver the display, at his/its sole cost and expense to the designated department office within the district where the safety roadside rest area is located, or to such other location as specified by the department, within sixty (60) days after notification that the agreement has been approved. Upon failure to do so, the department may cancel the agreement, in which case the person or company shall have no further rights thereunder.
(8) Installation and removal of the display upon any kiosk or structure within the safety roadside rest area shall be solely the responsibility of the department. Under no circumstances shall the person or company install, place, replace, repair, alter or remove the display.
(9) Any delay in the placement of a display or interruption of the display time caused by the department shall not be a breach of the agreement, unless its actions are unreasonable or are an abuse of discretion. In its discretion, the department may extend the term of the agreement or provide a pro rata credit equal to the period of delay or interruption.
Such extension or credit shall be the only damages recoverable.
(10) Should it be necessary or in the best interests of the department to repair, alter, reconstruct, temporarily close, or remove the kiosk, the display structure or any other portion of the safety roadside rest area improvements or to cancel the agreement, the display may be removed and returned. The person or company shall have no claim for damages to either himself/herself/itself, the business, or the display by reasons of such removal, disruption, discontinuance or termination, except that any fee to be paid under the terms of the agreement shall be prorated accordingly.
(11) The department shall not be responsible for and the person or company shall, at his/her/its sole cost and expense, restore, repair or replace any display which is lost, stolen, defaced, damaged or destroyed through no fault of the department or which is found by the department to be in a deteriorated or faded condition, regardless of the cause. In this event, the term of the agreement will be extended for a period coextensive with the nondisplay time. If the person or company fails to provide an acceptable replacement display within sixty (60) days of the department's written request to do so, the department may cancel the agreement.
(12) All proposals, completed forms and payments shall be mailed to:

CALIFORNIA DEPARTMENT OF TRANSPORTATION
DIVISION OF RIGHT OF WAY
P. O. BOX 942874
SACRAMENTO, CA 94274-0001
or such other location as may be provided in the agreement by the department.
NOTE

Authority cited: Section 225, Streets and Highways Code. Reference: Sections 218, 220 and 223, Streets and Highways Code.
HISTORY

1. Renumbering of former article 6 (sections 2209-2213) to article 4, renumbering and amendment of former section 2209 to section 2206, including amendment of Note, and renumbering and amendment of former section 2212 to 2209 filed 3-7-95; operative 4-6-95 (Register 95, No. 10).
§2210. Other Uses and Activities.
Note     •     History

(a) The department may consider activities and uses in safety roadside rest areas, and when specifically provided by statute, in vista point areas other than those referred to in the preceding sections of this Article, after a written request or proposal has been submitted to the department's Office of Landscape Architecture in Sacramento which provides the following information:
(1) How and in what manner the proposed activity or use meets the purposes and intent of the safety roadside rest area or vista point program.
(2) Outlines in detail, using factual data to as great an extent as possible, what the sponsor believes are the traveler benefits; that is, how the traveler will be a more rested person or a safer driver and how the traveler will experience a more relaxing and comfortable stay.
(3) If the proposal is for the placement, installation, construction or operation of permanent facilities, provides information regarding (A) cost to install, operate and maintain the facilities, (B) expected term of use and rental proposed, (C) a site or plot plan showing the total facility proposed, (D) design detail and specifications, and (E) which safety roadside rest areas or vista points are included as part of the proposal.
(4) If the activity or use requires the applicant, its representatives or employees, to conduct the permissible activity on the safety roadside rest area or vista point in person, the agreement may require that a badge be worn by each person and contain all or any part of the following information:
A. the person's name.
B. the organization name and address as shown in the agreement.
C. the name and location of the roadside rest area or vista point identified in the agreement.
D. the date of agreement, expiration date and when appropriate, specified days and hours of permitted use.
(b) It is possible that some proposals made under this section will require a period of time to determine whether the use or activity is permissible or should be made permissible by a change in the statute. Also, it is anticipated that extensive studies may be required to determine whether a proposed use or activity should be allowed as proposed, even if permissible, and whether there is substantial benefit to the state and to the traveler. Therefore, when a use or activity is proposed, the department may allow such use or activity for the sole and temporary purpose of demonstrating its value and benefit to the state and the traveler.
Further, if a written proposal indicates it has probable substantial value and benefits within the permissible statutory use or activity, the department may enter into an agreement and permit such use or activity for a temporary demonstration period. During this period, the sponsor and department may jointly evaluate the proposal, conduct studies and generally test the desirability of the proposal in terms of state interest and of traveler benefits.
Unless otherwise provided, the cost to place, install, construct, operate and maintain such a facility for demonstration purposes shall be at the sole cost, expense and responsibility of the sponsor. Unless agreed otherwise, all tests and studies of the proposal during the demonstration period shall be at the sole cost and expense of the sponsor. The sponsor shall be required to indemnify the state for injuries and damages to its property or to third persons, and where deemed desirable by the department, insurance, or bond, or both, in the appropriate amounts shall be required.
If the results of the study during the demonstration of the proposed use or activity are found not to provide substantial state or traveler benefits or are otherwise not acceptable, then notice of the rejection shall be sent to the sponsor. Unless otherwise provided, the sponsor shall be given thirty (30) days in the Notice to Remove, at the sponsor's sole cost and expense, any and all facilities installed or constructed. The department shall provide its reasons for denial in its notice, and its decision shall be final.
(c) Any written proposal submitted under this section shall be either rejected, accepted or accepted for demonstration purposes within sixty (60) days after receipt of the proposal by the department. The department may give its reasons for rejection of the proposal.
(d) As to any written proposal submitted under this section, the department may solicit other proposals and it may solicit competitive bids on proposals either offered or found acceptable but not approved by an executed agreement. It is the purpose of this provision to provide the department with a degree of flexibility as to the use and management of its safety roadside rest and vista point areas. In this context it is desirable that proposed uses or activities be installed, operated and maintained to the overall public benefit. Conceivably, even a sponsor of such uses or activities may not be able to provide such a service. Therefore, the following minimum factors or criteria may be used as the basis to consider the proposal, similar proposals or seek competitive proposals or bids from other parties:
(1) Whether the design, layout of facilities and materials, including quality and desirability, meet the standards established by the department in its review of the proposal.
(2) Whether the department's startup costs and costs of operation and maintenance are reasonable in terms of the benefits of the proposal.
(3) Whether the sponsor's experience and financial and management capabilities, as well as those of any consultants, architects, contractors and other suppliers the sponsor will employ, indicate the ability to construct, maintain and operate the proposed activity or use in a manner acceptable to the department.
(4) Whether the timing and the safety roadside rest or vista point area(s) the sponsor desires to use in his proposal, or both, are acceptable to the department.
(5) Whether any safety problems as regards pedestrian uses and vehicular requirements in the safety roadside rest or vista point area(s) and along the highway are properly or adequately handled or resolved.
(6) Whether there would be exposure of the traveler to injury and of the department to claims for injury or damage.
(7) Whether the proposal contains a substantiation of traveler benefits and furtherance of the state's interest.
(8) Whether the proposal contains appropriate and acceptable income provisions for the state.
(9) Whether the proposal is deemed to be economically sound.
(10) What impact the proposed use or activity is estimated to have on overall safety roadside rest area or vista point usage, including, but not limited to, such factors as any anticipated increase in the number of motorists using the facility, their length of stay and any change in their habits or their usage of the facilities during their stay.
NOTE

Authority cited: Section 225, Streets and Highways Code. Reference: Sections 155.6, 220 and 225, Streets and Highways Code.
HISTORY

1. Renumbering and amendment of former section 2210 to section 2207, including amendment of Note, and renumbering and amendment of former section 2213 to 2210 filed 3-7-95; operative 4-6-95 (Register 95, No. 10).
§2211. Vending Machines and Agricultural Displays.
Note     •     History

NOTE

Authority cited: Section 225, Streets and Highways Code. Reference: Sections 220 and 220.5, Streets and Highways Code.
HISTORY

1. Renumbering and amendment of former section 2211 to section 2208, including amendment of section heading and Note, filed 3-7-95; operative 4-6-95 (Register 95, No. 10).
§2212. Traveler Information Centers.
Note     •     History

NOTE

Authority cited: Section 225, Streets and Highways Code. Reference: Sections 218, 220 and 223, Streets and Highways Code.
HISTORY

1. Renumbering and amendment of former section 2212 to section 2209 filed 3-7-95; operative 4-6-95 (Register 95, No. 10).
§2213. Other Uses and Activities.
Note     •     History

NOTE

Authority cited: Section 225, Streets and Highways Code. Reference: Sections 155.6, 220 and 225, Streets and Highways Code.
HISTORY

1. Renumbering and amendment of former section 2213 to section 2210 filed 3-7-95; operative 4-6-95 (Register 95, No. 10).

Appendix I

View Graphic 

Appendix II

NEWSPAPER VENDING MACHINE DESIGN AND 
SPECIFICATION CRITERIA
Newspaper vending machines proposed for installation in the Department's safety roadside rest areas shall conform to the following minimum design and specification criteria:
1. the vending machine cabinet is to be fabricated from 20-gauge cold rolled steel, all welded construction, and shall be approximately 16 inches high, 24 inches wide and 16 inches deep.
2. the door is to be fabricated from 16-gauge cold rolled steel, reinforced with 5/8 inch diameter steel tubing with .043 inch wall thickness, or the equivalent, all welded construction.
3. the window is to be fabricated from 60/1000th inch thick LEXAN or an equivalent clear, shatter--and vandal-resistant polycarbonate material.
4. the coin mechanism is to be an adjustable rejector type with a built-in locking mechanism and a reverse armored coin box.
5. the ground type pedestal mount column is to be a four-inch square steel tube with 1/8 inch thick steel walls, all welded construction, with a reinforced mounting platform fabricated from 12 gauge cold rolled steel reinforced with 1/8 inch thick steel cross bracing or the equivalent. A pedestal mount furnished with a steel flange base designed to be bolted to concrete surfaces may be used only where directed by the Department.
6. the finish of both the machine and the base is to be iron phosphate cleaned and prepared with a heavy coat of primer followed by a heavy coat of baked enamel.
7. the machine is to be finished with a heavy coat of baked enamel, colored light tan. Color number 10324 in Federal Standard 5952 meets these specifications.
8. the pedestal base is to be finished with a heavy coat of baked enamel, colored dark brown. Color number 20062 in Federal Standard 5952 meets these specifications.
9. the name or logotype of the publication may be lettered or stenciled in the same dark brown color as is used on the pedestal base on the lower front face of the machine beneath the window using the type style customarily employed by the publication.
To the extent that it is in its best interests, the Department may, at its discretion, modify these design and specification criteria to suit the particular safety roadside rest area and at its option make the necessary provisions a part of the permit agreement.
Chapter 21. Minority and Women  Business Enterprise Participation  in State Contracts
§2500. Definitions.
Note     •     History

As used in these regulations:
(a) “Department” means the Department of Transportation.
(b) “Minority” means a person as defined in subdivision (d) of section 10115.1 of the Public Resources Code.
(c) “Minority business enterprise” (“MBE”) means a business concern as defined in subdivisions (e) and (g) of section 10115.1 of the Public Resources Code.
(d) “Women business enterprise” (“WBE”) means a business concern as defined in subdivisions (f) and (g) of section 10115.1 of the Public Contract Code.
(e) “Contract” means any agreement, as defined in subdivision (b) of section 10115.1 of the Public Contract Code. The contracts covered by these regulations do not include contracts funded wholly or in part by the Federal Government and which are required to include disadvantaged, minority, or women business enterprise goals as mandated by federal statutes or regulations, such as the regulations of the United States Department of Transportation, 49 CFR Part 23.
(f) “Good faith effort” is a concerted effort, as provided in Public Contract Code Section 10115.2, on part of a potential contractor to seek out and consider minority and women business enterprises as potential subcontractors, material and equipment suppliers, or both, in order to meet the statewide participation goals of not less than 15 percent for minority business enterprises and not less than 5 percent for women business enterprises as provided in Public Contract Code section 10115, or other goals set forth in the contract pursuant to section 2501(a).
NOTE

Authority cited: Section 10115.3, Public Contract Code. Reference: Sections 10115.1, 10115.2 and 10115.3, Public Contract Code; Sections 94.3 and 820, Streets and Highways Code; and 49 CFR Part 23.
HISTORY

1. New chapter 21 and sections 2500-2503 filed 8-20-92; operative 9-21-92 (Register 92, No. 34).
§2501. Establishing Goals.
Note     •     History

(a) The program goals of not less than 15 percent for minority business enterprises and not less than 5 percent for women business enterprises, as set forth in Public Contract Code section 10115, apply to the overall annual expenditures of the department, and such goals shall be used for specific contracts unless the Department determines that more appropriate goals shall be used for a project or contract based on the availability of MBEs and WBEs in a specific local region or the opportunity for subcontracting presented by the project or contract.
(b) Contracts for a dollar amount of ten thousand dollars ($10,000) or less shall not require participation goals.
NOTE

Authority cited: Section 10115.3, Public Contract Code. Reference: Sections 10115 and 10115.2, Public Contract Code.
HISTORY

1. New section filed 8-20-92; operative 9-21-92 (Register 92, No. 34).
§2502. Award of Contract.
Note     •     History

(a) In order to be eligible for award of the contract, the bidder must either meet the goals for minority business enterprise and women business enterprise participation, or provide information to establish that, prior to bidding, the bidder made good faith efforts to do so. The information submitted to establish the bidder's good faith efforts to meet the MBE and WBE goals shall be submitted by the time provided in the bid proposal, and shall include the information requested in the bid proposal.
(b) If the bidder does not meet the goals, the department will evaluate the efforts made by the bidder to meet the goals. If the department determines that the bidder has satisfied the elements of subdivision (b) of Public Contract Code section 10115.2, the bidder shall be deemed to have made good faith efforts. Based on this evaluation, the department may make a finding that the good faith effort requirement has been met.
NOTE

Authority cited: Section 10115.3, Public Contract Code. Reference: Sections 10115 and 10115.2, Public Contract Code.
HISTORY

1. New section filed 8-20-92; operative 9-21-92 (Register 92, No. 34).
§2503. Certification of Minority and Women Business Enterprises.
Note     •     History

In order to be counted toward meeting minority business enterprise for women business enterprise goals set forth in the contract, the subcontractor or supplier must be certified as an MBE or WBE by the department on the date of bid opening. The department will follow guidelines for certification which appear in 49 CFR sections 23.51 and 23.53.
NOTE

Authority cited: Section 10115.3, Public Contract Code. Reference: Section 10115.1, Public Contract Code; Section 94.3, Streets and Highways Code; Section 14030.5, Government Code; and 49 CFR Sections  23.51 and 23.53.
HISTORY

1. New section filed 8-20-92; operative 9-21-92 (Register 92, No. 34).
Chapter 22. Contractor Debarment
§2600. Authority for Rules.
Note     •     History

These rules and regulations are issued by the State of California Department of Transportation pursuant to the authority delegated by California Government Code section 14105. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New chapter 22 (sections 2600-2619) and section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2601. Scope of Rules.
Note     •     History

These rules and regulations shall be applicable in all formal proceedings before the State of California Department of Transportation pertaining to hearings initiated under California Government Code section 14105(g). 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2602. Definitions.
Note     •     History

(a) The Department is the State of California Department of Transportation. 
(b) The term Director refers to the Director for the Department and includes the Director's authorized representative. 
(c) The Hearing Officer shall be the person designated by the Director of the Department to preside over the debarment proceedings and to issue a recommended decision to the Department. 
(d) The term Chief Counsel refers to the Chief Counsel for the Department and includes the Chief Counsel's authorized representative. 
(e) Respondent means any individual, firm or entity which has been served a written notice of proposed debarment pursuant to California Government Code section 14105. 
(f) Debarment means an exclusion from bidding on a public work contract, from working on a public work contract and from being awarded a public work contract for a specified period of time commensurate with the seriousness of the offense as described in California Government Code section 14105(g). 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2603. Initiation of Debarment Proceedings.
Note     •     History

(a) The Department shall initiate a debarment proceeding by serving upon the proposed Respondent a written notice of proposed debarment by certified mail. 
(b) The notice shall state: 
(1) That debarment is being considered; 
(2) The reasons for the proposed debarment; 
(3) The period of debarment and the proposed effective date; 
(4) That the debarment will not become effective until after a hearing if such hearing is requested within 20 days following receipt of the notice; 
(5) That the request for a hearing is to be submitted in the manner prescribed by these rules and regulations. 
(6) If no hearing is requested within 20 days following receipt of the notice, the action of the Department set forth in the notice shall become the final decision without further notice to the Respondent. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2604. The Request for a Hearing.
Note     •     History

A respondent may, within 20 days following receipt of a written notice of proposed debarment, file a request for a hearing before a hearing officer in writing. The request shall be addressed to the Director of the Department and shall be accompanied by a concise statement admitting, denying or explaining each of the allegations set forth in the notice of proposed debarment. The request shall be delivered by certified mail. A respondent may also include any documentary evidence in support of the position taken in the request for a hearing. A respondent shall submit four copies of all documentary evidence provided. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2605. Order Relative to Hearing.
Note     •     History

(a) The Hearing Officer shall issue an order granting the Respondent's request for a hearing, establishing the time and place thereof, and advising the Respondent of the consequences of a failure to appear at the hearing. 
(b) The notice of proposed debarment and request for a hearing together with the reply, if any, shall become the pleadings in any proceeding in which the Hearing Officer orders a hearing to be held. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2606. Reply.
Note     •     History

Not more than 15 days from the receipt of the request for a hearing, the Chief Counsel may submit a reply on behalf of the Director who initiated the debarment proceedings. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2607. Service and Filing Documents for the Record.
Note     •     History

(a) The Department shall cause copies of all pleadings, motions, orders and other documents to be served promptly on other parties to the proceeding and on the Hearing Officer. 
(b) The parties shall submit four copies of all documents unless otherwise ordered by the Hearing Officer. One copy shall be signed as the original. 
(c) The parties may be ordered by the Hearing Officer to exchange, at the prehearing conference, or at some other time in advance of the hearing, all exhibits each party intends to offer at the hearing (other than exhibits exclusively used for impeachment or rebuttal); and may be ordered to index, offer and file some or all of the exhibits in advance of the hearing. The party offering an exhibit at the hearing shall provide sufficient copies so that each party, the Hearing Officer and the witness have a copy. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2608. Respondent's Failure to Appear at the Hearing.
Note     •     History

If the Respondent shall fail to appear at the hearing, the Hearing Officer shall receive the Director's evidence and render a recommended decision to the Department. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2609. Amendment of Pleadings.
Note     •     History

(a) By consent of the parties a pleading may be amended at any time. Also, a party may move to amend a pleading at any time prior to the close of the hearing, provided that the amendment is reasonably within the scope of the proceeding. 
(b) The Hearing Officer may, upon reasonable notice, permit service of a supplemental pleading setting forth transactions, occurrences, or events which have transpired since the date of the pleading sought to be supplemented and which are relevant to any of the issues involved. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2610. Continuances and Extensions.
Note     •     History

Continuances and extensions will not be granted by the Hearing Officer except for good cause shown. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2611. Hearings.
Note     •     History

Hearings shall be at a location designated by the Hearing Officer. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2612. Appearances.
Note     •     History

(a) A Respondent may appear and be heard in person or by attorney. 
(b) An attorney may represent the Department. 
(c) When a Respondent is represented by an attorney, all pleadings and other papers subsequent to the notice of proposed debarment shall be mailed to the attorney. 
(d) All counsel shall promptly file notices of appearance. Changes of Respondent's counsel shall be recorded by notices from retiring and succeeding counsel and from the Respondent. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2613. Conduct of the Hearing.
Note     •     History

The Hearing Officer shall have authority to: 
(a) Administer oaths and affirmations; 
(b) Examine witnesses; 
(c) Rule upon offers of proof, admissibility of evidence, and matters of procedure; 
(d) Order any pleading amended upon motion of a party at any time prior to the close of the hearing; 
(e) Maintain discipline and decorum and exclude from the hearing any person acting in an indecorous manner; 
(f) Require the filing of briefs or memorandum of law on any matter upon which the Hearing Officer is required to rule; 
(g) Order prehearing conferences for the purpose of the settlement or simplification of issues by the parties; 
(h) Order the proceeding reopened at any time prior to his or her recommended decision for the receipt of additional evidence; 
(i) Render a final recommended decision to the Department; 
(j) Take any further action as may be necessary to properly preside over the debarment proceeding and render a recommended decision therein. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2614. Evidence.
Note     •     History

(a) Oral testimony shall be taken only on oath or affirmation. 
(b) All parties shall have these rights: to present evidence relevant to the issues; to cross examine opposing witnesses on any matter relevant to the issues even though the matter was not covered in the direct examination; to impeach any witness regardless of which party first called the witness to testify; and to rebut the evidence against the party. Any party, or person identified with such party, may be called and examined as if under cross-examination by any adverse party. 
(c) The hearing need not be conducted according to technical rules relating to evidence and witnesses. Any relevant evidence, including hearsay, shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions, provided however, hearsay evidence even though not objected to shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions. However, evidence shall be subject to the exclusions of California Evidence Code Sections 1151, 1152, and 1154. The rules of privilege shall be effective to the same extent that they are now or hereafter may be recognized in civil actions and irrelevant and unduly repetitious evidence shall be excluded. 
(d) The following additional exception to the “best evidence” rule (Evidence Code Section 1500) applies: A duplicate is admissible to the same extent as the original unless: 
(1) A genuine question is raised as to the authenticity of the original, or 
(2) In the circumstances it would be unfair to admit the duplicate in lieu of the original. “Duplicate” as used here means a counterpart or facsimile copy of the original produced by the same impression or from the same matrix as the original or by some technique of accurate reproduction. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2615. Witness Fees.
Note     •     History

The Department does not pay fees and expenses for Respondent's witnesses. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2616. Transcript.
Note     •     History

Hearing shall be stenographically reported by a reporting officer hired by the Department under the supervision of the Hearing Officer. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2617. Decision.
Note     •     History

The Department shall issue a final written decision by certified mail. Such decision shall include a summary of the evidence, findings, conclusions and reasons underlying the decision. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2618. Computation of Time.
Note     •     History

A designated period of time under the rules in this chapter excludes the day the period begins, and includes the last day of the period unless the last day is a Saturday, Sunday, or legal holiday, in which event the period runs until the close of business on the next business day. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
§2619. Official Record.
Note     •     History

The transcript of testimony together with all pleadings, orders, decision, exhibits, briefs, and other documents filed in the proceedings shall constitute the official record of the proceedings. 
NOTE

Authority cited: Section 14105, Government Code. Reference: Section 14105, Government Code; and Section 1101, Public Contract Code. 
HISTORY

1. New section filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
Chapter 23. Adopt-A-Highway Program
Article 1. Introduction
§2620. Scope of the Adopt-A-Highway Program.
Note     •     History

(a) The California Department of Transportation (Caltrans) Adopt-A-Highway Program (Program) exists to provide the public with an avenue to donate services for maintenance and beautification activities on sections of roadside within California's State Highway System. 
(1) Neither the Program nor its courtesy signs are intended to provide a forum for advertisement, solicitation, or public discourse. 
(2) Adoptions are intended to reduce, not add to, the Caltrans maintenance work load. 
(3) Adoption types include litter removal, supplemental litter removal, graffiti removal, vegetation control, tree and shrub planting, wildflower planting, and spot wildflower planting. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New chapter 23 (articles 1-12, sections 2620-2652), article 1 (section 2620) and section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
Article 2. Definitions
§2621. Definitions.
Note     •     History

All terms defined in this article are applicable to terms used in Title 21, Division 2, Chapter 23. These terms have the following meanings: 
(a) “Adopter” means an individual, organization, agency, or business that has been issued a Permit. 
(b) “Adoption Site” means the section of State highway right-of-way to be adopted. An adoption site can include one or both directions of a highway roadside. “Adoption site” and “site” are used interchangeably throughout the Regulations text. 
(c) “Adoption Task” means a specific beautification or maintenance activity authorized under a Permit. 
(d) “Adoption Type” means one of several standardized participation opportunities described in Section 2623(b). For example, litter removal is an adoption type. 
(e) “Applicant” means an individual, organization, agency, or business who has submitted a Program Application. 
(f) “Attachment A” means the Form MTCE-09, Attachment A (Adopt-A-Highway Special Provisions) (Rev. 07/09) which is incorporated by reference. This form is included in the adopter's Permit package and contains information obtained during a site review such as safe site access, appropriate work methods, and work frequency. Attachment A also lists Caltrans contact information. 
(g) “Caltrans” means the California Department of Transportation. 
(h) “Caltrans Policy” means Caltrans Director's Policy DP-01-R6, Equal Employment Opportunity (Rev. 07/06) which is incorporated by reference. This policy ensures Caltrans employees a work environment free from all forms of discrimination and harassment. Retaliation against Caltrans employees who are engaged in the implementation of the policy would constitute a violation of this policy. 
(i) “Contractor” means the maintenance service provider who has been hired to perform adoption tasks for a sponsored adoption. 
(j) “Contractor's Crew Leader” means the person responsible for supervising work performed by the contractor's crew at the adoption site. 
(k) “Courtesy Sign” means the sign placed to recognize the adopter.
(l) “Deputy District Director, Maintenance” means the senior officer for the Division of Maintenance in a Caltrans District office. 
(m) “Displaced Adopter Status” means a preferential waiting list placement status. This status is given to adopters who are forced to give up their adoption site because of construction or other circumstance. Displaced adopter status is discussed in Section 2640. 
(n) “District” means one of the twelve Caltrans districts. Each district consists of one or more California counties. 
(o) “District Coordinator” means the Caltrans District Adopt-A-Highway Coordinator or the Caltrans Assistant District Adopt-A-Highway Coordinator. 
(p) “District Permit Engineer” means an individual authorized to sign Permits for a district's Division of Traffic Operations. 
(q) “Group Leader” or “Alternate Group Leader” means the members of a volunteer group who have been designated to serve as liaison with Caltrans, to provide safety training to group members, and to supervise work performed at the adoption site. 
(r) “Instructions for Preparing Plans and Schedules” means one or more of the instructional handouts given to applicants for vegetation control and planting adoptions. Each handout lists items which must be included in the applicant's plan(s) and work schedule. The following handouts are incorporated by reference: 
(1) Preparing a Vegetation Control Site Plan and Work Schedule (Rev. 07/09). 
(2) Preparing Tree and Shrub Planting Plans and Work Schedule (Rev. 07/09). 
(3) Preparing Wildflower Planting Plans and Work Schedule (Rev. 07/09). 
(4) Instructions for Using Mulch (Rev. 09/09). 
(5) Caltrans Licensing Requirements for Adopt-A-Highway Volunteers Using Herbicides (Rev. 02/06). 
(s) “Maintenance Supervisor” means the Caltrans Maintenance Supervisor who is responsible for the area where an adoption site is located. The maintenance supervisor (or his/her designee) is the person who performs site reviews, conducts safety orientations, and monitors adopter's performance. 
(t) “Median” means a paved or planted strip that divides a highway into two directions of travel. 
(u) “Obscene” means the material must have all of the following three characteristics: 
(1) An average person, applying contemporary community standards, must find that the material as a whole, appeals to the prurient interest; 
(2) The material must depict or describe, in a patently offensive way, sexual conduct specifically defined by applicable law; and 
(3) The material, taken as a whole, must lack serious literary, artistic, political, or scientific value. 
(v) “Organization” means an association, a society, a club, or a group of individuals joined by a common purpose. Organizations do not need to have a charter, bylaws, or other governing instrument in order to participate. 
(w) “Participant” means any individual who performs adoption tasks. 
(x) “Permit” means the Form TR-0121, Encroachment Permit (Adopt-A-Highway) (Rev. 02/08) which is incorporated by reference. This form is included in the adopter's Permit package and authorizes the adopter to perform specific tasks on Caltrans right-of-way. 
(y) “Permit Application” means the Form TR-0103, Adopt-A-Highway Permit Application (Rev. 09/09) which is incorporated by reference. A Permit Application is used to apply for a Permit for a specific site. 
(z) “Permit Package” means all of the documentation issued by Caltrans and sent to the adopter once an adoption has been approved. In its entirety, the Permit package is the written agreement between Caltrans and the adopter. 
(1) All Permit packages include a Permit, an Attachment A, and Special Provisions. 
(2) Permit packages for adoptions that involve vegetation control and/or planting also contain approved plans and schedules. 
(aa) “Permit Provisions” means the participation rules and conditions set forth in the Permit package. 
(bb) “Plans and Schedules” means a site plan or planting plan, a work plan, and a work schedule. These documents are prepared and submitted by vegetation control and planting adoption applicants during the Permit Application process. Submitted plans and schedules must be approved by Caltrans before a Permit can be issued. 
(cc) “Planting Plan” means a plan (or map) that illustrates the location of a planting site within the highway right-of-way. The plan must show where plants or seeds are to be planted and list their quantity and species. 
(dd) “Program” means the Adopt-A-Highway Program. The Program is administered by the Caltrans Division of Maintenance, Office of Roadside Maintenance. 
(ee) “Program Application” means the Form MTCE-018, Adopt-A-Highway Program Application (Rev. 07/09) which is incorporated by reference. Submission of a Program Application is the first step in the adoption process. 
(ff) “Program Internet Site” means the Program's public web site where forms, handouts, and other publications can be obtained. The site's address is: http://adopt-a-highway.dot.ca.gov. 
(gg) “Recognition Panel” means the white, rectangular portion of the courtesy sign where the adopter's name is displayed. 
(hh) “Safety Orientation” means a safety training session given by Caltrans for adopters. 
(ii) “Sexually Explicit” means any reference to sexual intercourse, sexual abuse, the genitals or pubic area of a person. 
(jj) “Site Plan” means a plan (or map) that illustrates the location of a vegetation control site within the highway right-of-way. 
(kk) “Special Provisions” means the Form TR-0156, Adopt-A-Highway Permit Special Provisions (Rev. 09/09) which is incorporated by reference. This three-page document is included in the adopter's Permit package and lists standardized Program rules. 
(ll) “Sponsor” means an adopter who has hired a contractor to perform adoption tasks. 
(mm) “Sponsored Adoption” means an adoption where the adopter has hired a contractor to perform adoption tasks. 
(nn) “Successive Permit” means a new Permit issued upon expiration of an existing Permit to the same adopter at the same site. 
(oo) “Statewide Coordinator” means the Caltrans Statewide Adopt-A-Highway Coordinator or Caltrans Assistant Statewide Adopt-A-Highway Coordinator. 
(pp) “Turnaround Time” means the number of days a graffiti removal adopter has to paint over graffiti after being notified of the graffiti's existence on an adopted structure. 
(qq) “Vegetation Control Plan” means a plan that lists permissible methods for controlling different kinds of vegetation at various locations in a district. Vegetation control plans are updated on an annual basis by each district. During a site review, a maintenance supervisor refers to the vegetation control plan to ensure that methods authorized for use by adopters are compliant with methods listed in the plan. 
(rr) “Volunteer Adoption” means an adoption where the adopter performs adoption tasks using the adopter's own forces. 
(ss) “Work Plan” means a plan that identifies tasks to be accomplished and methods used to accomplish them. These include site preparation, initial planting, vegetation and/or weed control, and maintenance operations to be performed throughout the Permit period. 
(tt) “Work Schedule” means a list of dates for performing activities described in a planting plan or work plan. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code.
HISTORY

1. New article 2 (section 2621) and section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
Article 3. Eligibility
§2622. Eligibility Requirements.
Note     •     History

(a) Individuals, businesses, agencies, or organizations may participate. 
(1) Eligibility shall not be denied on the basis of race, sex, color, religion, national or ethnic origin, age, political affiliation, ancestry, marital status, sexual orientation, disability, or medical condition (unless the disability or medical condition would affect the participant's or public's safety). 
(2) Program participants must be 16 or older.
(3) The adopter's primary and alternate contacts must be 21 or older. The primary contact for sororities, fraternities, and other student organizations must be a faculty member of the organization's school. 
(b) Caltrans may deny eligibility if the applicant's participation in the Program would result in one or more of the following: 
(1) Create a hazard to the safety of Caltrans' employees or the public. 
(2) Violate the law. 
(3) Be contrary to Caltrans policy, as defined in Section 2621(h). 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New article 3 (section 2622) and section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
Article 4. Adoption Types
§2623. Adoption Types.
Note     •     History

(a) The name of an adoption type reflects the primary maintenance or beautification activity to be performed. Caltrans may modify an adoption type, add an adoption type, or discontinue an adoption type. 
(b) Adoption types include: 
(1) Litter Removal: Removing litter several times per year as determined by Caltrans. 
(A) A litter removal adoption site is approximately two miles long. If the site is located on a conventional highway (a highway with cross streets), both sides of the highway are adopted. If the site is located on a freeway or expressway, one or both sides of the freeway or expressway may be adopted. 
(2) Supplemental Litter Removal: Litter removal to supplement an existing litter removal adoption where the cleaning frequency cannot be raised, or, litter removal in a small unadopted area where litter gathers (i.e., along a fence line or near an onramp). 
(A) Supplemental litter removal frequency is determined by Caltrans. 
(B) A courtesy sign is not erected for supplemental litter removal adoptions. 
(3) Graffiti Removal: Painting over graffiti as needed on one or more highway structures. 
(A) The number of structures adopted is determined to ensure that the work performed by the graffiti removal adopter is comparable to the work performed by other adopters in the same area. 
(B) Turnaround time for graffiti removal is determined by Caltrans. 
(C) Paint color is determined by Caltrans. 
(D) Litter removal around the adopted structure(s) at time of graffiti removal may be required. 
(4) Vegetation Control: Controlling vegetation according to a Caltrans' approved plan. Vegetation control can be accomplished by hand pulling, hoeing, pruning, mowing, weed-whipping, applying herbicides, applying weed barrier, and/or applying mulch. 
(A) A vegetation control adoption site is approximately five acres net or two miles long.
(B) Vegetation control frequency is determined by Caltrans. 
(C) Additional vegetation control activities: 
1. Litter removal prior to vegetation control activity is required. 
2. Litter removal, separate from vegetation control activity, may be required. 
3. A vegetation control applicant must prepare a site plan, a work plan, and a work schedule and submit them to the district coordinator with the Permit Application. 
(5) Tree and Shrub Planting: Planting and establishing trees and/or shrubs according to a Caltrans' approved plan. 
(A) A tree and shrub planting adoption site is approximately three acres net. The initial planting must be a minimum of twenty trees and/or shrubs per acre. 
(B) Additional tree and shrub planting activities: 
1. Excavation, soil preparation, and staking are required. 
2. Irrigation is required. 
3. Initial application and periodic reapplication of mulch is required. 
4. Year-round weed control is required. Weed control frequency is determined by Caltrans. 
5. Litter removal prior to planting and weed control activity is required. 
6. Replacement of dead and diseased plants is required. 
7. Initial application and periodic reapplication of fertilizer may be required.
8. Installation of weed barrier may be required. 
9. A tree and shrub planting applicant must prepare a planting plan, a work plan, and a work schedule and submit them to the district coordinator with the Permit Application.
a. If Caltrans irrigation facilities are to be used, they must be included on the planting plan or on a separate drawing. 
b. Installation, modification, or maintenance of irrigation systems by an adopter is not permitted. 
(C) Once all plants can survive without watering provided by the adopter, the adoption is considered complete and a subsequent tree and shrub planting Permit is not issued. An adopter in good standing will be given the option to convert the tree and shrub planting adoption to a vegetation control adoption. 
(6) Wildflower Planting: Planting and establishing wildflowers according to a Caltrans' approved plan. An adopter may plant approved wildflowers, meadow mixtures, grasses, annuals, perennials, bulbs, or any combination of these. Planting of California native species is encouraged. 
(A) A wildflower planting adoption site is approximately three acres net.
(B) Additional wildflower planting activities: 
1. Soil preparation prior to planting or seeding is required. 
2. Soil preparation and replanting or reseeding each fall is required. 
3. Year-round weed control is required. Weed control frequency is determined by Caltrans.
4. Litter removal prior to planting and weed control activity is required. 
5. A wildflower planting applicant must prepare a planting plan, a work plan, and a work schedule and submit them to the district coordinator with the Permit Application. 
(7) Spot Wildflower Planting: Except for the following provisions, a spot wildflower planting adoption is identical to a wildflower planting adoption: 
(A) A spot wildflower planting adoption site has no minimum acreage or year-round weed control requirement. 
(B) A courtesy sign is not erected for spot wildflower planting adoptions. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5, 91.6 and 92, Streets and Highways Code. 
HISTORY

1. New article 4 (sections 2623-2624) and section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2624. Materials and Equipment.
Note     •     History

(a) Instructions for preparing plans and schedules, as defined in Section 2621(r), are made available to vegetation control and planting adopters during the Permit Application process. In order to be approved by a district landscape specialist, an applicant's plan(s) and work schedule must contain items described in the instructional handouts. 
(b) Supplies are distributed, or arrangements made for their distribution, at the adopter's safety orientation. 
(1) Caltrans provides safety gear, litter pickers, and litter bags to the volunteer group leader. 
(2) Caltrans provides litter bags to the contractor. 
(3) Safety gear, litter pickers, and litter bags are replenished throughout the Permit period. 
(c) Caltrans collects filled litter bags from adoption sites. 
(1) An adopter may keep recyclable items found at their adoption site. 
(d) Unless special arrangements are made with Caltrans, the adopter shall furnish all other equipment, labor, and materials needed to successfully perform adoption tasks. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
Article 5. Establishing Adoption Sites
§2625. Site Reviews.
Note     •     History

(a) The purpose of a site review is to classify an area as “adoptable” or “not adoptable.” If the site is classified as adoptable, information obtained during the site review, such as safe site access, location of work, appropriate work methods, and work frequency are included in the adopter's Permit package. 
(b) The safety of participants while on the highway right-of-way is of primary concern to Caltrans therefore, sites are reviewed on an ongoing basis. Site reviews may be conducted any time a question arises regarding the site's safety, however, site reviews are required: 
(1) When a new site is designated. 
(2) When an existing site is realigned. 
(3) Following construction at a site. 
(4) Prior to processing a Permit Application if the site review on file is older than two years. 
(c) Site reviews are ordered by the district coordinator and conducted by the maintenance supervisor. 
(1) Site reviews for available sites are returned within 15 calendar days. 
(2) Site reviews ordered as part of the permit renewal process are returned within 30 calendar days. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New article 5 (sections 2625-2627) and section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2626. Site Review Criteria.
Note     •     History

(a) Factors taken into consideration when sites are reviewed include: 
(1) Site access. 
(A) There must be safe access for a participant to enter, exit, and work along the site. 
(B) If motorized equipment is used, there must be safe access for the equipment to enter, exit, and operate along the site. 
(C) Except for city streets, if a stationary vehicle or other equipment is needed to accomplish an adoption task, there must be adequate parking space available off of paved shoulders and at least six feet from the traffic lane. Paved maintenance vehicle pullouts may be used.
(D) Lane and shoulder closures are not permitted.
(2) Location of work. 
(A) The adoption site's beginning and ending points are established. 
1. The site must meet the minimum mileage/acreage requirements for each adoption type as specified in Section 2623(b). 
2. The length of a site may vary slightly if necessary to accommodate site conditions or adjacent projects. 
3. Unless otherwise stated in the adopter's Permit, a site includes any interchanges or ramps within the site. 
4. A district may create an adoption site that includes only interchange or ramp areas. However, the work load of the adoption must be comparable to the work load of the adjacent segment. 
5. Small areas along the same highway may be combined to create a site that meets minimum size requirements. 
6. Unless otherwise stated in the adopter's Permit, the width of a site extends from the edge of the paved roadway or shoulder to the Caltrans' property line. 
(B) The following locations are not adoptable and are not reviewed: 
1. Medians. 
2. Areas under construction. 
3. Areas under maintenance agreement with another agency. 
4. Areas within six feet of a traffic lane. 
(3) Work methods. 
(A) Appropriate site preparation, planting, and weed control methods are identified for planting adoptions. 
(B) The type of vegetation to be controlled and appropriate control methods are identified for vegetation control adoptions. 
(C) An adoption activity performed within an environmentally sensitive area must be compliant with restrictions (e.g., no spraying, no mowing, etc.) set forth in the district's vegetation control plan. 
(4) Work frequency. 
(A) Litter Removal: Work frequency is based on the length of time it takes litter to accumulate at the site. The statewide minimum pickup frequency is six times per year, except in locations where extreme weather conditions (hot or cold) would prevent pickup for three or more consecutive months. In those locations, the minimum frequency is four times per year. 
(B) Supplemental Litter Removal: Work frequency is based on the length of time it takes litter to accumulate at the site. 
(C) Graffiti Removal: Turnaround time for graffiti removal is based on the location of the structure being adopted. For example, a highly visible structure is assigned less time than a structure in an obscure location. The minimum turn around time that can be assigned is three days. The maximum is ten days. Graffiti of an obscene nature must be removed as soon as possible and therefore is removed by Caltrans forces. 
(D) Vegetation Control: Work frequency is determined by Caltrans and is based on the length of time it takes for vegetation to grow and litter to accumulate at the site. The minimum vegetation control frequency is two times per year. Unless otherwise specified in the Permit provisions, the litter removal frequency assigned to a vegetation control adoption site is the same as vegetation control frequency. 
(E) Tree and Shrub Planting and Wildflower Planting: Weed control frequency is determined by Caltrans and is based on the length of time it takes for weeds to accumulate at the site. The minimum weed control frequency is two times per year. The applicant's work schedule proposes a work frequency for other required planting activities. The work schedule is approved by Caltrans during the Permit Application process. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5, 91.6, 92 and 96, Streets and Highways Code.
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2627. Site Classification.
Note     •     History

(a) Districts are under no obligation to establish an adoption site even if the site meets all site review criteria. 
(b) Sites classified as not adoptable require a primary reason for the classification to be stated. 
(c) Site classification may be changed when conditions at the site change or when site review criteria change. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
Article 6. Courtesy Signs
§2628. Purpose of Courtesy Signs.
Note     •     History

(a) Caltrans may recognize contributions made through the Program by displaying the adopter's name on a courtesy sign's recognition panel. Although there is advertising value inherent in a courtesy sign, it is not intended to be an advertising medium. A courtesy sign's sole purpose is to identify the adopter, not to advertise the adopter's services, products, or location. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New article 6 (sections 2628-2631) and section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2629. Location, Installation, and Cost of Courtesy Signs.
Note     •     History

(a) One courtesy sign is placed near the beginning of each direction of an adoption site on the right shoulder of the highway. 
(1) The size of a courtesy sign is determined by its location. 
(2) The exact placement of a courtesy sign is determined by each district's Division of Traffic Operations. 
(b) A courtesy sign and recognition panel are provided, installed, and maintained by Caltrans for each adopted direction at no cost to the adopter. However, as explained in Section 2630(a), an adopter may incur some cost for the artwork displayed on the recognition panel. 
(c) An adopter is not guaranteed a courtesy sign or recognition panel. If a courtesy sign or recognition panel is not authorized, the district coordinator informs the applicant before the Permit Application is processed. 
(1) A courtesy sign is not installed to recognize a supplemental litter removal or a spot wildflower planting adoption. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2630. Recognition Panels.
Note     •     History

(a) Types of recognition panels: 
(1) Standard recognition panel: Caltrans provides a standard recognition panel at no cost to the adopter. A standard recognition panel displays the adopter's name in black lettering, using a standard highway font. 
(2) Standard recognition panel with logo: The logo of an organization or business can be added to a standard recognition panel. (A recognition panel for an individual may not display a logo.) The adopter must purchase the logo and then deliver it to Caltrans. The logo must have adhesive backing. There is no fee charged to place a logo onto a standard recognition panel. 
(3) Custom recognition panel: If all panel elements (text and/or logo) are purchased by the adopter, the panel is called a “custom” panel. Adhesive-backed elements can be delivered to Caltrans, or, a completed panel can be delivered. Caltrans supplies blank recognition panels at no cost to an adopter who chooses the latter option. There is no fee charged for placing supplied elements onto a recognition panel. 
(b) In all circumstances, the appearance and content of recognition panels is solely determined by Caltrans. All recognition panels must be compliant with the standards set forth in the Adopt-A-Highway Recognition Panel Design Guidelines (Rev. 10/2009) which is incorporated by reference. This document, which is posted on the Program Internet site, contains a complete listing of all panel design rules and describes limited exceptions to the following general policy: 
(1) Recognition panels shall display one of the following: 
(A) The name of the individual (or multiple individuals) listed on the Program Application. 
(B) The words, “In Memory of,” plus the name of the individual or family in whose memory the adoption is being made as listed on the Program Application. 
(C) The name and/or logo of the organization, agency, or business listed on the Program Application. 
(2) Recognition panels shall not display: 
(A) Graphics or borders that are not part of a logo. 
(B) Wording or a logo that implies or is obscene or sexually explicit. 
(C) Adopter names or logos that violate the law or Caltrans' policy as defined in Section 2621(h).
(D) Any form of advertising, including street, email, and Internet addresses, directions, telephone numbers, dates, slogans, products, or services. This includes words in a logo that are not part of the adopter's name. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code.
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2631. Courtesy Sign Maintenance.
Note     •     History

(a) Caltrans replaces or repairs damaged or vandalized courtesy signs and/or recognition panels as needed. However, maintenance, repair, and/or replacement of a warning sign or a regulatory sign has priority over repair and/or replacement of a Program sign. 
(1) If a custom panel must be replaced, an adopter has the option to provide another custom panel or to have Caltrans provide a standard recognition panel. 
(2) A person caught vandalizing a courtesy sign or recognition panel will be prosecuted to the full extent of the law. 
(b) A sign at a location about to undergo construction must be removed and stored by Caltrans. After the construction is complete and a site review has determined that the site is still adoptable, Caltrans reinstalls the sign. 
(c) With one exception, a recognition panel that is in good condition may not be changed until the beginning of a successive Permit period. 
(1) If an adopter is actively using a new logo, the adopter may be permitted to update a recognition panel during a Permit period. 
(d) Anytime a recognition panel is replaced, the new panel must be compliant with recognition panel design rules. 
(e) A recognition panel that is altered or decorated by the adopter or a contractor is removed and the adopter's Permit may be canceled. 
(f) Except for litter removal sites, Caltrans removes courtesy signs from vacant adoption sites if the district coordinator is not actively seeking an adopter for the site. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
Article 7. Participation Options
§2632. Participation Options.
Note     •     History

(a) An adopter has the option to use its own forces to perform adoption tasks or to hire a contractor to perform all or a portion of the adoption tasks on its behalf. The former arrangement is considered a “volunteer adoption;” the latter is considered a “sponsored adoption.” 
(1) A volunteer adopter may convert to a sponsored adoption at any time during the course of an adoption. 
(2) A sponsor may convert to a volunteer adoption, or change contractors, at any time during the course of an adoption. However, a sponsor is advised to carefully examine the terms of its contract with its contractor prior to making such a change. 
(b) An adopter may adopt multiple sites.
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code.
HISTORY

1. New article 7 (sections 2632-2635) and section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2633. Shared Adoptions.
Note     •     History

(a) One or more parties may share responsibility for an adoption site. A shared adoption may be a volunteer adoption or a sponsored adoption. 
(b) When one party of a shared adoption no longer wishes to participate, the remaining adopter has 30 calendar days to notify Caltrans of the change and to select one of the following options: 
(1) Take over responsibility for the entire site.
(2) If the adoption site covers both directions of a highway, the remaining adopter may relinquish one direction and work (or sponsor) the remaining direction. 
(3) If no waiting list exists, the remaining adopter can try to recruit a new co-adopter. 
(4) If a waiting list exists, the first applicant on that list can be offered the opportunity to share the adoption. 
(5) Relinquish the adoption. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2634. Relationship of Contractors, Sponsors, and Caltrans.
Note     •     History

(a) Caltrans has no authority or involvement in the contract established between a sponsor and a contractor. A sponsor is responsible for obtaining and discontinuing the services of a contractor. 
(1) A sponsor may hire one or more contractors. 
(A) Each contractor must submit a separate Permit Application. 
(B) A contractor may not subcontract. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2635. List of Contractors.
Note     •     History

(a) The statewide coordinator maintains a list of licensed and insured contractors for public distribution. The list indicates the adoption types a contractor is licensed for and the districts where a contractor is authorized to work. A contractor must be on the list in order to be issued a Permit. The list is for informational purposes only and does not constitute endorsement by Caltrans or any of its employees. In order to be added to the list, a contractor must: 
(1) Provide proof of insurance and professional licensing as required by Caltrans. Types of insurance needed, minimum coverage amounts, and professional licensing requirements are set forth in a handout titled, Working With Contractors (Rev. 12/08) which is incorporated by reference. This document is posted on the Program Internet site.
(2) Attend a meeting with the district coordinator for each district where they want to offer services. The statewide coordinator may also attend these meetings. 
(b) Failure of a contractor to meet any of the following requirements shall result in the contractor's name being removed from the list and cancellation of all affected Permits: 
(1) Provide proof of continuous insurance coverage and professional licensing to statewide coordinator. Copies of renewed policies and licenses must be received prior to the expiration of those previously submitted. 
(2) Provide 30 calendar days notice to the statewide coordinator of any plans to reduce or cancel an insurance coverage(s) and/or a professional license(s). 
(3) Conform to all laws and regulations concerning business and professional licensing, workers' compensation insurance, and fair employment practices. 
(4) Conform to all Permit provisions. 
(c) A contractor must not falsify a sponsor's signature, business license, or other document submitted to the district coordinator on behalf of the sponsor. 
(1) If the falsification occurs at the Program Application stage, the Program Application is denied. 
(2) If the falsification occurs at the Permit Application stage, both the sponsor's and contractor's Permit Applications are denied. 
(3) In either case, a denial letter explaining the offense and the consequence is written to the sponsor and a copy is sent to the contractor. In addition, the contractor is sent a warning letter. 
(4) If the sponsor still wishes to participate in the Program, the sponsor must go through the adoption process again, starting with the submission of a new Program Application. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
Article 8. Program Application
§2636. Purpose of the Program Application.
Note     •     History

(a) The Program Application initiates the adoption process. 
(b) The Program Application is used to verify that the applicant's name is compliant with naming rules set forth in Section 2637(b)(2) and to determine whether or not the applicant meets the eligibility requirements set forth in Section 2622. 
(c) Adoption sites are offered on a first-come, first-served basis based on the date that a completed Program Application is received. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New article 8 (sections 2636-2637) and section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2637. Program Application Process.
Note     •     History

(a) Any person who wishes to participate in the Program must submit a Program Application to the district coordinator. A contractor may submit a Program Application on behalf of a sponsor. If two or more applicants plan to share an adoption, each must submit a separate Program Application. 
(1) The Program Application is available on the Program Internet site, from a contractor, or from a district coordinator. 
(2) The Program Application may be submitted by mail, facsimile transmission, or electronically. 
(b) The Program Application process consists of six steps. 
(1) When a Program Application is received, the district coordinator date stamps and initials the front of the Program Application. 
(2) The district coordinator verifies that the name entered into the “Individual, Organization, Agency, or Business Name” field of the Program Application is compliant with the following rules: 
(A) A business must apply using the business' legal name. Use of a corporate indicator, such as Inc., Co., etc., is optional. Business applicants must provide proof of legal business name when a Program Application is submitted. The following documents can be used to verify a business name: 
1. Business license. 
2. City or county tax certificate. 
3. Articles of incorporation. 
4. Screen print from the Secretary of State's business portal showing an active status for domestic (in California) or foreign (out of state or country) corporation, LP, or LLP: http://kepler.sos.ca.gov/list.html. 
5. A Certificate of Registration (issued by the Secretary of State) is acceptable verification for out-of-state web entities. 
6. A subsidiary or franchise may not be able to provide any of the documents listed above for name verification. In this case, one of the documents listed above must be submitted for the parent company along with a Fictitious Business Name Statement showing the parent company “doing business as” the subsidiary or franchise. 
(B) An agency must apply using the agency's legal name. 
(C) An organization must apply using the organization's complete name. 
(D) An individual must apply using his or her legal first and last name. Use of a middle name or initial is optional. 
(E) An applicant may wish to participate in the Program in honor of a deceased person. In this case, instead of the applicant's name, the words, “In Memory of,” plus the deceased person's name(s) are entered into the “Individual, Organization, Agency, or Business Name” field. For example, “In Memory of John Doe.” The deceased person's first name may be used without the last name. Use of a middle name or initial is optional. If several family members are to be memorialized, a group name will be considered by the statewide coordinator on a case-by-case basis. 
(3) The district coordinator verifies that the application is complete. 
(A) If the applicant's name is compliant with Program name rules and the Program Application is properly filled out, the Program Application is considered complete. The district coordinator enters the date completed on the front of the Program Application. 
(B) If the applicant's name is not compliant with Program name rules or the Program Application is not filled out properly, the district coordinator contacts the applicant to either obtain the missing information or to request that a corrected application be submitted. If a sponsor's Program Application was submitted by a contractor, the district coordinator may contact the contractor. 
1. When the missing information or corrected Program Application is received, the date completed is noted on the front of the Program Application. 
(4) The district coordinator obtains eligibility approval. Completed Program Applications are collected by the district coordinator each week. On the following Monday (or the first work day thereafter), the Program Applications are forwarded to the Deputy District Director, Maintenance (DDDM). The DDDM has one week to decide whether to approve or deny each applicant's eligibility. The decision to approve or deny an applicant's eligibility is noted on the face of each Program Application before the Program Applications are returned to the district coordinator. 
(A) If a Program applicant is not eligible for participation, the DDDM sends a denial letter to the applicant, explaining the reasons the applicant is not eligible, within 30 calendar days of receipt of the completed Program Application. The letter is sent by certified mail. If a sponsor's Program Application was submitted by a contractor, a copy of the denial letter is sent to the contractor. 
1. Appeal process. 
a. A denied applicant may submit a written appeal to the District Director within 30 calendar days of receipt of the denial letter. 
b. The appeal must provide proof that the eligibility criteria in question have been met.
c. The District Director must respond in writing, with a decision to either confirm or reverse the denial within 30 calendar days of receipt of the appeal. 
(5) If the applicant's eligibility is approved, the district coordinator orders any needed site reviews. A site review is needed if a site requested is classified as adoptable, is vacant, and the site review on file is older than two years. 
(6) If the applicant's eligibilty is approved, the district coordinator sends an application status letter within 30 calendar days of the Program Application's completion date. If the Program Application was submitted by a contractor, the application status letter may be sent to the contractor. The application status letter indicates the action to be taken for each requested site. 
(A) If a requested site is already adopted, does not have a current site review, or is under construction, the Program applicant is placed on a waiting list. 
(B) If a requested site is classified as not adoptable, no further action is taken.
(C) If a requested site is available (classified as adoptable, vacant, and has a current site review), the Permit processing documents described in Section 2642(b)(3) are included with the application status letter. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
Article 9. Waiting List
§2638. Establishment of Waiting Lists.
Note     •     History

(a) Each district coordinator shall establish a waiting list for a site desired by more than one applicant. Only a Program applicant whose eligibility has been approved can be placed on a waiting list. 
(1) An applicant can be placed on the waiting list for multiple sites.
(2) A contractor cannot be placed on the waiting list (unless the contractor intends to adopt the site as a volunteer participant). 
(3) An applicant cannot transfer a position on the waiting list to another party. 
(4) An applicant is responsible for notifying the district coordinator of any change in contact information. 
(5) A waiting list applicant is ranked according to the date that the applicant's completed Program Application is received. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New article 9 (sections 2638-2640) and section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2639. Waiting List Process.
Note     •     History

(a) When a site with a waiting list becomes available, a site review is ordered if the site review on file is older than two years. 
(1) If the site is classified as not adoptable, the site's waiting list is discontinued and the district coordinator notifies all applicants waiting for the site. 
(b) If the site is classified as adoptable, the district coordinator contacts the first applicant to see if the applicant is still interested in the site. If the Program Application was submitted by a contractor, the contractor may be contacted. 
(1) If the applicant is no longer interested, or if the applicant cannot be reached because of invalid contact information, the applicant is removed from waiting list. The district coordinator then moves on to the next waiting list applicant until an interested party is contacted. 
(2) If the applicant is interested, the applicant is sent the Permit processing documents described in Section 2642(b)(3). If the Program Application was submitted by a contractor, the documents may be sent to the contractor. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2640. Displaced Adopters.
Note     •     History

(a) An adopter in good standing who has had a Permit canceled due to a change in site classification or suspended due to construction is given a “displaced adopter status.” A displaced adopter is allowed to choose one of the following options: 
(1) Allow the Permit to be canceled with no further action. 
(2) Be placed first on the waiting list for sites within ten miles in either direction of the lost site (on the same highway). 
(A) If more than one displaced adopter is placed on the waiting list for the same site, the ranking is determined by the number of months the displaced adopter had an active Permit issued for the lost site. 
(B) A displaced adopter is given one offer to adopt a site. If the offer is refused, the adopter forfeits its displaced adopter status and all waiting list entries created as a result of its displaced adopter status are deleted. 
(C) Once a displaced adopter accepts an alternate site, the remaining waiting list entries created as a result of its displaced adopter status are deleted. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code.
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
Article 10. Permit Application
§2641. Purpose of the Permit Application.
Note     •     History

(a) A Permit Application is used to apply for a Permit for a specific, available site. 
(1) There is no fee charged for Program Permits. 
(b) Because extensive waiting lists for adoption sites exist, Caltrans limits the number of adoptions for a single adopter to ten Permits per district. 
(1) An exception may be granted for a remote site. A site is considered remote if it is located in a rural area, has no waiting list, and has been difficult to adopt or keep adopted. If a waiting list should develop for a site once considered remote, an adopter who has more than ten Permits is not allowed a successive Permit at that site. 
(c) A Permit shall not be transferred to another party. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5, 92 and 670, Streets and Highways Code.
HISTORY

1. New article 10 (sections 2641-2643) and section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2642. Permit Application Process.
Note     •     History

(a) The Permit Application process begins when a Program Application is received for a vacant site that does not have a waiting list or when a site with a waiting list is vacated. If a newly vacated site has a waiting list, the district coordinator has a maximum of ninety calendar days to issue a Permit Application for the site. District coordinators will not be held to the ninety day maximum if: 
(1) The site is no longer adoptable. 
(2) The first waiting list applicant is no longer interested in participating. 
(3) Where an updated Program Application is necessary, the first waiting list applicant does not return the Program Application by the deadline given. 
(b) The Permit Application process consists of the following seven steps: 
(1) The district coordinator checks to see if the site review on file is older than two years. If so, a new site review is ordered. 
(A) If the site is classified as not adoptable, the applicant is notified. 
(2) If the site is classified as adoptable, the district coordinator contacts the applicant to discuss adoption requirements. If the Program Application was submitted by a contractor, the district coordinator may contact the contractor. 
(3) Once the applicant has confirmed interest in the adoption, the district coordinator sends the applicant one or more of the following documents. If the Program Application was submitted by a contractor, the district coordinator may send the documents to the contractor. 
(A) Permit Application(s) as defined in Section 2021(y). 
(B) Adopt-A-Highway Recognition Panel Design Guidelines as incorporated by reference in Section 2630(b). 
(C) Working with Contractors as incorporated by reference in Section 2635(a)(1). 
(D) Instructions for preparing plans and schedules as defined in Section 2621(r). 
(E) A list of documents to be returned, with a clearly stated deadline for their return. The list includes one or more of the following: 
1. Permit Application(s). 
2. Business name verification (if required but not previously submitted). 
3. Recognition panel design proof. 
4. Example of logo being used in a corporate document. 
5. Site plan or planting plan, work plan, and work schedule. 
(4) Upon receipt of the Permit Application, the district coordinator verifies that the hard-copy Permit Application was generated by Caltrans and that it is properly completed and signed. 
(A) The contractor for a sponsored adoption and the sponsor must sign and return separate Permit Applications. A contractor may prepare and mail required documents on behalf of a sponsor, but the sponsor must personally sign the Permit Application. 
(B) A Permit Application may not be returned to Caltrans by facsimile transmission. 
(C) When Caltrans implements an on-line Permit Application process, an applicant has the option to either submit a hard-copy Permit Application or to submit a Permit Application via the Program's Internet site. 
(5) The district coordinator verifies that all other requested documentation has been submitted and if necessary: 
(A) Forwards the adopter's required plan(s) and work schedule to a district landscape specialist for approval. 
(B) Approves the submitted recognition panel design. 
(6) Once the Permit Application(s), the recognition panel design, and any required plans and schedules have been approved, the Permit Application(s) is deemed “complete.” The district coordinator writes the date completed on the face of the Permit Application(s). 
(7) The district coordinator forwards the Permit Application(s) and all documents to be included in the Permit package to the district permit engineer within five calendar days of the date completed. 
(A) The district permit engineer must confirm that all documents are “complete,” after which Caltrans has 55 calendar days to issue the Permit and mail a Permit package to the adopter. If a Permit is denied, the district permit engineer sends a denial letter to the applicant. 
(B) The appeal process for a denied Permit Application is described in Section 671.5 of the California Streets and Highways Code. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5, 92, 670 and 671.5, Streets and Highways Code.
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2643. Successive Permits.
Note     •     History

(a) An adopter may apply for a successive Permit an unlimited number of times provided the adopter or the adopter's contractor has satisfactorily met the terms of the existing Permit and the site remains suitable for adoption. However, the issuance of a first Permit does not set precedent. Caltrans is under no obligation to grant a successive Permit. 
(1) If the adopter wishes to apply for a successive Permit, a notice of such intent shall be submitted to the district coordinator at least 30 calendar days prior to the expiration date of the Permit. The notice may be verbal or written; there is no form to submit. 
(2) As a courtesy, the district coordinator may initiate the successive Permit process by contacting the adopter or the sponsor's contractor. 
(b) A site review is performed near the end of each Permit period. 
(1) If the site remains adoptable, the district coordinator must communicate any resulting changes in work frequency or in work procedures to the adopter when the new Permit Application is sent. 
(2) If construction is scheduled for the area, the maintenance supervisor checks to see if any portion of the site will be excluded from the construction zone. If so, and it is safe and practical for the adopter to work in that portion, a new Permit Application, with modified beginning and ending points, is sent. If not, the entire site is classified as not adoptable. 
(3) If the site is no longer adoptable, the existing Permit is immediately canceled. 
(A) If a volunteer adopter's past performance was satisfactory, the adopter is given a displaced adopter status. If a volunteer adopter's past performance was unsatisfactory, no further action is taken. 
(B) If a contractor's past performance was satisfactory, the sponsor is given a displaced adopter status. If a contractor's past performance was unsatisfactory, the sponsor is still given a displaced adopter status, provided the sponsor hires a different contractor when a new site is adopted. 
(c) The district coordinator asks the maintenance supervisor if the volunteer adopter's or contractor's past performance was satisfactory. 
(1) A volunteer adopter who has not satisfactorily met Permit requirements is not issued a successive Permit. 
(2) A sponsor, whose contractor has not satisfactorily met Permit requirements, must hire a different contractor in order to apply for a successive Permit. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5, 92 and 670, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
Article 11. Safety Orientation
§2644. Purpose and Scope of a Safety Orientation.
Note     •     History

(a) A safety orientation is provided by Caltrans at a Caltrans facility to ensure that the group leader or the contractor's crew leader has received notice of the requirements set forth in the Permit package. Since information specific to a site is discussed, a separate safety orientation must be attended for each adoption site. 
(b) Safety orientations for volunteer adopters.
(1) Items to be discussed are included on the Form MTCE-02 Adopt-A-Highway Safety Orientation Checklist for Volunteers (Rev. 07/09) which is incorporated by reference. 
(2) A volunteer adopter is issued safety training materials, safety gear, and if needed, litter pickers and litter bags at the conclusion of the safety orientation. 
(c) Safety orientations for contractors. 
(1) Items to be discussed are included on the Form MTCE-10 Safety Orientation Checklist for Adopt-A-Highway Contactors (Rev. 06/09), which is incorporated by reference. 
(2) A contractor makes arrangements with each district regarding distribution of litter bags.
(3) If the contractor's Permit gives authorization to install or replace the site's recognition panel, the contractor is given a recognition panel installation order at the conclusion of the safety orientation. If the contractor does not already have a copy, the contractor is also given a handout titled Recognition Panel Installation by Adopt-A-Highway Service Contractors (Rev. 10/09) which is incorporated by reference. The handout describes conditions which must be satisfied before a contractor can install a recognition panel and explains required work procedures. The recognition panel installation order provides the following: 
(A) Authorization to remove the existing recognition panel and/or install a new recognition panel. 
(B) Instructions for disposing of the removed recognition panel(s). 
(C) A field for the contractor to sign upon completion of work. 
(D) Instructions for returning the signed installation order to Caltrans. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New article 11 (sections 2644-2646) and section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2645. Who Must Attend a Safety Orientation.
Note     •     History

(a) It is the responsibility of the volunteer group leader or the contractor's crew leader to schedule the safety orientation. Contact information for the maintenance supervisor who will be conducting the safety orientation is included in the Permit package. 
(1) Volunteer adopters: Unless other arrangements are made with Caltrans, the primary contact listed on the Program Application is the presumed group leader and the alternate contact is the presumed alternate group leader. Both are mandated by Permit provisions to attend a safety orientation for each adopted site. Other members of the adopter's group may also attend. 
(2) Contractors: The contractor's crew leader is mandated by Permit provisions to attend a safety orientation for each of its sponsor's sites. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2646. When a Safety Orientation is Required.
Note     •     History

(a) New Permits: After a new Permit is issued, but before work can begin, a documented safety orientation must occur. 
(b) Change of leader during a Permit period: If a new group leader, alternate group leader, or contractor's crew leader is designated during the Permit period, the new leader must be given a safety orientation by a maintenance supervisor, not by the previous leader. 
(c) Change of leader at the beginning of a successive Permit period: A safety orientation is not required if the safety orientation form on file from the previous Permit is signed by the same group leaders or contractor's crew leader designated for the new Permit period. However, if either group leader or crew leader is new, a new safety orientation is required. 
(d) After construction resulting in a Permit's suspension: If conditions at the site have changed, a new safety orientation is required before the Permit's suspension is lifted. 
(e) At the request of a maintenance supervisor: The maintenance supervisor may request a corrective safety orientation at any time during the Permit period if a volunteer adopter or contractor is found to be in violation of Permit provisions. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
Article 12. Permit Period and Performance Monitoring
§2647. Permit Period.
Note     •     History

(a) A Permit is issued for five years. 
(b) Permit provisions are subject to modification or abrogation by Caltrans at any time. 
(1) If the litter removal frequency specified on the adopter's Permit is not adequate to keep the site clean, the frequency may be increased. The district coordinator must notify the adopter of the increase at least 90 calendar days before the change becomes mandatory. The frequency may be increased only once during the adopter's Permit period and that change must occur no earlier than two years from the Permit's start date. 
(2) If construction occurs in a portion of a site, the maintenance supervisor must decide if it is safe and practical for the adopter to work in the portion not under construction. If so, the beginning and/or ending points of the adoption site are modified. If not, the Permit is suspended. 
(c) An adopter may cancel its Permit at any time without consequence from Caltrans. 
(1) If a sponsor cancels its Permit, the contractor's Permit is no longer valid and must also be canceled. 
(2) If a contractor cancels its Permit, the sponsor's Permit is still valid. The sponsor has 30 calendar days to decide whether to cancel its own Permit, hire a new contractor, or convert to a volunteer adoption. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5, 92 and 670, Streets and Highways Code. 
HISTORY

1. New article 12 (sections 2647-2652) and section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2648. Suspension of Permits Due to Construction.
Note     •     History

(a) If an adopter's Permit is suspended because the site is under construction, an adopter in good standing is given two options: 
(1) Give up the site and be placed on the waiting list with the “displaced adopter status” as described in Section 2640. 
(2) Decline the option to be placed on the waiting list and wait until construction is completed. 
(b) When construction is complete, a new site review is performed. 
(1) If the site remains adoptable, the Permit's suspension is lifted. If the Permit expired during construction, the adopter is given a new Permit Application to apply for a successive Permit. 
(2) If the site is no longer adoptable, the suspended Permit is canceled and the adopter is notified. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2649. Performance Monitoring.
Note     •     History

(a) Performing work under a Permit constitutes acceptance by the adopter of all requirements listed in the Permit package. An adopter's performance is randomly monitored by the maintenance supervisor to ensure compliance with Permit provisions and to determine whether or not the quality of work performed is satisfactory. 
(1) Performance reviews for work quality must take place within one day of the actual work performed. 
(b) If a Permit violation or Caltrans policy violation occurs, the district shall take one of the following actions: 
(1) Issue an informal warning.
(A) An informal warning is instructive in nature and is intended to correct work performance problems and encourage safe participation. A description of the violation(s) and any corrective action required are clearly communicated to the adopter and documented for future reference. 
1. Volunteer adopters: The district coordinator or maintenance supervisor makes verbal contact with the volunteer adopter's primary contact to point out the violation(s). 
2. Sponsors: A sponsor is not contacted when its contractor receives an informal warning. 
3. Contractors: The district coordinator or maintenance supervisor makes verbal contact with the contractor's primary contact to point out the violation(s). 
(2) Issue a formal warning. 
(A) A formal warning is admonitory in nature and informs the adopter that a Permit can be revoked if the violation(s) continue. The maintenance supervisor informs the district coordinator of the violation(s). 
1. Volunteer adopters: The district coordinator sends a warning letter to the adopter's primary contact identifying the violation(s) which occurred and, if necessary, sets a deadline by which the violation(s) must be corrected. 
2. Sponsors: The district coordinator sends a warning letter to the sponsor's primary contact identifying the violation(s) committed by the sponsor's contractor and, if necessary, sets a deadline by which the contractor must correct the violation(s). 
3. Contractors: The district coordinator sends the contractor's primary contact a copy of the warning letter sent to the contractor's sponsor. 
(3) Revoke the Permit. 
(A) A Permit is revoked under the following conditions: 
1. A Permit is revoked if a third formal warning is issued. The two prior formal warnings need not be for the same violation. 
2. Caltrans immediately revokes the Permit of volunteer adopter or contractor whose workers act with a deliberate disregard for their own safety, the safety of Caltrans employees, or the safety of the traveling public. 
3. Caltrans may immediately revoke the Permit of volunteer adopter or contractor whose workers violate Caltrans Policy as defined in Section 2621(h). 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2650. Steps Taken When a Permit is Revoked.
Note     •     History

(a) Volunteer adopter's Permit is revoked. 
(1) Verbal notice: The district coordinator makes verbal contact with the volunteer adopter's primary contact and the date of verbal contact is documented. If the maintenance supervisor and the volunteer adopter's primary contact are at the adoption site when the violation occurs, the maintenance supervisor may give the verbal notice. The following information is given: 
(A) The Permit or Caltrans policy violation(s) is identified. 
(B) The adopter is advised that, effective immediately, it is no longer authorized to perform work at the adoption site. 
(C) The adopter is informed that it will be sent a written notice of revocation. 
(D) The adopter is informed of its right to appeal the revocation as described in Section 2652(a)(1). 
(2) Written notice: Within one week of the verbal notice, the district coordinator sends a revocation letter by certified mail to the volunteer adopter's primary contact. The information given during the verbal notice (Section 2650(a)(1)) is repeated in the revocation letter. 
(b) Contractor's Permit is revoked.
(1) Verbal notice: The district coordinator makes verbal contact with the sponsor's primary contact and the contractor's primary contact. If the maintenance supervisor and the contractor's primary contact are at the adoption site when the violation occurs, the maintenance supervisor may give the verbal notice. The following information is given: 
(A) The Permit or Caltrans policy violation(s) committed by the contractor is identified. 
(B) The sponsor and the contractor are advised that, effective immediately, the contractor is no longer authorized to perform work at the adoption site. 
(C) The sponsor and the contractor are informed that both will be sent a written notice of revocation of the contractor's Permit. 
(D) The contractor is informed of its right to appeal the revocation as described Section 2652(a)(1). 
(E) The sponsor is informed that its Permit is still valid but that the sponsor's options are dependant on whether or not its contractor appeals the revocation. These options are listed in Section 2650(c). 
(2) Written notice: The district coordinator sends a letter by certified mail to the sponsor's primary contact. A copy of the letter is also sent by certified mail to the contractor's primary contact. The information given during the verbal notice (Section 2650(b)(1)) is repeated in the revocation letter. 
(c) Options for sponsors whose contractor's Permit has been revoked. 
(1) If the sponsor's contractor does not submit a written appeal by the deadline established in Section 2652(a)(1), the district coordinator makes verbal contact with the sponsor's primary contact. The sponsor is informed that it has 30 calendar days to hire another contractor, to voluntarily cancel its own Permit, or to convert to a volunteer adoption. 
(A) If the sponsor does not make a decision by the deadline, the district coordinator sends a letter to the sponsor's primary contact by certified mail. The following information is given: 
1. The sponsor is informed that its Permit is revoked for failure to choose a participation option. 
2. The sponsor is informed of its right to appeal the revocation as described Section 2652(a)(2). 
(2) If the contractor submits a written appeal, the sponsor must wait until the contractor's appeal process is complete before taking action. 
(A) If the decision to revoke the contractor's Permit is upheld, the district coordinator makes verbal contact with the sponsor's primary contact and explains the options listed in Section 2650(c)(1). 
(B) If the decision to revoke the contractor's Permit is reversed, the sponsor may continue the adoption using the same contractor. 
(d) Sites vacated due to a revoked Permit. 
(1) To allow time for an adopter to appeal the decision to revoke its Permit, the district coordinator keeps the affected adoption site vacant until the appeal deadline is past (30 calendar days after the adopter received the revocation letter). 
(A) If no appeal is received by the deadline, the district coordinator may offer the adoption site to another party. 
(B) If an appeal is received, the district coordinator keeps the adoption site vacant until the appeal process is complete. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code.
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2651. Disqualification From Future Participation.
Note     •     History

(a) Volunteer adopters: A volunteer adopter whose Permit has been revoked for a Permit violation(s) cannot apply for another volunteer adoption. However, the volunteer adopter may apply for a sponsored adoption. 
(b) Sponsors: If a sponsor's Permit is revoked for failure to choose a participation option by the deadline, the sponsor is not disqualified from future participation. 
(c) Contractors: Depending on the violation(s), a contractor may have more than one Permit revoked. 
(1) If the violation occurred at a single site, only the contractor's Permit for that site is revoked. The contractor will not be issued another Permit for that location, regardless of the sponsor. 
(2) If a contractor has more than three Permits revoked in a single district, all of the contractor's Permits in that district are revoked and the contractor is disqualified from any future participation in that district. The contractor's name is removed from the contractor's list for that district only. 
(A) Verbal notice:
1. The district coordinator makes verbal contact with the contractor and each affected sponsor as described in Section 2650(b)(1). 
2. In addition, the district coordinator informs the contractor's primary contact that the contractor: 
a. Is no longer authorized to perform work at any adoption site in the district. 
b. Will be removed from the district's list of contractors. 
c. May appeal its removal from the list as described Section 2652(b). 
(B) Written notice: 
1. The district coordinator sends a written notice to the contractor and each affected sponsor as described in Section 2650(b)(2). The letters are sent by certified mail within two weeks of the verbal notice. 
2. In addition, the district coordinator sends a letter to the contractor's primary contact regarding its removal from the district's list of contractors. The letter is sent by certified mail within two weeks of the verbal notice. Information given during the district coordinator's verbal notice to the contractor (Section 2651(c)(2)(A)(2)) is repeated in the written notice. 
(3) If a contractor is disqualified from a second district, the contractor is permanently removed from the contractor's list for all districts. The contractor's existing Permits in other districts are not revoked if the contractor is meeting Permit provisions in those districts. However, no new or successive Permits are issued to that contractor in any district. 
(A) Verbal notice: 
1. The district coordinator makes verbal contact with the contractor and each affected sponsor as described in Section 2650(b)(1). 
2. In addition, the statewide coordinator informs the contractor's primary contact that the contractor: 
a. Is no longer authorized to perform work at any adoption site in the second district. 
b. Will not be issued any new or successive Permits in any district. 
c. Is permanently removed from the contractor's list for all districts. 
d. May appeal its removal from the lists as described in Section 2652(b). 
(B) Written notice: 
1. The district coordinator sends a written notice to the contractor and each affected sponsor as described in Section 2650(b)(2). The letters are sent by certified mail within two weeks of the verbal notice. 
2. In addition, the statewide coordinator sends a letter to the contractor's primary contact by certified mail within two weeks of the verbal notice. Information given during the statewide coordinator's verbal notice to the contractor regarding its removal from the contractor's lists for all districts (Section 2651(c)(3)(A)(2)) is repeated in the written notice. 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
§2652. Appeal Process.
Note     •     History

(a) Appeal process for revoked Permits. 
(1) Volunteer adopters and contractors: A volunteer adopter or contractor, who wishes to appeal the revocation of a Permit, may submit a written appeal by certified mail to the District Director within 30 calendar days of receipt of the revocation letter. The appeal must provide proof that the violation(s) did not occur. 
(2) Sponsors: A sponsor, whose Permit is revoked for failure to choose a participation option by the deadline, may submit a written appeal by certified mail to the District Director within 30 calendar days of receipt of the revocation letter. The appeal must provide good cause for missing the deadline. 
(3) Within 30 calendar days of receipt of the written appeal, the District Director must send a written reply that either confirms or reverses the decision to revoke the Permit. 
(A) Volunteer adopters and sponsors: If the decision to revoke a Permit is reversed, the adopter is issued a new Permit for its former site. 
(B) Contractors: If the decision to revoke a Permit is reversed, the contractor is issued a new Permit for its former site, provided that the sponsor wishes to continue using the contractor. 
(b) Appeal process for removal from contractor's list.
(1) A contractor, who wishes to appeal its removal from the contractor's list for a single district, may submit a written appeal by certified mail to the District Director within 30 calendar days of receipt of the revocation letter. The appeal must provide proof that the violation(s) did not occur. 
(2) A contractor, who wishes to appeal its removal from the contractor's list for all districts, may submit a written appeal by certified mail to the Caltrans Director within 30 calendar days of receipt of the revocation letter. The appeal must provide proof that the violation(s) did not occur. 
(3) Within 30 calendar days of receipt of the written appeal, the District Director, or the Caltrans Director, must send a written reply that either confirms or reverses the decision to remove a contractor from the contractor's list(s). 
(A) If the decision to remove a contractor from the contractor's list(s) is reversed, the contractor is immediately reinstated to the list(s). 
NOTE

Authority cited: Section 91.5, Streets and Highways Code. Reference: Sections 91.5 and 92, Streets and Highways Code. 
HISTORY

1. New section filed 1-21-2010; operative 1-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 4). 
Division 2.5. Division of Aeronautics (Department of Transportation)
Chapter 1. General Provisions
NOTE

Authority and reference cited: Sections 14001 and 14500, Government Code.
HISTORY

1. Editorial transfer of Title 4, Chapter 9 (Sections 3500-5080.5, not consecutive) to Title 21, Chapter 2.5 (Sections 3500-5080.5, not consecutive). (Register 77, No. 10). For history of former Title 4, Chapter 9, see Registers 10, No. 6; 12, No. 5; 67, No. 27; 69, No. 48; 70, Nos. 13, 26, 37, 43 and 48; 72, Nos. 6 and 33; 73, No. 17; 74, No. 3; 75, Nos. 4 and 22; and 76, Nos. 11 and 45.
2. Repealer of Subchapter 1 (Sections 3500-3508) filed 1-13-82; effective thirtieth day thereafter (Register 82, No. 3).
Chapter 2. Airports and Heliports
Article 1. Definitions
§3525. Preamble.
Note     •     History

The following rules and regulations are promulgated in accordance with Public Utilities Code, State Aeronautics Act. These rules and regulations do not supersede any of the regulations of the Federal Aviation Administration (FAA). The term “airport” shall apply equally to heliports unless specified for “airports only” or “heliports only.”
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21661--21668.2, Public Utilities Code.
HISTORY

1. Amendment of subsection (b) and new subsection (m) filed 4-25-80; effective thirtieth day thereafter (Register 80, No. 17).
2. Repealer and new section filed 12-14-88; operative 1-1-89 (Register 88, No. 53). 
3. Amendment filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3526. General.
Note     •     History

(a) These regulations are intended to be used in conjunction with relevant FFA Advisory Circulars (ACs); Title 14, Code of Federal Regulations [(CFRs); also referred to as Federal Aviation Regulations (FARS)]; and California Public Utilities Code (PUC), State Aeronautics Act , Sections 21001 et seq.
(b) Variations in proposed sites may justify the Department of Transportation's (Department's) reasonable deviations from the basic requirement contained herein through variances. Any justification for deviation must be balanced against the effect it would have on the safe use of the airport when compared to other advantages of the site.
(c) The Department hereby incorporates by reference pertinent sections of the following FAA ACs, all readily available from the FAA:
AC 70/7460-1J, “Obstruction Marking and Lighting,” 1/1/96.
AC 150/5300-13, “Airport Design,” 9/29/89 including through Change 4, 11/10/94;
AC 150/5325-4A, “Runway Length Requirements for Airport Design”, 1/29/90 including through Change 1, 3/11/91;
AC 150/5340-1G, “Standards for Airport Markings”, 9/27/93;
AC 150/5340-5B, “Segmented Circle Airport Marker System”, 12/21/84 including through Change 1, 2/25/85;
AC 150/5340-24, “Runway & Taxiway Edge Lighting Systems,” 9/3/75 including through Change 1, 11/25/77; and
AC 150/5390-2A, “Heliport Design,” 1/20/94.
NOTE

Authority cited: Sections 21243 and 21253, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. Amendment of subsection(a) filed 4-25-80; effective thirtieth day thereafter (Register 80, No. 17).
2. Repealer and new section filed 12-14-88; operative 1-1-89 (Register 88, No. 53). 
3. Amendment filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3527. Definitions.
Note     •     History

Except as provided in this section, the terms in these regulations are defined in the FARs; FAA ACs; and the PUC, State Aeronautics Act, Sections 21001 et seq.
(a) Agricultural Airport: An airport restricted to use only by agricultural aerial applicator aircraft (FAR Part 137 Operators).
(b) Approach Surface: A surface which begins at the end of the primary surface, with the same width as the primary surface, and extends outward and upward for a horizontal distance, width, and slope in accordance with FAR 77.25(d) for airports only and FAR 77.29(b) for heliports only.
(c) Approach/Takeoff Path: The flight track, centered within an approach surface, which helicopters follow when landing at or taking off from a heliport.
(d) Commercial Activities: Those activities which may offer a facility, service or commodity for sale, hire, profit, or any other business purpose. Examples of commodities for sale are: food, lodging, entertainment, real estate, petroleum products, parts and equipment. Examples of services are: flight training, charter flights, maintenance, aircraft storage and tie-down. Examples of a facility used for a business purpose are: facility used for the transport of persons for a corporate business purpose and a facility used to transport persons for compensation or hire.
(e) Design Helicopter: A generic helicopter which, for helicopters expected to operate at a heliport, reflects the maximum of the following design characteristics: weight, overall length, main rotor diameter, height, and length/width of the undercarriage.
(f) Displaced Threshold: A threshold at the approach end of a runway, not located at the physical end of a runway, which designates the beginning of the portion of the runway useable for landing.
(g) Emergency Medical Services (EMS) Landing Site: A site used for the landing and taking of of EMS helicopters that is located at or as near as practical to a medical emergency or at or near a medical facility and
(1) has been designated an EMS landing site by an officer authorized by a public safety agency, as defined in PUC Section 21662.1, using criteria that the public safety agency has determined is reasonable and prudent for the safe operation of EMS helicopters and
(2) is used, over any twelve month period, for no more than an average of six landings per month with a patient or patients on the helicopter, except to allow for adequate medical response to a mass casualty event if that response causes the site to be used beyond these limits, and
(3) is not marked as a permitted heliport as described in Section 3554 of these regulations and
(4) is used only for emergency medical purposes.
(h) Emergency Use Facility: An area for accommodating helicopters in support of emergency public safety agency operations, but it is not used as a heliport for any other purpose.
(i) Final Approach and Takeoff Area (FATO): The area of a heliport over which the final phase of the approach to a hover or a landing is completed and from which the takeoff is initiated.
(j) Heliport: an area of land, water, or structure used or intended to be used for the landing and takeoff of helicopters.
(k) Obstruction to Air Navigation: Any object that is higher than any of the heights defined in FAR 77.23. 
(l) Offshore Oil Platform: A structure in the ocean, not connected to the shore by pier, bridge, wharf, dock or breakwater, used in the support of petroleum exploration or production.
(m) Operation: Either the landing or takeoff of an aircraft.
(n) Owner: The person with the authority to possess the facility, which may be in “fee simple” or a leasehold for a period of at least one year.
(o) Personal-Use Airport: An airport limited to the noncommercial activities of an individual owner or family and occasional invited guests.
(p) Primary Surface:
(1) For airports only: A surface longitudinally centered on a runway with a width and length determined in accordance with FAR 77.25(c).
(2) For heliports only: The area of the primary surface, in accordance with FAR 77.29(a), coincides in size and shape with the designated FATO of a heliport. This surface is a horizontal plane at the elevation of the established heliport elevation.
(q) Public-Use Airport: An airport that is open for aircraft operations to the general public and is listed in the current edition of the Airport/Facility Directory that is published by the National Ocean Service of the U.S. Department of Commerce.
(r) Relocated Threshold: Defines the start of the usable portion of a runway, but is not located at the physical end of a runway.
(s) Runway (airports only): A defined rectangular area of an airport prepared for the landing and takeoff of aircraft.
(t) Safety Area: 
(1) For airports only: A defined surface surrounding the runway or taxiway prepared or suitable for reducing the risk of damage to airplanes in the event of an undershoot, overshoot, or excursion from the runway or taxiway.
(2) For heliports only: A defined area on a heliport surrounding the FATO which is free of objects at or above the elevation of the closest point of the TLOF, other than those required for air navigation purposes, and is intended to reduce the risk of damage to helicopters accidentally diverging from the FATO. Objects required for air navigation purposes within this area shall be on frangible mounts and shall not penetrate the approach or transitional surfaces by more than two inches.
(u) Seaplane Landing Site: An area of water used, or intended for use, for landing and taking off of seaplanes.
(v) Site Approval Permit: A written approval issued by the Department authorizing construction of an airport in accordance with approved plans, specifications, and conditions.
(w) Special-Use Airport: An airport not open to the general public, access to which is controlled by the owner in support of commercial activities, public service operations and/or personal use.
(x) Taxiway: A designated, but not necessarily paved, path or route for aircraft to taxi from one airport area to another.
(y) Temporary Helicopter Landing Site: A site, other than an emergency medical service landing site at or near a medical facility, which is used for landing and taking off of helicopters and
(1) is used or intended to be used for less than one year, except for recurrent annual events, and
(2) is not marked or lighted to be distinguishable as a heliport and
(3) is not used exclusively for helicopter operations.
(z) Threshold: The beginning of that portion of the runway available and suitable for landing of aircraft.
(aa) Touchdown and Liftoff Area (TLOF): The load bearing area of a heliport that is centered within the FATO and upon which a helicopter lands or takes off.
(bb) Transitional Surface: Surface which extends outward and upward from the lateral boundaries of the primary surface and from the approach surfaces in accordance with FAR 77.25(e) for airports only or FAR 77.29(c) for heliports only.
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21661-21668.2 and 21006, Public Utilities Code.
HISTORY

1. New section filed 12-14-88; operative 1-1-89 (Register 88, No. 53).
2. Amendment filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3528. Applications.
History

HISTORY

1. Repealer filed 12-14-88; operative 1-1-89 (Register 88, No. 53).
§3529. Notice to Interested Parties.
History

HISTORY

1. Repealer filed 12-14-88; operative 1-1-89 (Register 88, No. 53).
Article 2. Permits
§3530. Permit Requirements.
Note     •     History

(a) No person may hold an airport open for use, unless otherwise exempted, without first applying for and obtaining and appropriate permit or authorization as required by the Department.
(b) No aircraft takeoff or landing may be made at a site that is not permitted, exempted, or authorized in accordance with these regulations.
(c) A separate heliport permit is not required for a designated heliport located within the boundaries of a permitted airport if the heliport meets heliport design standards as described in Article 4 of these regulations.
(d) Any permit issued by the Department shall continue in effect so long as the airport meets the conditions under which the permit is issued or until action is taken by the Department to revoke or suspend the permit.
(e) When airport ownership changes, the new airport owner shall submit an application [an Amended/Corrected Airport Permit-Application (DOA-0103 (Rev. 10/96) for airports only) or a Corrected Heliport Permit-Application (DOA-0202 (Rev. 10/96) for heliports only)] and documentation showing who owns the airport to the Department within 30 days of such change.
(f) Before physical or operational changes are made which affect conditions which have been imposed upon operation of the airport, the airport owner shall submit an application [an Amended/Corrected Airport Permit-Application (DOA-0103 (Rev. 10/96) for airports only) or a Corrected Heliport Permit-Application (DOA-0202 (Rev. 10/96) for heliports only)] and supporting documentation identified on the applicable form to the Department to remove, add, or amend the conditions. The application and supporting documentation shall be submitted to the Department by the airport owner at least 30 working days prior to the physical or operational change. 
NOTE

Authority cited: Sections 21243, 21663 and 21664.5, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. Repealer and new section filed 12-14-88; operative 1-1-89 (Register 88, No. 53). For prior history, see Register 80, No. 17. 
2. Amendment of section and Note filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3531. Site Approval Permits.
Note     •     History

NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. Repealer and new section filed 12-14-88; operative 1-1-89 (Register 88, No. 53). For prior history, see Registers 80, No. 17 and 77, No. 10.
2. Change without regulatory effect of subsection (a) filed 1-24-89; operative 1-24-89 (Register 89, No. 4).
3. Repealer filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3532. Temporary Permits (Airports Only).
Note     •     History

(a) No person may make aircraft landings and takeoffs from a nonpermitted or nonexempt site without first applying for and obtaining a temporary airport authorization from the Department to conduct such operations. 
(b) For a temporary airport authorization other than for helicopter operations within 1000 feet of a school, a person shall apply for a temporary airport authorization by submitting a letter to the Department. Information to be submitted with the letter, for the application to be complete, is as follows:
(1) Name of person applying and name of the aircraft operator;
(2) Site location (latitude and longitude or other descriptive information which will assist in locating site);
(3) Local area map with site plotted on map (United States Geological Survey, city map, etc.);
(4) Type(s) of aircraft to use the site;
(5) Period and expected number of operations (landings and takeoffs);
(6) Purpose and description of operations;
(7) Letter or notice of approval from local governing body (city or county); and
(8) Letter or notice of approval by landowner.
(c) For a temporary airport authorization for helicopter operations within 1000 feet of a school:
(1) No person may takeoff or land a helicopter within 1000 feet of the boundary of any public or private school that maintains kindergarten classes or any classes in grades 1 through 12, unless at a permitted heliport or an EMS landing site, without first applying for and obtaining a Helicopter Landing Authorization (HLA) from the Derpartment or from a public safety agency (PSA) designated by the Department.
(2) To apply for an HLA, a person shall submit to the Department, or to a PSA designated by the Department, a completed Helicopter Landing Authorization-Application [Form DOA-0204 (Rev. 5/97)]. The application shall include the following:
(A) a signed statement from the administration of each school that is within 1000 feet of the proposed helicopter operations stating that the administration does not object to the proposed helicopter operations at the site and the administration waives its right to demand a public hearing in accordance with PUC Section 21662.5 and
(B) a signed statement approving the helicopter operations from the landing site's owner, if the helicopter operations will not be on school property.
(d) The Department shall evaluate temporary airport sites on the basis of the airport design standards in Article 3 and 4 of these regulations. Variances may be granted from design standards when safety of flight or the interests of the general public are not jeopardized.
(e) Temporary airport authorizations are for specific events and specified time periods.
NOTE

Authority cited: Sections 21243, 21662, 21662.5 and 21666, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. New section filed 12-14-88; operative 1-1-89 (Register 88, No. 53).
2. Amendment of section heading, section and Note filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
3. Change without regulatory effect amending subsection (c)(2) filed 6-26-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 26).
§3533. Exemptions.
Note     •     History

(a) All airports in the State of California, except those owned or operated by the United States Government, are subject to the permitting requirements of these regulations. 
(b) The following classes of airport are exempt from the permitting requirements of these regulations pursuant to PUC Section 21661:
(1) Agricultural airports;
(2) Seaplane landing sites;
(3) Personal use airports in unincorporated areas which meet the requirements of Article 5 of these regulations;
(4) Any airport which has heretofore been established and which is currently being used pursuant to exemption granted under previous regulations of the Department. Such airports shall continue to be exempt, provided the use and conditions pertaining to such exemption continue to be met. Such airports shall be marked in accordance with Section 3560(e) of these regulations;
(5) Heliports established on offshore oil platforms;
(6) Temporary helicopter landing sites that are not within 1000 feet of the boundary of a public or private school maintaining kindergarten classes or any classes in grades 1 through 12;
(7) Emergency medical services (EMS) Landing Sites;
(8) Emergency use facilities.
(c) An owner of an exempt airport may apply for a permit under these regulations.
(d) The above-listed exemptions do not supersede or negate any requirements of Federal agencies or local government jurisdictions.
(e) An airport's exemption ceases if the airport's owner no longer operates the airport within the limitations of the exemption.
NOTE

Authority cited: Sections 21243, 21650.1 and 21661, Public Utilities Code. Reference: Sections 21650-21650.2, 21661-21668.2 and 21006, Public Utilities Code.
HISTORY

1. New section filed 12-14-88; operative 1-1-89 (Register 88, No. 53).
2. Amendment of section and Note filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3534. Applications for an Airport Permit.
Note     •     History

(a) Application to construct or establish an airport for which a permit is required in accordance with these regulations shall, prior to the construction or establishment of the proposed airport, be submitted to the Department for approval on a Site Approval Permit Application form [DOA-0100, (Rev. 10/96) for airports only or DOA-0201, (Rev. 10/96) for heliports only].
(b) For the Department to consider an application complete, the following items shall be submitted as a part of the Site Approval Permit Application:
(1) Two copies of scaled drawings of the airport and adjoining areas that show:
(A) the airport meets or exceeds the design standards established in Article 3 (for airports only) or Article 4 (for heliports only) of these regulations, unless the Department has granted a variance to a specific standard;
(B) arrows for magnetic and true north;
(C) magnetic alignment of the centerline of each approach surface; for a heliport that has multiple, consecutive approach surfaces which create a sector, include the magnetic alignment of each approach surface which defines the limits of the sector;
(D) locations and heights of structures, highways, railways, above ground wires, above ground cables, poles, fences, vegetation, and other potential obstructions that underlie the airport's imaginary surfaces as defined in FAR Part 77.25 (for airports only) or 77.29 (for heliports only); and
(E) additional information that is pertinent to the safe use of the airport;
(2) Topographic map that shows the location and altitude of the aircraft traffic patterns relative to the airport (for airports only) or the location of the approach surfaces relative to the heliport (for heliports only);
(3) Local area map or drawing depicting the airport and the location of schools, places of public gatherings, and residential areas within two miles of the centerline of a proposed runway or within 1,000 feet of the center of a proposed FATO;
(4) Documentation of approval of the plan for construction by either the Board of Supervisors of the county or the City Council of the city (as appropriate) in which the airport is to be located;
(5) Documentation of action by the Airport Land Use Commission of the county in which the airport is to be located (as appropriate);
(6) Documentation of compliance with the California Environmental Quality Act;
(7) Documentation showing ownership of the airport; and
(8) FAA Airspace Determination for the airport.
(c) Upon completion of the airport, the airport owner shall notify the Department and request an airport permit authorizing the airport to be opened for operations. The Department shall inspect the airport. If the airport meets all the conditions of the Site Approval Permit, the Department shall issue the airport permit.
(d) Examples of the various application forms are found in the Appendix of these regulations.
NOTE

Authority cited: Sections 21243 and 21664, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. New section filed 12-14-88; operative 1-1-89 (Register 88, No. 53).
2. Change without regulatory effect of subsection (a) filed 1-24-89; operative 1-24-89 (Register 89, No. 4).
3. Amendment of section heading, section and Note filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3535. Processing Time.
Note     •     History

(a) Within 10 working days after receipt of an application for a permit or temporary airport authorization, the Department shall notify the person applying in writing if the application is incomplete. An incomplete application cannot be processed. A complete application will initiate the permitting or authorization process.
(b) The Department's time periods for processing any complete application or notification per Section 3534(c) of these regulations from receipt to the final decision regarding issuance or denial of a permit or authorization are as follows:
(1) minimum time: 15 working days;
(2) median time: 30 working days; and
(3) maximum time: 45 working days, depending on proceedings/outcome of a public hearing or other problems.
NOTE

Authority cited: Section 21243, Public Utilities Code; and Section 15376, Government Code. Reference: Sections 21661-21668.2, Public Utilities Code; and Section 15376, Government Code.
HISTORY

1. Repealer and new section filed 12-14-88; operative 1-1-89 (Register 88, No, 53). For prior history, see Register 77, No. 10. 
2. Amendment of section and Note filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3536. Revocation and Suspension.
Note     •     History

An airport owner may request, by notification in writing to the Department, that the Department suspend or revoke the airport permit.
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. Repealer and new section filed 12-14-88; operative 1-1-89 (Register 88, No. 53). For prior history, see Register 77, No. 10. 
2. Amendment filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3537. Temporary Permits (for Period Not More Than 30 Days).
History

HISTORY

1. Repealer filed 12-14-88; operative 1-1-89 (Register 88, No. 53). For prior history, see Register 77, No. 10.
Article 3. Design Standards, Airports Only
§3540. General.
Note     •     History

(a) The information and standards included in this Article establish minimum standards for a permitted airport suitable for airplanes with a design approach speed of less than 91 knots, a wingspan of less than 49 feet, and a maximum certificated takeoff weight of 12,500 pounds or less.
(b) Design standards for runways and taxiways shall be in accordance with FFA ACs.
(c) Obstruction standards and designation of imaginary surfaces related to airports shall be in accordance with FAR Part 77.
(d) The Department may grant variances to these design and obstruction standards. These variances may be granted where reasonable conditions exist and the interests of the general public will not be compromised.
(e) The Department may require flight demonstrations by the airport's owner to assist in determining whether requested variances would affect safety.
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. Repealer and new section filed 12-14-88; operative 1-1-89 (Register 88, No. 53). For prior history, see Register 77, No. 10. 
2. Amendment of article heading and section filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3541. Obstructions and Hazards.
Note     •     History

NOTE

Authority cited: Sections 21243 and 21253, Public Utilities Code. Reference: Sections 21659 and 21661-21668.2, Public Utilities Code.
HISTORY

1. Repealer and new section filed 12-14-88; operative 1-1-89 (Register 88, No. 53). For prior history, see Register 80, No. 17. 
2. Repealer filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3542. Airport Design Standards.
Note     •     History

As a minimum, the following items are required for a permitted airport:
(a) runway and runway safety area;
(b) a wind cone;
(c) a segmented circle with traffic pattern indicators if:
(1) the airport has right traffic to any runway and
(2) the airport does not have an operational air traffic control tower during all airport operating hours;
(d) runway and taxiway markings in accordance with Section 3543(a) of these regulations; 
(e) clear 20:1 approach surfaces to each end of each runway's primary surface or to its displaced threshold;
(f) clear 7:1 transitional surfaces to each runway's primary surface and approach surfaces; and
(g) If night use is planned, airport lighting in accordance with Section 3543(b) of these regulations.
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. New section filed 12-14-88; operative 1-1-89 (Register 88, No. 53).
2. Amendment of section heading, section and Note filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3543. Marking, Lighting and Visual Aids.
Note     •     History

(a) Airport marking. Airport markings are as follows:
(1) runway and taxiway markings:
(A) markings for paved runways and taxiways shall be in accordance with FAA AC 150/5340-1G and shall include runway designation numbers, centerline, runway holding position, and, if applicable, displaced or relocated threshold markings. Additionally, a runway that is not open to the general public shall be marked with the letter “R” at each runway end. The “R” shall be at least 20 feet in height and 11 feet in width. Line width shall be 30 inches. The marking is to be painted white and it shall be kept in a clearly distinguishable condition.
(B) markings for unpaved runways shall include delineation of runway ends and, if applicable, displaced threshold bars. Additionally, an unpaved runway that is not open to the general public shall be marked with the letter “R”. The “R” shall be located adjacent to the runway as near as practical to either the runway mid-point or each end of the runway, and in a location that is not a hazard to aircraft operations. The “R” shall be at least 20 feet in height and 11 feet in width. Line width shall be 30 inches. The marking shall be a color that provides contrast with the ground and it shall be kept in a clearly distinguishable condition. Any materials used to delineate features on a runway or taxiway or to construct the “R” shall be constructed such that they are not a hazard to aircraft operations.
(2) markings of a closed or abandoned runway shall be in accordance with FAA AC 150/5340-1G.
(b) Airport Lighting. An airport lighting system is required for night operations.
An airport lighting system consists of the following:
(1) runway edge and threshold lights in accordance with FAA AC 150/5340-24.
(2) a lighted wind cone;
(3) if traffic pattern indicators are required in accordance with Section 3542(c) of these regulations, they shall be illuminated;
(4) if a runway is lighted and it is not open to the general public, at least one “R”, as required in Section 3543(a) of these regulations, shall be illuminated; and
(5) obstruction lights as follows:
(A) at a public-use airport, any obstruction to air navigation as defined in FAR 77.23 shall be lighted in accordance with FAA AC 70/7460-1J, unless the FAA has conducted an aeronautical study and determined that the lighting is not necessary for safety and the Department concurs.
(B) at an airport that is not for public-use, the airport owner shall survey the airport area and shall identify objects that are obstructions to air navigation as defined in FAR 77.23. The Department shall evaluate the obstructions and determine whether obstruction lighting is required.
NOTE

Authority cited: sections 21243 and 21253, Public Utilities Code. Reference: Sections 21650.1 and 21661-21668.2, Public Utilities Code.
HISTORY

1. New section filed 12-14-88; operative 1-1-89 (Register 88, No. 53).
2. Amendment filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3544. Personal-Use Airports.
Note     •     History

NOTE

Authority cited: Sections 21243 and 21253, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. New section filed 12-14-88; operative 1-1-89 (Register 88, No. 53).
2. Renumbering of former section 3544 to new section 3560 filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3545. Special-Use Airports.
Note     •     History

NOTE

Authority cited: Sections 21243 and 21253, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. New section filed 12-14-88; operative 1-1-89 (Register 88, No. 53).
2. Repealer filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
Article 4. Design Criteria, Heliports Only
§3550. General.
Note     •     History

(a) The information and standards included in this Article establish minimum standards for a permitted heliport suitable for a design helicopter.
(b) Design standards for a permitted heliport shall be in accordance with FAA ACs.
(d) The Department may grant variances to these design and obstruction standards. These variances may be granted where reasonable conditions exist and the interests of the general public will not be compromised.
(e) The Department may require flight demonstrations by the heliport's owner to assist in determining whether requested variances would affect safety.
NOTE

Authority cited: Sections 21243 and 21253, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. Repealer and new section filed 12-14-88; operative 1-1-89 (Register 88, No. 53) For prior history, see Register 80, No. 17. 
2. Amendment filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3551. Heliport Design Standards.
Note     •     History

As a minimum, the following items are required for a permitted heliport:
(a) final approach and takeoff area (FATO) with:
(1) a length and width or diameter that is at least one and one half times the overall length of the design helicopter. This area shall be free of objects, to include safety nets and guard rails, at or above the closest point of the touchdown and lift-off area (TLOF);
(2) a safety area, surrounding the FATO, that is the greater of one third times the main rotor diameter of the design helicopter or ten feet; and
(3) a load bearing portion that:
(A) is centered within the FATO and, if the entire FATO is not load bearing, is delineated as a TLOF. A delineated TLOF shall be at least 1.5 times the undercarriage length or width, whichever is greater, of the design helicopter;
(B) is free of objects and surface irregularities; and
(C) has a grade that does not exceed 2%. If approved by the Department, the grade may exceed 2% to allow for a curb around the edges so long as the curb is tapered so that it does not present a sharp lip that could create a pivot point for a helicopter's landing gear. If allowed, this curb shall not exceed two inches in height;
(b) a wind cone;
(c) at least one clear 8:1 approach surface to the FATO, centered along an approach/takeoff path;
(d) heliport markings as described in Section 3554(a) of these regulations;
(e) clear 2:1 transitional surfaces to the FATO and approach surfaces; and
(f) if night use is planned, heliport lighting in accordance with Section 3554(b) of these regulations.
NOTE

Authority cited: Sections 21243 and 21253, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. Amendment filed 4-25-80; effective thirtieth day thereafter (Register 80, No. 17).
2. Repealer and new section filed 12-14-88; operative 1-1-89 (Register 88, No. 53). 
3. Amendment of section heading and repealer and new section filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3552. Heliport Imaginary Surfaces.
Note     •     History

NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. Amendment of subsection (a) and new subsection (e) filed 4-25-80; effective thirtieth day thereafter (Register 80, No. 17).
2. Repealer and new section filed 12-14-88; operative 1-1-89 (Register 88, No. 53).
3. Change without regulatory effect of subsection (a) filed 1-24-89; operative 1-24-89 (Register 89, No. 4).
4. Repealer filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3553. Elevated Heliport Design.
Note     •     History

NOTE

Authority cited: Sections 21243 and 21253, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. Amendment filed 4-25-80; effective thirtieth day thereafter (Register 80, No. 17).
2. Repealer and new section filed 12-14-88; operative 1-1-89 (Register 88, No. 53). 
3. Repealer filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3554. Marking, Lighting, and Visual Aids.
Note     •     History

(a) Heliport Marking. All markings, except for FATO and TLOF boundary markings, shall be oriented to be legible when flying toward the heliport using the primary approach/takeoff path. Heliport markings are as follows:
(1) an underlined letter “H” that shall be centered within the FATO and it shall be at least 10 feet in height. If the heliport is at a medical facility, the underlined letter “H” shall be red and it shall be imposed in the middle of a 30' white cross. A heliport not open to the public may utilize a company logo or some other marking in lieu of the “H” if approved by the Department;
(2) either FATO or TLOF boundary markings in accordance with Chapter 3 of the FAA AC 150/5390-2A. A heliport may have both FATO and TLOF boundary markings;
(3) a heliport not open to the public shall be marked with the letters “PVT” in letters at least 5 feet in height that are located on the FATO;
(4) a heliport that is restricted to helicopters under a certain weight (e.g., rooftop heliport), shall be marked with a weight limit marking, in thousands of pounds, that is located on the FATO;
(5) a landing direction arrow shall be used when an approach/takeoff path is constrained by environmental or safety concerns which require the precise navigation that the arrow affords. An arrow shall not be used for curved approach; and
(6) markings of a closed or abandoned heliport shall be in accordance with FAA AC 150/5390-2A.
(b) Heliport Lighting. A heliport lighting system is required for night operations. No lights may penetrate the heliport's primary, approach, or transitional surfaces by more than two inches. Any lighting fixture used shall present a low profile to minimize interference with ground maneuvering and flight operations. A heliport lighting system consists of the following:
(1) perimeter lighting in accordance with Chapter 3 of the FAA AC 150/5390-2A. Floodlights may be used in lieu of perimeter lights if approved by the Department. If approved by the Department, floodlights shall be located and oriented so they do not interfere with the pilot's ability to see clearly during takeoff, landing, or taxiing;
(2) a lighted wind cone;
(3) if a landing direction arrow is required in Section 3554(a)(5) of these regulations, the arrow shall have landing direction lights centered within it; and
(4) obstruction lights as follows:
(A) at a public-use heliport, any obstruction to air navigation as defined in FAR 77.23 shall be lighted in accordance with FAA AC 70/7460-1J, unless the FAA has conducted an aeronautical study and determined that the lighting is not necessary for safety and the Department concurs.
(B) at a heliport that is not for public-use, the heliport owner shall survey the heliport area to identify objects that are obstructions to air navigation as defined in FAR 77.23. The Department shall evaluate the obstructions and determine whether obstruction lighting is required.
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. Amendment filed 4-25-80; effective thirtieth day thereafter (Register 80, No. 17).
2. Repealer and new section filed 12-14-88; operative 1-1-89 (Register 88, No. 53).
3. Change without regulatory effect of subsection (b)(1)(A) filed 1-24-89; operative 1-24-89 (Register 89, No. 4).
4. Amendment of section heading and section filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3555. Surface Stabilization and Pavement Design.
Note     •     History

NOTE

Authority cited: Sections 21243 and 21253, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. Repealer of subsection (f) filed 4-25-80; effective thirtieth day thereafter (Register 80, No.17).
2. Repealer and new section filed 12-14-88; operative 1-1-89 (Register 88, No. 53). 
3. Repealer filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3556. Fire Protection.
Note     •     History

NOTE

Authority cited: Sections 21243 and 21253, Public Utilities Code. Reference: Sections 2166.1-21668.2, Public Utilities Code.
HISTORY

1. Repealer and new section filed 12-14-88; operative 1-1-89 (Register 88, No. 53). For prior history, see Register 80, No. 17. 
2. Repealer filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
§3557. Applications.
History

HISTORY

1. Repealer filed 12-14-88; operative 1-1-89 (Register 88, No. 53). For prior history, see Register 80, No. 17.
§3558. Notice to Interested Parties.
History

HISTORY

1. Repealer filed 12-14-88; operative 1-1-89 (Register 88, No. 53). For prior history, see Register 80, No. 17. 
§3559. Site Approval Permit or Amended Site Approval Permit Requirements.
History

HISTORY

1. Repealer filed 12-14-88; operative 1-1-89 (Register 88, No. 53). For prior history, see Register 80, No. 17.
Article 5. Personal-Use Airports
§3560. General.
Note     •     History

Many elements in the design of Personal-Use airports are at the discretion of the owner. However, the Department requires at least the following:
(a) a runway length and width or FATO dimensions adequate to enable aircraft to operate safely, considering airport location and the performance data of the most demanding aircraft to utilize the airport;
(b) the ends of each runway shall be at least 200 feet from the airport property line or the closest point of each FATO shall be at least 80 feet from the airport property line;
(c) the distance from the runway centerline to the property line of another owner shall be at least 50 feet;
(d) the distance from the taxiway centerline to the property line of another owner shall be at least 50 feet; and
(e) if the airport is identifiable as an airport from the air, it shall be marked with the letter “R” in accordance with Section 3543(a) [for airports only] or the letters “PVT” in accordance with Section 3554(a)(3) [for heliports only]. If an airport lighting system is installed, it shall illuminate the required markings. The Department shall determine whether or not the airport is identifiable from the air if there is a dispute.
NOTE

Authority cited: Sections 21243 and 21253, Public Utilities Code. Reference: Sections 21661-21668.2, Public Utilities Code.
HISTORY

1. New article 5, renumbering and amendment of former section 3544 to new section 3560, and repealer and new forms DOA 0-100, DOA 0-103, DOA 0-201, DOA 0-202 and DOA 0-204 filed 3-21-97; operative 4-20-97 (Register 97, No. 12). For prior history of sections 3563, 3563.5 and 3564, see Register 88, No. 53.
2. Change without regulatory effect amending form DOA-0204 filed 6-26-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 26).

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic
Chapter 2.1. School Site Evaluation Criteria
§3570. School Site Evaluation Criteria.
Note     •     History

(a) The following definitions apply within these regulations:
(1) “Airport runway” means any runway, or potential runway included in an airport master plan, that would be within two nautical miles of any boundary of a proposed school site that a school district intends to acquire.
(2) “Forecast aviation activity” means a projection of future aviation activity included in an airport master plan; or a regional transportation plan or similar document; or as provided by an airport owner or operator during the course of an investigation as required by Education Code Section 17215.
(3) “Runway” means a defined rectangular surface on an airport prepared or suitable for the landing or takeoff of airplanes.
(b) The State Department of Transportation (Department) shall investigate a proposed school site after receiving a written notice from the State Department of Education (Education) that includes a scaled map accurately depicting the location and boundaries of the proposed school site relative to any airport runway.
(c) The Department's investigation shall consider, but is not limited to considering: comments relevant to the proposed site acquisition received from an airport owner and operator, an airport land use commission having jurisdiction, a local planning commission having jurisdiction, and other public entities, when appropriate; existing and forecast aviation activity for each airport runway; where the proposed school site lies relative to aircraft flight paths and aircraft generated noise; and consistency with an adopted land use plan, military airfield Air Installation Compatible Use Zone study, General Plan, and similar planning documents.
(d) Based upon its investigation, the Department shall evaluate whether or not a school in the proposed location would be consistent with the enabling statute's guiding principles of promoting the safety of pupils, comprehensive community planning, and the greater educational usefulness of school sites. The Department shall recommend against acquisition of any proposed school site that it determines may not provide an adequate level of safety or non-disruptive noise for students based on aviation safety and aircraft noise considerations at the proposed site.
(1) The Department shall object to the acquisition of a proposed school site that would be within any of the following areas for existing or forecast aviation activity:
(A) a runway protection zone, which is an area for a:
a. civilian runway that is depicted in Figure 1 and has dimensions as shown in Table 1
b. military runway that is depicted and has dimensions as in Figure 2
(B) 65 decibel annual Community Noise Equivalent Level (CNEL) aircraft noise contour, as defined in 21 CCR section 5001(d).
(2) The Department may object to the acquisition of a proposed school site that would be within any of the following areas for existing or forecast aviation activity:
(A) where aircraft approaching or departing an airport are expected to be below cruise flight altitude. These areas are substantially enclosed within the areas depicted in Figure 2 and described as:
1. inner approach/departure zone, where aircraft are typically 200 to 400 feet above runway elevation for straight-in arrivals or straight-out departures
2. inner turning zone, where aircraft are typically turning and descending for landing or turning and climbing for departure
3. out approach/departure zone, where aircraft are generally below traffic pattern altitude and flying either an elongated traffic pattern or a published instrument approach procedure; this zone will be aligned with the extended runway centerline for an elongated traffic pattern and aligned with the published instrument approach procedure, when that procedure is not aligned with the extended runway centerline; each runway may have more than one outer approach/departure zone.
4. sideline zone, where aircraft may lose directional control on takeoff
5. traffic pattern zone, includes all portions of an airport's designated traffic pattern and pattern entry routes.
(B) where an adopted airport land use plan, military airfield Air Installation Compatible Use Zone study, General Plan, or similar planning document identifies schools as not normally compatible or not normally recommended.
(C) any other site that the Department determines may not provide an adequate level of safety of non-disruptive noise for students based on aviation safety and aircraft noise considerations.
NOTE

Authority cited: Section 17215, Education Code. Reference: Section 17215, Education Code.
HISTORY

1. New chapter 2.1 (section 3570, Figure 1, Table 1 and Figure 2), new section and Figure 1, Table 1 and Figure 2 filed 2-3-2003; operative 3-5-2003 (Register 2003, No. 6).

Figure 1 Runway Protection Zone

View Graphic

Table 1. Runway Protection Zone (RPZ) Dimensions
for Civilian Runways

View Graphic
-----------------------------------
1 The RPZ dimensions are for the runway end with the specified approach visibility minimums. 
2 “Aircraft approach category” means a grouping of aircraft based on 1.3 times their stall speed in their landing configuration at their maximum certificated landing weight. The categories are as follows:
Category A: speed less than 91 knots
Category B: speed 91 knots or more but less than 121 knots
Category C: speed 121 knots or more but less than 141 knots
Category D: speed 141 knots or more but less than 166 knots
Category E: speed 166 knots or more
3 “Small airplane” means an airplane of 12,500 pounds or less maximum certificated takeoff weight

Figure 2

View Graphic
Chapter 2.5. Recreation and Reliever Training Airports
Article 1. General
§3580. Definitions.
Note     •     History

NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21684.5 and 21684.6, Public Utilities Code.
HISTORY

1. Repealer of chapter 2.5 (articles 1-3), article 1 (section 3580) and section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
Article 2. Program
§3585. Program.
History

HISTORY

1. Repealer of article 2 (sections 3585-3586) and section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§3586. Program Implementation.
History

HISTORY

1. Repealer filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
Article 3. Criteria
§3590. Design.
History

HISTORY

1. Repealer of article 3 (sections 3590-3592) and section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§3591. Restrictions.
History

HISTORY

1. Repealer filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§3592. Waivers.
History

HISTORY

1. Repealer filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
Chapter 3. Parachute Jumping
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Statutes 1979, chapter 511, sections 1 and 4.
HISTORY

1. Repealer of Subchapter 3 (Sections 4001-4041, not consecutive) filed 4-25-80; effective thirtieth day thereafter (Register 80, No. 17).
Chapter 4. California Aid to Airports Program
Article 1. General
§4050. Purpose.
Note     •     History

The regulations in this chapter establish rules and procedures to implement the California Aid to Airports Program (CAAP). The purpose of the CAAP is to assist in establishing and improving a statewide system of safe and environmentally compatible airports whose primary benefit is for general aviation (GA). The CAAP includes Annual Credits pursuant to Public Utilities Code (PUC) section 21682; the Airport Improvement Program (AIP) Matching Grants pursuant to PUC section 21683.1; and Acquisition and Development (A&D) Grants pursuant to PUC section 21683.
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21002, 21602, 21682, 21683 and 21683.1, Public Utilities Code.
HISTORY

1. Repealer of Subchapter 4 (Sections 4050-4053) and new Subchapter 4 (Sections 4050-4066) filed 8-11-77; effective thirtieth day thereafter (Register 77, No. 33).
2. Amendment of section and Note filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
§4051. Waivers.
History

HISTORY

1. Repealer filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§4052. Definitions.
Note     •     History

In addition to definitions set forth in the State Aeronautics Act (PUC sections 21001 et seq.), the terms defined below apply within these regulations: 
(a) Air Navigational Facilities means: rotating beacons; approach aids such as approach lights, runway end identifier lights, visual approach slope indicators; automated weather reporting systems; and other fixed electronic or visual devices designed to assist the pilot of an aircraft determine the aircraft's location and flight path. 
(b) Airport is defined in PUC section 21013. 
(c) Airport Drainage means providing for drainage to make the airport operationally usable and to preserve pavement. 
(d) Airport Improvement Program (AIP) means the Federal Aviation Administration's (FAA's) grant funding program for airports, which are included in the NPIAS. 
(e) Airport Land Use Commission (ALUC) is defined in PUC section 21670. 
(f) Airport Land Use Compatibility Plan (ALUCP), formerly known as a “comprehensive land use plan” (CLUP), is described in PUC section 21675. 
(g) Airport Layout Plan (ALP) means a scaled drawing of an airport showing the existing and proposed facilities at the airport. An ALP shall depict, at a minimum: 
(1) The boundaries of the airport's property. 
(2) The operational areas of the airport, which are the runways, taxiways, hangars and aprons where aircraft are in motion or are parked. 
(3) The runway protection zones, existing and future planned. 
(4) The buildings and facilities within the boundaries of the airport's property. 
(5) Arrows depicting true north and magnetic north. 
(6) Its completion date and the name of the person and/or firm that prepared the ALP. 
(7) A notice of adoption by the public entity or by the airport owner; and approval by the FAA for a NPIAS airport. 
(h) Airport Master Plan: means a document that contains the following: 
(1) the airport's current airport layout plan and 
(2) a long-range, typically 20-year period, plan for the airport's development that includes technical, operational, and financial justification for the proposed development. 
(i) Bond Servicing means the payment of interest due and of underwriting fees for revenue or general obligation bonds issued by an airport sponsor to finance capital improvement projects for airport and aviation purposes; and it does not include the payment of debt principal. 
(j) Capital Improvement Plan (CIP), formerly known as “Capital Improvement Program,” is an element of the California Aviation System Plan (CASP), in accordance with PUC section 21702(f). 
(k) Department means the Division of Aeronautics within the California Department of Transportation. 
(l) Environmental Mitigation means measures necessary to minimize any significant impacts on land use, air and water quality, biological and geological resources, objects of historical or aesthetic significance, and other environmental resources of a plan or project funded pursuant to these regulations. 
(m) FAA means the Federal Aviation Administration. 
(n) Fencing means perimeter or security fencing, including gates and access control devices for GA purposes. 
(o) General Aviation (GA) is defined in PUC section 21681(c). 
(p) General Aviation (GA) Purposes means improvements on airports that are needed to sustain and continue GA activities that include, but are not limited to, the following: 
(1) Recreation; 
(2) Business travel; 
(3) Airport-based aviation businesses that teach people to fly; or operate charters for hire; or sell fuel, aircraft, and other aviation-related products; 
(4) Aircraft manufacture and repair; 
(5) Aerial or agricultural application; 
(6) Television, radio, news or weather reporting; 
(7) Law enforcement; 
(8) Firefighting; 
(9) Emergency medical service; 
(10) Aerial photography; 
(11) Transporting organs or blood or tissue for transplant; 
(12) Pollution control over waterways, shores, and harbors; 
(13) Scientific research and development; 
(14) Wildlife surveys; 
(15) Insect control and abatement; 
(16) Banking; 
(17) Search and rescue; 
(18) Response to emergencies; 
(19) Land surveys; 
(20) Powerline/pipeline patrol; 
(21) Aerial cranes for construction and lifting large objects; 
(22) Non-scheduled cargo flights; 
(23) Advertising with banners or skywriting; 
(24) Sports such as gliders, aerobatics, and parachuting; and 
(25) Transporting perishable and time-sensitive goods on non-scheduled flights. 
“GA purposes” refers to the maximum dimensions or system requirements for airport capital improvement projects to serve the GA traffic, which uses a particular airport, in terms of runway and taxiway length, width, and depth, or type and extent of repair or new construction. 
(q) Land Acquisition means to purchase land to develop and improve an airport to meet existing or forecast GA needs, as specified in an adopted ALP. If the airport is in the NPIAS, the adopted ALP must be approved by the FAA. It includes funding of a claim for any deposit paid by the sponsor when the sponsor has to condemn a parcel in order to purchase it. Land can be acquired for any of the following: 
(1) Airport Drainage needed to make the airport operationally usable and to preserve pavement. 
(2) Airport protection to fulfill the requirements of section 4058 of these regulations. 
(3) To meet conditions of an airport's permit issued pursuant to PUC section 21662. 
(4) Property to be used for the operation and movement of aircraft (e.g., landing and takeoff surfaces, taxiways, aprons, aircraft loading, boarding, parking areas, hangars); those areas within the airport boundary reserved for safety purposes; and off-airport property that is secured by an avigation easement or by fee simple acquisition for safety purposes. 
(5) Environmental Mitigation. 
(6) Air Navigational Facilities. 
(7) Runway Protection Zones. 
(r) Lights means airport lighting equipment for GA purposes, as specified in PUC section 21681(f)(8). 
(s) NPIAS means the National Plan of Integrated Airport Systems developed by the Federal Aviation Administration. 
(t) Project means an action undertaken by a public entity to improve the aviation transportation system in California. A project may be a physical improvement, an acquisition of land, the preparation of a planning document, or other such items as defined elsewhere in this Chapter. 
(u) Project Services are functions a sponsor performs to complete an action for which the sponsor applies for funding pursuant to these regulations. Legal and administrative services are not “project services” within these regulations. “Project services” are performed for GA purposes, and are to improve the air transportation system in California; they include, but are not limited to, the following: 
(1) Environmental studies conducted to comply with the California Environmental Quality Act (CEQA) and the National Environmental Policy Act (NEPA); 
(2) Airport design; 
(3) Contract drawings; 
(4) Plans, Specifications, and Estimates (PS&E); 
(5) Preliminary studies; 
(6) Reports and drawings; 
(7) Soil investigation; 
(8) Mapping; 
(9) Construction staking and testing; 
(10) Land surveys; or 
(11) Project inspection. 
(v) Public Entity is defined in PUC section 21681(d). 
(w) Runway Protection Zones is described in PUC section 21681(f)(4). 
(x) Service Life means the length of time a facility, equipment, or product is useful as determined by either physical deterioration or obsolescence, whichever occurs first. 
(y) Sponsor means: 
(1) An ALUC; 
(2) A city or county designated by an ALUC to compete for funds in accordance with PUC section 21602(b); or 
(3) A public entity that is eligible to receive grants or loans from the Department for an airport open to the public. 
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21013, 21602, 21662, 21670, 21675, 21681 and 21702, Public Utilities Code. 
HISTORY

1. Amendment of section and new Note filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
Article 2. Sponsor Eligibility
§4055. Requirements.
Note     •     History

The following are requirements for sponsor participation in the California Aid to Airports Program (CAAP). The provisions of this article apply to applications for AIP Matching, Acquisition and Development (A&D),  and Annual Credit funds.
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21602, 21682, 21683, 21683.1 and 21688, Public Utilities Code. 
HISTORY

1. Amendment of section and new Note filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
§4056. Permit and Funding Requirements.
Note     •     History

(a) State Permit Requirement. 
(1) A sponsor shall possess a valid state permit for each public-use airport for which it requests funds, with the exception of sponsors which are:
(A) Eligible pursuant to PUC section 21602(b), or 
(B) An ALUC applying to prepare or update an Airport Land Use Compatibility Plan (ALUCP). 
(2) The sponsor must obtain an appropriate site approval permit from the Department for the construction, establishment or expansion of the airport, in accordance with Title 21 CCR section 3525 et seq., prior to allocation of funds for the construction, establishment or expansion of an airport. 
(b) Special Aviation Fund. The sponsor shall establish a special aviation fund in accordance with PUC section 21684. 
The requirement for a special aviation fund shall be fulfilled if the sponsor has an accounting system that adequately accumulates and segregates expenditures and receipt of funds under this chapter. 
(c) Records. The sponsor shall keep all records of CAAP expenditures from the time funds are received from the Department until three years after receipt of the final payment from the Department. During that time, if the Department requests, the sponsor shall provide the Department with any or all records pertaining to the project. 
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21002, 21602, 21662, 21663, 21664.5, 21675 and 21684, Public Utilities Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
§4057. Operational Requirements.
Note     •     History

(a) The sponsor shall have sufficient control over airport operations to ensure public health and safety. Such control shall be in the form of airport operating procedures, rules or regulations that are adopted by local ordinance or resolution. This section shall not apply to sponsors which are:
(1) Eligible pursuant to PUC section 21602(b), or 
(2) An ALUC. 
(b) No payment shall be made from the State Aeronautics Account for Annual Credits or A&D projects for an airport at which the Department determines general or commercial aviation activities are substantially restricted contrary to PUC sections 21682 or 21683. 
NOTE

Authority cited. Section 21243, Public Utilities Code. Reference. Sections 21002, 21602, 21680, 21681, 21682 and 21683, Public Utilities Code. 
HISTORY

1. Amendment of section and new Note filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
§4058. Airport Protection Requirements.
Note     •     History

Except for planning projects relative to airport development or zoning needs around an airport, the Department shall not pay for expenditure on any airport, or for the acquisition and development of any airport, unless: 
(a) The airport-owning entity has sufficient control, through ownership, easement, height restrictions, or zoning, over property in the vicinity of the airport to assure height restrictions that prevent obstructions to the airport's “Civil Airport Imaginary Surfaces” as depicted in Figure 3, or 
(b) If the airport-owning entity's control is not sufficient to prevent obstructions to the airport's “Civil Airport Imaginary Surfaces” as depicted in Figure 3, the Department will determine whether the existing restrictions are adequate to provide reasonable assurance that aircraft operations at the airport can be conducted without obstruction or will be otherwise free from hazards. The sponsor shall provide sufficient information to the Department, upon which the Department can make such a determination. 
NOTE

Authority cited. Section 21243, Public Utilities Code. Reference. Sections 21002 and 21688, Public Utilities Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
Article 3. Project Eligibility
§4059. Ineligible Projects.
Note     •     History

Payments from the Aeronautics Account are not allowed for any of the following projects: 
(a) With the exception of projects for “Land Acquisition” and “Project Services” as defined in section 4052, those projects that the sponsor has already started or completed, prior to allocation of AIP Matching or Acquisition and Development (A&D) funds. 
(b) “Land Acquisition,” as defined in section 4052, if the sponsor purchases the property prior to the date the Department receives an application for AIP Matching or Acquisition and Development (A&D) funds, or a request for the disbursement of Annual Credit monies to acquire such property. 
(c) Legal and administrative costs incurred for “Land Acquisition” and “Project Services”. 
(d) Matching AIP grant funds prior to sponsor's acceptance of the federal grant. 
(e) Projects not authorized under these regulations. 
(f) “Project services,” as defined in section 4052, for projects that are neither funded nor completed under the CAAP. 
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21002, 21602, 21681, 21682, 21683 and 21683.1, Public Utilities Code. 
HISTORY

1. New section filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22). For prior history, see Register 97, No. 12.
§4060. Resolution of Unallowable Costs.
Note     •     History

(a) If a sponsor's audit pursuant to PUC section 21686 identifies unallowable costs, the sponsor shall either: 
(1) Repay the Department for the unallowable costs within 30 days of the date that the sponsor submitted its audit findings to the Department or, 
(2) Request the Department waive the costs within 30 days of the date that the sponsor submitted its audit findings to the Department. 
If the sponsor requests a waiver of the costs, but the Department does not waive them, the sponsor shall repay the costs within 30 days' of its receipt of the Department's notice. The State Controller has the authority to withhold other state funds due the sponsor in order to repay the State Aeronautics Account when the sponsor fails to make restitution as required by this regulation. 
(b) “Unallowable costs” include funds used for “land acquisition” if the acquired land is not used for the purpose for which funding was authorized within three years of purchase unless the sponsor has a written waiver from the Department. 
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21002, 21680 and 21686, Public Utilities Code. 
HISTORY

1. New section filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22). For prior history, see Register 97, No. 12.
§4061. Eligible Acquisition and Development (A&D) Projects.
Note     •     History

An A&D project must be included in the Department's most recently adopted Capital Improvement Plan of the California Aviation System Plan to be eligible for A&D grant funds. In addition to the projects identified in PUC sections 21207 and 21681(f), the following capital improvements are eligible projects for A&D grants: 
(a) Aircraft Parking Tiedown Apron. Construction and reconstruction of aircraft parking tie-down apron areas for GA purposes, including necessary grading and drainage. 
(b) Airport Markings and Signage. Purchase and installation of airport markings and signage. Airport markings and signage are used for guiding operators of aircraft using runways, taxiways, aprons, service roads and aircraft parking areas on an airport. It includes, but is not limited to: painting of runways, taxiways, aprons, and aircraft parking areas; segmented circles; wind socks; traffic pattern indicators; wind tees; tetrahedrons; and other physical structures which provide visual indicators to assist pilots in safely maneuvering aircraft. 
(c) Airport Service Roads. Construction of airport service roads, which are roads, closed to the public, that provide access for emergency vehicles, airport service vehicles, and vehicles authorized by airport management. 
(d) Blast Barriers. Construction of blast barriers, which are natural or manufactured barricades used to absorb, divert or dissipate jet blast or propeller wash. 
(e) Environmental Mitigation, as defined in section 4052. 
(f) Objects/Obstructions/Hazards. Removal of objects from Runway Protection Zones and Runway Safety Areas, as depicted in Figures 1 and 2 respectively. Removal of hazards and the lighting or removal of obstructions that exceed the Civil Imaginary Surfaces, as depicted in Figure 3. The Department shall determine whether an object that exceeds the Civil Imaginary Surfaces, as depicted in Figure 3, is a “hazard” for the purposes of this regulation. 
(g) Pavement. Rehabilitation and maintenance of pavement. Pavement means a structural section that carries aircraft traffic on the ground. A structural section is comprised of layers of specified materials placed over the native soil to support the loads applied or accumulated during the design life of the pavement. 
(1) Rehabilitation is work performed to extend the service life of an existing pavement. Rehabilitation includes, but is not limited to: 
(A) An overlay, which is a layer placed on existing pavement to restore ride quality, to increase structural strength, or to extend the service life, and 
(B) Reconstruction, which is the partial or complete removal and replacement of a pavement. 
(2) Maintenance is work performed to preserve an existing pavement that is necessary for the safe and efficient use of an airport. Maintenance includes, but is not limited to, a slurry seal, which is a preservative bituminous coating, with aggregate, applied to a bituminous surface pavement for the purpose of waterproofing or rejuvenating it. 
(h) Project services, as defined in section 4052 and within the limits of section 4063. 
(i) Radio Communication Equipment. Purchase and installation of aviation radio communication equipment and facilities, which remain under sponsor control. 
(j) Water and Sanitary Systems. Purchase and installation of water and sanitary systems necessary for GA purposes on an airport. 
NOTE

Authority cited: Sections 21243 and 21681(f)(15), Public Utilities Code. Reference: Sections 21207, 21681, 21683 and 21706, Public Utilities Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
§4062. Eligible Annual Credit Projects.
Note     •     History

Sponsors may use Annual Credit funds for expenditures specified in PUC sections 21681(f) and (g), and section 4061 of these regulations. Such facilities must remain under the ownership and control of the sponsor. In addition, sponsor may use Annual Credit funds for the acquisition and installation, as appropriate, of the following: 
(a) Aircraft Wash Facility, which is a paved area available to wash aircraft which has access to a water supply; is environmentally acceptable; and is accessible from the airport taxiway system. 
(b) Fueling Facility, which is a mechanism used to pump aviation gasoline or aircraft jet fuel into GA aircraft. 
(c) Local Matching Funds, which are funds to match a federally-funded AIP project. 
(d) Restrooms and Showers, which means a room(s) with the basic conveniences for a person to wash, which may include showers, and with at least one toilet. 
NOTE

Authority cited: Sections 21243, 21681(f)(15) and 21682, Public Utilities Code. Reference: Sections 21681 and 21682, Public Utilities Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
§4062.1. Eligible AIP Matching Projects.
Note     •     History

A federally-funded AIP project must be included in the Department's most recently adopted Capital Improvement Plan of the California Aviation System Plan to be eligible for AIP Matching funds. 
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21683.1 and 21706, Public Utilities Code. 
HISTORY

1. New section filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22). 
Article 4. Acquisition and Development (A&D) Grants
§4063. Program Description.
Note     •     History

Pursuant to PUC section 21683, sponsors may apply for A&D grants to fund projects described in section 4061 of these regulations that are primarily for GA purposes. 
(a) Local Matching Fund Requirements. The sponsor shall provide matching funds pursuant to PUC section 21684. Matching funds shall not consist of funds previously received from state or federal agencies, or funds previously used to match federal or state funds. No state or federal funds may be used to match an A&D grant. 
(b) Project Minimum. The minimum grant amount for an A&D funded project is an amount equal to twice the amount of an Annual Credit as specified in PUC section 21682(b). 
(c) Airport Maximum. The maximum A&D grant funding allocated to any airport in a fiscal year shall not exceed $500,000. The Department may grant an exception to this limit for any of the following conditions: 
(1) The airport's project requires additional funds to correct a design deficiency that would prevent the airport from meeting the design standards necessary to qualify for a permit for a new airport pursuant to CCR, Title 21, Article 3, section 3540 et seq. 
(2) The airport is not eligible for federal funding. 
(3) The Department determines that it is appropriate to exceed this maximum. For instance, it may be appropriate when a project's remoteness relative to required construction materials, such as rock plants, concrete plants, and asphalt plants, results in unusually high construction costs. The sponsor shall provide additional documentation if the Department determines that further information is required to sufficiently evaluate the appropriateness of exceeding the maximum annual allocation of $500,000. 
(d) Project Services. “Project services” can be a maximum of 12 percent of the total construction cost or land acquisition cost, including real estate costs of appraisal, escrow and title fees. 
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21666, 21681, 21683 and 21684, Public Utilities Code.
HISTORY

1. Repealer of subsections (c)-(c)(2)(B) and new Note filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
2. Amendment of article heading, section heading and section and new Note filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
§4064. A&D Project Application Process.
Note     •     History

The Department will process all applications for allocation of funds for A&D grants that meet the requirements of this section. To apply for an A&D grant, the sponsor shall submit a completed and signed “Acquisition & Development Grant -- Application” [DOA-0010 (Rev.01/2005)] to the Department with the following documentation included: 
(a) Local Government Approval. Either a resolution or minute order from the governing board of the sponsor documenting its authorization for filing the application for funding; accepting the allocation of funds for the project; executing the grant agreement; and naming the person authorized to sign any documents required to apply for and accept these funds on the sponsor's behalf. The resolution or minute order shall also certify the availability of matching funds from the sponsor, or other non-state/non-federal funding source, to meet the required local share of the project cost in the state fiscal year for which the application is made.
(b) Federal Aviation Administration Documentation. The FAA's final determination regarding the sponsor's submission of Federal form(s), such as FAA Form 7460-1 or FAA Form 7480-1, when applicable. 
(c) Environmental Compliance. Verification that sponsor is in compliance with the California Environmental Quality Act (CEQA) for the project. During the CEQA public review period, the sponsor, or its representative, shall circulate all environmental documents for the project through the Department and the Office of Planning and Research, State Clearinghouse. 
(d) Airport Layout Plan or Drawing with Project Information.
An Airport Layout Plan (ALP), as defined in section 4052, with a depiction of the proposed project and its location highlighted. The ALP shall be: 
(1) The most recent FAA approved version if the airport is in the NPIAS or 
(2) An 11 x 17-inch drawing of the airport approved by the sponsor if the airport is not in the NPIAS. 
Either an electronic version or a legible hardcopy of the ALP, or the 11 x 17-inch drawing, is acceptable. 
This subdivision does not apply to a grant to prepare a new ALP; a new Airport Land Use Compatibility Plan (ALUCP); or an update to an existing ALUCP. 
(e) Sponsor Eligibility and Airport Protection and Programming Requirements. A completed and signed “California Aid to Airports Program (CAAP)--Certification” form [DOA-0007 (Rev. 01/2005)] to certify eligibility pursuant to Article 2 of these regulations. This subdivision does not apply if the sponsor has previously submitted a completed certification form to the Department for the same fiscal year in which the project is planned; or if the project is for an ALP, Master Plan, or ALUCP. 
(f) Additional Documentation. Sponsor shall submit project cost estimates. Sponsor shall provide additional documentation if the Department determines that further information is required to sufficiently evaluate the project for funding. 
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21002, 21602, 21681, 21683, 21688 and 21706, Public Utilities Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
§4065. Allocation Procedures.
History

HISTORY

1. Repealer filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
Article 5. Airport Improvement Program (AIP) Matching Grants
§4066. Program Description.
Note     •     History

Pursuant to PUC section 21683.1, sponsors may apply for AIP Matching grants to assist the sponsor in meeting the local match for federally-funded AIP projects. 
Local Matching Fund Requirements. In accordance with PUC section 21683.1, and primarily for general aviation (GA) purposes, sponsors may apply for Aeronautics Account funds to match a federal Airport Improvement Program (AIP) grant received by the sponsor. The Department may provide funding in an amount equal to: 
(a) 5% of the amount of any AIP grant and 
(b) Until December 31, 2006, 10% of the amount of an AIP grant for “security projects” at small GA airports with fewer than 80,000 annual aircraft take-offs and landings. Eligible “security projects” are described in PUC section 21683.1(c). 
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21002, 21680 and 21683.1, Public Utilities Code. 
HISTORY

1. Repealer of article 5 (section 4066) and section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
2. New article 5 (sections 4066-4067) and new section filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22). For prior history, see Register 97, No. 12.
§4067. AIP Matching Grant Application Process.
Note     •     History

To apply for an AIP Matching grant, the sponsor shall submit a completed and signed “State Matching Grant for FAA Airport Improvement Program--Application” form [DOA-0012 (Rev. 01/2005)] or “State Matching Grant for Airport Improvement Program Security Component--Application” [DOA-0011 (Rev. 01/2005)] to the Department with the following documentation included: 
(a) Local Government Approval. Either a resolution or minute order from the governing board of the sponsor documenting its authorization for filing the application for funding; accepting the allocation of funds for the project; executing the grant agreement; and naming the person authorized to sign any documents required to apply for and accept these funds on the sponsor's behalf. 
(b) FAA Grant Agreement. Sponsor shall submit a copy of the FAA AIP Grant Agreement that has been signed by designated representatives of the sponsor and the FAA. 
(c) Environmental Compliance. Verification that sponsor is in compliance with the California Environmental Quality Act (CEQA) for the project. During the CEQA public review period, the sponsor, or its representative, shall circulate all environmental documents for the project through the Department and the Office of Planning and Research, State Clearinghouse. 
(d) Airport Layout Plan with Project Information. The most recent adopted and FAA approved Airport Layout Plan (ALP), as defined in section 4052, with a depiction of the proposed project and its location highlighted. Either an electronic version or a legible hardcopy of the ALP is acceptable. This subdivision does not apply to a grant to prepare a new ALP. 
(e) Sponsor Eligibility and Airport Protection and Programming Requirements. A completed and signed “California Aid to Airports Program (CAAP)--Certification” form [DOA-0007 (Rev. 01/2005)] to certify eligibility pursuant to Article 2 of these regulations. This subdivision does not apply if the sponsor has previously submitted a completed certification form to the Department for the same fiscal year in which the project is planned; or if the project is for an ALP. 
(f) Additional Information. Sponsor shall provide additional documentation if the Department determines that further information is required to sufficiently evaluate the project for funding. 
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21002, 21602, 21683.1, 21688 and 21706, Public Utilities Code. 
HISTORY

1. New section filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22). 
Article 6. Annual Credit
§4069. Program Description and Annual Credit Disbursement Process.
Note     •     History

The Annual Credit provides eligible airports with annual discretionary funding subject to the provisions of PUC section 21682. To request approval to expend Annual Credit funds, the sponsor shall submit the following to the Department: 
(a) Standard Application Form or letter. A completed and signed “California Aid to Airports Program (CAAP)--Annual Credit Disbursement Request” form [DOA-0009 (rev. 01/2005)]; or a signed letter requesting the Department's approval for expenditure of funds on eligible projects. The sponsor may either apply for disbursement of the Annual Credit, or automatically accumulate the Annual Credit for a period of five years. The accrual period begins with the first fiscal year during which the Annual Credit is available to the sponsor. The sponsor shall indicate the planned use of the Annual Credit in the application or letter. 
(b) Sponsor Eligibility and Airport Protection and Programming Requirements. A completed and signed “California Aid to Airports Program (CAAP)--Certification” form [DOA-0007 (Rev. 01/2005)] to certify eligibility pursuant to Article 2 of these regulations. This subdivision does not apply if the sponsor has previously submitted a completed certification form to the Department for the same fiscal year in which the expenditure is planned. 
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21002, 21602, 21682 and 21688, Public Utilities Code. 
HISTORY

1. New article 6 (section 4069) and new section filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
Chapter 5. California Airport Loan Program
§4070. Program Description.
Note     •     History

The regulations in this chapter establish procedures for the administration of the California Airport Loan Program as provided for in Public Utilities Code (PUC) Section 21602. Subject to the availability of funds, the Department may provide funding in the form of loans to eligible sponsors. 
Definitions set forth in the State Aeronautics Act (PUC sections 21001 et seq.) and in section 4052 of Chapter 4 also apply within this Chapter. Additionally within this Chapter, “funding” means the granting of a loan by the Department pursuant to these regulations. 
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21002 and 21602, Public Utilities Code.
HISTORY

1. Repealer of article 1 heading, amendment of section heading and section and new Note filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
§4071. Conditions of Eligibility.
Note     •     History

(a) Sponsor Eligibility. To be eligible for funding, the sponsor must meet the eligibility requirements of Chapter 4, Article 2, sections 4056 through 4058 of these regulations. 
(b) Projects Eligibility. 
(1) Ineligible Projects. The following projects are not eligible for funding: 
(A) Projects to accommodate scheduled air carriers; and 
(B) Local matching fund requirements for an A&D grant pursuant to Chapter 4. 
(2) Eligible Projects. The following projects are eligible for funding: 
(A) On airport projects that enhance an airport's ability to provide general aviation services in a safe, efficient, and economical manner such as, but not limited to, aircraft storage facilities (hangars), general aviation terminal buildings or pilots lounges, utility services (power, water, sewer, etc.), and fueling facilities. 
(B) Local matching funds for AIP grants, provided that the sponsor has accepted the federal AIP grant; and 
(C) Projects eligible for A&D grants in accordance with Chapter 4. 
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21002, 21602 and 21681, Public Utilities Code. 
HISTORY

1. Amendment of section and new Note filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
§4072. Project Feasibility Requirements.
Note     •     History

In addition to the eligibility criteria within section 4071, the sponsor must demonstrate that the proposed project meets the following feasibility requirements: 
(a) Engineering Feasibility. For loans for construction projects only, a proposed project shall be feasible from an engineering assessment, which means that it can be designed, constructed, and operated in accordance with generally-accepted engineering principles and procedures, for the purpose for which the project is created. The engineering feasibility requirement does not apply to loans made only for the purpose of preparing “Plans, Specifications, and Estimates” for an airport construction project. This section is not required for a loan to match an FAA AIP grant. 
(b) Economic Feasibility. For revenue-generating loans only, a proposed project shall be economically justified. Sponsor's completed “Checklist for Economic Feasibility,” on the back of the “Revenue Generating Loan-Application” form [DOA-0020 (Rev. 01/2005)], must show that total projected monetary benefits of the project equal or exceed total costs over the service life of the proposed project, where “total costs” means the sum of capital, maintenance, and administrative costs over the service life of the project. 
(c) Financial Feasibility. The Department may refuse any loan if it determines that the sponsor does not have the financial ability to repay the loan in accordance with section 4073. 
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21002 and 21602, Public Utilities Code. 
HISTORY

1. Amendment of section and new Note filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
§4072.1. Application Process.
Note     •     History

To apply for a loan, the sponsor shall submit a completed and signed application (appropriate to the type of loan requested -- “Airport Development Loan-Application” [DOA-0013 (Rev. 01/2005)], “Matching Funds Loan-Application” [DOA-0019 (Rev. 01/2005)], or “Revenue Generating Loan-Application” [DOA-0020 (Rev. 01/2005)]) to the Department with the following documentation included: 
(a) Sponsor Acceptance and Approval. A resolution or minute order from the governing board of the sponsor documenting its approval of the application for a loan and certifying the sponsor's ability to repay the loan. 
(b) Federal Aviation Administration Documentation. 
(1) For loans to match an FAA AIP grant only. A copy of the FAA AIP Grant Agreement that has been signed by designated representatives of the sponsor and the FAA. The Department may evaluate a loan application based upon a sponsor's application to the FAA for grant funds, but the Department cannot award the loan until it has a copy of the FAA AIP Grant Agreement described above. 
(2) The FAA's final determination regarding the sponsor's submission of Federal form(s), such as FAA Form 7460-1 or FAA Form 7480-1, when applicable. 
(c) Environmental Compliance. Verification that sponsor is in compliance with the California Environmental Quality Act (CEQA) for the project, if applicable. During the CEQA public review period, the sponsor, or its representative, shall circulate all environmental documents for the project through the Department and the Office of Planning and Research, State Clearinghouse. 
(d) Airport Layout Plan or Drawing with Project Information. An Airport Layout Plan (ALP), as defined in section 4052, with a depiction of the proposed project and its location highlighted. The ALP shall be: 
(1) The most recent FAA approved version if the airport is in the NPIAS or 
(2) An 11 x 17-inch drawing of the airport approved by the sponsor if the airport is not in the NPIAS. 
Either an electronic version or a legible hardcopy of the ALP, or the 11 x 17-inch drawing, is acceptable. 
This subdivision does not apply to a loan to prepare: (A) a new ALP; (B) a new Airport Land Use Compatibility Plan (ALUCP); or (C) an update to an existing ALUCP. 
(e) Sponsor Eligibility and Airport Protection and Programming Requirements. A completed and signed “California Aid to Airports Program (CAAP)--Certification” form [DOA-0007 (Rev. 01/2005)] to certify eligibility pursuant to Article 2 of Chapter 4 of these regulations. This subdivision does not apply if the sponsor has previously submitted a completed certification form to the Department for the same fiscal year in which the project is planned; or if the project is for an ALP, Master Plan, or ALUCP. 
(f) Project Feasibility Requirements. Demonstration that the proposed project is feasible pursuant to section 4072. 
(g) Additional Information. Sponsor shall provide additional documentation if the Department determines that further information is required to sufficiently evaluate the proposed project. 
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21002, 21602 and 21688, Public Utilities Code. 
HISTORY

1. New section filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
§4073. Servicing of the Loan.
Note     •     History

All funds expended under this program shall be repaid to the Department, together with any interest due. The State Controller has the right to impound, or withhold, all other State funds due the borrowing agency to satisfy this requirement. 
(a) Repayment. 
(1) A loan made under this chapter shall be repayable over a period established by the Department for each loan, which shall not exceed a 17-year period. The sponsor shall make payments to the Department on an annual basis, as established in the loan agreement between the sponsor and the Department, commencing one year from the date that the State Controller issues the warrant for the loan proceeds. Interest shall be computed daily on the basis of the outstanding principal. 
(2) Where a loan has been made for the construction of a revenue-generating project, the sponsor shall establish a separate account within the airport's special aviation fund for the purpose of receiving revenue which would be held in trust, in an amount equal to one year's repayment of the loan. Revenue received after the first year's payment would be available to the airport for the purpose of achieving financial self-sufficiency. 
(3) Nothing in these regulations shall be construed as prohibiting the sponsor from making early repayment, either in full or in part. Interest due as of the date of early payment shall be included in the early payment. 
(b) Interest Rate. Interest charged for loans made under this Chapter will be at the interest rate paid by the State on its most recent issue of general obligation bonds sold prior to the date that the loan is approved. 
NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21002 and 21602, Public Utilities Code. 
HISTORY

1. Amendment of section and new Note and new Figures 1-3 and Tables 1-2 filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).
Figure 1. Runway Protection Zone

View Graphic
Table 1. Runway Protection Zone (RPZ) Dimensions for Civilian Runways

View Graphic
Figure 2. Runway Safety Area

View Graphic

Table 2. Runway Safety Area Dimensions

View Graphic

Figure 3. Civil Airport Imaginary Surfaces

View Graphic

Figure 3. Civil Airport Imaginary Surfaces (cont.)

View Graphic

Appendix 

Forms: 

DOA-0007 (Rev. 01/2005) California Aid to Airports Program (CAAP) -- Certification 

DOA-0009 (Rev. 01/2005) California Aid to Airports Program (CAAP) -- Annual Credit Disbursement Request 

DOA-0010 (Rev. 01/2005) Acquisition & Development Grant -- Application 
DOA-0011 (New 01/2005) State Matching Grant for Airport Improvement Program Security Component -- Application 
DOA-0012 (Rev. 01/2005) State Matching Grant for FAA Airport Improvement Program --Application 
DOA-0013 (Rev. 01/2005) Airport Development Loan -- Application 
DOA-0019 (Rev. 01/2005) Matching Funds Loan - Application 
DOA-0020 (Rev. 01/2005) Revenue Generating Loan -- Application 
HISTORY

1. New Appendix (forms DOA-0007, DOA-0009, DOA-0010, DOA-0011, DOA-0012, DOA-0013, DOA-0019 and DOA-0020) filed 6-3-2005; operative 7-3-2005 (Register 2005, No. 22).

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic
Chapter 6. Noise Standards
Article 1. General
§5000. Preamble.
Note     •     History

The following rules and regulations are promulgated in accordance with Article 3, Chapter 4, Part 1, Division 9, Public Utilities Code (Regulation of Airports) to provide noise standards governing the operation of aircraft and aircraft engines for all airports operating under a valid permit issued by the Department of Transportation. These standards are based upon two separate legal grounds: (1) the power of airport proprietors to impose noise ceilings and other limitations on the use of the airport, and (2) the power of the state to act to an extent not prohibited by federal law. The regulations are designed to cause the airport proprietor, aircraft operator, local governments, pilots, and the department to work cooperatively to diminish noise problems. The regulations accomplish these ends by controlling and reducing the noise impact area in communities in the vicinity of airports.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Amendment filed 2-20-90; operative 3-22-90 (Register 90, No. 10).
§5001. Definitions.
Note     •     History

The definitions in the following subsections apply to this subchapter.
(a) Air Carrier: Air carrier is any aircraft operating pursuant to a federal certificate of public convenience and necessity, including any certificate issued pursuant to 49 U.S.C. Section 1371 and any permit issued pursuant to 49 U.S.C. Section 1371.
(b) Aircraft Operator: Aircraft operator means the legal or beneficial owner of the aircraft with authority to control the aircraft utilization except where the aircraft is leased, the lessee is the operator.
(c) Airport Proprietor: Airport proprietor means the holder of an airport permit issued by the department pursuant to Article 3, Chapter 4, Part 1, Division 9, Public Utilities Code.
(d) Annual CNEL: The annual CNEL, in decibels, is the average (on an energy basis) of the daily CNEL over a 12-month period. The annual CNEL is calculated in accordance with the following:
Annual CNEL = 10 log10 [(1/365) S Antilog (CNEL(i)/10)]
where CNEL(i) = the daily CNEL for each day in a continuous 12-month period, and S means summation.
When the annual CNEL is approximated by measurements on a statistical basis, as specified in Section 5034, the number 365 is replaced by the number of days for which measurements are obtained.
(e) County: County, as used herein, shall mean the county board of supervisors or its designee authorized to exercise the powers and duties herein specified.
(f) Daily Community Noise Equivalent Level (CNEL): Community noise equivalent level, in decibels, represents the average daytime noise level during a 24-hour day, adjusted to an equivalent level to account for the lower tolerance of people to noise during evening and night time periods relative to the daytime period. Community noise equivalent level is calculated from the hourly noise levels by the following:

CNEL = 10 log (1/24) [S antilog (HNLD/10) + 3 S antilog (HNLE/10) + 10 S antilog (HNLN/10)]
Where
HNLD are the hourly noise levels for the period 0700-1900 hours; 
HNLE are the hourly noise levels for the period 1900-2200 hours; 
HNLN are the hourly noise levels for the period 2200-0700 hours; and S means summation.
(g) Department: Department means the Department of Transportation of the State of California.
(h) General Aviation: General aviation aircraft are all aircraft other than air carrier aircraft and military aircraft.
(i) Hourly Noise Level (HNL): The hourly noise level, in decibels, is the average (on an energy basis) noise level during a particular hour. Hourly noise level is determined by subtracting 35.6 decibels (equal to 10 log10 3600) from the noise exposure level measured during the particular hour, integrating for those periods during which the noise level exceeds a threshold noise level.
For implementation in this subchapter of these regulations, the threshold noise level shall be a noise level which is 10 decibels below the numerical value of the appropriate Community Noise Equivalent Level (CNEL) standard specified in Section 5012. At some microphone locations, sources of noise other than aircraft may contribute to the CNEL. Where the airport proprietor can demonstrate that the accuracy of the CNEL measurement will remain within the required tolerance specified in Section 5070, the department may grant a waiver to increase the threshold noise level.
(j) Noise Exposure Level (NEL): The noise exposure level is the level of noise accumulated during a given event, with reference to a duration of one second. More specifically, noise exposure level, in decibels, is the level of the time-integrated A-weighted squared sound pressure for a stated time interval or event, based on the reference pressure of 20 micronewtons per square meter and reference duration of one second.
(k) Noise Impact Area: Noise impact area is the area within the noise impact boundary that is composed of incompatible land use.
(l) Noise Impact Boundary: Noise impact boundary is the locus of points around an airport for which the annual CNEL is equal to the airport noise standard established in Section 5012. The concepts of noise impact boundary and noise impact area are illustrated in Figure 1.

View Graphic
(m) Noise Level (NL): Noise level is the measure in decibels of an A-weighted sound pressure level as measured using the slow dynamic characteristic for sound level meters specified in American National Standard Specification for Sound Level Meters, (ANSI S1.4-1983 as revised by ANSI S1.4A-1985) which is hereby incorporated by reference. The A-weighting characteristic modifies the frequency response of the measuring instrument to account approximately for the frequency characteristics of the human ear. The reference pressure is 20 micronewtons/square meter (2 x 10-4 microbar).
(n) Noise Problem Airport: “Noise problem airport” is an airport that the county in which the airport is located has declared to have a noise problem under section 5020.
(o) Single Event Noise Exposure Level (SENEL): The single event noise exposure level, in decibels, is the noise exposure level of a single event, such as an aircraft flyby, measured over the time interval between the initial and final times for which the noise level of a single event exceeds a predetermined threshold noise level.
(p) Sound Pressure Level (SPL): The sound pressure level, in decibels (dB), of a sound is 20 times the logarithm to the base 10 of the ratio of the pressure of that sound to the reference pressure 20 micronewtons/square meter (2 x 10-4 microbar).
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5001 to Section 5002, and renumbering and amendment of former Section 5006 to Section 5001 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5002. Liberal Construction.
Note     •     History

This subchapter shall be liberally construed and applied to promote its underlying purposes which are to protect the public from noise and to resolve incompatibilities between airports and their surrounding neighbors.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering of former Section 5002 to Section 5003, and renumbering of Section 5001 to Section 5002 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5003. Constitutionality.
Note     •     History

If any provision of this subchapter or the application thereof to any person or circumstance is held to be unconstitutional, the remainder of the subchapter and the application of such provision to other persons or circumstances shall not be affected thereby.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering of former Section 5003 to Section 5004, and renumbering of former Section 5002 to Section 5003 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5004. Provisions Not Exclusive.
Note     •     History

The provisions of this subchapter are not exclusive, and the remedies provided for in this subchapter shall be in addition to any other remedies provided for in any other law or available under common law. It is not the intent of these regulations to preempt the field of aircraft noise limitation in the state. The noise limits specified herein are not intended to prevent any local government to the extent not prohibited by federal law or any airport proprietor from setting more stringent standards.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5004 to Section 5005, and renumbering of former Section 5003 to Section 5004 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5005. Applicability.
Note     •     History

These regulations establish to the extent not prohibited by Federal law a mandatory procedure which is applicable to all airports in California that are required to operate under a valid permit issued by the department. These regulations are applicable (to the extent not prohibited by Federal law) to all operations of aircraft and aircraft engines which produce noise.
The regulations established by this subchapter are not intended to set noise levels applicable in litigation arising out of claims for damages occasioned by noise. Nothing herein contained in these regulations shall be construed to prescribe a duty of care in favor of, or to create any evidentiary presumption for use by, any person or entity other than the State of California, counties and airport proprietors in the enforcement of these regulations.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5005 to Section 5006, and renumbering and amendment of former Section 5004 to Section 5005 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5006. Findings.
Note     •     History

Citizens residing in the vicinity of airports are exposed to the noise of aircraft operations. There have been numerous instances wherein individual citizens or organized citizen groups have complained about airport noise to various authorities. The severity of these complaints has ranged from a few telephone calls to organized legal action. Many of these cases have been studied by acoustics research workers under sponsorship of governmental and private organizations. These studies have generally shown that the severity of the complaint is principally associated with a combination of the following factors:
(a) Magnitude and duration of the noise from aircraft operations;
(b) Number of aircraft operations; and
(c) Time of occurrence during the day (daytime, evening or night).
There are many reasons given by residents for their complaints; however, those most often cited are interference with speech communication, TV, and sleep. Numerous studies have been made related to speech interference and hearing damage, and some studies have been made related to sleep disturbance and other physiological effects. These studies provide substantial evidence for the relationship between noise level and its interference with speech communication and its effect relative to hearing loss. Significantly less information is available from the results of sleep and physiological studies.
In order to provide a systematic method for evaluating and eventually reducing noise incompatibilities in the vicinity of airports, it is necessary to quantify the noise problem. For this purpose, these regulations establish a procedure for defining a noise impact area surrounding an individual airport. The criteria and noise levels utilized to define the boundaries of the noise impact area have been based on existing evidence from studies of community noise reaction, noise interference with speech and sleep, and noise induced hearing loss.
One of the fundamental philosophies underlying the procedures in these regulations is that any noise quantity specified by these regulations be measurable by relatively simple means. Therefore, these regulations utilize as their basic measure the A-weighted noise level, which is the most commonly accepted simple measure. To insure consistency between criteria and measurement, the units for the criteria are also based on the A-weighted sound level rather than one of the several more complex perceived noise levels.
The level of noise acceptable to a reasonable person residing in the vicinity of an airport is established as a community noise equivalent level (CNEL) value of 65 dB for purposes of these regulations. This criterion level has been chosen for reasonable persons residing in urban residential areas where houses are of typical California construction and may have windows partially open. It has been selected with reference to speech, sleep and community reaction.
It is recognized that there is a considerable individual variability in the reaction to noise. Further, there are several factors that undoubtedly influence this variability and which are not thoroughly understood. Therefore, this criterion level does not have a degree of precision which is often associated with engineering criteria for a physical phenomenon (e.g., the strength of a bridge, building, etcetera). For this reason, the state will review the criterion periodically, taking into account any new information that might become available.
NOTE

Authority cited: Sections 21243 and 21669, Public Utilities Code. Reference: Air Transport Association of America v. Crotti (N.D.Cal. 1975) 389 F.Supp. 58.
HISTORY

1. Renumbering and amendment of former Section 5006 to Section 5001, and renumbering and amendment of former Section 5005 to Section 5006 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5010. Purpose.
Note     •     History

The purpose of these regulations is to provide a positive basis to accomplish resolution of existing noise problems in communities surrounding airports and to prevent the development of new noise problems. To accomplish this purpose, these regulations establish a quantitative framework within which the various interested parties (i.e., airport proprietors, aircraft operators, local communities, counties and the state) can work together cooperatively to reduce and prevent airport noise problems.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Amendment filed 2-20-90; operative 3-22-90 (Register 90, No. 10).
§5011. Methodology for Controlling and Reducing Noise Problems.
History

HISTORY

1. Renumbering and amendment of former Section 5011 to Section 5037 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5012. Airport Noise Standard.
Note     •     History

The standard for the acceptable level of aircraft noise for persons living in the vicinity of airports is hereby established to be a community noise equivalent level of 65 decibels. This standard forms the basis for the following limitation.
No airport proprietor of a noise problem airport shall operate an airport with a noise impact area based on the standard of 65 dB CNEL unless the operator has applied for or received a variance as prescribed in Article 5 of this subchapter.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Repealer of former Section 5012, and renumbering and amendment of former Section 5062 to Section 5012 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5013. Noise Impact Boundary.
History

HISTORY

1. Repealer filed 2-20-90; operative 3-22-90 (Register 90, No. 10).
§5014. Incompatible Land Uses Within the Noise Impact Boundary.
Note     •     History

For the purpose of determining the size of the noise impact area, the following land uses are incompatible:
(a) Residences, including but not limited to, detached single-family dwellings, multi-family dwellings, high-rise apartments or condominiums, and mobile homes, unless:
(1) an avigation easement for aircraft noise has been acquired by the airport proprietor, or
(2) the dwelling unit was in existence at the same location prior to January 1, 1989, and has adequate acoustic insulation to ensure an interior CNEL due to aircraft noise of 45 dB or less in all habitable rooms. However, acoustic treatment alone does not convert residences having an exterior CNEL of 75 dB or greater due to aircraft noise to a compatible land use if the residence has an exterior normally cognizable private habitable area such as a backyard, patio, or balcony. Or,
(3) the residence is a high rise apartment or condominium having an interior CNEL of 45 dB or less in all habitable rooms due to aircraft noise, and an air circulation or air conditioning system as appropriate, or
(4) the airport proprietor has made a genuine effort as determined by the department in accordance with adopted land use compatibility plans and appropriate laws and regulations to acoustically treat residences exposed to an exterior CNEL less than 80 dB (75 dB if the residence has an exterior normally occupiable private habitable area such as a backyard, patio, or balcony) or acquire avigation easements, or both, for the residences involved, but the property owners have refused to take part in the program, or
(5) the residence is owned by the airport proprietor.
(b) Public and private schools of standard construction for which an avigation easement for noise has not been acquired by the airport proprietor, or that do not have adequate acoustic performance to ensure an interior CNEL of 45 dB or less in all classrooms due to aircraft noise;
(c) hospitals and convalescent homes for which an avigation easement for noise has not been acquired by the airport proprietor, or that do not have adequate acoustic performance to provide an interior CNEL of 45 dB or less due to aircraft noise in all rooms used for patient care;
(d) churches, synagogues, temples, and other places of worship for which an avigation easement for noise has not been acquired by the airport proprietor, or that do not have adequate acoustic performance to ensure an interior CNEL of 45 dB or less due to aircraft noise.
NOTE

Authority cited: Sections 21243 and 21669, Public Utilities Code. Reference: Air Transport Association of America v. Crotti (N.D.Cal 1975) 389 F. Supp. 58.
HISTORY

1. Amendment filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Registers 79, No. 21 and 78, No. 38.
§5015. Changes in Airport Ownership or Control.
Note     •     History

NOTE

Authority cited: Section 21243, Public Utilities Code. Reference: Sections 21669-21669.5, Public Utilities Code.
HISTORY

1. New section filed 5-30-78 as an emergency, effective upon filing (Register 78, No. 22).
2. Certificate of Compliance filed 9-22-78 (Register 78, No. 38).
3. Renumbering and amendment of former Section 5015 to Section 5090 filed 2-20-90; operative 3-22-90 (Register 90, No. 10).
Article 2. Implementation by Counties
§5020. Designating Noise Problem Airport.
Note     •     History

Any county may, at any time, in accordance with the procedure herein, declare any airport within its boundaries to have a noise problem, by adopting a resolution to this effect and forwarding it to this department. In making the determination, the county shall:
(a) Review relevant information, including but not limited to, the record of complaints made, and litigation filed, by residents of the area regarding airport related aircraft noise.
(b) Investigate the possible existence of a noise impact area.
(c) Coordinate with and give due consideration to the recommendations of the applicable airport land use commission established under section 21670 of the Public Utilities Code.
(d) For an airport with joint use by both military and civilian aircraft operations, base its finding only on civilian operations.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities code.
HISTORY

1. Renumbering and amendment of former Section 5020 to Section 5032, and new Section 5020 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 78, No. 22.
§5021. Review of Finding.
Note     •     History

Any person or government agency shown, by the results of an investigation conducted under section 5020(b) or by independent competent evidence, to own, reside in, or have jurisdiction over any area within the 65 dB CNEL boundary of any airport may seek review of the finding of the county under section 5020 solely on the issue of substantial evidence by filing a petition to this effect with the department within 10 days of adoption of the finding.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Repealer and new section filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 78, No. 22.
§5022. County Enforcement.
Note     •     History

The county wherein a noise problem airport is situated shall enforce this subchapter.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5022 to Section 5034, and new Section 5022 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 78, No. 22.
§5023. Noise Monitoring.
Note     •     History

The county shall require the airport proprietor for each airport within its jurisdiction determined to have a noise problem, for which the estimated location of the noise impact boundary extends into incompatible land uses, to establish a program of noise monitoring to validate the location of the noise impact boundary in accordance with a monitoring plan approved by the department.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Repealer and new section filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 78, No. 22.
§5024. Audit.
Note     •     History

For each noise problem airport, the county shall review and audit noise monitoring data supplied by the airport proprietor for the purpose of ensuring that the data were produced in accordance with the monitoring system plan approved by the department and that the information presented by the airport proprietor is certified as being true and correct by the person in charge of operating the noise monitoring system. Duplicative monitoring by the county is not required.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering of former Section 5024 to Section 5047, and new Section 5024 filed 2-20-90; operative 3-22-90 (Register 90, No 10). For prior history, see Register 78, No. 22.
§5025. County Report.
Note     •     History

The county shall submit quarterly to the department for each noise problem airport within 75 days after the end of each calendar quarter, a report containing at least the following information:
(a) A map illustrating the location of the noise impact boundary, as validated by measurement, and the location of measurement points, in the four preceding calendar quarters;
(b) The annual noise impact area as obtained from the preceding four calendar quarterly reports, an estimate of the number of dwelling units, and the number of people residing therein;
(c) The daily CNEL measurement, together with identification of the date on which each measurement was made, number of total aircraft operations during the calendar quarter, estimated number of operations of the highest noise level aircraft type (as defined in the 14th Code of Federal Regulations, Part 1, for the certification of airmen) in the calendar quarter, and any other data pertinent to the activity. The Hourly Noise Level (HNL) data shall be retained for at least 3 years, and made available to the department upon request.
(d) The quarterly report shall include use of a standard information format provided by the department (form DOA 617, dated 10/89). The standard form provides a listing for certain summary information including size of noise impact area and the aircraft operational data specified in paragraph (c) above.
NOTE

Authority cited: Sections 21243 and 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5025 to Section 5049, and new Section 5025 filed 2-20-90; operative 2-20-90 (Register 90, No. 10). For prior history, see Register 78, No. 22.
Article 3. Implementation by Airport Proprietors
§5030. Cooperation with County.
Note     •     History

(a) Each airport proprietors shall cooperate with the county in the county's investigations to determine the existence of a noise problem and shall furnish data it may have concerning the location of the 65 and 70 dB CNEL contours upon request by the county.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5060(a) to Section 5030 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For history of former Section 5030, see Register 79, No. 21.
§5031. Establishment of the Noise Impact Boundary.
Note     •     History

Each noise problem airport shall measure, establish and validate noise impact boundaries by noise monitoring as required by this subchapter and shall furnish such information to the county.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5060(b) to Section 5031 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For history of former Section 5031, see Register 79, No. 21.
§5032. Validation of the Noise Impact Boundary.
Note     •     History

The noise impact boundary shall be validated by measurements made at locations approved for this purpose by the department. The noise problem airport proprietor shall ascertain the noise impact boundary within a tolerance of plus or minus 1.5 decibels annual CNEL by measurements made in accordance with, and at locations designated in, a noise monitoring plan approved by the department. The noise impact boundary may be ascertained directly from information gathered from monitors or from the combined use of an approved computer model and the data reported by the noise monitoring system. Monitoring shall be accomplished at locations in the approved monitoring system layout plan. The locations shall be selected to facilitate locating the maximum extent (closure points) of the noise impact boundary when the contour extremities encompass incompatible land uses.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5020 to Section 5032 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For history of former Section 5032, see Register 79, No. 21.
§5033. Submittal of Monitoring Plan.
Note     •     History

Each proprietor of a noise problem airport shall submit a description of the proposed monitoring plan to the department for approval containing at least the following information:
(a) the general monitoring system plan, including at least locations and the type of instrumentation to be employed;
(b) Justification for any proposed deviations from the measurement system locations specified in these regulations;
(c) Statistical sampling plan proposed for intermittent monitoring at community locations;
(d) Additional information as pertinent or as requested by the department.
NOTE

Authority cited: Sections 21243 and 21669, Public Utilities Code. Reference: Air Transport Association of America v. Crotti (N.D.Cal. 1975) 389 F.Supp. 58.
HISTORY

1. Renumbering and amendment of former Section 5063 to Section 5033 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5034. Frequency of Measurement.
Note     •     History

(a) For airports with 1,000 or more homes within the noise impact boundary based on CNEL of 70 dB, continuous monitoring is required at those monitoring positions which fall within residential areas. Measurement for at least 48 weeks in a year shall be considered as continuous monitoring.
(b) For all other noise problem airports, an intermittent monitoring schedule is allowed. The intermittent monitoring schedule shall be designed so as to obtain the resulting annual CNEL as computed from measurements at each location which will correspond to the value that would be measured by a monitor operated continuously throughout the year at that location, within an accuracy of plus or minus 1.5 dB.
Thus, it is required that the intermittent monitoring schedule be designed to obtain a realistic statistical sample of the noise at each location. As a minimum, this requires that measurements be taken continuously for 24-hour periods during four 7-day samples throughout the year, chosen so that for each sample, each day of the week is represented, the four seasons of the year are represented, and the results account for the effect of annual proportion of runway utilization. At most airports, these intermittent measurements can be accomplished by a single portable monitoring instrument.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5022 to Section 5034 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5035. Schedule of Implementation.
Note     •     History

Within 90 days following the declaration by a county that an airport has a noise problem, and current estimates indicate that a noise impact area exists, the airport proprietor shall forward a schedule of major actions and events involved in the initiation of noise monitoring to the county and to the department. The schedule shall include an estimate of the number of dwelling units inside the 70 dB CNEL contour based upon current airport operations, and the forecast dates for budget amendments, contract award, system design, system construction, system installation, and the system becoming operational in cases where continuous monitoring is required.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. New section filed 2-20-90; operative 3-22-90 (Register 90, No. 9). For history of former Section 5035, see Register 79, No. 21.
§5037. Suggested Methodology for Controlling and Reducing Noise Problems.
Note     •     History

The methods whereby the impact of airport noise may be controlled and reduced include, but are not limited to, the following:
(a) Encouraging use of the airport by aircraft classes with lower noise level characteristics and discouraging use by higher noise level aircraft classes;
(b) Encouraging approach and departure flight paths and procedures to minimize the noise in residential areas;
(c) Planning runway utilization schedules to take into account adjacent residential areas, noise characteristics of aircraft and noise sensitive time periods;
(d) Reduction of the flight frequency, particularly in the most noise sensitive time periods and by the noisier aircraft;
(e) Employing shielding for advantage, using natural terrain, buildings, and other obstructions to noise; and
(f) Development of compatible land uses within the noise impact boundary through rezoning, acquisition of avigation easements for noise (voluntarily in exchange for acoustical insulation, an agreed fee, or by eminent domain), application of acoustical insulation, or acquisition of property as examples.
Preference shall be given to actions which reduce the impact of airport noise on existing communities. Land use conversion involving existing residential communities shall normally be considered the least desirable action for achieving compliance with these regulations.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5011 to Section 5037 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21).
§5039. Grounds for Approval.
Note     •     History

Failure of the airport proprietor to comply with the provisions of this subchapter constitutes a ground for revocation of its airport permit.
NOTE

Authority cited: Section 21668, Public Utilities Code. Reference: Section 21668, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5064 to Section 5039 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
Article 4. Implementation by the Department
§5040. Departmental Review.
Note     •     History

Upon receipt of a petition for review under section 5021, the department shall conduct an investigation on, and make a determination as to, whether the county's finding is based on substantial evidence. If the department determines the county's finding to be not based on substantial evidence, it may either remand the matter to the county for reconsideration or decide the issue on the merits, either classifying the airport as having a noise problem or not. Notice of the determination and of classification as to whether a noise problem exists, together with the record of the investigation, shall be served by mail on the county, the airport proprietor, and the petitioner. The determination shall, unless a request for hearing is filed, become final on the day after the time for demanding a hearing has lapsed.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5040 to Section 5048, and new Section 5040 filed 2-20-90; operative 3-22-90 (Register 90, No. 10.) For prior history, see Register 79, No. 21.
§5041. Hearing on Determination.
Note     •     History

Upon services of a determination, the county, airport proprietor, or petitioner under section 5021, may demand a hearing by notice to the department, county, airport proprietor, petitioner, and any additional parties of interest in writing within 10 days. The department shall then arrange for the hearing in accordance with the Administrative Procedure Act (Government Code, Section 11,500 et seq.) and will give appropriate consideration to the findings and recommendations of the administrative law judge before issuing its final determination.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4 and 21669.6, Public Utilities Code.
HISTORY

1. New section filed 2-20-90; operative 3-22-90 (Register 90, No. 10).
§5042. Effective Date of Determination.
Note     •     History

Upon a final determination that the county's finding is not based on substantial evidence, the department shall issue a decision regarding whether the airport shall be deemed a noise problem airport.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. New section filed 2-20-90; operative 3-22-90 (Register 90, No. 10).
§5043. Approval of Noise Monitoring Plans.
Note     •     History

The department will consider monitoring system plans filed by airport proprietors for approval in accordance with the requirements of these regulations.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. New section filed 2-20-90; operative 3-22-90 (Register 90, No. 10).
§5044. Review of Quarterly Reports.
Note     •     History

The department will review the data submitted quarterly by the counties for the purpose of assessing progress toward reducing the noise impact area. The department's review will include, but not be limited to, observation of any changes in noise monitor positions, and numerical values of CNEL.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5065 to Section 5044, and new Section 5044 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5045. Retention of Monitoring Data.
Note     •     History

The department will maintain the quarterly reports of noise monitoring forwarded by the counties pursuant to these regulations for three years in accordance with the provisions of the California Public Records Act (Government Code, Chapter 3.5, Division 7, Title 1, Section 6250 et seq.).
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5045 to Section 5070, and new Section 5045 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5046. Detailed Specifications.
History

HISTORY

1. Renumbering and amendment of former Section 5046 to Section 5071 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5047. Deviations from Specified Measurement Locations.
Note     •     History

Recognizing the unique geographic and land use features surrounding specific airports, the department will consider measurement plans tailored to fit any airport for which the specified CNEL monitoring locations are impractical. For example, monitors should not be located on bodies of water or at points where other noise sources might interfere with aircraft CNEL measurements, nor are measurements required in regions where land use will clearly remain compatible.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5047 to Section 5072, and renumbering of former Section 5024 to Section 5047 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5048. Additional Monitoring Locations.
Note     •     History

Nothing in this subchapter precludes any airport proprietor from establishing monitors in addition to those required herein.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5048 to Section 5073, and renumbering and amendment of former Section 5040 to Section 5048 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5049. Alternative Measurement Systems.
Note     •     History

The use of noise measurement systems that are more extensive or technically improved over those specified herein is encouraged, particularly at airports where a major noise problem requires more comprehensive noise monitoring, for example, to monitor noise abatement flight procedures. Airports contemplating the acquisition of such monitoring systems may apply to the department for exemptions from specific monitoring requirements set forth in this subchapter.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5025 to Section 5049 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
Article 5. Variances
§5050. Variances.
Note     •     History

In granting variances, the department shall be guided by the underlying policy that the proprietor of each existing airport having a noise impact area be required to develop and implement programs to reduce the noise impact area of the airport to an acceptable degree in an orderly manner over a reasonable period of time.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Repealer of former Section 5050, and renumbering and amendment of former Section 5075(a) to Section 5050 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Registers 85, No. 51 and 79, No. 21.
§5051. Variance Request.
Note     •     History

A proprietor of a noise problem airport may request variances from the requirement of Section 5012 for periods of not exceeding three years as set forth hereinafter.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5075(b) to Section 5051 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 85, No. 51.
§5052. Procedure.
Note     •     History

(a) The airport proprietor shall apply to the department for a variance.
(b) An application for a variance shall be made upon a form which the department shall make available (DOA Form 618, dated 11-21-89).
(c) Such application shall set forth the reasons why the airport proprietor believes a variance is necessary. The application shall state the date by which the airport proprietor expects to achieve compliance with the requirement that there not be a noise impact area based upon the airport noise standard identified in Section 5012. The application shall set forth an incremental schedule of noise impact area reductions for the intervening time.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5075(b)(1)-(b)(3) to Section 5052 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 85, No. 51.
§5053. Conditions of Variance.
Note     •     History

The department may grant a variance if to do so would be in the public interest. In weighing the public interest, the department's considerations include but are not limited to the following:
(a) The economic and technological feasibility of complying with the noise standards set by these regulations;
(b) The noise impact should the variance be granted;
(c) The value to the public of the services for which the variance is sought; and
(d) Whether the airport proprietor is taking good faith measures to the best of its ability to achieve the airport noise standards.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5075(b)(4)-(b)(5) to Section 5053 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 85, No. 51.
§5054. Reasonable Conditions.
Note     •     History

The department in granting a variance may impose reasonable conditions to achieve the purposes of this subchapter of these regulations.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5075(b)(7) to Section 5054 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 85, No. 51.
§5055. Hearing.
Note     •     History

On its own motion, or upon the request of any person or governmental agency residing, owning property within, or having jurisdiction over, the noise impact area, the department shall hold a public hearing under the provisions of the Administrative Procedure Act on the application for variance. Any person may obtain from the department information on pending requests for variances at any time.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5075(b)(6) to Section 5055 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Registers 85, No. 51 and 79, No. 21.
§5056. Burden of Proof.
Note     •     History

The burden of proof shall be upon the applicant for the variance.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. New section filed 2-20-90; operative 3-22-90 (Register 90, No. 10).
§5057. Additional Variances.
Note     •     History

In the event a variance has been granted and it reasonably appears that the airport proprietor cannot within the term of the variance achieve compliance with the requirement that there be no noise impact area based upon the airport noise standard identified in Section 5012, an application for a further variance from such requirement must be made not less than thirty days before the termination date of the prior variance. In the event timely application is made under the provisions of this section, the prior variance shall continue in effect until the department acts on the application.
NOTE

Authority cited: Sections 21243 and 21669, Public Utilities Code. Reference: Section 21669, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5075(b)(8) to Section 5057 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 85, No. 51.
Article 6. (Reserved)
§5060. Monitoring Requirements.
History

HISTORY

1. Renumbering and amendment of former Section 5060(a) to Section 5030 and renumbering and amendment of Section 5060(b) to Section 5031 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5061. Single Event Noise Limit Violations.
Note     •     History

NOTE

Authority cited: Sections 21243 and 21669, Public Utilities Code. Reference: Air Transport Association of America v. Crotti (N.D.Cal. 1975)389 F.Supp. 58.
HISTORY

1. Repealer filed 5-23-79; effective thirtieth day thereafter (Register 79, No. 21). For history of former section, see Register 77, No. 10.
§5062. Noise Impact Area Violations.
History

HISTORY

1. Renumbering and amendment of former Section 5062 to Section 5012 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5063. Submittal of Monitoring Plan.
Note     •     History

NOTE

Authority cited: Sections 21243 and 21669, Public Utilities Code. Reference: Air Transport Association of America v. Crotti (N.D.Cal. 1975) 389 F.Supp. 58.
HISTORY

1. Amendment filed 5-23-79; effective thirtieth day thereafter (Register 79, No. 21).
2. Renumbering and amendment of former Section 5063 to Section 5033 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5064. Grounds for Approval.
History

HISTORY

1. Renumbering and amendment of former Section 5064 to Section 5039 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5065. Implementation by the Department.
History

HISTORY

1. Renumbering and amendment of former Section 5065 to Section 5044 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
Article 7. Noise Monitoring System Requirements
§5070. General Specifications.
Note     •     History

(a) The noise monitoring system shall measure with an accuracy within plus or minus 1.5 dB on the CNEL scale and record the hourly noise level for each hour of the day, together with identification of the hour, and the CNEL for each day.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Repealer of former Section 5070, and renumbering and amendment of former Section 5045 to Section 5070 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5071. Detailed Specifications.
Note     •     History

Noise monitoring systems shall comply with the specifications given in Sections 5080 through 5080.5 of these regulations.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5046 to Section 5071 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5072. Field Measurement Requirements.
Note     •     History

Specific locations of the monitoring system shall be chosen whenever possible, such that the CNEL from sources other than aircraft in flight is equal to or less than 55dB. This objective may be satisfied by selecting locations in a residential area not immediately adjacent to a noisy industry, freeway, railroad track, et cetera. The measurement microphone shall be placed 20 feet above the ground level, or at least 10 feet above neighboring roof tops, whichever is higher and has a clear line of sight to the path of aircraft in flight.
No obstructions which significantly influence the sound field from the aircraft shall exist within a conical space above the measurement position, the cone being defined by a vertical axis and by a half angle of 75 degrees from that axis.
NOTE

Authority cited: Sections 21243 and 21669, Public Utilities Code. Reference: Air Transport Association of America v. Crotti (N.D.Cal. 1975) 389 F.Supp. 58.
HISTORY

1. Renumbering and amendment of former Section 5047 to Section 5072 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5073. Number of Measurement Systems.
Note     •     History

The frequency of measurement specified in Section 5034 has been designed to limit the number of monitoring systems required. The minimum number of systems required per airport is one for intermittent measurements of the noise impact boundary.
For continuous monitoring systems the number of monitoring locations will increase where necessary to provide ample information to ensure the accuracy tolerance of plus or minus 1.5 dB CNEL for location of the noise impact boundary in areas where land use is incompatible. The minimum number of continuous monitoring system stations will be determined by the monitoring system layout plan for each individual airport.
NOTE

Authority cited: Sections 21243 and 21669, Public Utilities Code. Reference: Air Transport Association of America v. Crotti (N.D.Cal. 1975) 389 F.Supp. 58.
HISTORY

1. Renumbering and amendment of former Section 5048 to Section 5073 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.
§5075. Variances.
Note     •     History

NOTE

Authority cited: Sections 21243 and 21669, Public Utilities Code. Reference: Section 21669, Public Utilities Code.
HISTORY

1. New subsection (b)(8) filed 5-23-79; effective thirtieth day thereafter (Register 79, No. 21).
2. Amendment of subsection (b) filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51).
3. Renumbering and amendment of former Section 5075(a) to Section 5050 and renumbering and amendment of former Section 5075(b) to Sections 5051-5055 and 5057 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Registers 85, No. 51 and 79, No. 21.
Article 8. Specification: Noise Monitoring System
§5080. Purpose and Scope.
Note     •     History

(a) Purpose. This specification establishes the minimum requirements for instrumentation to be utilized by airport proprietors required to monitor aircraft noise in accordance with this subchapter.
(b) Scope. The measurement systems defined herein shall be used to monitor noise levels at specifically designated locations in a community surrounding an airport.
(c) Design Goals. The design goals for the noise monitoring system are accuracy, reliability, and ease of maintenance. The measurement techniques set forth herein are sufficiently uncomplicated so that current state-of-the-art instrumentation equipment may be used. The monitor system specifications are not intended to be unduly restrictive in specifying individual system components. The specifications allow the utilization of equipment ranging from analog systems to automated computer systems. The exact configuration will depend upon the specific monitoring requirement and the nature of existing user instrumentation.
This is a total systems specification. It is the prerogative of the user to configure the system with components that will be most compatible with his existing equipment and personnel.
NOTE

Authority cited: Sections 21243 and 21669, Public Utilities Code. Reference: Air Transport Association of America v. Crotti (N.D.Cal. 1975) 389 F.Supp. 58.
HISTORY

1. Amendment of subsection (b) filed 5-23-79; effective thirtieth day thereafter (Register 79, No. 21).
2. Amendment filed 2-20-90; operative 3-22-90 (Register 90, No. 10).
§5080.1. Additional Definitions Applicable to Article 8.
Note     •     History

(a) Field Instrumentation. Field instrumentation are those elements or components of a noise monitoring system that are exposed to the outdoor environment in the vicinity of the measurement microphone. This equipment functions within specification during exposure to a year-around environment adjacent to any public use airport in the state of California.
(b) Centralized Instrumentation. Centralized Instrumentation are those elements of a noise monitoring system that are contained in an environmentally-controlled room.
(c) HNL Monitoring System. The HNL monitoring system is one which measures the hourly noise level and provides identification of the hour. This system is deployed as a community monitoring system. An HNL system consists of two subsystems: a noise level subsystem and an integrator/logger subsystem.
(d) Noise Level Subsystem. Noise level subsystem is a subsystem composed of a microphone, an A-weighted filter, a squaring circuit and a lag network. This subsystem is used to derive a signal representing the mean square, A-weighted value of acoustic pressure.
(e) Integrator/Logger Subsystem. Integrator/logger subsystem is a subsystem composed of a threshold comparator, an integrator, a clock, an accumulator, a logger or printer and a logarithmic converter. This subsystem is used to transform the output from a noise level subsystem in excess of a pre-set threshold into HNL.
NOTE

Authority cited: Sections 21243 and 21669, Public Utilities Code. Reference: Air Transport Association of America v. Crotti (N.D.Cal. 1975) 389 F.Supp. 58.
HISTORY

1. Amendment filed 5-23-79; effective thirtieth day thereafter (Register 79, No. 21).
2. Amendment filed 2-20-90; operative 3-22-90 (Register 90, No. 10).
§5080.2. Examples of Possible System Configurations.
Note     •     History

NOTE

Authority cited: Sections 21243 and 21669, Public Utilities Code. Reference: Air Transport Association of America v. Crotti (N.D.Cal. 1975) 389 F.Supp. 58.
HISTORY

1. Amendment filed 5-23-79; effective thirtieth day thereafter (Register 79, No. 21).
2. Repealer filed 2-20-90; operative 3-22-90 (Register 90, No. 10).
§5080.3. Performance Specifications.
Note     •     History

(a) Overall Accuracy. The overall accuracy of the HNL Monitoring System shall be plus or minus 1.5 dB when measuring noise from aircraft in flight. It is the intent of the following specifications to verify this accuracy with laboratory simulation.
(b) Noise Level Subsystem.
(1) Frequency Response and Microphone Characteristics. The frequency response, and associated tolerance of the subsystem, shall be in accordance with American National Standard Specification For Sound Level Meters (ANSI S1.4-1983, as amended by ANSI S1.4A-1985) for Type 1 precision sound level meters for the A-weighting network, which is hereby incorporated by reference.
(2) Dynamic Range. The system output shall be proportional to the antilog of the noise level over a noise level range of at least 60 dB to 120 dB. For the noise level subsystem, the internal electrical noise shall not exceed an equivalent input noise level of 50 dB, and the full scale range of 120 dB shall apply to signals with a crest factor as great as 3:1.
(3) Linearity. The electrical amplitude response to sine waves in the frequency range of 22.4 Hz to 11.200 Hz shall be linear within one decibel from 30 dB below each full scale range up to 7dB above the full scale range on any given range of the instrument.
(c) Integrator/Logger Subsystem.
(1) Threshold Comparator. For HNL, the threshold level shall be adjustable over a noise level range of at least 55 to 70 dB. Threshold triggering shall be repeatable within plus or minus 0.5 dB.
(2) Clock. The clock shall be capable of being set to the time of day within an accuracy of 10 seconds and shall not drift more than 20 seconds in a 24-hour period.
(3) End-to-End Accuracy. The end-to-end accuracy of the integrator/logger subsystem is defined in terms of a unipolar, positive-going square wave input. The logged, integrated output of the system shall fall within plus or minus 1 dB of the true value predicted for the wave of a given duration at an amplitude exceeding the measurement threshold by at least 10 dB, and at all higher amplitudes within the range. The square wave shall be applied at the input to the integrator and level comparator.
(A) HNL Integrator/Logger Subsystem.
1. For each hour during which no noise event exceeds the HNL system noise level threshold, the subsystem shall output the time on the hour, and indicate that the antilog of the HNL for the preceding hour is zero.
2. The overall accuracy of a noise monitoring system pursuant to these regulations shall be determined over a range of HNL from 45 dB to 95 dB for each combination of the following conditions which gives a value in this range:
a. Square waves, as defined above, shall have repetitions of 1, 3, 10, 30 and 100 cycles.
b. Square waves shall have durations of 40, 20, 10, and 5 seconds.
c. Square waves shall have amplitudes equivalent to sound pressure levels of 70, 80, 90, 100 and 110 dB.
d. Overall System Accuracy Demonstration. The overall system accuracy shall be demonstrated for several conditions within each of the above specified ranges, utilizing a 1000 Hz sinusoidal acoustic plane wave oriented along the preferred plane wave axis of the microphone, or an equivalent signal generated in an acoustic coupler:
NOTE

Authority cited: Sections 21243 and 21669, Public Utilities Code. Reference: Air Transport Association of America v. Crotti (N.D.Cal. 1975) 389 F.Supp. 58.
HISTORY

1. Repealer of subsection (d)(1) filed 5-23-79; effective thirtieth day thereafter (Register 79, No. 21).
2. Amendment filed 2-20-90; operative 3-22-90 (Register 90, No. 10).
§5080.4. Field Calibration.
Note     •     History

The monitoring system shall include an internal electrical means to electrically check and maintain calibration without resort to additional equipment. Provision shall also be made to enable calibration with an external acoustic coupler.
NOTE

Authority cited: Sections 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. New NOTE filed 2-20-90; operative 3-22-90 (Register 90, No. 10).
§5080.5. Environmental Precautions and Requirements.
Note     •     History

(a) The field instrumentation shall be provided with suitable protection such that the system performance specified will not be degraded while the system is operating within the range of weather conditions encountered at airports within the State of California.
(b) Humidity. The effect of changes in relative humidity on sensitivity of field instrumentation shall be less than 0.5 decibel at any frequency between 22.4 and 11,200 Hz in the range of 5 to 100 percent relative humidity.
(c) Vibration. The field instrumentation shall be designed and constructed to minimize the effects of vibration resulting from mechanical excitation. Shock mounting of the field instrumentation shall be provided as required to preclude degradation of system performance.
(d) Acoustic Noise. The field instrumentation shall be designed and constructed so as to minimize effects of vibration resulting from airborne noise, and shall operate in an environment of 125 dB SPL--broadband noise over a frequency range of 22.4 to 11,200 Hz--without degradation of system performance.
(e) Magnetic, Electrostatic and Radio Frequency Interference. The effects of magnetic, electrostatic and radio frequency interference shall be reduced to a minimum. The magnitude of such fields which would degrade the performance of the system in accordance with the specifications in Section 5080.3 shall be determined and stated.
(f) Windscreen. A windscreen suitable for use with the microphone shall be used at all times. The windscreen shall be designed so that for windspeeds of 20 miles per hour or less, the overall accuracy of the measurement system specified in Section 5080.3(a) is not compromised.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Amendment of subsections (c) and (e) filed 2-20-90; operative 3-22-90 (Register 90, No. 10).
Article 9. Changes in Airport Ownership
§5090. Changes in Airport Ownership or Control.
Note     •     History

In the case of a change in airport ownership or control, the new airport proprietor shall be deemed to be in full compliance with these regulations until such time as the department takes final action on the new proprietor's application for a variance in accordance with Article 5, provided, however, that the new proprietor complies with the following:
(a) The new proprietor shall make application to the department for a variance within twenty (20) days after assuming ownership or control, and
(b) The new proprietor, in operating the airport, shall not permit or authorize any activity in conjunction with the airport that results in an increase of the size of the noise impact area.
NOTE

Authority cited: Section 21669, Public Utilities Code. Reference: Sections 21669-21669.4, Public Utilities Code.
HISTORY

1. Renumbering and amendment of former Section 5015 to Section 5090 filed 2-20-90; operative 3-22-90 (Register 90, No. 10). For prior history, see Register 79, No. 21.

FIGURE 4. TYPICAL HOURLY NOISE LEVEL (HNL) SYSTEM
NOTE

Authority cited: Sections 21243 and 21669, Public Utilities Code. Reference: Air Transport Association of America v. Crotti (N.D.Cal. 1975) 389 F.Supp. 58. 
HISTORY

1. Repealer of Figure 4, and renumbering of Figure 5 to Figure 4 filed 5-23-79; effective thirtieth day thereafter (Register 79, No. 21). 
2. Repealer filed 2-20-90; operative 3-22-90 (Register 90, No. 10).
Division 3. Business, Transportation and Housing Agency
Chapter 1. Bus Transportation Demonstration Program* [Repealed]

-------
* Formerly Chapter 4, Title 21, Cal. Adm. Code.

Note: Authority cited: Section 5 of Chapter 1130, Statutes of 1975, Regular Session. Reference: Section 5 of Chapter 1130, Statutes of 1975, Regular Session.
HISTORY

1. New Chapter 4 (Sections 6001-6003) filed 5-5-76; effective thirtieth day thereafter (Register 76, No. 19).
2. Editorial renumbering of Chapter 4 (Sections 6001-6003) to Chapter 3, Subchapter 1 (Sections 6001-6003) (Register 77, No. 10).
3. Change without regulatory effect repealing Subchapter 1 (Sections 6001-6003) pursuant to Title 1, California Administrative Code, Section 100(b)(2) filed 3-10-86; effective thirtieth day thereafter (Register 86, No. 11).
Chapter 2. Transportation Development* [Renumbered]

--------
* Formerly Chapter 3, Title 21, Cal. Adm. Code. For prior history, see Registers 72, No. 26; 73, Nos. 39 and 46; 75, No. 11.
Article 1. Purpose and Authority
§6600. Purpose and Intent.
Note     •     History

The rules and regulations of this Subchapter are intended to interpret, make specific, and implement provisions of the Mills-Alquist-Deddeh Act, also known as the Transportation Development Act, as contained in Chapter 4 (commencing with Section 99200) of Part 11 of Division 10 of the Public Utilities Code. They are not intended to establish any inconsistency with the Act. Any rule or regulation which in general or uniform application would be inconsistent with any provision of the Act establishing a separate rule for a limited area of the state or for a limited class of governmental entities applies only to the extent that it does not conflict with such provision.
Rules and regulations establishing times within which certain actions are to take place are intended to be administrative and not to cause an incapacity to perform the same actions at a later time, unless the context specifies otherwise.
Terms which are used but not defined in this Subchapter are intended to carry the identical meaning assigned them in the Act.
NOTE

Authority cited for Subchapter 2 (Sections 6600-6680, not consecutive): Section 99241, Public Utilities Code. Reference: Article 11, Chapter 2, Division 3, Government Code and Chapter 4, Part II, Division 10, Public Utilities Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10). For prior history, see Register75, No. 11.
2. Editorial renumbering of Chapter 3 (Sections 1600-1680, not consecutive) to Chapter 3, Subchapter 2 (Sections 6600-6680, not consecutive) (Register 77, No. 10).
3. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
4. Amendment filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
§6601. Authority. [Repealed]
History

HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Repealer filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6602. Application.
Note     •     History

References to “operator” or “public transportation system” or “transit service claimant”, under Article 4 (commencing with section 6630), are not applicable to claims filed or allocations made for local streets and roads or for facilities provided for use by pedestrians and bicycles or bicycle safety education programs pursuant to Public Utilities Code sections 99234 and 99400(a).
The rules and regulations of this Subchapter are applicable to claims filed pursuant to Public Utilities Code section 99400(b) for payments of passenger rail service operations and capital improvements; section 99400(c) for payments to any entity which is under contract with a county, city or transit district for public transportation or for transportation services for any group as determined by the transportation planning agency, or county transportation commission requiring special transportation assistance; section 99400(d) for payments to counties, cities and transit districts for administrative and planning costs for transportation services provided under section 99400(c); section 99400(e) for payment of capital expenditures to acquire vehicles and related equipment; section 99400.5 to finance the construction and maintenance of multimodal transportation terminals; section 99400.6 for the County of San Diego to provide express bus service or van pool service; section 99405(d) for payment to cities and counties with populations of less than 5,000 for transportation services and section 99234.9 for payments of construction and maintenance of intermodal transportation facilities. It is the responsibility of the claimant to assure that such claims comply with all applicable laws, rules and regulations.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99233.3, 99234, 99234.9, 99241, 99400 and 99405, Public Utilities Code.
HISTORY

1. Amendment filed 3-11-75; effective thirtieth day thereafter (Register 75, No. 11).
2. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
3. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
4. Amendment filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
5. Amendment filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
6. Amendment of section and Note filed 7-20-92; operative 8-19-92 (Register 92, No. 30).
7. Amendment of section and Note filed 12-12-94; operative 1-11-95 (Register 94, No. 50).
Article 2. Definitions
§6610. Act.
Note     •     History

The term “Act” has reference to the legislative act described in Section 6600.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99241, Public Utilities Code.
HISTORY

1. Amendment filed 3-11-75; effective thirtieth day thereafter (Register 75, No. 11).
2. Editorial correction filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6611. Fiscal Year.
Note     •     History

The term “fiscal year” has reference to the year commencing July 1 and ending June 30 of the following year unless a different time period is authorized by the Director or a different period is selected, as allowed for the City of South Lake Tahoe and the City of Huntington Beach, pursuant to Public Utilities Code Section 99243(e).
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241 and 99243, Public Utilities Code.
HISTORY

1. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
2. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
3. Amendment filed 8-16-88; operative 9-15-88 (Register 88, No. 34).
4. Change without regulatory effect amending section filed 12-5-95 pursuant to section 100, title 1, California Code of  Regulations (Register 95, No. 49).
§6611.1. Operating Cost.
Note     •     History

The term “operating cost” has the same meaning assigned to it in Public Utilities Code Section 99247(a). In the case of a transit service claimant that is allocated funds for payment to an entity which is under contract with it to provide transportation services, “operating cost” also includes the amount of the fare revenues that are received by the entity providing the services and not transferred to the claimant.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99247 (a), 99268, 99268.1, 99268.2, 99268.3, 99268.4, 99268.5, 99268.9, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
§6611.2. Fare Revenues.
Note     •     History

The term “fare revenues” means all revenues in the following revenue account classes of the uniform system of accounts and records adopted by the State Controller pursuant to Public Utilities Code Section 99243:
401.000 Passenger Fares for Transit Service
402.000 Special Transit Fares
403.000 School Bus Service Revenues
In the case of a claimant that is allocated funds for payment to an entity which is under contract with it to provide transportation services, “fare revenues” includes the amount of fare revenues that are received by the entity providing the services and not transferred to the claimant.
“Fare revenues” includes revenues earned under contractual arrangements with public or private entities, either (1) for transit fares for a specified group of employees, members, or clients, or (2) to guarantee a minimum revenue on a line operated especially for the benefit of the paying entity (e.g. an employer, shopping center, university, etc.). “Fare revenues” may also include revenues from cash donations made by individual passengers in lieu of a prescribed fare. However, “fare revenues” does not include other donations or general operating assistance, whether from public or private sources.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99205.7, 99241, 99268.2, 99268.3, 99268.4, 99268.5, 99268.9, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
§6611.3. Local Support.
Note     •     History

The term “local support” means all revenues in the following revenue account classes of the uniform system of accounts and records adopted by the State Controller pursuant to Public Utilities Code Section 99243:
406.000 Auxiliary Transportation Revenues
408.000 Taxes Levied Directly by Transit System
409.010 Local Cash Grants and
Reimbursements--General Operating Assistance
410.000 Local Special Fare Assistance
440.000 Subsidy From Other Sectors of Operation
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99268.2, 99268.3, 99268.4, 99268.9, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
§6611.4. Capital Requirements.
Note     •     History

The term “capital requirements” means, for a fiscal year, the amount of all funds expended during the fiscal year by an operator for its public transportation system for those purposes specified in Public Utilities Code Section 99262, exclusive of all costs in the operating expense accounts of the uniform system of account and records adopted by the State Controller pursuant to Public Utilities Code Section 99243.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99268, 99268.1, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
§6611.5. Debt Service Requirements.
Note     •     History

The term “debt service requirements” means, for a fiscal year, the amount of all funds expended during the fiscal year for payment of the principal and interest on bonds of an operator for its public transportation system, in accordance with Public Utilities Code Section 99263, exclusive of any such amount included in the operator's operating cost.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99268, 99268.1, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
§6611.6. Independent Auditor.
Note     •     History

The term “independent auditor” means the State Controller or a certified public accountant or public accountant who is not an officer or employee of the claimant. The county auditor is not an “independent auditor” with reference to the county or to an operator for which the county auditor serves as a financial officer. 
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99243, 99245, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
§6612. Transit Service Claimant.
Note     •     History

The term “transit service claimant” means:
(a) A claimant that files a claim for community transit services pursuant to article 4.5 of the Act.
(b) A claimant that files a claim for contract payments pursuant to Public Utilities Code section 99400(c).
(c) A city or county that is a member of a joint powers agency and that files a claim to provide or contract for services to elderly and handicapped persons pursuant to Public Utilities Code section 99260.7.
(d) The County of San Diego if it files a claim for express bus service or vanpool service pursuant to Public Utilities Code section 99400.6.
(e) A county, city, or county transportation commission that files a claim for rail passenger service operation and capital improvement expenditures.
(f) A city or county with a population of less than 5,000 that files a claim pursuant to section 99405(d).
A transit service claimant that is also an operator shall meet all requirements of the Act and these regulations for its service provided as a transit service claimant and for its other service as if the services were provided by separate claimants.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99234.9, 99241, 99260.7, 99275, 99400(c), 99400.6 and 99405(d), Public Utilities Code.
HISTORY

1. Amendment filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52). For prior history, see Registers 78, No. 6, and 77, No. 10.
2. New subsection (d) filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
3. Amendment of subsection (b) filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
4. New subsection(e) filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
5. New subsection (f) and amendment of Note filed 7-20-92; operative 8-19-92 (Register 92, No. 30).
§6613. Privately Owned Public Transportation System.
Note     •     History

The term “privately owned public transportation system” as used in Section 99209 of the Public Utilities Code has reference to that entity defined as a “Passenger Stage Corporation” in Section 226, Chapter 1, Part 1, Division 1 of the Public Utilities Code and which is operating pursuant to the provisions of Article 2 (commencing with Section 1031), Chapter 5, Part 1, Division 1 of the Public Utilities Code or is specifically exempted from such provisions by virtue of operating 98 percent or more of its system's total route mileage exclusively within the limits of a single city.
The claimant for such an operation, when otherwise qualified to receive financial support under this Act, shall be subject to all restrictions placed on claims and these rules and regulations.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99241, Public Utilities Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6613.1. Serving an Urbanized Area.
Note     •     History

The term “operator which is serving an urbanized area” as that term is used in Section 99268.3 of the Public Utilities Code means an operator or transit service claimant if 50 percent or more of the population of its area is located within the boundaries of an urbanized area. The application of this term, however, may be modified under the rules and regulations of the transportation planning agency, as specified in Section 6645.
For the purpose of this section, if an operator serves an area that was first designated as an urbanized area in the 1980 or subsequent federal census, the transportation planning agency or the county transportation commission may grant the operator up to five (5) years from July 1 of the year following the year of the census to meet the ratio of fare revenues to operating cost required of an operator serving an urbanized area.
The area of the operator or transit service claimant, for this purpose, is the area defined in Public Utilities Code Section 99231, with the following exceptions:
(a) The claimant's area does not include areas to which it provides services beyond its boundaries, as described in subdivision (f) of Section 99231.
(b) For a joint powers entity formed by a county and one or more cities, the area includes the corporate areas of the cities and excludes the unincorporated area of the county.
(c) For a county that is located in part within a transit district or transit development board and that is claiming funds to provide or contract for services to, from, and between points outside the boundaries of the district or board, the area is the unincorporated area of the county not within the district or board.
(d) For the Golden Gate Bridge, Highway and Transportation District, the area includes the corporate areas of the cities and the unincorporated areas of the counties to which the district provides public transportation services.
(e) For a county that is claiming funds to provide or contract for services to, from, or between points within a local transportation zone established under guidelines adopted by a county transportation commission pursuant to Public Utilities Code Section 130259, the area includes only the unincorporated area within the local transportation zone.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99231, 99241, 99268.3 and 99270.2, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
2. Amendment filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
3. Amendment filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
§6613.2. Serving a Nonurbanized Area.
Note     •     History

The term “operator which is serving a nonurbanized area” as that term is used in Section 99268.4 of the Public Utilities Code means an operator or transit service claimant that is not an “operator which is serving an urbanized area,” as defined in Section 6613.1.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99268.4, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
§6613.3. Services to Elderly and Handicapped Persons.
Note     •     History

The term “services to elderly and handicapped persons” means transportation services provided using vehicles for the exclusive use of elderly and handicapped persons.
NOTE

Authority and reference cited: Section 99241, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
§6613.4. Services to the General Public.
Note     •     History

The term “services to the general public” means transportation services other than services provided using vehicles for the exclusive use of elderly and handicapped persons.
NOTE

Authority and reference cited: Section 99241, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
§6614. Transportation Planning Process.
Note     •     History

The term “transportation planning process” has reference to that joint effort of all governmental agencies with transportation responsibilities within a given region or metropolitan area by which plans are developed in a continuing and coordinated manner and which is documented annually by the adoption of an annual work program evidencing the respective contributions in monies and staff time of the respective agencies to that effort.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99241, Public Utilities Code.
HISTORY

1. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6615. Regional Transportation Plan.
Note     •     History

The term “Regional Transportation Plan” means the adopted transportation plan of the transportation planning agency for the area under its jurisdiction required in Chapter 2.5 (commencing with Section 65080) of Division 1 of Title 7 of the Government Code.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99241, Public Utilities Code.
HISTORY

1. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6616. County Transportation Commission.
Note     •     History

The term “county transportation commission” means a commission created by Division 12 (commencing with Section 130000) of the Public Utilities Code.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99241, Public Utilities Code.
HISTORY

1. Repealer and new section filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6616.1. Local Transportation Commission.
Note     •     History

The term “local transportation commission” means a commission created pursuant to Section 29535 or Section 29536 of the Government Code.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99241, Public Utilities Code.
HISTORY

1. New section filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6616.2. Metropolitan Transit Development Board.
Note     •     History

The term “metropolitan transit development board” means a transit development board created by Division 11 (commencing with Section 120000) of the Public Utilities Code.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99241, Public Utilities Code.
HISTORY

1. New section filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6617. Administer.
Note     •     History

The term “administer” as that term is used in Section 99233.1 of the Public Utilities Code means to perform those procedural and ministerial responsibilities assigned to the transportation planning agency in the Act and does not include the performance of activities included in the annual work program for the transportation planning process.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99241, Public Utilities Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6617.1. Local Transportation Fund.
Note     •     History

The term “local transportation fund” means the fund established by a county under Article 11 (commencing with Section 29530) of Chapter 2 of Division 3 of Title 3 of the Government Code.
NOTE

Authority and reference cited: Section 99241.1, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
§6617.2. State Transit Assistance Fund.
Note     •     History

The term “state transit assistance fund” means the fund created by a transportation planning agency, a county transportation commission, or the San Diego Metropolitan Transit Development Board pursuant to Section 99313.6 of the Public Utilities Code.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99313.6 and 99233.9, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
2. Editorial correction filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6618. Allocation.
Note     •     History

The term “allocation” means:
(a) The claim approval or other action by a transportation planning agency setting apart moneys in the local transportation fund for a claimant, the transportation planning agency, the county transportation commission, or the metropolitan transit development board for a purpose authorized under the Act. An allocation takes effect only by allocation instruction pursuant to Section 6659 and is subject to such terms and conditions as may be specified by the transportation planning agency in accordance with the Act and these rules and regulations.
(b) The amount set apart by an allocation instruction pursuant to Section 6659.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99233.1, 99233 and 99233.9, Public Utilities Code.
HISTORY

1. New section filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Repealer and new section filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6619. Franchise or License.
Note     •     History

The term “operating under a franchise or license” as that term is used in the Act means operation under a certificate or permit granted by the California Public Utilities Commission pursuant to Article 2 (commencing with Section 1031) of Chapter 5, Part 1, Division 1 or Chapter 8 (commencing with Section 5351), Division 2 of the Public Utilities Code or if said operation does not require a certificate or permit, then as a licensed or regulated operation for transportation of persons by a city or county pursuant to an ordinance or resolution.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99277, 99400(c), and 99400.6, Public Utilities Code.
HISTORY

1. New section filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Amendment filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
§6619.1. Extension of Public Transportation Services.
Note     •     History

The term “extension of public transportation services” as that term is used in Public Utilities Code Section 99268.8, applies collectively to any services that are eligible for funding from the local transportation fund and the State Transit Assistance Fund, including services provided by a new operator or transit service claimant, and means:
(a) Service established on a fixed route, including route deviation service, if over 50 percent of the route mileage, excluding mileage along freeway or express bus routes where passengers are neither received nor discharged, is on streets or other rights-of-way that did not have such service provided and funded under the Act at any time during the three-year period before the service was established.
(b) Service established on a new portion of an older fixed route if the new portion is on streets or other rights-of-way that did not have such service provided and funded under the Act at any time during the three-year period before the service was established.
(c) Demand responsive service established to, from, or within an area that did not have such service provided and funded under the Act at any time during the three-year period before the service was established.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241 and 99268.8, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
2. Amendment filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
3. Amendment filed 10-17-86; effective thirtieth day thereafter (Register 86, No. 42).
Article 3. Responsibilities of the County Auditor
§6620. Estimate of Fund by County Auditor.
Note     •     History

Prior to February 1 of each year, each county auditor shall furnish to the transportation planning agency an estimate of moneys to be available for apportionment and allocation during the ensuing fiscal year. The estimate shall include those moneys anticipated to be deposited in the fund during the ensuing fiscal year and the unrestricted balance anticipated to be available in the fund at the end of the current fiscal year. The unrestricted balance is the balance that is neither allocated, reserved, nor retained in the fund as an unallocated apportionment pursuant to Section 6655.1. The county auditor shall make his estimate from such data as he may have including those which may be furnished by the State Board of Equalization. The county auditor shall furnish a revised or updated estimate of funds available whenever requested to do so by the transportation planning agency.
For a county for which there is more than one transportation planning agency, the county auditor shall report to each transportation planning agency only that portion of the fund which the population within the jurisdiction of the transportation planning agency bears to the total population of the county.
NOTE

Authority and reference cited: Section 99241, Public Utilities Code; and Section 29534, Government Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Editorial adding NOTE correction filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6621. Payment by County Auditor.
Note     •     History

The county auditor shall make payments from the local transportation fund balance--available solely in accordance with allocation instructions received from the designated transportation planning agency. The county auditor, in the event of uncertainty, shall immediately refer the matter to the transportation planning agency, unless the designation of the transportation planning agency is in doubt, in which case the auditor shall refer the matter to the Director for clarification. The county auditor shall make no payment for those allocation instructions which he finds to be in conflict with the law but shall refer such matters to the transportation planning agency for resolution. If the auditor is unable to resolve the matter with the transportation planning agency, he may refer the matter to the Secretary for an advisory opinion. The county auditor shall make no payments while in receipt of a notice from the Director of rescission of designation as a transportation planning agency until the Director delivers a further designation to the auditor.
NOTE

Authority cited: Section 99241, Public Utilities Code; and Section 29534, Government Code. Reference: Sections 29532 and 29534, Government Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
4. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
§6622. Records by County Auditor.
Note     •     History

The county auditor shall maintain accounting records of the fund in accordance with the State Controller's Manual of Accounting Standards and Procedures for Counties. At quarterly intervals, the county auditor shall report the status of the fund to the transportation planning agency and, where applicable, to the county transportation commission or the metropolitan transit development board. The report of the status of the fund shall include a statement that shows the beginning fund balance, the amount and source of revenues received, the amount and recipient of payments made identified by allocation instruction, the ending fund balance and any other information specified by the transportation planning agency. Portions of the fund balance held in reserve shall be identified by amount and purpose.
NOTE

Authority and reference cited: Section 99241, Public Utilities Code. Reference: Sections 99231.2, 99241, 99260.2, 99260.5, 99277, 99288, 99400, 99400.6 and 99406, Public Utilities Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
4. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
§6623. Fund Interest, Income, and Investments.
Note     •     History

The county auditor as fund trustee shall arrange with the county treasurer for investment of moneys in the local transportation fund of the county at the highest rate of return consistent with prudent fund management and the need to permit disbursement of funds in accordance with allocation instructions issued by the transportation planning agency.
Interest earned will be reported to the transportation planning agency and disbursed only in accordance with allocation instructions issued by the transportation planning agency. Such instructions shall be consistent with section 29530 of the Government Code and sections 99234.1, 99301, 99301.5, 99301.6, and 99304 of the Public Utilities Code.
NOTE

Authority cited: Section 99241, Public Utilities Code; and Section 29534, Government Code. Reference: Sections 29530 and 29534, Government Code; and Sections 99234.1, 99301, 99301.5, 99301.6 and 99304, Public Utilities Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
4. Amendment filed 10-17-86; effective thirtieth day thereafter (Register 86, No. 42).
5. Amendment filed 8-16-88; operative 9-15-88 (Register 88, No. 34). 
6. Amendment filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
Article 4. Responsibilities of Operators
§6630. Annual Claim Filed.
Note     •     History

A claimant wishing to receive an allocation from a county's local transportation fund for any transit-related purpose shall file an annual claim with the transportation planning agency in accordance with the rules and regulations established by the transportation planning agency, pursuant to Public Utilities Code section 99261, or in the absence of such rules and regulations at least 90 days prior to the beginning of the fiscal year.  Claims on the funds of different counties shall be filed separately, except that a multicounty transportation planning agency may permit a multicounty operator to file a single claim identifying and evidencing the operator's claim for each county separately.
The claim shall be filed in the form prescribed by the transportation planning agency and shall include the amount claimed, the fiscal year for which funds are claimed, and the purpose for which the claim is made, identified by the article and section of the Act which authorizes such claims.
For services to be provided by an operator outside its boundaries or for services to be provided by an entity under contract with the claimant, the transportation planning agency may evaluate and process the claim, but shall not authorize payment of moneys unless furnished with a copy of an executed contract pursuant to Public Utilities Code sections 99231.2, 99260.2, 99260.5, 99260.6, 99277, 99285.2, 99288, 99400 (b), 99400 (c), or 99400.6 or a copy of the Department's authorization pursuant to section 99288.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99231.2, 99241, 99260.2, 99260.5, 99261, 99261.5, 99277, 99285.2, 99288, 99400, 99400.6 and 99401, Public Utilities Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Amendment filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
4. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
5. Amendment filed 10-17-86; effective thirtieth day thereafter (Register 86, No. 42).
6. Amendment of section and Note filed 7-20-92; operative 8-19-92 (Register 92, No. 30).
7. Amendment of first paragraph and Note filed 10-26-93; operative 11-25-93 (Register 93, No. 44).
§6631. Proposed Commitment.
Note     •     History

An operator may, as part of its claim, propose that the transportation planning agency make a commitment to allocate moneys annually for up to five years for installments on a long-term capital outlay. A commitment is neither an allocation nor a pledge of the security of anticipated allocations, and an operator shall not execute any document which purports to evidence such an encumbrance. However, a commitment approved by the transportation planning agency may thereafter be cited as available local matching moneys for the purpose of applying for federal transportation grants.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99230 and 99231, Public Utilities Code.
HISTORY

1. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6632. Supplementary Information Required.
Note     •     History

An operator or transit service claimant shall accompany its claim with the following statements, together with a statement signed by the chief financial officer of the claimant attesting to their reasonableness and accuracy:
(a) A budget or proposed budget for the fiscal year of the claim.
(b) A statement identifying and substantiating the reason or need for an increase in operating budget in excess of 15 percent above the preceding year or a substantial increase or decrease in scope of operations or capital budget provisions for major new fixed facilities.
(c) A certification by the Department of the California Highway Patrol verifying that the operator is in compliance with Section 1808.1 of the Vehicle Code, as required in Public Utilities Code Section 99251. The certification shall have been completed within the last 13 months, prior to filing claims.
(d) A statement of projected or estimated revenues and expenditures for the prior fiscal year.
The items in each statement shall be consistent with the uniform system of accounts and records adopted by the State Controller pursuant to Public Utilities Code Section 99243. The statement shall specifically identify the estimated amount of the claimant's maximum eligibility for moneys from the local transportation fund and the state transit assistance fund, as defined in Section 6634.
The claimant shall also accompany its claim with such other documents, operating statistics, and information as may be required by the transportation planning agency.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99251 and 99266, Public Utilities Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Amendment filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
4. Amendment filed 8-16-88; operative 9-15-88 (Register 88, No. 34).
§6633. Revenue Qualification.
Note     •     History

Beginning with the 1980-81 fiscal year, each operator and transit service claimant shall qualify for funding during the fiscal year as specified in this section and in sections 6633.1 to 6633.9.
(a) An operator that began operation before July 1, 1974, may qualify under either Public Utilities Code section 99268.1 (the 50-percent expenditure limitation) or 99268.2 (the fare and local support ratios), unless the operator was granted a waiver from the 50-percent expenditure limitation for 1978-79. The following operators were granted such a waiver: South Coast Area Transit (Ventura County), City of Banning, City of Auburn, and City of Napa. 
(b) A transit service claimant that is filing a claim for community transit services pursuant to Article 4.5 of the Act or for contract services pursuant to Public Utilities Code section 99400(c) or a city or county with a population of less than 5,000 which provides transportation services may qualify in accordance with the performance criteria, local match requirements, or fare recovery ratios adopted by the transportation planning agency or county transportation commission pursuant to Public Utilities Code sections 99275.5(c)(4) and 99405(c).
(c) Except as specified in subdivisions (a) and (b), an operator or transit service claimant with services to the general public shall qualify under Public Utilities Code sections 99268.3 and 99268.4 or 99268.12 (the fare and local support ratios).
(d) In addition, an operator or transit service claimant that qualifies under Public Utilities Code sections 99268.2, 99268.3, or 99268.4, and that provides services to elderly and handicapped persons, shall meet the fare ratio specified in section 6633.5.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99268.1, 99268.2, 99268.3, 99268.4, 99268.5, 99268.9, 99268.12, 99275.5 and 99405, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52). For prior history, see Registers 78, No. 6, and 77, No. 10.
2. Amendment filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
3. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
4. Amendment filed 7-20-92; operative 8-19-92 (Register 92, No. 30).
§6633.1. 50-Percent Expenditure Limitation.
Note     •     History

(a) For an operator qualifying under Public Utilities Code Section 99268.1, the funds received from the local transportation fund under Article 4 of the Act shall not, except as provided in subdivisions (b), (c), and (d), exceed 50 percent of the amount that is the sum of the operator's operating cost, capital requirements, and debt service requirements less the sum of the operator's revenues from federal grants and the state transit assistance fund. For this purpose, the operator's revenues from federal grants and the state transit assistance fund shall be the amounts formally recognized in the operator's accounts during the fiscal year in conformity with the uniform system of accounts and records.
(b) The operator may receive from the local transportation fund up to 100 percent, rather than 50 percent, of the amount representing its capital requirements for projects in one of the following categories:
(1) Capital improvements to a grade-separated mass transit system, in accordance with the conditions of Public Utilities Code Sections 99268 and 99281.
(2) Capital intensive transit-related improvements, as specified in Public Utilities Code Section 99268.7, if the transportation planning agency finds that every effort has been made by the operator to obtain federal funds for such improvements.
(c) The operator may receive from the local transportation fund up to 100 percent, rather than 50 percent, of the amount representing the operating cost of an extension of its public transportation system if the extension is within the definition of Section 6619.1 and if all the conditions of Section 6633.8 are met.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99268, 99268.1, 99268.7, 99270 and 99281, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
2. Repealer of subsection (d) filed 8-17-89; operative 9-16-89 (Register 89, No. 34).
§6633.2. Fare and Local Support Ratios.
Note     •     History

To qualify under Public Utilities Code section 99268.2, 99268.3, or 99268.4, an operator or transit service claimant shall meet each of the conditions contained in subdivision(a) and (b) for its services to the general public. To qualify under Public Utilities Code section 99268.5(c) or 99268.12 or 99405(c), an operator or transit service claimant shall meet the conditions contained in subdivision(c), (d) or (e) respectively.
(a) The ratio of fare revenues to operating cost shall be at least the greater of the following ratios:
(1) Twenty percent if the claimant is serving an urbanized area, ten percent if the claimant is serving a nonurbanized area, or an intermediate percentage if determined by the transportation planning agency pursuant to its rules and regulations as adopted pursuant to section 6645. In a newly designated urbanized area, the transportation planning agency or county transportation commission may grant an operator up to 5 years from the July 1 of the year following the year of the census to meet the new farebox requirements.
(2) The ratio of fare revenues to operating cost that the claimant had for such services during the 1978-79 fiscal year.
(b) The ratio of the sum of fare revenues and local support to operating cost shall be at least the ratio that the claimant had for its services to the general public during the 1978-79 fiscal year, unless the 1978-79 ratio was less than the ratio described in paragraph (a)(1) of this section.
(c) For a claimant in the Counties of Fresno, Riverside, and Ventura, the ratios described in paragraph (a) (2) and subdivision(b) of this section shall not apply. A claimant in one of these counties shall qualify as provided under Public Utilities Code section 99268.5(c) if it meets the ratio described in paragraph (a) (1) of this section.
(d) The ratio of fare revenues to operating cost of not less than fifteen (15%) percent may be set by the transportation planning agency or county transportation commission for an operator which operates in a county with a population of 500,000 or less and serving an urbanized area where funds may be allocated under section 99400 of the Public Utilities Code.
(e) Local guidelines for transit service claimants may be adopted to supersede this section by the transportation planning agency or county transportation commission pursuant to Public Utilities Code section 99405(c).
(f) In calculating the fare revenue to operating cost ratio, the following modifications pursuant to Public Utilities Code sections 99268.16 and 99268.17 should be used:
(1) The additional operating costs to a transit operator of providing comparable complementary paratransit services, pursuant to the Americans with Disabilities Act, that exceed operator's prior year costs as adjusted by the Consumer Price Index are excluded from operating costs.
(2) The costs of providing ridesharing services are excluded from operating costs.
(g) An operator may supplement its fare revenues with local funds pursuant to Public Utilities Code section 99268.19. 
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99268.2, 99268.3, 99268.4, 99268.5(c), 99268.12, 99268.16, 99268.17, 99268.19, 99270.1, 99270.2 and 99405(c), Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
2. Amendment filed 6-21-84; effective thirtieth day thereafter (Register 84,No. 25).
3. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
4. Amendment filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
5. Relettering of former subsections (e)(1) and (e)(2) to subsections (f)(1) and (f)(2) and new subsection (f)(3) filed 8-17-89; operative 9-16-89 (Register 89, No. 34).
6. Amendment of subsection (f) filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
7. Amendment of section and Note filed 12-12-94; operative 1-11-95 (Register 94, No. 50).
8. Change without regulatory effect amending subsection (f)(3) and subsection relettering filed 12-5-95 pursuant to section 100, title 1, California Code of  Regulations (Register 95, No. 49).
9. Change without regulatory effect amending subsection (f)(3) filed 12-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 49).
10. Amendment of subsections (f)-(f)(1), repealer of subsection (f)(3) and amendment of Note filed 11-26-2008; operative 12-26-2008 (Register 2008, No. 48).
§6633.5. Fare Ratio for Service to Elderly and Handicapped Persons.
Note     •     History

(a) For a claimant that provides only services to elderly and handicapped persons, the ratio of fare revenues to operating cost shall be at least 10 percent or the ratio that the claimant had for the services in 1978-79, whichever is greater.
(b) For a claimant that provides both services to elderly and handicapped persons, and services to the general public, either
(1) its services to elderly and handicapped persons shall meet the fare ratio specified in subdivision (a), or
(2) its services combined shall meet the fare ratio specified in Section 6633.2(a).
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99268.5, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
2. Amendment filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6633.6. Base Year Ratios.
Note     •     History

For the purpose of calculating the year ratios in Sections 6633.2 and 6633.5, the fare revenues and operating cost that a transit service claimant had in 1978-79 shall not include the amount of the fare revenues that were received by an entity which was under contract with the claimant to provide transportation services and that were not transferred to the claimant.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99268.2, 99268.3, 99268.4, 99268.5, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
§6633.8. Extension of Service Excluded.
Note     •     History

In determining a claimant's compliance with the fare and local support ratios in Sections 6633.2, 6633.5 and 6633.9, the fare revenues and operating cost attributable to an extension of public transportation services, as defined in Section 6619.1, shall be excluded if all of the following conditions are met:
(a) The extension of services has been in operation for less than two full fiscal years. The two-year extension of services exclusion applies until two years after the end of the fiscal year in which the extension of services was put into operation.
(b) The claimant submits a report on the extension of services to the transportation planning agency and, where applicable, to the county transportation commission or metropolitan transit development board, within 90 days after the end of the fiscal year. The report shall include, but not be limited to, the following information:
(1) A description of the area served and the routes included.
(2) The amount of fare revenues generated by the extension and the method used to derive that amount.
(3) The amount of the operating cost for the extension and the method used to allocate costs between the extension of services and the claimant's other services.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99268.8,Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
2. Amendment of subsections (a) and (b) filed 10-17-86; effective thirtieth day thereafter (Register 86, No. 42).
3. Amendment of subsection (a) filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
§6633.9. Noncompliance with Required Revenue Ratio.
Note     •     History

(a) If an operator or transit service claimant fails to maintain, for a fiscal year, the ratio of fare revenues to operating cost it is required to maintain in accordance with Section 6633.2 and 6633.5, and if it is not the first year for which the claimant has failed to maintain that ratio which is considered the one time grace year, the claimant's eligibility to receive Transportation Development Act funds would be determined as follows:
(1) In the fiscal year that the claimant fails to maintain the required ratio which is the noncompliance year, there is no change in its eligibility.
(2) In the subsequent fiscal year or determination year there is no change in eligibility, however the audited amount of the difference between the required and actual fare revenue to operating cost ratio as reported in the claimant's fiscal and compliance audit for the fiscal year for which the required ratio was not met must be determined.
(3) In the third or penalty year, the operator's or transit service claimant's eligibility to receive monies from the local transportation and state transit assistance funds shall be reduced, for one year only, by the amount of the difference between the required fare revenues and the actual fare revenues for the fiscal year that the required ratio was not maintained.
(4) A claimant subject to the penalty in this section shall demonstrate to the transportation planning agency, the county transportation commission or the San Diego Metropolitan Transit Development Board how it will achieve the required ratio during any penalty year.
(b) Any increase in fare revenue to operating cost ratio as a result of this section prior to July 1, 1987 is no longer applicable.
(c) An example of the penalty process which is calculated in accordance with Section 6634 is as follows:

	                                                                               3-Year Penalty Cycle         
				Penalty
				Year for
		Non--	Deter--	Non--
	One-Time	compliance	mination	compliance
	Grace Year	Year	Year	Year

Operating Cost	$100,000	$100,000	$100,000	$100,000
Required Fares at 20%	$20,000	$20,000	$20,000	$20,000
Actual Fares	$15,000	$18,000	$23,000	$28,000
Reduced Eligibility	0	0	0	($2,000)
Transportation
 Development
 Act/State Transit
 Assistance
 Claimant's
 Eligibility	$85,000	$82,000	$77,000	$70,000
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99268.9, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
2. Repealer and new section filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
§6634. Eligibility for Funds.
Note     •     History

(a) No operator or transit service claimant shall be eligible to receive moneys during the fiscal year from the local transportation fund and the state transit assistance fund for operating costs in an amount that exceeds its actual operating cost (including payments for disposition of claims arising out of the operator's liability) in the fiscal year less the sum of the following amounts:
(1) The actual amount of fare revenues received during the fiscal year.
(2) The amount of local support required to meet the ratios specified in section 6633.2.
(3) The amount of federal operating assistance received during the fiscal year.
(4) The amount received during the fiscal year from a city or county to which the operator provides service beyond its boundaries.
(5) The amount received during the fiscal year for operating costs from
(A) toll bridge revenues allocated by the Metropolitan Transportation Commission pursuant to Streets and Highways Code section 30892,
(B) local sales tax revenues allocated within the San Francisco Bay Area Rapid Transit District by the Metropolitan Transportation Commission pursuant to Public Utilities Code section 29142.2(b),
(C) local sales tax revenues made available by the Los Angeles County Metropolitan Transportation Authority pursuant to Public Utilities Code section 130354; and
(D) local sales tax revenues made available for transit purposes by the Fresno County Transportation Authority pursuant to Public Utilities Code section 142257.
(6) The amount of any reduced eligibility under section 6633.9 applied to the current fiscal year.
(b) No operator shall be eligible to receive moneys during the fiscal year from the local transportation fund and the state transit assistance fund for capital and debt service purposes in an amount that exceeds the operator's actual capital requirements and actual debt service requirements during the fiscal year less the operator's revenues during the fiscal year for such purposes from other sources.
(c) No transit service claimant shall be eligible to receive monies during the fiscal year from the local transportation fund or the state transit assistance fund for the cost of vehicle and related equipment, bus shelters, bus benches and communication equipment for transportation services, in an amount that exceeds the claimant's actual costs during the fiscal year less the claimant's revenues during the fiscal year for such purposes from other sources.
(d) No claimant shall be eligible to receive moneys during the fiscal year from the local transportation fund and the state transit assistance fund for rail passenger service purposes, pursuant to Public Utilities Code sections 99233.4, 99233.6, 99260.2(b), 99260.5, 99260.6 and 99400(b), in an amount that exceeds the claimant's expenditures for such purposes during the fiscal year less the claimant's revenues during the fiscal year for such purposes from other sources.
(e) No claimant under Public Utilities Code sections 99260.7, 99275, or 99400.6 shall be eligible to receive moneys during the fiscal year from the local transportation fund for purposes other than operating costs in an amount that exceeds its actual expenditures for the purchase of buses or vans, and, in the case of a consolidated transportation service agency, for the purchase of communications and data processing equipment essential to providing, consolidating, and coordinating social service transportation. For a claimant under Public Utilities Code section 99260.7 or 99275, this also includes monies received from the state transit assistance fund. Expenditures for the purchase of buses or vans include expenditures for equipment, parts, and accessories for the vehicles and for capitalized administrative and planning costs directly related to the purchase of the vehicles.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99233.4, 99241, 99260.2(b), 99260.5, 99260.6, 99260.7, 99268.9, 99268.16, 99268.17, 99275, 99285, 99313.3, 99400, 99400.6 and 99402, Public Utilities Code; and Section 5, Chapter 322, Statutes of 1982; and Section 130050.2, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52). For prior history, see Register 78, No. 6, and 77, No. 10.
2. New subsection (e) filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
3. Amendment of subsection (e) filed 2-8-82; effective thirtieth day thereafter (Register 82, No. 7).
4. Amendment of subsection (e) filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
5. Amendment of subsection (a)(1) filed 10-17-86; effective thirtieth day thereafter (Register 86, No. 42).
6. Amendment filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
7. Amendment of subsections (c) and (d) filed 8-17-89; operative 9-16-89 (Register 89, No. 34).
8. Amendment of section filed 8-1-91; operative 9-2-91 (Register 91, No. 48).
9. Amendment of subsection (d), repealer of subsection (e), subsection relettering and amendment of Note filed 7-20-92; operative 8-19-92 (Register 92, No. 30).
10. Amendment of subsection (a)(5) and Note filed 10-26-93; operative 11-25-93 (Register 93, No. 44).
11. Change without regulatory effect amending subsection (a) filed 12-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 49).
§6635. Application for Waiver of Expenditure Limitations. [Repealed]
History

HISTORY

1. New section filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Repealer filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
§6636. Implementation.
Note     •     History

The operator or transit service claimant shall spend moneys received from the local transportation fund or the state transit assistance fund only in accordance with the terms and conditions of the allocations, as set forth in the allocation instruction for the local transportation fund and the allocation resolution for the state transit assistance fund. If unforeseen situations develop during the year such that the operator or transit service claimant cannot comply with the terms and conditions of the allocations, the operator or transit service claimant shall request the transportation planning agency, county transportation commission, or metropolitan transit development board to consider a revised allocation instruction or allocation resolution.
NOTE

Authority and reference cited: Section 99241, Public Utilities Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Amendment filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52). 
§6637. Records and Reports.
Note     •     History

(a) Each operator and transit service claimant shall keep and maintain accurate and complete records and shall prepare an annual report of its operations in accordance with the uniform system of accounts and records adopted by the State Controller pursuant to Public Utilities Code Section 99243. The report shall be submitted to the transportation planning agency, to the State Controller and, where applicable, to the county transportation commission or the metropolitan transit development board within 90 days after the close of the fiscal year. The report shall specify (1) the amount of revenue generated from each source and its application for the preceding fiscal year and (2) the data necessary to determine whether the operator or transit service claimant is in compliance with Public Utilities Code Sections 99268.1, 99268.2, 99268.3, 99268.4, 99268.5, and 99268.9. The report shall contain the financial data reporting forms specified by the State Controller for that purpose.The report shall also include the nonfinancial operating data described in the federal “Uniform System of Accounts and Records and Reporting System,” January 1977. The nonfinancial operating data shall be reported on the forms specified by the State Controller.
(b) In accordance with the instructions of the State Controller, the operator or transit service claimant shall file, with the report prepared pursuant to subdivision (a), a letter or statement signed by an auditor or financial officer attesting to the conformity, in all material respects, of the financial data reporting forms in the report with the uniform system of accounts and records adopted by the State Controller pursuant to Public Utilities Code Section 99243. The letter or statement shall also specify which, if any, of the reporting forms do not conform to the requirements of the uniform system and shall describe the discrepancies that exist.
(c) As a supplement to the annual report prepared pursuant to subdivision (a), each operator and transit service claimant shall include an estimate of revenues to be generated from each source and its proposed application for the next fiscal year.
(d) All fiscal and accounting records and other supporting papers shall be retained for a minimum of four years following the close of the fiscal year of expenditure.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99243, Public Utilities Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Amendment filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
4. Amendment filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
5. Amendment of subsection (a) filed 10-17-86; effective thirtieth day thereafter (Register 86, No. 42).
§6638. County Transportation Commission Proposals for Funding. [Repealed]
Note     •     History

NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99285, Public Utilities Code.
HISTORY

1. New section filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
3. Repealer filed 10-26-93; operative 11-25-93 (Register 93, No. 44)
Article 5. Responsibilities of Transportation Planning Agency
§6640. Designation.
Note     •     History

The term “transportation planning agency” has reference to that entity or policy committee thereof responsible for the development of a regional transportation plan. It may derive such responsibility by statute or by delegation from local government together with delegation of accompanying responsibility for implementation of the transportation planning process in cooperation with the State pursuant to memorandum of understanding.
The term “transportation planning agency” also applies to county transportation commissions created pursuant to Division 12 (commencing with section 130000 of the Public Utilities Code) for the purpose of administering Chapter 4 (commencing with section 99200) part 11, Division 10 of the Public Utilities Code.
For a county included entirely within the jurisdiction of a statutorily created regional comprehensive or transportation planning agency, it is such agency. Where only a portion of the county is subject to such a jurisdiction, it is also such agency, but only for such portion of the fund as the population within the agency's jurisdiction bears to the population of the county.
For every other county, and for a county partially subject to the jurisdiction of a statutory agency for such portion of the fund as the population outside such agency bears to the population of the county, it is such regional comprehensive planning agency as is established pursuant to any of the following authorities, and references in the Act to a “Council of Government” means such agency:
(a) An agency organized pursuant to Chapter 5 (commencing with section 6500) of Division 7, Title 1 of the Government Code; or
(b) A regional planning district formed pursuant to Chapter 2 (commencing with section 65060) of Title 7 of the Government Code; or
(c) An area planning commission formed pursuant to Article 11 (commencing with section 65600) of Chapter 3 of Title 7 of the Government Code; or
(d) A planning district formed pursuant to Chapter 5 (commencing with section 66100) of Title 7 of the Government Code.
No moneys shall be allocated from the fund by the county or any other governmental entity except the one designated by the Director. In the event the county and the cities therein are neither subject to the jurisdiction of a statutorily created regional comprehensive or transportation planning agency nor within the area of or members of a locally created regional comprehensive planning agency, one must be established if moneys in the fund are to be disseminated, unless an option is made to establish only a single purpose local transportation commission pursuant to the Act.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99214 and 99230, Public Utilities Code; and Sections 29532, 29532.4, 29535 and 29536, Government Code.
HISTORY

1. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
3. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
4. Amendment filed 10-26-93; operative 11-25-93 (Register 93, No. 44).
5. Change without regulatory effect amending second paragraph filed 8-28-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 35).
§6641. Designation of Local Transportation Commission.
Note     •     History

The fact that the county may be within the area or a member of a locally created multicounty regional comprehensive planning agency shall not be construed as precluding its right additionally to form a local transportation commission pursuant to the Act, except that the Department shall designate such commission as the transportation planning agency only after its existence is ratified by action of the board of supervisors and the legislative bodies of at least 50 percent of the cities in the county including at least 50 percent of the county's incorporated population and it is signatory to the memorandum of understanding for transportation planning for the area or to a like memorandum with the regional agency stating an agreed upon division of transportation planning responsibilities for the area.
In a county where a commission is serving as the transportation planning agency, the regional agency shall notify the commission and the county auditor of any objection it may have to a claim. If the commission has not received such notice within 60 days of filing, the approval of the regional agency shall be conclusively presumed. The commission may allocate funds only if the regional agency has not objected to such allocation. Claims to which the regional agency has objected shall not be paid by the county auditor until the objection has been removed.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99214 and 99230, Public Utilities Code; and Sections 29532, 29535 and 29536, Government Code.
HISTORY

1. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
2. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
§6642. Manner of Designation.
Note     •     History

The Director's designation of an agency or commission as a transportation planning agency shall take the form of a registered letter addressed to the executive director of the planning agency and an identical letter to the county auditor. Rescission of designation shall be served in like manner, and an agency's authority to serve as the transportation planning agency shall terminate on receipt of a rescission notice.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99214 and 99230, Public Utilities Code; and Section 29532, Government Code.
HISTORY

1. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
3. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
§6643. Local Review and Comment Responsibility.
Note     •     History

A multicounty regional comprehensive planning agency may delegate to any given subregional policy committee or agency of its choice the responsibility to review and comment on claims against the fund in that respective county.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99260, 99262, 99400 and 99402, Public Utilities Code.
HISTORY

1. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6644. Report of Apportionments.
Note     •     History

(a) Prior to March 1, the transportation planning agency shall determine and advise all prospective claimants of the amounts of all area apportionments from the local transportation fund for the following fiscal year. The transportation planning agency shall make this determination using the estimate of funds available for apportionment and allocation furnished by the county auditor pursuant to section 6620. The transportation planning agency shall determine the amount subject to apportionment by determining the anticipated amounts to be allocated or made available for allocation pursuant to Public Utilities Code sections 99233.1, 99233.2, and 99233.3 and subtracting that amount from the county auditor's estimate.
Wherever the areas of two or more prospective claimants overlap, the transportation planning agency shall identify and determine the apportionments for the overlapping and non-overlapping areas separately so that the sum of the amounts of all area apportionments identified and reported does not exceed the total amount subject to apportionment.
(b) For the counties of Alameda, Contra Costa, Orange, San Diego, San Francisco, San Mateo, and Santa Clara, the transportation planning agency shall determine the maximum amount which may be made available for claims filed pursuant to article 4.5 of the Act. That amount, which shall be included in the report of apportionments, is five percent of the sum of the apportionments of the areas of all operators after subtracting any amounts allocated for those areas pursuant to Public Utilities Code sections 99233.4 and 99233.5. The amount made available for claims filed pursuant to article 4.5 shall be subtracted from the amounts of the apportionments of the areas of all operators in equal proportion after subtracting any amounts allocated for purposes of higher priority. For the purpose of claims filed pursuant to article 4 of the Act, the amount of the apportionment of the area of an operator is the amount remaining after the adjustment for the proportion made available for article 4.5 allocations.
(c) For the Counties of Los Angeles and Sacramento, the transportation planning agency shall determine the maximum amount that may be made available for claims filed by cities, counties, and operators pursuant to article 4.5. That amount, which shall be included in the report of apportionments, is five percent of the sum of the apportionments of the areas where claims may not be filed pursuant to article B of the Act after subtracting any amounts allocated for rail services pursuant to Public Utilities Code sections 99233.4. The transportation planning agency may also make funds available for claims filed by consolidated transportation service agencies pursuant to article 4.5. The amount made available for claims filed by consolidated transportation service agencies shall be subtracted from the amounts of the apportionments of all areas in the county in equal proportion after subtracting any amounts allocated for purposes of higher priority. The amount made available for claims filed by cities, counties, and operators pursuant to article 4.5 shall be subtracted from the amounts of the apportionments of the areas of all operators in equal proportion after subtracting any amounts allocated for purposes of higher priority. For the purpose of claims filed pursuant to articles 4 and 8 of the Act, the amount of the apportionment of the area of a claimant is the amount remaining after the adjustment for the proportion made available for article 4.5 allocations. In no case shall that adjustment exceed five percent for any area.
(d) For every county not named in subdivisions(b) and (c), the transportation planning agency may make funds available for claims filed by consolidated transportation service agencies pursuant to article 4.5. The maximum amount that may be made available for such claims is five percent of the sum of the apportionments of all areas after subtracting any amounts allocated for rail services pursuant to Public Utilities Code sections 99233.4. The amount made available for claims filed by consolidated transportation service agencies shall be subtracted from the amounts of the apportionments of all areas in the county in equal proportion after subtracting any amounts allocated for purposes of higher priority, except in Santa Barbara County where pursuant to Public Utilities Code section 99233.10, these funds may be included in determining the apportionment to a city, county or operator. For the purpose of claims filed pursuant to articles 4 and 8 of the Act, the amount of the apportionment of the area of a claimant is the amount remaining after the adjustment for the proportion made available for article 4.5 allocations.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99231, 99232, 99233.7, 99233.10, and 99241, Public Utilities Code.
HISTORY

1. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Amendment filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
3. Amendment of subsections (b), (c), and (d) filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
§6644.5. Community Transit Services. [Repealed]
History

HISTORY

1. New section filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Repealer filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
§6645. Urbanized and Nonurbanized Areas.
Note     •     History

If there is an operator which is serving an urbanized area, as defined in Section 6613.1, within the area of a transportation planning agency, the transportation agency shall adopt rules and regulations in accordance with Public Utilities Code Section 99270.1. The transportation planning agency shall submit the rules and regulations to the Department for approval no later than the April 1 preceding the fiscal year for which they will take effect. The transportation planning agency may adopt amendments to the rules and regulations, and it shall submit amendments to the Department for approval no later than the April 1 preceding the fiscal year for which they shall take effect.
(a) The rules and regulations may incorporate the definitions of Sections 6613.1 and 6613.2, which classify each claimant either as serving an urbanized area or as serving a nonurbanized area.
(b) If the rules and regulations do not incorporate the definitions of Sections 6613.1 and 6613.2, they shall prescribe a method to determine what portion of each claimant's services to the general public serves urbanized areas and what portion serves nonurbanized areas. The rules and regulations shall provide that those portions be the basis for determining a single intermediate percentage to be applied, pursuant to Section 6633.2, in determining the ratios the claimant is required to maintain to comply with Public Utilities Code Sections 99268.2, 99268.3, 99268.4 and 99268.12.
(c) The rules and regulations shall provide that the determination of each claimant's required ratios for a fiscal year be made by the transportation planning agency prior to the beginning of the fiscal year and not be subject to change after that time. 
(d) The Department shall approve or reject the proposed rules and regulations within 60 days after receiving them. If rules and regulations of the transportation planning agency are not approved by the Department before the beginning of a fiscal year, the definitions of Sections 6613.1 and 6613.2 shall be used to determine the required ratios for the fiscal year.
NOTE

Authority cited: Section 99241 and Public Utilities Code. Reference: Sections 99241 and 99270.1, Public Utilities Code.
HISTORY

1. New section filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
2. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
§6645.1. Small Urbanized Areas.
Note     •     History

If there is an operator which is serving an urbanized area in a county with population less than 500,000, the transportation planning agency or county transportation commission may establish for that operator a required ratio of fare revenue to operating cost of no less than 15%. Prior to setting the required ratio, the transportation planning agency or county transportation commission shall make findings specifying the reasons for its actions. The transportation planning agency or county transportation commission shall ensure that the following factors, for the jurisdiction of the claimant, have been considered in the transportation planning process:
(a) The size and density of the urban area in which the services to the general public are provided.
(b) The proportion of the operator's ridership which is transit dependent, including elderly, handicapped and low income patrons, as appropriate.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99268.12, Public Utilities Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87 (Register 87, No. 48). Ed. Note: The text of Section 6645.1 was printed in Register 87, No. 37; however, the HISTORY NOTE was inadvertently omitted.
§6646. Claims for Transportation Planning Process.
Note     •     History

The transportation planning agency may allocate funds for implementation of the annual work program of the transportation planning process by such governmental agencies as the claimant designates. The transportation planning agency may authorize the county auditor to pay funds from the claimant's allocation directly to such governmental agencies.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99241, Public Utilities Code.
HISTORY

1. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. New NOTE filed 9-5-85; effective thirtieth day thereafter (Register 85, No. 36).
§6647. Approval of Proposed Commitment.
Note     •     History

The transportation planning agency may approve by resolution a proposed commitment to allocate moneys annually for up to five years, if it is consistent with the required federal transportation planning elements and the adopted Regional Transportation Plan.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99230 and 99231, Public Utilities Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6648. Allocations Reserved in the Fund.
Note     •     History

The transportation planning agency may specify that moneys allocated to a claimant be reserved in the local transportation fund for future payment to the claimant for a specific capital project. No allocation shall be reserved by the transportation planning agency except in response to a claim for a specific capital project. However, unallocated moneys in the fund shall be retained for areas of apportionment as specified in Section 6655.1 and may be reserved for a general purpose as specified in Sections 6655.2 and 6655.3.
An allocation shall be reserved in the fund only by allocation instruction pursuant to Section 6659, and moneys that are reserved in the fund pursuant to an allocation made for a prior fiscal year shall be authorized for payment only by a separate allocation instruction. The transportation planning agency may authorize the payment of moneys that are reserved in the fund pursuant to an allocation made for a prior fiscal year only to the claimant to which they were allocated and only for the specific capital project for which they were reserved. However, moneys that are reserved in the fund pursuant to an allocation made for the current fiscal year may be reallocated and authorized for payment for any eligible expenditure in the same fiscal year by amending the allocation instruction.
Any moneys allocated and reserved in the local transportation fund and not authorized for payment within three years after the date of allocation shall cease to be allocated or reserved and shall become and be treated as an unallocated apportionment retained in the fund in accordance with Section 6655.1. Such moneys may be reallocated to the same claimant for the same project, to the same claimant for a different purpose, or to another claimant in the same area of apportionment pursuant to Section 6655.1. At least 30 days before the end of any three-year reserve period, the transportation planning agency shall give written notification to the claimant specifying the date on which the moneys cease to be allocated or reserved, and the transportation planning agency shall not reallocate any such moneys to any other claimant until 30 days after such notification. At any time within three years after the date of allocation, the transportation planning agency, with the consent of the claimant, may rescind or revise an allocation of moneys reserved in the fund. Any such moneys that cease to be allocated shall then become and be treated as an unallocated apportionment retained in the fund in accordance with Section 6655.1.
The transportation planning agency shall not authorize any payment to a claimant from an allocation reserved in the fund if the claimant is holding in its own accounts sufficient moneys originally allocated in a previous fiscal year from the local transportation fund and reserved for the specific capital project or reserved for unspecified capital outlay.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99230 and 99231, Public Utilities Code.
HISTORY

1. New section filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6649. Payments Limited to Claimant Eligibility.
Note     •     History

The transportation planning agency, county transportation commission, or metropolitan transit development board shall not authorize the payment of moneys from the local transportation fund or the state transit assistance fund in excess of the amount that the claimant is eligible to receive during the fiscal year for which an allocation is made, as evidenced by the claim filed, the budgets and financial statements of the claimant, the audits of the claimant, and any other information available to the agency, commission, or board.
Any amount paid to a claimant in excess of the amount that the claimant actually was eligible to receive in accordance with Sections 6633.1 and 6634 and the allocation instructions or allocation resolution shall be recovered by the agency, commission, or board in either of the following ways:
(a) The agency, commission, or board may demand repayment of the amount. In that case, the claimant shall repay the amount on demand. 
(b) The agency, commission, or board may deduct the amount from the amount the claimant is eligible to receive during the following fiscal year.
The transportation planning agency shall promptly authorize the payment of moneys allocated and reserved for a claimant pursuant to Section 6648 whenever the claimant demonstrates that such moneys are needed for the specific capital project, as evidenced by a claim or amended claim filed, the budgets and financial statements of the claimant, the audits of the claimant, and any other information available to the transportation planning agency.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99230, 99241, Public Utilities Code.
HISTORY

1. New section filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Amendment filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
§6650. Comments on Waiver Applications. [Repealed]
History

HISTORY

1. New section filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10). For history of former Section 6650, see Section 1650, Register 75, No. 11.
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Repealer filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
§6651. Conformity with Plan.
Note     •     History

The transportation planning agency shall allocate funds only in accordance with a finding that the proposed expenditures are in conformity with the Regional Transportation Plan.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99230, Public Utilities Code; and Chapter 25 (commencing with Section 65084), Division 1, Title 7, Government Code.
HISTORY

1. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6652. Restriction on Executive Salary Increases. [Repealed]
History

HISTORY

1. Repealer filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
§6654. Capital Expenditure Requirement. [Repealed]
Note     •     History

NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99267, Public Utilities Code.
HISTORY

1. Amendment filed 3-11-75; effective thirtieth day thereafter (Register 75, No. 11).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
4. Repealer filed 8-17-89; operative 9-16-89 (Register 89, No. 34).
§6655. Limitation of Allocation to Apportionment.
Note     •     History

The transportation planning agency shall allocate to all claimants for a given area collectively only such moneys as represent that area's apportionment.
The transportation planning agency shall allocate to a claimant no moneys in excess of the apportionment of the claimant's area, except that the transportation planning agency, with the approval of the county, may allocate moneys from the apportionment of the county's area to an operator which is serving an unincorporated area pursuant to a contract with the county, even if the amount so allocated exceeds the apportionment of the overlapping area within one-half mile of any route which extends beyond the operator's boundaries. This exception does not apply in the County of Los Angeles.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99230, 99231 and 99231.2, Public Utilities Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6655.1. Unallocated Apportionments Retained in Fund.
Note     •     History

The transportation planning agency may allocate to claimants in an area an amount less than the apportionment of the area. However, the amount of the apportionment which is not allocated shall be retained in the local transportation fund for later allocation only to claimants in the same area on such terms and conditions as the transportation planning agency may determine.
In a county with a population of 500,000 or more but excluding counties with more than 4,500 miles of maintained county roads:
(1) An unallocated apportionment for the area of a single operator shall be retained in the fund for later allocation only to the same operator or to a succeeding operator in the same area on such terms and conditions as the transportation planning agency may determine.
(2) An unallocated apportionment for the overlapping area of two or more operators shall be retained in the fund for later allocation only to the same operators or to succeeding operators in the same area in such division among the operators and on such terms and conditions as the transportation planning agency may determine, except that the Southern California Rapid Transit District shall be allocated no more than 85 percent of the apportionment of its area. 
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99231 and 99232, Public Utilities Code.
HISTORY

1. New section filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6655.2. Funds Reserved for Pedestrian and Bicycle Facilities.
Note     •     History

The transportation planning agency may reserve moneys in the fund for later allocation to claimants for pedestrian and bicycle facilities or bicycle safety education programs pursuant to Public Utilities Code Section 99233.3 without designating the claimants to receive allocations from the amount. Such moneys may be allocated to claimants on such terms and conditions as the transportation planning agency may determine in accordance with Public Utilities Code Section 99234. Whenever the transportation planning agency finds that the amount, or any portion of the amount, so reserved could be used to better advantage for other purposes, that amount shall be added to the apportionments determined in accordance with Section 6644.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99233, 99233.3 and 99234, Public Utilities Code.
HISTORY

1. New section filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
3. Amendment filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
§6655.3. Funds Reserved for Community Transit Services.
Note     •     History

The transportation planning agency may reserve moneys in the fund for claims filed pursuant to Article 4.5 of the Act without designating the claimants to receive allocations from the amount. However, any amount so reserved which either the transportation planning agency, the county transportation commission or the metropolitan transit development board later finds may be used to better advantage for Article 4 purposes shall cease to be available for Article 4.5 purposes and shall be restored to the apportionments determined in accordance with Section 6644.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99231, 99233.7, and 99241, Public Utilities Code.
HISTORY

1. New section filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Amendment filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
§6655.5. Revised Determination of Apportionments.
Note     •     History

The transportation planning agency may, at any time before the close of the fiscal year, issue a revised determination of apportionments based on a revised or updated estimate furnished by the county auditor pursuant to Section 6620. The transportation planning agency may, at any time, request a revised or updated estimate from the county auditor.
Any revenues to the fund for the fiscal year in excess of all moneys allocated, reserved, or retained in the fund as unallocated apportionments pursuant to Section 6655.1 shall be carried over and be available for apportionment and allocation in the following fiscal year.
The transportation planning agency may, at any time before the conveyance of initial allocation instructions pursuant to Section 6659, issue a revised determination of apportionments based on a revised determination of populations.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99231, Public Utilities Code.
HISTORY

1. New section filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6656. Notification of an Appeal.
Note     •     History

Upon receipt of notice of an appeal filed by a claimant pursuant to Public Utilities Code Section 99242, the transportation planning agency shall immediately transmit to the Secretary a copy of its rules and regulations along with any staff reports and other data considered by the transportation planning agency in taking its action. The transportation planning agency may request a public hearing before the Secretary or his designated representative to hear additional evidence concerning the appeal.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99242, Public Utilities Code.
HISTORY

1. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6657. Restriction to County of Origin.
Note     •     History

The transportation planning agency shall allocate moneys for a claim only insofar as it evidences benefit to each of the several counties in the operator's service area commensurate with the extent of service provided therein, appropriate consideration having been given to administrative, maintenance and other costs which serve to benefit the transit system as a whole.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 29530, 29531 and 29532, Government Code.
HISTORY

1. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6658. Unmet Transit Needs Finding. [Repealed]
Note     •     History

NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99220, 99222, 99233, 99241, 99400 and 99401.5, Public Utilities Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Amendment filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
4. Amendment filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
5. Repealer filed 8-16-88; operative 9-15-88 (Register 88, No. 34).
§6658.1. Notice of Finding. [Repealed]
Note     •     History

NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99220, 99222, 99233, 99241, 99401.6 and 99408, Public Utilities Code.
HISTORY

1. New section filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
2. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
3. Repealer filed 8-16-88; operative 9-15-88 (Register 88,No. 34).
§6659. Allocation Instruction.
Note     •     History

The transportation planning agency shall convey allocation instructions to the county auditor by written memorandum of its executive director accompanied by a certified copy of the resolution authorizing the action. No allocation is made or shall take effect except by such allocation instruction.
The transportation planning agency shall convey at least one allocation instruction annually and prior to the beginning of the fiscal year for each operator and transit service claimant which has filed an annual claim pursuant to Section 6630. The transportation planning agency may, however, delay an allocation instruction until after the beginning of the fiscal year with the consent of the operator or transit service claimant.
Each allocation instruction shall be numbered or otherwise identified for record keeping and reporting purposes. Allocations made to the same claimant for purposes authorized under different sections of the Act shall be identified separately. Each allocation instruction shall include the date of the instruction and shall designate the fiscal year for which the allocation is made, the section of the Act under which the allocation is authorized, the amount allocated, and the terms and conditions of the allocation. If an allocation is authorized for payment, the allocation instruction may call for a single payment, for payment as moneys become available, or for payment by installments, monthly, quarterly, or otherwise. If an allocation is to be reserved in the fund, the allocation instruction shall also designate the specific capital project for which moneys are reserved.
Once an allocation instruction has been made, it may be rescinded and revised by the transportation planning agency only under one of the following circumstances:
(a) An appeal affecting the allocation has been filed;
(b) The claimant is found to be spending, or unless enjoined to be about to spend, moneys otherwise than in accordance with the terms of the allocation instruction;
(c) An adjustment is proved to be necessary to reconcile the estimates on which the allocation was based with actual figures or revised estimates, including a revised determination of apportionments issued in accordance with Section 6655.5; or
(d) The financial needs of the claimant differ from those at the time of the allocation due to changed circumstances.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99230 and 99235, Public Utilities Code.
HISTORY

1. Amendment filed 10-3-73 as procedural; designated effective 10-28-73 (Register 73, No. 39).
2. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
3. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
4. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6660. Report to the Controller.
Note     •     History

Each transportation planning agency, county transportation commission and the San Diego Metropolitan Transit development Board shall submit, within 90 days after the end of the fiscal year an annual financial transactions report to the Controller pursuant to Public Utilities Code Section 99406. The report shall include:
(a) A summary of the local transportation fund pursuant to Article 3 commencing with Public Utilities Code Section 99230 and the state transit assistance fund pursuant to Article 6.5 including:
(1) The apportionment of each area as determined pursuant to Section 6644.
(2) A listing of final allocations identified by claimant and purpose, for the local transportation and state transit assistance funds.
(3) The beginning fund balances, the amounts and sources of revenues, the amount of expenditures from the funds, including the expenditure of earned interest transferred out of the fund and the analysis of the ending fund balances.
(4) The report shall contain the financial data in the time, manner and form prescribed by the Controller for this purpose.
(b) The Controller shall compile the information contained in these reports into an annual report to the Legislature as required in Public Utilities Code Section 99406.
(1) This annual report in subdivision (b) may be combined with the State Controller's annual report pursuant to Public Utilities Code Section 99243.5.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99230, 99231 and 99406, Public Utilities Code; and Section 29534, Government Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
4. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
5. Amendment filed 8-16-88; operative 9-15-88 (Register 88, No. 34).
§6661. Audit of Local Transportation Fund.
Note     •     History

Annually and within 180 days after the end of the fiscal year, the county auditor shall submit a report of a fiscal and compliance audit of the financial statements of the county local transportation fund to the transportation planning agency, to the State Controller and, where applicable, to the county transportation commission or the metropolitan transit development board. The audit shall be conducted in accordance with generally accepted auditing standards by the State Controller or by a certified public accountant or public accountant who is not an officer or employee of the transportation planning agency or of any city, county, operator, or county transportation commission within the area of the transportation planning agency and shall include a determination of compliance with the Act and the Administrative rules and regulations. If the county auditor and the regional entity responsible for submitting the audit report for the state transit assistance fund (pursuant to Section 6751) so agree, the audits of the local transportation fund and the state transit assistance fund may be conducted by the same auditor and may be submitted together in one audit report to the State Controller and to the transportation planning agency.
The financial statements shall be prepared by the county auditor in accordance with generally accepted accounting principles. The statements shall include, but not be limited to, (a) a balance sheet, (b) a statement of revenues and expenditures during the fiscal year, (c) a statement of changes in the fund balance, and (d) supplementary schedules as necessary to list or identify (1) the net amounts allocated and the net amounts disbursed during the fiscal year for each of the allocation purposes specified in the Act, (2) any portion of the fund balance that is allocated or reserved, and (3) any interest or other income earned by investment of the fund during the fiscal year. In the financial statements, the local transportation fund shall not be commingled with state transit assistance fund, nor with planning subventions from the Transportation Planning and Development Account, nor with any other revenues or funds of the transportation planning agency or of any city, county, or other agency.
All fiscal and accounting records and other supporting papers related to the local transportation fund shall be maintained for a minimum of four fiscal years following the close of the fiscal year and shall be available for inspection and audit by the State Controller.
NOTE

Authority cited: Sections 99241 and 99245, Public Utilities Code. Reference: Section 29534, Government Code.
HISTORY

1. New section filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19). For prior history, see Registers 78, No. 6, 77, No. 10 and 75, No. 11.
2. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
3. Amendment filed 9-1-87; operative 10-1-87 Register 87, No. 37).
4. Amendment filed 8-17-89; operative 9-16-89 (Register 89, No. 34).
Article 5.5. Audit and Expenditure Reports
§6662. Fiscal Audits of Transportation Planning and Programming Entities.
Note     •     History

Each transportation planning agency, county transportation commission, and metropolitan transit development board shall transmit to the State Controller, annually and within 12 months of the end of the fiscal year, a report of an audit of its accounts and records by the appropriate county auditor, a certified public accountant, or a public accountant pursuant to Sections 6505 and 26909 of the Government Code. The audit shall be performed in accordance with the Basic Audit Program and Reporting Guidelines for California Special Districts prescribed by the State Controller pursuant to Section 26909 of the Government Code and shall include a determination of compliance with the Act and the administrative rules and regulations. In the financial statements, of the transportation planning agency, county transportation commission and metropolitan transit development board, the local transportation fund, the state transit assistance fund, and other revenues or funds of any city, county or other agency shall not be commingled.
All fiscal and accounting records and other supporting papers shall be maintained for a minimum of four years following the close of the fiscal year of expenditure and shall be available for inspection and audit by the State Controller.
NOTE

Authority cited: Section 99241 and 99245, Public Utilities Code. Reference: Section 99245, Public Utilities Code; and Section 6505,Government Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Sections 6662-6665 redesignated as Article 5.5 and amendment of Section 6662 filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
4. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
5. Amendment filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
§6662.5. Performance Audits of Transportation Planning and Programming Entities.
Note     •     History

(a) Each transportation planning agency, county transportation commission and metropolitan transit development board shall designate an independent entity to make a performance audit of its activities with respect to the Act pursuant to Public Utilities Code section 99246. The performance audit shall be submitted to the Director by July 1 triennially, in accordance with a schedule established by the transportation planning agency, county transportation commission and metropolitan transit development board.
(b) If the transportation planning agency or county transportation commission, or metropolitan transit development board fails to transmit a performance audit report of its activities within one year after the date on which the report was due, the agency, commission, or board shall not be eligible to receive funds allocated for administration or planning until the audit report is transmitted or unless prior approval is granted by the Director.
(c) The performance audit prepared pursuant to this section shall be made available to the public pursuant to the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Division 7 of Title 1 of the Government Code.)
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99246, and 99248, Public Utilities Code. 
HISTORY

1. New section filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. New subsection (c) filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
3. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
4. Amendment of subsection (a), repealer of subsection (b), and renumbering of subsection (c) to subsection (b) with amendment filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
5. Amendment of subsection (a) and new subsection (c) filed 1-10-2008; operative 2-9-2008 (Register 2008, No. 2).
§6663. Entities Responsible for Fiscal and Performance Audits of Claimants.
Note     •     History

(a) The transportation planning agency, county transportation commission or metropolitan transit development board shall be responsible to ensure that each claimant under its jurisdiction receiving an allocation submits to it the annual certified fiscal audit described in section 6664. Each claimant shall also transmit a copy of the audit report to the State Controller.
(b) The transportation planning agency, county transportation commission or metropolitan transit development board, after consultation with the operator, shall designate an entity other than itself to conduct the triennial performance audit described in section 6664.5. The performance audit shall be submitted to the transportation planning agency, county transportation commission or metropolitan transit development board as the case may be.
(1) Each transportation planning agency, county transportation commission and metropolitan transit development board shall certify, in writing to the Director, that any performance audits of operators under its jurisdiction due that fiscal year have been completed.
(2) The performance audit prepared pursuant to this section shall be made available to the public pursuant to the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Division 7 of Title 1 of the Government Code.) 
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99245 and 99246, Public Utilities Code.
HISTORY

1. Amendment filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Repealer and new section filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
4. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
5. Amendment of subsections (a)(1) and (b)(1) filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
6. Amendment filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
7. New subsection (c) filed 1-10-2008; operative 2-9-2008 (Register 2008, No. 2).
§6664. Fiscal and Compliance Audits of All Claimants.
Note     •     History

In accordance with Public Utilities Code Section 99245, a report of a fiscal and compliance audit made by an independent auditor shall be submitted by each claimant within 180 days after the end of the fiscal year, except that the responsible entity, as defined in Section 6663, may grant an extension of up to 90 days as it deems necessary. No allocation shall be made to any claimant that is delinquent in its submission of a fiscal and compliance audit report. The audit shall be conducted in accordance with generally accepted auditing standards of the claimant's financial statements for the fiscal year which shall be prepared in accordance with generally accepted accounting principles. The audit shall also be directed toward obtaining knowledge of the claimant's compliance or noncompliance with the Act, and the auditor shall perform the tasks specified in Section 6666 or 6667, whichever is appropriate.
The audit report shall include, with the financial statements for the fiscal year that is the subject of the audit, the corresponding amounts from the claimant's audited financial statements for the fiscal year prior to the year that is the subject of the audit.
The audit report shall include a certification of compliance with the Act. The certification shall take the form of a statement that the funds allocated to and received by the claimant pursuant to the Act were, with any exceptions specifically noted, expended in conformance with the applicable statutes, rules and regulations of the Act and the allocation instructions and resolutions of the transportation planning agency and, where applicable, the county transportation commission or metropolitan transit development board. An unqualified negative statement (e.g., “no violation of the law was brought to our attention”) shall not be accepted. The certification may take the form of negative assurance, however, if it makes reference to the performance by the independent auditor of each of the tasks specified in Section 6666 or 6667.
The transportation planning agency shall provide to the independent auditor, or specify the means by which the auditor may obtain, such information and documents, other than the financial records of the claimant, as may be required to conduct the compliance portion of the audit. The documents shall include, but not be limited to, (a) the allocation instructions or resolutions stating the purposes for which the funds were allocated, (b) the text of the Act and the administrative rules and regulations, (c) the rules, regulations, and procedures of the transportation planning agency, and (d) in the case of transit claimants, the uniform system of accounts and records adopted by the State Controller pursuant to Public Utilities Code Section 99243 including, as necessary, the detailed definitions included in the federal “Uniform System of Accounts and Records and Reporting System,” January 1977.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99245, Public Utilities Code.
HISTORY

1. New section filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Repealer and new section filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Amendment filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
§6664.1. Expanded Fiscal Audits of all Claimants.
Note     •     History

A transit district, transit operator, transit service claimant or other provider may expand the scope of its audit pursuant to Public Utilities Code section 99245.2 to meet the audit requirements of other funding sources. An audit done pursuant to the Federal Single Audit Act of 1984 may be used to meet the requirements of Public Utilities Code section 99245 providing it meets the requirements of section 99245 including a certification of compliance with the Act.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99245.2, Public Utilities Code.
HISTORY

1. New section filed 10-26-93; operative 11-25-93 (Register 93, No. 44).
§6664.5. Performance Audits of Operators.
Note     •     History

(a) A performance audit shall be conducted triennially pursuant to Public Utilities Code section 99246, on a schedule determined by the transportation planning agency, county transportation commission or metropolitan transit development board having jurisdiction over the operator, for each operator that has operated its public transportation system for one year or longer. The transportation planning agency, county transportation commission or the metropolitan transit development board, as appropriate, shall provide to the Director and the Controller prior to September 1 of each fiscal year:
(1) A schedule of performance audit reports to be submitted during that fiscal year.
(2) A list of all entities which are subject to performance audits pursuant to Public Utilities Code section 99246.
(b) Each transportation planning agency, county transportation commission, or metropolitan transit development board, as appropriate, shall provide a written certification to the director that the scheduled performance audit of operators located in the area under its jurisdiction has been completed.
(c) No operator shall be eligible to receive an allocation under article 4 of the Act until the entity which determines the allocation to the opera--tor has received the operator's performance audit pursuant to Public Utilities Code section 99248. 
(d) The City of South Lake Tahoe's performance audit shall be completed 12 months after the end of the fiscal year selected pursuant to Public Utilities Code Section 99243(e) triennially on a schedule determined by its planning agency.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99243, 99246 and 99248, Public Utilities Code.
HISTORY

1. Amendment filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52). For prior history, see Register 78, No. 6.
2. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
3. Amendment filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
4. Amendment filed 8-16-88; operative 9-15-88 (Register 88, No. 34). 
5. Amendment filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
§6664.6. Operators Performance Audit Certification.
Note     •     History

(a) The transportation planning agency, county transportation commission or transit development board, as the case may be, shall certify in writing to the Director that a triennial performance audit of an operator pursuant to Public Utilities Code section 99246 has been completed.
(b) The certification shall include:
(1) the name of the audited operator,
(2) the time and period covered by the performance audit, and
(3) the name of the auditor conducting the audit.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99246, Public Utilities Code.
HISTORY

1. New section filed 8-1-91; operative 9-2-91 (Register 91, No. 48).
§6665. State Controller Reports.
Note     •     History

Expenditures of moneys received for streets and roads purposes under Section 99400(a) of the Public Utilities Code shall be reported to the State Controller on or before October 1 or within 90 days after the close of the fiscal year pursuant to Section 99406 of the Public Utilities Code. Expenditures of moneys received under Sections 99233.3, 99233.4, 99233.5, 99400(b), and 99400.5 shall be reported to the State Controller within 90 days after the close of the fiscal year pursuant to Section 12463 of the Government Code.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99233.4, 99233.5, 99243, 99400, 99400.5 and 99406, Public Utilities Code; and Section 12463, Government Code.
HISTORY

1. New section filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 2-7-78, effective thirtieth day thereafter (Register 78, No. 6).
3. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
4. Amendment filed 8-16-88; operative 9-15-88 (Register 88, No. 34).
5. Amendment filed 8-17-89; operative 9-16-89 (Register 89, No. 34).
§6666. Compliance Audit Tasks-Nontransit Claimants.
Note     •     History

In conducting the compliance portion of the audit specified in section 6664 for a nontransit claimant, the independent auditor shall perform at least the following tasks:
(a) Determine whether the funds received by the claimant pursuant to the Act were expended in conformance with those sections of the Act specifying the qualifying purposes, including Public Utilities Code section 99402 for streets and roads claimants and section 99233.3 for claimants under that section for pedestrian and bicycle facilities and bicycle safety education programs.
(b) Determine whether the funds received by the claimant pursuant to the Act were expended in conformance with the applicable rules, regulations, and procedures of the transportation planning agency and in compliance with the allocation instructions.
(c) Determine whether interest earned on funds received by the claimant pursuant to the Act were expended only for those purposes for which the funds were allocated, in accordance with Public Utilities Code sections 99301 and 99301.5.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99233.3, 99234, 99241, 99245 and 99301.5, Public Utilities Code.
HISTORY

1. New section filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
2. Amendment of subsection (c) filed 10-17-86; effective thirtieth day thereafter (Register 86, No. 42).
3. Amendment of subsection (a) filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
4. Repealer of subsection (d) filed 8-1-91; operative 9-2-91 (Register 91, No. 48).
§6667. Compliance Audit Tasks--Transit Claimants.
Note     •     History

In conducting the compliance portion of the audit specified in section 6664 for an operator or transit service claimant, the independent auditor shall perform at least the following tasks:
(a) Determine whether the claimant was an entity eligible to receive the funds allocated to it. This determination should be made with reference to the section of the Act under which the funds were allocated and to the definitions in article 1 of the Act.
(b) Determine whether the claimant is maintaining its accounts and records on an enterprise fund basis and is otherwise in compliance with the uniform system of accounts and records adopted by the State Controller pursuant to Public Utilities Code section 99243.
(c) Determine whether the funds received by the claimant pursuant to the Act were expended in conformance with those sections of the Act specifying the qualifying purposes, including Public Utilities Code sections 99262 and 99263 for operators receiving funds under article 4, sections 99275, 99275.5 and 99277 for article 4.5 claimants, and section 99400(c), (d) and (e) for article 8 claimants for service provided under contract, and section 99405(d) for transportation services provided by cities and counties with populations of less than 5,000.
(d) Determine whether the funds received by the claimant pursuant to the Act were expended in conformance with the applicable rules, regulations, and procedures of the transportation planning agency and in compliance with the allocation instructions and resolutions.
(e) Determine whether interest earned on funds received by the claimant pursuant to the Act were expended only for those purposes for which the funds were allocated, in accordance with Public Utilities Code sections 99234.1, 99301, 99301.5 and 99301.6.
(f) Verify the amount of the claimant's operating cost (as defined by section 6611.1) for the fiscal year, the amount of fare revenues required to meet the ratios specified in sections 6633.2 and 6633.5 and the amount of the sum of fare revenues and local support required to meet the ratios specified in section 6633.2.
(g) Verify the amount of the claimant's actual fare revenues (as defined by section 6611.2 and by Public Utilities Code section 99205.7) for the fiscal year.
(h) Verify the amount of the claimant's actual local support (as defined by section 6611.3) for the fiscal year.
(i) Verify the maximum amount the claimant was eligible to receive under the Act during the fiscal year in accordance with sections 6634 and 6649.
(j) Verify, if applicable, the amount of the operator's expenditure limitation in accordance with section 6633.1.
(k) In the case of an operator, determine whether the operator's employee retirement system or private pension plan is in conformance with the provisions of Public Utilities Code sections 99271, 99272, and 99273.
(l) In the case of an operator, determine whether the operator has had a certification by the Department of the California Highway Patrol verifying that the operator is in compliance with section 1808.1 of the Vehicle Code, as required in Public Utilities Code section 99251.
(m) In the case of an operator, verify, if applicable, its State Transit Assistance eligibility pursuant to Public Utilities Code section 99314.6 or 99314.7.
(n) In the case of a claimant for community transit services, determine whether it is in compliance with Public Utilities Code sections 99155 and 99155.5.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99155, 99155.5, 99234.1, 99241, 99243, 99245, 99251, 99275.5, 99276 and 99314.6, 99314.7 and 99405(d), Public Utilities Code.
HISTORY

1. New section filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
2. Amendment of subsection (c) filed 10-17-86; effective thirtieth day thereafter (Register 86, No. 42).
3. Amendment of subsection (c) filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
4. Amendment filed 8-16-88; operative 9-15-88 (Register 88, No. 34).
5. Repealer of subsection (k) and relettering of subsections (l) to (k) and (l) 8-17-89; operative 9-16-89 (Register 89, No. 34).
6. New subsection (m) filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
7. New subsection (n) filed 8-1-91; operative 9-2-91 (Register 91, No. 48).
8. Amendment of subsections (c) and (m) and Note filed 7-20-92; operative 8-29-92 (Register 92, No. 30).
Article 6. Responsibilities of Appellants
§6670. Appeal by Claimants.
Note     •     History

A claimant is an eligible appellant under this section whether it has filed a claim or not.
In the event that a claimant is not satisfied with its allocation or other action taken by the transportation planning agency, the claimant may within sixty days thereafter file an appeal to the Secretary.
The appeal shall take the form of a registered letter addressed to the Secretary with a registered copy to the transportation planning agency. The appeal may be for an amount over and above the allocation but no more than the claimant's maximum allocation as prescribed by Sections 99231 and 99231.2 of the Public Utilities Code. At the time of filing an appeal the appellant may request or the Secretary, upon his own motion, may set a public hearing before the Secretary or his designated representative to hear additional evidence concerning the appeal.
The appeal shall be accompanied by the disputed claim or claims and accompanying information and data as required by the transportation planning agency and any other supporting information submitted with the claim or subsequently to the transportation planning agency for its consideration.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99242, Public Utilities Code.
HISTORY

1. Amendment filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction adding NOTE filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
Article 7. Consolidated Transportation Service Agencies
§6680. Designation of Consolidated Transportation Service Agency (CTSA).
Note     •     History

Consolidated transportation service agencies shall be designated by the transportation planning agency, except that within the area of the Southern California Association of Governments, they shall be designated by the county transportation commissions. The consolidated transportation service agencies shall be designated in accordance with the action plan adopted pursuant to section 15975 of the Government Code.
Each consolidated transportation service agency shall be an entity other than the transportation planning agency and shall be one of the following:
(a) A public agency, including a city, county, operator, any state department or agency, public corporation, or public district, or a joint powers entity created pursuant to Chapter 5 (commencing with section 5000) of division 7, title 1 of the Government Code.
(b) A common carrier of persons as defined in section 211 of the Public Utilities Code, engaged in the transportation of persons, as defined in section 208.
(c) A private entity operating under a franchise or license.
(d) A nonprofit corporation organized pursuant to division 2 (commencing with section 5000) of title 1 of the Corporations Code.
The transportation planning agency or other designating agency may designate one or more consolidated transportation service agencies. The geographic areas of consolidated transportation service agencies may be overlapping. For the purpose of filing claims, the division of responsibility between designated consolidated transportation service agencies shall be by the transportation service provided (i.e., by geographic area, route, time, clientele, etc.) and not by service function (i.e., operation, maintenance, marketing, etc.). This does not preclude a consolidated transportation service agency from contracting with various contractors to perform different service functions.
The transportation planning agency or other designating agency may rescind the designation of a consolidated transportation service agency if it finds that the agency has failed substantially to comply with the terms of its allocations, with the Act or with the action plan. The rescission of the designation of the consolidated transportation service agency may be appealed pursuant to Public Utilities Code section 99242 by any claimant, including the consolidated transportation service agency, even where the designating agency is not the transportation planning agency.
Whenever the designation of a consolidated transportation service agency is rescinded or a new agency is designated, other than in the text of the action plan originally submitted, the transportation planning agency or other designating agency shall notify the Department within ten (10) days.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99203, 99204.5, 99233.7, 99241, 99242, 99275, 99275.5, 99276 and 130050.1, Public Utilities Code; and Section 15975, Government Code.
HISTORY

1. New article 7 (section 6680) filed 3-4-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment of article heading and amendment of section 6680 filed 2-7-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Repealer of article 7 (section 6680) filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
4. New article 7 (sections 6680-6684) filed 2-8-82; effective thirtieth day thereafter (Register 82, No. 7).
5. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
6. Amendment of section filed 8-1-91; operative 9-2-91 (Register 91, No. 48).
7. Amendment of first paragraph, subsection (d) and Note filed 1-25-2011; operative 2-24-2011 (Register 2011, No. 4).
8. Change without regulatory effect amending section heading and first paragraph filed 8-28-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 35).
§6681. Claimant Eligibility.
Note     •     History

A consolidated transportation service agency may file claims under article 4.5 of the Act for its operating costs, to the extent specified in section 6634(a), and for its costs in purchasing vehicles and communications and data processing equipment, to the extent specified in section 6634(f). Claims may also be filed by a consolidated transportation service agency for state transit assistance funds as specified in section 6731.1.
A consolidated transportation service agency may provide transportation services itself or contract with one or more other entities to provide service in accordance with section 6683. In either case, the consolidated transportation service agency alone is the claimant for funds under the Act and bears all the responsibilities of a claimant under the Act. These include, but are not limited to, the filing of claims, the maintaining of complete and accurate records in accordance with the uniform system of accounts and records, complying with fare revenue requirements, and the submittal of fiscal and compliance audit reports. The consolidated transportation service agency shall meet all requirements of the Act and these regulations as a single claimant, even where it is responsible for services provided by more than one contractor. For example, the fare revenue requirements shall apply to all of the agency's transportation services jointly, not separately. The consolidated transportation service agency's responsibilities as a claimant may not be delegated or assigned to its contract services providers.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99203, 99204.5, 99233.7, 99241, 99275-99277, 99313.6 and 99314.5, Public Utilities Code.
HISTORY

1. Amendment filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
2. Amendment of section filed 8-1-91; operative 9-2-91 (Register 91, No. 48).
§6682. Vehicles and Equipment.
Note

The consolidated transportation service agency may be allocated funds to purchase vehicles and equipment to be used either for transportation services that the agency provides itself or for transportation services provided by a service contractor. In either case, legal title to the vehicles and equipment (other than equipment included in operating cost) shall be vested in the consolidated transportation service agency, if it is a public agency, or in a public agency specified by the transportation planning agency.
The consolidated transportation service agency may also be allocated funds to be used as the local match for a grant made for the purchase of vehicles under Section 16(b)(2) of the Urban Mass Transportation Act of 1964, as amended, provided that the grant is to the consolidated transportation service agency or to an organization under contract to the agency to provide transportation services. Legal title to the vehicles shall be vested in accordance with the requirements of the grant program.
Vehicles and equipment purchased with funds allocated to a consolidated transportation service agency shall be used only for transportation services provided by or under contract to a consolidated transportation service agency.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99203, 99204.5, 99233.7 and 99275-99278, Public Utilities Code; Section 6 of Article XVI, California Constitution.
§6683. Contract Service Providers.
Note     •     History

The consolidated transportation service agency may contract with any entity to provide service. The contract shall be awarded on the basis of competitive bidding.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99203, 99204.5, 99241 and 99277, Public Utilities Code.
HISTORY

1. Amendment filed 9-1-87, operative 10-1-87 (Register 87, No. 37).
§6684. Competitive Bidding.
Note     •     History

The award of a service contract pursuant to Section 6683 shall be made on the basis of the procurement procedures of the county or other competitive bidding procedures approved by the transportation planning agency.
At a minimum, the opportunity to submit a bid shall be afforded to any entity that has made its availability and interest known to the consolidated transportation service agency.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 9920, 99204.5 and 99277, Public Utilities Code.
HISTORY

1. Amendment filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
Chapter 2.5. State Transit Assistance Program
Article 1. Purpose and Authority
§6700. Applicability of General Regulations.
Note     •     History

Claimants receiving funding under the State Transit Assistance Program shall also be subject to the provisions of Subchapter 2 (commencing with Section 6600), except for Article 3 (commencing with Section 6620) and those other provisions that are, by their terms, applicable only to local transportation funds or are superseded by the provisions of this subchapter. All terms defined in the Act or in Subchapter 2 have the same meaning when used in this subchapter.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99201, 99203, 99241, 99245, 99246, 99248 and 99314.5, Public Utilities Code.
HISTORY

1. New Subchapter 2.5 (Sections 6700-6758, not consecutive) filed 12-24-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 52).
2. Amendment filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6701. Citation of Authority. [Repealed]
Note     •     History

NOTE

Authority and reference cited: Section 99241, Public Utilities Code.
HISTORY

1. Repealer filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
Article 2. Definitions
§6710. Account.
Note

“Account” means the Transportation Planning and Development Account in the State Transportation Fund, as created pursuant to Section 99310 of the Public Utilities Code.
NOTE

Authority and reference cited: Section 99241, Public Utilities Code.
§6711. Regional Entity.
Note     •     History

“Regional entity” means each transportation planning agency designated by the Director pursuant to Section 29532 of the Government Code, each county transportation commission created by Division 12 (commencing with Section 130000) of the Public Utilities Code, and the San Diego Metropolitan Transit Development Board.
NOTE

Authority and reference cited: Section 99241, Public Utilities Code.
HISTORY

1. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
§6712. Area of Regional Entity.
Note

The “area” of a regional entity means:
(a) For a county transportation commission, all of the area within the county in which the commission is created, pursuant to Public Utilities Code Section 130050.
(b) For the San Diego Metropolitan Transit Development Board, the area within the jurisdiction of the board, as that area is defined by Public Utilities Code Sections 120052 and 120054.
(c) For a transportation planning agency, the area for which it is the designated agency pursuant to Government Code Section 29532, but excluding those areas also under the jurisdiction of the county transportation commissions or the San Diego Metropolitan Transit Development Board.
NOTE

Authority and reference cited: Section99241, Public Utilities Code.
§6713. State Transit Assistance Program.
Note     •     History

“State Transit Assistance Program” means the provisions of the Act related directly to the state transit assistance funds, including Public Utilities Code sections 99312 to 99314.7, inclusive. 
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99312-99314.7, Public Utilities Code.
HISTORY

1. Amendment filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
2. Amendment filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
3. Amendment of section and Note filed 7-20-92; operative 8-19-92 (Register 92, No. 30).
§6714. Allocation.
Note     •     History

“Allocation,” with respect to the State Transit Assistance Program, means:
(a) An action by the State Controller setting apart moneys in the Account for a regional entity pursuant to Public Utilities Code Sections 99313 and 99314.
(b) An action by a regional entity setting apart moneys in its state transit assistance fund for a claimant for a purpose authorized in the Act and taking effect by resolution, pursuant to Section 6753.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99313 and 99314, Public Utilities Code.
HISTORY

1. Amendment filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
2. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
3. Amendment filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
Article 3. Allocations to Regional Entities
§6720. Population Basis for Allocations.
Note     •     History

For the purpose of allocating funds appropriated in each fiscal year pursuant to Public Utilities Code Section 99313, the State Controller shall rely on the annual population estimates prepared prior to the beginning of the fiscal year by the Department of Finance pursuant to Section 2227 of the Revenue and Taxation Code. The funds shall be allocated quarterly.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99313, Public Utilities Code.
HISTORY

1. Amendment of Article 3 heading and repealer and new section filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
2. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
3. Amendment filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
§6721. Operator Apportionments.
Note     •     History

From the funds appropriated pursuant to Public Utilities Code section 99314, the State Controller shall make quarterly allocations to each regional entity for the operators that operate primarily in the area under its jurisdiction. The amount or proportion for each operator shall be identified separately by the State Controller, and that amount or proportion shall constitute an apportionment for each operator within the regional entity's state transit assistance fund. The amount of an operator's apportionment shall be allocated to that operator upon the filing of a claim unless the regional entity finds that the operator does not qualify, pursuant to Public Utilities Code section 99314.6 or 99314.7, or section 6634, to receive the funds, or that the operator is otherwise not in compliance with the Act. Any amount of an operator's apportionment that is not allocated to that operator shall be retained in the state transit assistance fund for later allocation to the same operator or to a succeeding operator on such terms and conditions as the regional entity may determine, except for funds not allocated pursuant to sections 99314.6 or 99314.7, which shall be reallocated in accordance with the provisions in those sections.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99314, 99314.5(a) and (c), 99314.6 and 99314.7, Public Utilities Code.
HISTORY

1. Repealer and new section filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
2. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
3. Amendment filed 9-1-87; operative 10-1-87 (Register 87, No. 37). 
4. Amendment filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
5. Amendment of section and Note filed 7-20-92; operative 8-19-92 (Register 92, No. 30).
§6722. Revenue Basis for Allocations.
Note     •     History

(a) For the purpose of allocating funds appropriated in each fiscal year pursuant to section 99314, an operator's revenue for the prior fiscal year shall be determined by the State Controller from the annual report submitted to the Legislature by the State Controller pursuant to Section 99243.5 of the Public Utilities Code. Allocations made before the State Controller's report becomes available shall be made on the basis of estimates as deemed most appropriate by the State Controller. Subsequent allocations shall be adjusted accordingly. 
(b) For the purpose of this section:
(1) “Qualifying revenues” means revenues in the following or like revenues classes, as included in the annual report submitted by the State Controller pursuant to Public Utilities Code section 99243.5:
Passenger Fares
Special Transit Fares
School Bus Service Revenue
Auxiliary Transportation Revenue
Non transportation Revenue
Property Tax
Sales Tax Revenue
Local General Operating Assistance
Special Districts Augmentation Fund
Local Special Fare Assistance
Homeowner Property Tax Relief
Special Supplemental Subvention
Local Sales Tax
Subsidy--Other Sectors of Operations
Income From Other Activities
(2) “Nonqualifying revenues” means all other revenues, as included in the State Controller's annual report.
(3) “Operating Cost” means the sum of the operator's operating expenses less depreciation and amortization, as included in the State Controller's annual report.
(c) An operator's revenue, for this purpose, shall be determined:
(1) As the operator's operating cost less the sum of its non qualifying revenues; or, at a minimum, as the sum of the operator's fare revenues; or, at a maximum, as the sum of the operator's qualifying revenues.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99243.5 and 99314, Public Utilities Code.
HISTORY

1. New section filed 9-6-84; effective thirtieth day thereafter (Register 84, No. 36). For history of former Section 6722, see Registers 84, No. 25 and 79, No. 52.
2. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
3. Amendment of subsections (b) and (c) filed 10-17-86; effective thirtieth day thereafter (Register 86, No. 42).
4. Amendment of subsection (a) filed 9-1-87; operative 10-1-87 (Register 87, No. 37). 
5. Amendment of subsection (b) filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
§6723. Three-Year Limitation. [Repealed]
Note     •     History

NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 16304, Government Code; and Section 5, Chapter 322, Statutes of 1982.
HISTORY

1. Amendment filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
2. Repealer filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
§6724. Reversion to the Account. [Repealed]
Note     •     History

NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241 and 99315.5, Public Utilities Code.
HISTORY

1. Repealer filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
Article 4. Role of Claimants
§6730. Claims of Operators.
Note     •     History

Claims may be filed for allocations from the state transit assistance fund by an operator for the following purposes:
(a) The operating cost of the operator's public transportation system.
(b) The capital requirements of the operator's public transportation system.
(c) Subsidy of passenger rail services, either by bulk purchases of passenger tickets or by direct payments to a railroad corporation, pursuant to Public Utilities Code sections 99260.2(b) and 99260.5, or for rail passenger service operation and capital improvement expenditures pursuant to Public Utilities Code section 99260.6 and construction and maintenance of intermodal transportation facilities pursuant to Public Utilities Code section 99234.9.
(d) Community transit service purposes pursuant to Public Utilities Code section 99275.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99234.9, 99241, 99260.6, 99313.3 and 99314.5, Public Utilities Code.
HISTORY

1. New subsection (d) filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
2. Amendment of subsection (c) and Note filed 7-20-92; operative 8-19-92 (Register 92, No. 30).
3. Amendment of subsection (c) and Note filed 12-12-94; operative 1-11-95 (Register 94, No. 50).
§6731. Claims of Cities, Counties or Transit Districts.
Note     •     History

Claims may be filed for allocations from the state transit assistance fund by a city or county, or transit district for the following purposes, if it is eligible for allocations from the local transportation fund for such purposes:
(a) Payments for passenger rail service operations and capital improvements pursuant to Public Utilities Code section 99400(b) and construction and maintenance of intermodal transportation facilities pursuant to Public Utilities Code section 99234.9.
(b) Payment to an entity under contract with the city, county or transit district, for transportation services or payment for the claimant's related administrative and planning cost, pursuant to Public Utilities Code sections 99400(c) and 99400(d).
(c) To provide or contract for transportation services to elderly and handicapped persons, if the city, county, or transit district is a member of a joint powers entity operating a public transportation system, pursuant to Public Utilities Code section 99260.7.
(d) Community transit service purposes pursuant to Public Utilities Code section 99275.
(e) Transportation services provided by cities or counties with populations of less than 5,000 pursuant to Public Utilities Code section 99405(d).
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99234.9, 99260.7, 99275, 99310.5, 99313.3, 99314.5, 99400 and 99405(d), Public Utilities Code.
HISTORY

1. Amendment filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
2. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
3. Amendment and new subsection (e) filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
4. Repealer of subsection (e) and subsection renumbering filed 8-1-91; operative 9-2-91 (Register 91, No. 48).
5. Amendment of subsection (a), new subsection (e) and amendment of Note filed 7-20-92; operative 8-19-92 (Register 92, No. 30).
6. Amendment of subsection (a) and Note filed 12-12-94; operative 1-11-95 (Register 94, No. 50).
§6731.1. Claims of Consolidated Transportation Service Agencies.
Note     •     History

Claims may be filed for allocations from the state transit assistance fund by consolidated transportation service agencies for purposes specified in Public Utilities Code section 99275.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99275, 99313.6 and 99314.5, Public Utilities Code.
HISTORY

1. New section filed 8-1-91; operative 9-2-91 (Register 91, No. 48).
§6732. Claim Filing.
Note     •     History

A claimant wishing to receive an allocation from a regional entity's state transit assistance fund at the beginning of the fiscal year shall file an annual claim with the regional entity, in accordance with the rules and regulations established by the transportation planning agency, or in the absence of such rules and regulations at least 90 days prior to the beginning of the fiscal year. Claims may also be filed at any time before the close of the fiscal year. However, claims that are not filed 90 days prior to the beginning of the fiscal year shall be considered only for such moneys as may remain unallocated and available in the state transit assistance fund after action is taken on claims earlier submitted.
If the regional entity is  the San Diego Metropolitan Transit Development Board, the claimant shall also file a copy of the claim on the same day with the transportation planning agency. If the regional entity is a local transportation commission within the area of a multicounty regional agency, the claimant shall file a copy of the claim on the same day with the regional agency. Claims on the funds of different regional entities shall be filed separately.
The claim shall be filed in the form prescribed by the regional entity and shall include the fiscal year for which funds are claimed and the amounts claimed for the purposes identified in each of the subdivisions of sections 6730 and 6731.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99261 and 99314.5, Public Utilities Code; and Section 29532.4, Government Code.
HISTORY

1. Amendment of section and Note filed 10-26-93; operative 11-25-93 (Register 93, No. 44).
§6733. Delinquent Reports.
Note

The regional entity shall take no action on a claim at any time that the claimant is delinquent in submitting to the regional entity either the annual report of its operation required pursuant to Public Utilities Code Section 99243 or the annual certified fiscal audit report required pursuant to Public Utilities Code Section 99245.
NOTE

Authority and reference cited: Section 99241, Public Utilities Code.
§6734. Supplementary Information Required.
Note     •     History

A claimant shall accompany its claim with the following statements, together with a statement signed by the chief financial officer of the claimant attesting to their reasonableness and accuracy:
(a) A budget or proposed budget for the fiscal year of the claim.
(b) A statement of projected or estimated revenues and expenditures for the prior fiscal year.
(c) A certification by the Department of the California Highway Patrol verifying that the operator is in compliance with section 1808.1 of the Vehicle Code, as required in Public Utilities Code section 99251. The certification shall have been completed within the last 13 months, prior to filing claims.
(d) Additional information required to determine the operator's eligibility pursuant to Public Utilities Code section 99314.6 or 99314.7.
The items in each statement shall be consistent with the uniform system of accounts and records adopted by the State Controller pursuant to Public Utilities Code section 99243. The statements shall specifically identify the estimated amount of the claimant's maximum eligibility for moneys from the local transportation fund and the state transit assistance fund, as defined in section 6634.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99203, 99241, 99251, 99314.6 and 99314.7, Public Utilities Code.
HISTORY

1. Amendment filed 8-16-88; operative 9-15-88 (Register 88, No. 34).
2. Amendment and new subsection (d) filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
3. Amendment of section filed 8-1-91; operative 9-2-91 (Register 91, No. 48).
4. Amendment of subsection (d) and Note filed 7-20-92; operative 8-19-92 (Register 92, No. 30).
§6735. Reversion of Excess Funds.
Note

Whenever the regional entity finds that the claimant has received more from the state transit assistance fund than it is eligible to receive, the claimant shall repay the excess amount to the state transit assistance fund upon demand by the regional entity.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99314.5 and 99315.5, Public Utilities Code.
Article 5. Role of Regional Entities
§6750. State Transit Assistance Fund.
Note     •     History

(a) Each regional entity shall create a state transit assistance fund and shall deposit in such fund all moneys allocated and transmitted to it by the State Controller pursuant to Sections 99313 and 99314 of the Public Utilities Code.
(b) The state transit assistance fund shall be established as a trust fund in the county treasury. In the case of a multicounty regional entity, the regional entity's former designation of a county treasurer to be the depositary of the state transit assistance fund shall not be changed without the agreement of the State Controller.
(c) The regional entity shall arrange with the county treasurer for investment of moneys in the state transit assistance fund at the highest rate of return consistent with prudent fund management and the need to permit disbursement of funds allocated to claimants.
(d) Any interest or other income earned by investment of the state transit assistance fund shall accrue to and be a part of the fund. Interest earned during a fiscal year shall be treated in the same manner as funds allocated to the regional entity by the State Controller during that fiscal year.
(e) The state transit assistance fund shall not be commingled with the local transportation fund, nor with planning subventions from the Account, nor with any other revenues or funds of the regional entity or of any city, county, or operator. Where there are two regional entities in the same county, their state transit assistance funds shall not be commingled with each other.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99313, 99313.6 and 99314, Public Utilities Code; and Section 16304, Government Code.
HISTORY

1. Amendment filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
2. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
3. Amendment of subsections (a), (b) and (d) filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
§6751. Audit of State Transit Assistance Fund.
Note     •     History

Each regional entity shall submit to the State Controller, annually and within 180 days after the end of the fiscal year, a report of a fiscal and compliance audit of the financial statements of its state transit assistance fund. If the regional entity is a county transportation commission or the San Diego Metropolitan Transit Development Board, a copy of the audit report shall be transmitted at the same time to the transportation planning agency. The audit shall be conducted in accordance with generally accepted auditing standards by the State Controller or by a certified public accountant or public accountant who is not an officer or employee of the regional entity or of any city, county, or operator within the area of the regional entity and shall include a determination of compliance with the Act and the administrative rules and regulations. If the regional entity and the county auditor so agree, the audits of the local transportation fund (pursuant to Section 6661) and the state transit assistance fund may be conducted by the same auditor and may be submitted together in one audit report to the State Controller and to the transportation planning agency. The State Controller shall not authorize the payment of any allocation to a regional entity that is delinquent in its submission of a fiscal audit report.
The financial statements shall be prepared in accordance with generally accepted accounting principles. The statements shall include, but not be limited to
(a) a balance sheet,
(b) a statement of the revenues and expenditures during the fiscal year,
(c) a statement of changes in the fund balance, and
(d) supplemental schedules as necessary to list or identify
(1) the net amounts allocated and net amounts disbursed during the fiscal year for each of the allocation purposes specified in Sections 6730 and 6731,
(2) any portion of the fund balance that is allocated or reserved,
(3) any interest or other income earned by investment of the fund during the fiscal year,
(4) any amounts included in the fund balance that are apportioned to an operator pursuant to Section 6721, and
(5) any amounts that have been transferred or that have been received as a result of a transfer as authorized by Section 99313.1.
All fiscal and accounting records and other supporting papers related to the state transit assistance fund shall be maintained for a minimum of four fiscal years following the close of the fiscal year and shall be available for inspection and audit by the State Controller.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99245, 99313, 99313.6, 99314 and 99314.5, Public Utilities Code; and Section 16304, Government Code.
HISTORY

1. Amendment filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
2. Amendment filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
3. Amendment filed 12-30-85; effective thirtieth day thereafter (Register 86, No. 1).
4. Amendment filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
5. Amendment of subsection (d)(2) filed 8-17-89; operative 9-16-89 (Register 89, No. 34).
§6752. Allocations to Claimants.
Note     •     History

Prior to the beginning of the fiscal year, the regional entity shall take action on all claims submitted at least 90 days prior to the beginning of the fiscal year in accordance with section 6732, and such allocations shall take effect on the first day of the fiscal year. The regional entity may allocate to all claimants in its area collectively an amount not to exceed the sum of the State Controller's most recent estimate of the amount to be allocated to the regional entity during the fiscal year and the balance available from the State Controller's allocations to the regional entity in the prior two fiscal years.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99313, 99314 and 99241, Public Utilities Code.
HISTORY

1. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
2. Amendment filed 9-1-87; operative 10-1-87 (Register 87, No. 37). 
3. Amendment filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
§6753. Allocation Resolution.
Note     •     History

Allocations to claimants shall be made and take effect by resolution adopted by the governing board of the regional entity. Each allocation shall be numbered or otherwise identified for record keeping and reporting purposes. Allocations made to the same claimant for different purposes, as defined in Sections 6730 and 6731, shall be identified separately. Each allocation instruction shall designate (1) the fiscal year for which the allocation is made, (2) the amount allocated to the claimant for each of the purposes defined in Sections 6730 and 6731, and (3) any other terms and conditions of the allocation. The allocation instruction shall also specify conditions of payment and may call for a single payment, for payments as moneys become available, or for payment by installments monthly, quarterly, or otherwise. The transportation-planning agency shall convey allocation instructions to the county auditor by written memorandum of its executive director accompanied by a certified copy of the resolution authorizing the action. No allocation is made or shall take effect except by such allocation instruction. The transportation-planning agency shall convey at least one allocation instruction annually and prior to the beginning of the fiscal year for each operator or city, county or transit district, which has filed an annual claim pursuant to Sections 6730 and 6731. The transportation-planning agency may, however, delay an allocation instruction until after the beginning of the fiscal year with the consent of the claimant. 
The amount of a regional entity's allocation for a fiscal year that is not allocated to claimants for that fiscal year shall be available to the regional entity for allocation in the following fiscal year.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241 and 99314.5, Public Utilities Code.
HISTORY

1. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
2. Amendment filed 10-17-86; effective thirtieth day thereafter (Register 86, No. 42).
3. Amendment of first paragraph filed 1-10-2008; operative 2-9-2008 (Register 2008, No. 2).
§6754. Required Findings.
Note     •     History

(a) The regional entity may allocate funds to an operator or a transit service claimant only if, in the resolution allocating the funds, it finds all of the following:
(1) The claimant's proposed expenditures are in conformity with the Regional Transportation Plan.
(2) The level of passenger fares and charges is sufficient to enable the operator or transit service claimant to meet the fare revenue requirements of Public Utilities Code sections 99268.2, 99268.3, 99268.4, 99268.5, and 99268.9, as they may be applicable to the claimant.
(3) The claimant is making full use of federal funds available under the Urban Mass Transportation Act of 1964, as amended.
(4) The sum of the claimant's allocations from the state transit assistance fund and from the local transportation fund does not exceed the amount the claimant is eligible to receive during the fiscal year.
(5) Priority consideration has been given to claims to offset reductions in federal operating assistance and the unanticipated increase in the cost of fuel, to enhance existing public transportation services, and to meet high priority regional, countywide, or area-wide public transportation needs.
(b) The regional entity may allocate funds to an operator for the purposes specified in section 6730 only if, in the resolution allocating the funds, it also finds the following:
(1) The operator has made a reasonable effort to implement the productivity improvements recommended pursuant to Public Utilities Code section 99244. This finding shall make specific reference to the improvements recommended and to the efforts made by the operator to implement them.
(2) A certification by the Department of the California Highway Patrol verifying that the operator is in compliance with section 1808.1 of the Vehicle Code, as required in Public Utilities Code section 99251. The certification shall have been completed within the last 13 months, prior to filing claims.
(3) The operator is in compliance with the eligibility requirements of Public Utilities Code section 99314.6 or 99314.7.
(c) The regional entity may authorize an operator to exchange funds pursuant to Public Utilities Code section 99314.4(b) only if, in the resolution allocating the funds made available pursuant to Public Utilities Code section 99231, it finds that the operator is eligible to receive state transit assistance funds.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99231, 99244, 99251, 99310.5, 99313.3, 99314.3, 99314.4(b), 99314.5, 99314.6 and 99314.7, Public Utilities Code.
HISTORY

1. Amendment filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
2. Amendment filed 8-16-88; operative 9-15-88 (Register 88, No. 34).
3. Amendment of new subsection (b)(5) filed 8-13-90; operative 9-12-90 (Register 90, No. 40).
4. Amendment of subsection (c) filed 8-1-91; operative 9-2-91 (Register 91, No. 48).
5. Repealer of subsection (b)(3), subsection renumbering, amendment of subsection (b)(4) and Note filed 7-20-92; operative 8-19-92 (Register 92, No. 30).
6. Amendment of subsections (a)(2) and (b)(1), repealer of subsection (b)(2), subsection renumbering and amendment of newly designated subsections (b)(2)-(3) and subsection (c) filed 1-10-2008; operative 2-9-2008 (Register 2008, No. 2).
§6755. Maximum Use of Local Transportation Funds. [Repealed]
Note     •     History

NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99314.5 and 99315(a), Public Utilities Code.
HISTORY

1. Repealer and amendment of Note filed 7-20-92; operative 8-19-92 (Register 92, No. 30).
§6756. Revised Allocations.
Note

Once an allocation has been made to a claimant by the regional entity, it may be rescinded or revised only under one of the following circumstances:
(a) A revised claim has been filed by the claimant or an appeal affecting the allocation has been filed.
(b) The claimant is found to be spending, or unless enjoined to be about to spend, moneys otherwise than in accordance with the terms of the allocation.
(c) An adjustment is proved to be necessary to reconcile the estimates on which the allocation was based with the actual figures or revised estimates.
(d) The financial needs of the claimant differ from those at the time of the allocation due to changed circumstances.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241 and 99314.5, Public Utilities Code.
§6757. Funds Committed for Pending Grant Application. [Repealed]
Note     •     History

NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241 and 99315.5, Public Utilities Code.
HISTORY

1. Repealer filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§6758. Resolutions Transmitted to Secretary. [Repealed]
Note     •     History

NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Sections 99241, 99314.5 and 99315.5, Public Utilities Code.
HISTORY

1. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 1).
2. Amendment filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
3. Repealer filed 8-16-88; operative 9-15-88 (Register 88, No. 34).
Chapter 3. Conflict of Interest Code
Article 1. General Provisions
§7000. General Provisions.
Note     •     History

The Political Reform Act, Government Code sections 81000, et seq., requires state and local government agencies to adopt and promulgate conflict-of-interest codes. The Fair Political Practices Commission has adopted a regulation, Title 2, California Code of Regulations, section 18730, which contains the terms of a standard conflict-of-interest code, which can be incorporated by reference, and which may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act after public notice and hearings. Therefore, the terms of Title 2, California Code of Regulations, section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission, along with the attached Appendix in which officials and employees are designated and disclosure categories are set forth, are hereby incorporated by reference and constitute the conflict-of-interest code of the Business, Transportation and Housing Agency (Agency).
Designated employees shall file statements of economic interests with the Agency, which will make the statements available for public inspection and reproduction. Upon receipt of the statement of the Secretary, the Agency shall make and retain a copy and forward the original of this statement to the Fair Political Practices Commission. Statements for all other designated employees will be retained by the Agency.
NOTE

Authority cited: Sections 87300 and 87304, Government Code. Reference: Section 87300, et seq., Government Code.
HISTORY

1. New subchapter 3 (sections 7000-7044, not consecutive) filed 3-4-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 1-19-77 (Register 77, No. 10).
2. Repealer of subchapter 3 (sections 7000-7044, not consecutive) and new subchapter 3 (section 7000 and Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
3. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations, of Appendix filed 3-26-90. Approved by Fair Political Practices Commission 2-15-90 (Register 90, No. 19).
4. Amendment of Appendix filed 10-17-94; operative 11-16-94. Submitted to OAL for printing only. Approved by Fair Political Practices Commission 8-16-94 (Register 94, No. 42).
5. Amendment of Appendix filed 9-2-98; operative 10-2-98. Submitted to OAL for printing only. Approved by Fair Political Practices Commission 6-30-98 (Register 98, No. 36).
6. Amendment of section and Appendix filed 12-4-2001; operative 1-3-2002. Approved by Fair Political Practices Commission 10-9-2001  (Register 2001, No. 49). 
7. Amendment of Appendix filed 7-7-2006; operative 8-6-2006. Approved by Fair Political Practices Commission 4-28-2006 (Register 2006, No. 27).
8. Amendment of General Provisions and appendix filed 9-30-2010; operative 10-30-2010. Approved by Fair Political Practices Commission 8-18-2010 (Register 2010, No. 40).

Appendix

Designated Employees 	Disclosure
	Category

Secretary 	 1
Undersecretary 	 1
Deputy Secretary 	 1
Legal Counsel 	 1
Assistant Secretary	 1
Special Assistant to the Secretary	 1
Chief Financial Officer 	 1
Chief, Office of Internal Audits	 1
Senior Policy Advisor	 1

California Film Commission
Associate Governmental Program Analyst	 3
Deputy Director	 1
Director	 1
Motion Picture Production Analyst	 3

Infrastructure and Economic Development Bank
Associate Development Specialist	 2
Career Executive Assignment (Assistant Executive Director, 
 I-Bank)	 1
Executive Director	 1
General Counsel	 1
Loan Officer (Municipal Finance Officer)	 2
Loan Officer	 2
Senior Accounting Officer Specialist/Accounting Officer Specialist	 2
Senior Loan Officer (Supervisor)	 2
Staff Loan Officer (Specialist) (Manager, Conduit Bond Financing)	 2
Staff Loan Officer (Specialist) (Municipal Finance Specialist)	 2
Staff Loan Officer (Specialist) (Manager, Credit Support Unit)	 2
Staff Counsel	 1

Public Infrastructure Advisory Commission
Commissioner	 4 

Small Business Loan Guarantee Program
Associate Governmental Program Analyst	 2
Senior Development Supervisor	 2

Division of Tourism
Associate Governmental Program Analyst	 3
Staff Services Manager I	 3

Consultants	 *

	
*Consultants shall be included in the list of designated employees and shall disclose pursuant to the broadcast disclosure category in the code subject to the following limitation: The Agency Secretary may determine in writing that a particular consultant, although a “designated position,” is hired to perform a range of duties that is limited in scope and thus is not required to fully comply with the disclosure requirements in this section. Such written determination shall include a description of the consultant's duties and, based upon that description, a statement of the extent of disclosure requirements. The Agency Secretary's determination is a public record and shall be retained for public inspection in the same manner and location as this conflict-of-interest code. (Gov. Code Sec. 81008).
The Board Members of I-Bank are not covered by the code because the positions manage public investments. Individuals holding such positions must file under Government Code Section 87200 and are listed for informational purposes only. Section 87200 requires disclosure of all investments and business positions in business entities, all income, including gifts, loans and travel payments, and real property. Statements are maintained at the Fair Political Practices Commission.

Disclosure Categories
1. All designated employees in Category 1 shall disclose all investments, business positions, interests in real property and income, including gifts, loans, and travel payments.
2. All designated employees in Category 2 shall disclose all investments and business positions in business entities, interests in real property, and sources of income, including gifts, loans and travel payments, from sources of the type that: a) participate in programs administered by the Agency or b) provide leased facilities, goods, equipment, vehicles, machinery or services, including training or consulting services utilized by the Agency or c) engage in real estate transactions, as well as all interests in commercial and industrial real property. Such sources include but are not limited to: bond counsel and accounting firms, financial advisory firms, law firms, accounting firms and applicants for bond financing.
3. All designated employees in Category 3 shall disclose all investments, business positions in business entities and sources of income, including gifts, loans and travel payments, from sources of the type that a) engage in the entertainment or tourism industry or b) provide leased facilities, goods, equipment, vehicles, machinery or services, including training or consulting services utilized by the Film Commission or Office of Tourism or c) participate in programs administered by the Film Commission or Office of Tourism.
4. All designated employees in Category 4 shall disclose all investments and business positions in business entities, and income, including gifts, loans and travel payments, from sources that are of the type utilized by public entities in environmental and transportation planning, engineering, design, repair, construction, and project management, or of the type that provide investments, financing, public finance underwriting, or related professional services in connection with transportation public works projects.
Chapter 4. Regulations Pursuant to the Housing Financial Discrimination Act of 1977

(Originally Filed 4-13-79)
EDITORIAL NOTE: Regulations concerning similar subject matter previously contained in Title 10, Chapter 2, Subchapters 23 and 24.
Article 1. General Provisions
§7100. Purpose and Scope.
Note     •     History

NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35800-35833, Health and Safety Code.
HISTORY

1. New Subchapter 4 (Sections 7100-7117, not consecutive) filed 4-13-79; effective thirtieth day thereafter(Register 79, No. 15).
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§7101. General Provisions.
Note     •     History

(a) These regulations shall supersede Title 10, California Code of Regulations, Subchapters 23 and 24, promulgated by the Savings and Loan Commissioner and shall be known as California's Fair Lending Regulations.
(b) A reference in any provision of this subchapter to a statute or to a regulation includes such statute or regulation as amended, whether before or after the effective date of such provision, as well as any new statute or regulation substituted for the statute or regulation after the effective date of the provision.
(c) A reference in any provision of this subchapter to a governmental agency or to a public officer includes any governmental agency or public officer which succeeds after the effective date of such provision to substantially the same functions as those performed by such governmental agency or public officer on the effective date of the provision.
(d) No provision of this subchapter shall be construed to require by implication that the Secretary hold a hearing on any matter.
(e) (Reserved)
(f) The Secretary or the Secretary's designee shall monitor compliance with the provisions of the Act through examination reports, surveys, and other reports required by state or federal law. Where existing reports are inadequate for assessing the financial institution's records under this subchapter, the Secretary or Secretary's designee may conduct other monitoring as necessary. The Commissioner of Financial Institutions shall consider the record of a financial institution licensed or chartered by the Commissioner of Financial Institutions with respect to the intent of this subchapter whenever such a financial institution applies for a new branch, a change in location, merger or consolidation.
(g) The provisions of this subchapter shall not apply to the purchase of loans or participations therein that have been originated in compliance with the Act and these regulations nor shall the purchaser of such loans be subject to the requirements of these regulations solely by reason of such purchase.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35800-35833, Health and Safety Code.
HISTORY

1. Order of Repeal of subsection (e) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
2. Change without regulatory effect amending subsection (a) filed 1-10-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 2).
3. Change without regulatory effect amending subsection (f) filed 2-5-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 6).
§7102. Definitions.
Note     •     History

(a) “Agency” means the Business, Transportation & Housing Agency.
(b) “Applicant” means any person who makes an oral or written request for financial assistance or who has received financial assistance from a financial institution and includes any person who is or may be contractually liable for the financial assistance other than a guarantor, surety, endorser, or similar party.
(c) “Application” means an oral or written request for financial assistance that is made in accordance with procedures established by a financial institution for the type of credit requested. A completed application means an application in connection with which a financial institution has received all the information that the financial institution regularly obtains and considers in evaluating applications for the amount and type of credit requested (including, but not limited to, credit reports, any additional information requested from the applicant, and any approvals or reports by governmental agencies or other persons that are necessary to guarantee, insure, or provide security for the credit or collateral), provided, however, that the financial institution has exercised reasonable diligence in obtaining such information. Where an application is incomplete respecting matters that the applicant can complete, the financial institution shall make a reasonable effort to notify the applicant of the incompleteness and shall allow the applicant a reasonable opportunity to complete the application. The term does not include the use of an account or line of credit to obtain an amount of credit that does not exceed a previously established credit limit.
(d) “Bank” means state-chartered bank or national banking association.
(e) “Depository institution” means a financial institution which accepts savings or checking deposits from the public and shall only include commercial banks and savings and loan associations.
(f) “Fair market value” means the highest price which a property will bring in a competitive and open market under all conditions requisite to fair sale, the buyer and seller acting prudently and knowledgeably.
(g) “Financial assistance” means a loan or advance of credit secured by real property or a public grant where more than 50 percent of the proceeds are for the purchase, construction, rehabilitation, improvement or refinancing of a housing accommodation. The term “financial assistance” includes, but is not limited to, combination mobile home and land loans or contracts, combination personal property and real property secured loans, and the purchase of secured home improvement contracts. A financial institution may rely upon the stated written purpose of the loan as provided by the borrower.
(h) “Financial institution” includes any bank, savings and loan association, or other institution in this state, including a public agency, that regularly makes, arranges, or purchases financial assistance for the purchase, construction, rehabilitation, improvement, or refinancing of housing accommodations.
(i) “Home improvement” loan means a loan or advance of credit secured by real property made for the purpose of financing repairs, alterations, rehabilitation or fixtures, except furnishings, on a housing accommodation. The terms “improvement” and “improving” relate to a home improvement loan. A financial institution shall be able to rely upon the stated written purpose of the loan as provided by the applicant or the application for financial assistance.
(j) “Housing accommodation” includes any improved or unimproved real property, or portion thereof, that (1) is used or is intended to be used as a residence, (2) is or will be occupied by the owner, and (3) contains not more than four dwelling units. “Housing accommodation” shall also include any residential dwelling containing not more than four dwelling units where the owner thereof, whether or not the owner will occupy the property, applied or has applied for a secured home improvement loan from a financial institution, 50 percent of the proceeds of which loan will be used to improve the security property. “Housing accommodation” also means “subject property” and the “security property” wherever those phrases are used in this Subchapter 4.
(k) “Inquiry” means a written, or an oral in-person, request for information about the rates, fees, terms, and conditions of financial assistance the institution may or may not offer.
(l) “Other institution in this state” includes, but is not limited to, the following: real estate brokers when engaged in mortgage banking, state- or federally-chartered credit union, insurance company, industrial loan company, residential mortgage lenders, finance lenders, California Housing Finance Agency, Department of Veterans Affairs or other public entities, home improvement contractors, heating and air conditioning companies, or any institution which maintains offices in this state or which conducts business through authorized agents or correspondents doing business in California.
(m) “Refinancing” means the extension or other modification of an existing loan initially made or previously refinanced for the purpose of purchasing, constructing, rehabilitating, or improving housing accommodations, whether by modification of the original loan or its payoff through a new loan, whether by the holder of the original loan or a different financial institution, and whether or not additional funds are advanced for these purposes. “Refinancing” does not include any subsequent modification of terms where such modification was agreed to under the original contract, or changes in the interest rate of a loan written pursuant to Section 1916.5 of the Civil Code or any loan made pursuant to Section 1237 or Section 7153.9 of the Financial Code.
(n) “Regularly” means at least twelve or more transactions annually during the immediately preceding calendar year that in aggregate total more than $500,000 in value. “Regularly” does not include loans made by financial institutions to its own employees.
(o) “Savings and loan association” means those savings and loan associations which are subject to the jurisdiction of the Act.
(p) “Secretary” means the Secretary of the Business and Transportation Agency.
(q) “Secretary's designee” means the Commissioner of Financial Institutions in the case of state-licensed savings and loan associations, the Commissioner of Financial Institutions in the case of state banks, the Commissioner of Financial Institutions in the case of state credit unions and industrial loan companies, the Commissioner of Corporations in the case of finance lenders, licensed under the California Finance Lenders Law, and residential mortgage lenders licensed under the California Residential Mortgage Lending Act, the Commissioner of Insurance in the case of insurance companies, the Real Estate Commissioner in the case of real estate brokers when engaged in mortgage banking, and any other governmental entity or any other individual whom the Secretary designates to effectuate the purposes of the Act. Subparagraphs (p) and (q) of Section 7102 shall be used interchangeably throughout these regulations.
(r) For purposes of compliance with these regulations by a credit union, the words “applicant,” “inquirer,” “general public,” “persons,” and “public” as used in these regulations mean “members or persons eligible for membership in that credit union.” 
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Section 35805, Health and Safety Code.
HISTORY

1. Change without regulatory effect of subsection (q); designated effective 4-1-87 (Register 87, No. 7).
2. Change without regulatory effect amending subsection (q) filed 1-10-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 2).
3. Change without regulatory effect amending subsections (a), (l) and (q) filed 2-5-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 6).
§7102.1. Scope of Definitions.
Note

These definitions shall control except where the context of these regulations indicates otherwise.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Section 35805, Health and Safety Code.
Article 2. Nondiscrimination Requirements
§7105. Nondiscrimination in Lending.
Note

(a) No financial institution may deny financial assistance or discriminate in fixing the amount, interest rate, duration, application procedures, or other terms or conditions of such financial assistance based upon:
(1) The consideration of
(A) The age of residential structures in the neighborhood or geographic area surrounding the subject property unless the financial institution can demonstrate that such consideration in a particular case is required to avoid an unsafe and unsound business practice;
(B) The location of the housing accommodation in a neighborhood or geographic area including such areas which the financial institution has previously assumed are declining unless the financial institution can demonstrate that such consideration in a particular case is required to avoid an unsafe and unsound business practice;
(C) The location of the housing accommodation on or near land zoned industrial or commercial or located on or near land zoned for other non-conforming uses unless the financial institution can demonstrate that such consideration in a particular case is required to avoid an unsafe and unsound business practice; and
(D) Other conditions, characteristics or trends in the neighborhood or geographic area surrounding the housing accommodation unless the financial institution can demonstrate that such consideration in a particular case is required to avoid an unsafe and unsound business practice.
(2) Consideration of race, color, religion, sex, marital status, national origin or ancestry of the person or persons who own, propose to buy, or will inhabit the housing accommodation.
(3) The consideration of the racial, ethnic, religious, or national origin composition of a neighborhood or geographic area surrounding a housing accommodation or whether or not such composition is undergoing change, or is expected to undergo change.
(b) No financial institution shall use or engage in a lending or underwriting policy or in a marketing system which has a discriminatory effect on the basis of race, religion, sex, marital status, national origin, or ancestral group unless the financial institution can demonstrate that such system, policy or practice is required to achieve a legitimate business purpose.
(c) Nothing in these regulations shall require a financial institution which is subject to laws regarding usury to make a conventional mortgage loan or consider an application for a conventional mortgage loan during periods when market interest rates for conventional mortgage loans are in excess of the maximum rate of interest permitted by Article XV of the California Constitution.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
§7105.1. Discrimination by Effect.
Note

The key principle of Section 7105(b) herein is that if it is clear that a practice has a discriminatory effect against a protected group, the burden shifts to the financial institution to demonstrate that the practice is required to achieve a legitimate business purpose. Under this concept, each policy or practice is evaluated by first asking whether or not the policy or practice is discriminatory in effect. If the answer to this is “yes,” then the financial institution will be considered to be in violation of the regulations unless it can demonstrate that the practice is required to achieve a legitimate business purpose. In evaluating a practice in accordance with the principles set forth in Section 7105(b) herein, the business purpose must be an important business purpose sufficiently compelling to override any discriminatory impact, the challenged practice must effectively carry out the business purpose it is alleged to serve, and there must be available no acceptable alternative policies or practices which would better accomplish the business purpose advanced--or accomplish it equally well--with a lesser discriminatory impact.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
§7105.2. Discrimination on the Basis of Sex or Marital Status.
Note

Section 35811 of the Act and 7105(a)(2) prohibit discrimination on the basis of sex and marital status. These regulations codify, and incorporate by reference, all federal and state laws governing such discrimination, including, but not limited to, the Federal Equal Credit Opportunity Act, the Federal Fair Housing Act, the National Housing Act, the California Unruh Civil Rights Act, the Rumford Fair Housing Act and the provisions of the California Civil Code commencing with Section 1812.30. For purposes of example, a financial institutions shall consider the following:
(a) Financial institutions shall consider without prejudice the combined incomes of both husband and wife;
(b) Sex discrimination against any person seeking financial assistance with respect to any aspect of the transaction is prohibited;
(c) Refusing to lend, requiring higher standards of creditworthiness of, or imposing different terms on, members of one sex or individuals of one marital status is discriminatory based upon sex or marital status. Loan underwriting decisions must be based upon an applicant's credit history and present and reasonably foreseeable economic prospects, rather than on the basis of assumptions regarding comparative differences in creditworthiness between married and unmarried individuals, or between men and women; and
(d) A practice of discounting all or part of either spouse's income where both spouses apply jointly may discriminate on the basis of sex. As with other income, when spouses apply jointly, determination as to whether or not a spouse's income qualifies for credit purposes should depend upon a reasonable evaluation of his or her past, present, and reasonably foreseeable economic circumstances. 
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
§7105.3. Income Level or Racial Composition of Area.
Note

Refusing to provide financial assistance or providing financial assistance on less favorable terms in particular neighborhoods or geographic areas because of their racial composition or income level is unlawful.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
§7106. Avoidance of Unsafe and Unsound Business Practices.
Note     •     History

(a) It is the strong intent of the Act and regulations that financial institutions should be making every effort to find and make sound loans in low loan volume areas, and compliance with the Act and regulations will be viewed in this light. The Act and these regulations should be interpreted to prohibit the use of unfounded and unsubstantiated assumptions regarding the effect upon loan risk of the physical or economic characteristics of a neighborhood or geographic area. A properly prepared appraisal using the market data approach will adequately reflect neighborhood characteristics affecting the subject property.
(b) Pursuant to Section 35810 of the Act, consideration of conditions, characteristics or trends in the neighborhood or geographic area surrounding the housing accommodation shall be deemed to be required to avoid an unsafe and unsound business practice only in accordance with one or more of the following provisions of this Section:
(1) If a financial institution can document that one or more factors relating to the geographic area closely surrounding the security property are likely to cause the fair market value of the security property to decrease during the early years (three to five years) of the mortgage term, even assuming the availability of nondiscriminatory financing in a geographic area, then the financial institution, in determining whether and under what terms and conditions to grant financial assistance, may make adjustments or additional requirements in the loan terms. Provided, however, that no adjustment or additional requirement made pursuant to this subsection shall exceed the minimum reasonably estimated to be required for the security property to continue to be an adequate security for the loan.
(2) Natural or Other Hazardous Conditions. A financial institution may consider such hazards surrounding the security property to the extent demonstrably required to avoid an unsafe or unsound business practice.
(c) Nothing herein shall preclude a financial institution from considering the properly appraised fair market value of the property which will secure the proposed loan. 
(d) (Reserved)
(e) (Reserved)
(f) As a general rule, zoning, including zoning which designates the security property as a non-conforming use, will be reflected in the appraised value of the property. However, insofar as a pending or recent zoning change may affect the short-term value of the security property (i.e., three to five years), it may be a valid reason for altering the terms of the loan or denying the loan as described in Section 7106. This issue should be approached with caution however. The fact that a housing accommodation is located on or near land zoned industrial or commercial will not in itself be an adequate basis for the denial of the loan. In many instances the location of a housing accommodation in or near a commercial zone may increase its fair market value. However, in cases where the financial institution is reasonably assured that a building permit would not be issued in the event of a casualty loss, due to zoning, the financial institution may be justified in denying the loan. Similarly, the fact that a housing accommodation is located on or near land zoned agricultural or is located in a remote rural area will not in itself be an adequate basis for the denial of a loan. The impact of these factors should be taken into consideration in the appraisal report in the estimation of fair market value and in comments regarding the neighborhood or geographic area surrounding the subject property.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
HISTORY

1. Order of Repeal of subsections (d) and (e) filed 6-3-85 by OAL pursuant to Government Code section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§7107. Nondiscrimination in Applications.
Note

(a) No financial institution may discourage, or refuse to allow, receive, or consider any application, request, or inquiry regarding a loan, or discriminate in imposing conditions upon, or in processing, any such application, request, or inquiry on the following bases:
(1) The condition, characteristics or trends of the housing accommodation;
(2) A concentration of race, color, religion, sex, marital status, national origin or ancestry of the person or persons who own, propose to buy, or will inhabit the housing accommodation; and
(3) The racial, ethnic, religious, or national origin composition of the neighborhood or geographic area surrounding the housing accommodation or based upon a consideration that such composition is undergoing change, or is expected to undergo change.
(b) Communications designed to provide information to a prospective applicant about rates, fees, terms, conditions, or other loan services a financial institution may or may not offer, shall not be prohibited if the information is provided in a manner consistent with subparagraph (a) above.
(c) A financial institution shall inform each inquirer of his or her right to file a written loan application, and to receive a copy of the financial institution's loan evaluation criteria.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
§7108. Nondiscriminatory Loan Evaluation.
Note     •     History

NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
HISTORY

1. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§7109. Nondiscriminatory Underwriting.
Note

Each financial institution shall evaluate loan applications in accordance with the criteria set forth in Sections 7109.1-7109.6 herein.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
§7109.1. Supplementary Income.
Note

Lending standards which take into consideration only the non-overtime income of the primary wage earner may result in discrimination in that they do not take into account variations in employment patterns among individuals and families. The determination as to whether primary income or additional income qualifies as effective income for credit purposes should depend upon whether such income may reasonably be expected to continue through the early period of the mortgage term. Automatically discounting other income from bonuses, overtime or part-time employment will deny financing to persons who otherwise may be creditworthy. Since statistics show that minority group members and low- and moderate-income families rely more often on such supplemental income, the practice may be racially discriminatory in effect as well as artificially restrictive of opportunities for home financing.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
§7109.2. Evaluating Creditworthiness.
Note

In the evaluation of an individual's creditworthiness, the financial institution should take into consideration all relevant factors which indicate an ability to repay the obligation. A financial institution shall consider the following:
(a) A policy of favoring applicants who have previously owned homes over applicants who have not may perpetuate prior discrimination;
(b) In some instances, past credit difficulties may have resulted from discriminatory practices;
(c) Excessively restrictive practices in judging a criminal record may result in discrimination;
(d) The practice of disallowing income regularly received from overtime and production bonuses and from part-time employment may be discriminatory;
(e) Greater emphasis should be placed on the earnings of the applicant than on other factors, such as educational level;
(f) Job or residential changes may indicate upward mobility; and
(g) Preferring applicants who have done business with the financial institution can perpetuate previous discriminatory policies.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
§7109.3. Payment-to-Income and Debt-to-Income Ratios.
Note

Financial institutions should review their underwriting rules with respect to payment to income ratios or installment debt to income ratios to reflect the increasing percentage of income that must be devoted to housing expense. Overly restrictive or inflexible payment to income ratios may discriminate against low- and moderate-income persons who often must devote a greater percentage of their income to basic necessities such as housing. Any payment to income ratio should be applied with flexibility to allow for a case-by-case determination.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
§7109.4. Code Violations and Condition of Property.
Note

Financial institutions may not deny a loan nor require corrective work as a condition of granting the loan because of the physical condition of the property or code violations relating to the property except as follows:
(a) If the cost of the corrective work is more than ten percent of the market value of the property before repairs or
(b) If necessary to correct dangerous conditions which are a threat to the health and safety of the occupants or to correct significant structural defects, or to make the property reasonably habitable. Repairs which are primarily cosmetic including but not limited to painting, redecorating, landscaping, and minor repairs may not be required.
Where corrective work is required, the financial institution should make every reasonable effort to increase the loan amount to include the enhanced value which will result from the required corrective work.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
§7109.5. Remaining Economic Life.
Note

Financial institutions have a legitimate interest in the current fair market value of the security property and in its future value if a decrease in value would result in there being inadequate security for the loan. However, making an estimate of remaining economic life for a period longer than three to five years may be a difficult task which requires particular care by the appraiser. Therefore, in order for the estimate and consideration thereof to be as objective as possible, the appraiser should furnish adequate explanatory support for any estimate less than the loan term requested in a particular case. If the estimate of remaining economic life is based upon factors related basically to the building itself, such as condition, the financial institution should exert its best efforts to bring about correction of the deficiencies and have the cost included in the mortgage so that the loan amount would be based on the value of the property “as-rehabilitated” rather than “as-is.” In any event, the concept of remaining economic life shall not be used by underwriters to deny or unfavorably adjust loan terms except in the limited circumstances referred to above.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
§7109.6. On-Site Characteristics.
Note

The use of a rigid list of select on-site characteristics as an automatic basis for rejecting a loan can have a discriminatory effect against some neighborhoods and borrowers. For example, use of a rigid underwriting rule which establishes a minimum square footage requirement may be discriminatory. To the extent such lending policies do have a discriminatory effect, and there is no legitimate business purpose served, such policies shall constitute a violation of the Act. The financial institutions shall evaluate the on-site characteristics or physical conditions of each security property on a case-by-case basis.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
§7110. Nondiscriminatory Appraisals.
Note

(a) No financial institution shall utilize an appraisal or shall deny a loan based upon an appraisal which the financial institution knows or reasonably should know discriminates on any of the following bases:
(1) The neighborhood or geographic area surrounding the subject property;
(2) A consideration of race, color, religion, sex, marital status, national origin or ancestry; and
(3) A consideration of the racial, ethnic, religious or national origin composition of the neighborhood or geographic area surrounding the subject property or whether or not such composition is undergoing change or is expected to undergo change.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
§7111. Affirmative Loan Statement.
Note     •     History

(a) (Reserved)
(b) In connection with its examination of a financial institution, the Commissioner of Financial Institutions shall assess the record of the financial institution in helping meet the financial assistance needs of its entire community, including low- and moderate-income neighborhoods and geographic areas.
(c) This section shall not apply to non-depository financial institutions.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Section 35802 and Sections 35810-35815, Health and Safety Code.
HISTORY

1. Order of Repeal of subsection (a) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
2. Change without regulatory effect amending subsection (b) filed 2-5-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 6).
§7112. Special Lending Programs.
Note

(a) Nothing in the Act or these regulations shall prohibit or penalize any governmental agency or financial institution covered by this Act from establishing special purpose credit programs as permitted and defined under federal Regulation B, 12 CFR 202.8, which provides financial assistance to an economically disadvantaged class of persons on more favorable terms and conditions than those available to the general public.
(b) Nothing in the Act or these regulations shall prohibit any State or local governmental agency or any financial institution from establishing a program for financial assistance which designates a particular geographic area or neighborhood for receipt of special financial assistance on terms and conditions more favorable than those available to the general public as long as the area or neighborhood is not designated in a manner inconsistent with the purposes of the Act.
(c) Nothing in the Act or these regulations shall prohibit a financial institution from participating in any program for financial assistance sponsored by any state or local governmental agency which designates a particular geographic area or neighborhood for receipt of special financial assistance on terms and conditions more favorable than those available to the general public as long as such program is in furtherance of the purposes of the Act.
(d) Nothing in the Act or these regulations shall prohibit the Department of Veterans' Affairs from administering the Veteran Farm and Home Purchase Acts of 1943 and 1974 in accordance with the applicable provisions of the California Constitution, the Military and Veterans' Code, and the Department's rules, regulations, policies, and procedures established in furtherance of the purposes of those Acts and provisions so long as such rules, regulations, policies, and procedures are not contrary to the purposes of the Act and these regulations.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Section 35802 and Sections 35810-35815, Health and Safety Code.
Article 3. Mortgage Banking
§7113. Definitions.
Note

(a) “Commitment” as used in these regulations means a promise by a financial institution as part of a contractual agreement to purchase loans which are originated, financed, and closed in accordance with criteria established by said financial institution.
(b) “Mortgage banker” means a person, partnership, corporation or other business entity engaged in the business of mortgage banking.
(c) “Mortgage banking” is the originating, financing, and closing of loans on real property and the selling of the loans to permanent institutional investors.
(d) “Permanent institutional investors” means a person, partnership, corporation or other business entity which purchases loans for investment and not for resale.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
§7113.1. Inability to Sell Loans.
Note

(a) A non-depository financial institution engaged in the business of mortgage banking shall not be in violation of the Act or of these regulations if it denies an application for financial assistance under the following conditions:
(1) Such institution does not have any commitment from a purchaser of loans to buy a loan made or acquired in conformance with the application; and
(2) Such institution has referred the application to at least two other financial institutions which provide such financial assistance through means other than mortgage banking and who in the normal course of business accept such referrals and each of such other institutions has denied the application upon the terms and conditions requested.
(b) Documentation showing compliance with the foregoing conditions shall be retained by the financial institution in the form of a written statement signed on behalf of the institution, and shall set forth
(1) Facts regarding the lack of commitments referred to in subparagraph (a)(1) above, including the primary reasons therefore;
(2) The names of the financial institutions referred to in subparagraph (a)(2) above; and
(3) The action taken by such institutions.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
Article 4. Application Procedures
§7114. Fair Lending Notice.
Note     •     History

(a) A financial institution shall provide each applicant for financial assistance upon the submission of a written application as completed by and submitted by the applicant, and shall post in a conspicuous place, a Fair Lending Notice which sets forth the prohibitions of Chapter 3 of the Act, the complaint procedures set forth in Chapter 4 of the Act, and the name and address of the office(s) where complaints may be filed and where questions may be asked as follows:

View Graphic
(b) Fair Lending Notices distributed by national banks shall provide the addresses of the Department of Financial Institutions indicated above, and Fair Lending Notices distributed by public agencies shall provide the address of the Secretary of Business, Transportation and Housing, 980 9th Street, Suite 2450, Sacramento, California, 95814. A recommended Fair Lending Notice follows.
(c) As soon as possible, but not later than 90 days from the effective date of these regulations, financial institutions shall utilize the Fair Lending Notice which follows. Until said time, financial institutions may use existing Fair Lending Notices.
(d) The Fair Lending Notice must be printed in not less than 10-point bold-face type.

THE HOUSING FINANCIAL DISCRIMINATION ACT OF 1977
FAIR LENDING NOTICE
IT IS ILLEGAL TO DISCRIMINATE IN THE PROVISION OF OR IN THE AVAILABILITY OF FINANCIAL ASSISTANCE BECAUSE OF THE CONSIDERATION OF:
1. TRENDS, CHARACTERISTICS OR CONDITIONS IN THE NEIGHBORHOOD OR GEOGRAPHIC AREA SURROUNDING A HOUSING ACCOMMODATION, UNLESS THE FINANCIAL INSTITUTION CAN DEMONSTRATE IN THE PARTICULAR CASE THAT SUCH CONSIDERATION IS REQUIRED TO AVOID AN UNSAFE AND UNSOUND BUSINESS PRACTICE; OR
2. RACE, COLOR, RELIGION, SEX, MARITAL STATUS, NATIONAL ORIGIN OR ANCESTRY.
IT IS ILLEGAL TO CONSIDER THE RACIAL, ETHNIC, RELIGIOUS OR NATIONAL ORIGIN COMPOSITION OF A NEIGHBORHOOD OR GEOGRAPHIC AREA SURROUNDING A HOUSING ACCOMMODATION OR WHETHER OR NOT SUCH COMPOSITION IS UNDERGOING CHANGE, OR IS EXPECTED TO UNDERGO CHANGE, IN APPRAISING A HOUSING ACCOMMODATION OR IN DETERMINING WHETHER OR NOT, OR UNDER WHAT TERMS AND CONDITIONS, TO PROVIDE FINANCIAL ASSISTANCE.
THESE PROVISIONS GOVERN FINANCIAL ASSISTANCE FOR THE PURPOSE OF THE PURCHASE, CONSTRUCTION, REHABILITATION OR REFINANCING OF ONE- TO FOUR-UNIT FAMILY RESIDENCES OCCUPIED BY THE OWNER AND FOR THE PURPOSE OF THE HOME IMPROVEMENT OF ANY ONE- TO FOUR-UNIT FAMILY RESIDENCE.

	IF YOU HAVE QUESTIONS ABOUT YOUR RIGHTS, OR IF YOU WISH TO FILE A COMPLAINT, CONTACT THE MANAGEMENT OF THIS FINANCIAL INSTITUTION OR:

(name and address of Secretary's designee)

ACKNOWLEDGMENT OF RECEIPT

	I (WE) RECEIVED A COPY OF THIS NOTICE.
	
	_________________________________________  ______________________
	Signature of Applicant              Date
	
	_________________________________________  ______________________
	Signature of Applicant              Date

	

	

	

	

	
	
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Section 35830, Health and Safety Code.
HISTORY

1. Change without regulatory effect of subsections (a) and (b); designated effective 4-1-87 (Register 87, No. 7).
2. Change without regulatory effect amending subsections (a) and (b) filed 10-25-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 44).
3. Change without regulatory effect amending subsection (a) filed 1-10-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 2).
4. Change without regulatory effect amending subsections (a) and (b) filed 2-5-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 6).
§7114.1. Fair Lending Information.
Note     •     History

Each applicant for financial assistance upon the submission of a written application for any purpose enumerated in Section 35810 of the Act shall be requested to provide the following information for both the applicant and co-applicant. There shall be no prescribed format for obtaining this information.
(a) Race/National Origin:
American Indian or Alaskan Native
Asian/Pacific Islanders
Black
Hispanic
White
Other--specify
(b) Sex of Applicant and Co-applicant
(c) Marital Status. In addition, immediately above the requested information the following language shall be provided:
“Voluntary Information for Government Monitoring Purposes
“If this loan is for the purchase, construction, rehabilitation or refinancing of a housing accommodation, the following information is requested by the State of California and the federal government to monitor this financial institution's compliance with the Housing Financial Discrimination Act, Equal Credit Opportunity Law, and Fair Housing Law. The law provides that a financial institution may neither discriminate on the basis of this information nor on whether or not it is furnished. Furnishing this information is optional. If you do not wish to furnish this information, please initial below.” 
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Section 35815, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-20-85 (Register 85, No. 47).
§7114.2. Notification of Action Taken.
Note     •     History

If an application for financial assistance for any purpose enumerated in Section 35810 of the Act is denied, or approved for an amount less than requested, or if there are any terms imposed that are less favorable than those imposed for similar purposes financial assistance provided to other applicants by that financial institution, the financial institution shall provide the principal applicant with a statement of the specific reason or reasons for such adverse action. Notification of action taken shall be in the manner prescribed by 12 CFR 202.9 (Regulation B), except that the definition of “adverse action” herein provided shall govern.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35814 and 35820, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-20-85 (Register 85, No. 47).
§7115. Record Retention.
Note

(a) Financial institutions shall retain the following information with regard to each written application for financial assistance received:
(1) If loan application is approved, approved with a change in the requested loan term or denied, each file shall contain:
(A) Fair lending information;
(B) All materials collected in connection with the application which are not returned to the applicant;
(C) Copy of statement of reasons for change in requested loan terms or of denial;
(D) Documentation required pursuant to Section 7105.1 of these regulations, if applicable; and
(E) The identity of and titles of persons who considered and approved, approved with a change in loan terms or denied the loan.
(2) If written loan application is withdrawn:
(A) Fair lending information;
(B) All materials collected in connection with the application that are retained by the financial institution; and
(C) Reasons, if known, for the withdrawal.
(b) The documents required to be maintained in subsection (a) above shall be maintained for a period of 25 months from the date of the application. The Secretary or the Secretary's designee may, after notice and an opportunity to be heard and in particular cases and situations at the Secretary's or the Secretary's designee's discretion, increase the time period for retaining materials specified in this section.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35810-35815, Health and Safety Code.
Article 5. Complaint Procedures
§7116. Complaint Filing.
Note     •     History

(a) Any applicant who claims to be aggrieved by an alleged violation of Chapter 3 of the Act may file a complaint with the Secretary's designee(s) as set forth in Section 7114 herein.
(b) Complaints involving federally-chartered savings and loan associations shall be filed with the Department of Financial Institutions.
(c) Complaints involving national banking associations shall be filed with the Department of Financial Institutions.
(d) Complaints involving federally chartered credit unions shall be filed with the Department of Financial Institutions.
(e) Complaints involving public agencies shall be filed with the Secretary of Business, Transportation and Housing.
(f) Complaints filed directly with the Secretary, the Assistant for Fair Lending or the Office of Fair Lending will be referred to the appropriate designee as provided in Section 7114 herein except for those complaints referred to in subparagraphs (b), (c), (d) and (e) above.
(g) Complaints shall be filed on a complaint form prescribed by the Secretary. Upon receipt of a verbal complaint, or a written complaint other than upon the form prescribed, the Secretary's designee shall immediately transmit to the complainant the complaint form prescribed.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Section 35820, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-20-85 (Register 85, No. 47).
2. Change without regulatory effect; designated effective 4-1-87 (Register 87, No. 7).
3. Change without regulatory effect amending subsections (b)-(d) filed 2-5-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 6).
§7116.1. Complaint Investigation.
Note

(a) For purposes of compliance with Section 35822 of the Act, a complaint shall be deemed received on the date of the receipt by the Secretary's designee of a completed or substantially completed complaint form.
(b) The Secretary's designee shall fully investigate each complaint received. Upon receipt of the complaint form the Secretary's designee shall immediately transmit a copy of the complaint or complaint form to the financial institution alleged to have violated the Act. The financial institution shall respond in writing within ten days in full and complete detail to each allegation made. In addition, the financial institution shall provide to the Secretary's designee all necessary documentation of the loan transaction in question, including but not limited to, a copy of the loan application, adverse action notice, appraisal report, and any other pertinent documents.
(c) At the time the financial institution is notified of the complaint allegations, the Secretary's designee shall attempt by notifying the complainant and the financial institution to informally resolve the problem complained of.
(d) If, after a full investigation, the Secretary's designee determines that the financial institution has violated the Act, the designee shall notify the financial institution and the complainant prior to the issuance of a formal decision letter of the designee's intended decision.
(e) The designee shall attempt to negotiate with each party to eliminate the alleged unlawful practice.
(f) If there is no elimination of the alleged unlawful practice by conference, conciliation or persuasion, the Secretary's designee shall issue a written decision stating his or her findings of fact.
(g) The decision shall specify that either party may appeal the decision to the Office of Administrative Hearings within ten days from receipt of the decision and that the decision rendered is final unless appealed.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35820-35823, Health and Safety Code.
§7116.2. Request for Administrative Hearing.
Note     •     History

(a) Upon receipt of a written request for a formal administrative hearing, the Secretary shall file a copy thereof with the Office of Administrative Hearings within three days of the receipt of such written request.
(b) The Office of Administrative Hearings must commence a hearing within 20 days of receipt of an appeal.
(c) The decision of the hearing officer shall be a final decision and binding upon the Secretary.
(d) The decision of the hearing officer shall be limited to the remedies provided by Section 35822 of the Act and shall be in accordance with the provisions of that section and shall be rendered within 45 days of receipt of the copy of the request for a hearing by the Office of Administrative Hearings.
(e) The Secretary or Secretary's designee shall represent the complainant at such hearing if the Secretary's decision was in favor of the complainant.
(f) Either party may appeal the decision of the Office of Administrative Hearings by filing a petition for a writ of mandamus pursuant to C.C.P. 1094.5. The court may in its discretion award costs or reasonable attorney's fees, or both, to the complainant if the complainant is the prevailing party.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Section 35823, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-20-85 (Register 85, No. 47).
Article 6. Reporting Requirements
§7117. Definitions.
Note     •     History

For the purposes of this article, the following definitions apply:
(a) “Applications” means “completed applications” as defined in paragraph (c) of Section 7102, Title 21, California Code of Regulations.
(b) “Enforcement agency” means:
(1) The Department of Real Estate for real estate brokers engaged in mortgage banking;
(2) The Department of Corporations for broker-dealers, credit unions, industrial loan companies, finance lenders, and residential mortgage lenders;
(3) The Department of Insurance for insurers; and
(4) The Business, Transportation and Housing Agency for all other lenders.
(c) “Lender” means a person (Health and Safety Code Section 19) who regularly (Section 7102(n) Title 21, California Code of Regulations) provides financial assistance (Section 7102(g) Title 21, California Code of Regulations) and who does not report to a federal or state regulatory agency as provided by the Home Mortgage Disclosure Act of 1975 as amended. (12 USC 2801 et seq.)
(d) “Loan” and “loans” means loans for the purpose of acquiring and improving one- to four-unit dwellings.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Section 35816, Health and Safety Code.
HISTORY

1. Repealer and new section filed 8-28-89; operative 9-27-89 (Register 89, No. 37). For prior history, see Registers 85, No. 47 and 85, No. 26.
2. Change without regulatory effect amending subsections (b)(1)-(2) filed 1-10-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 2).
§7118. Compilation of Loan Data.
Note     •     History

(a) A lender shall compile data on the number and total dollar amount of loan applications and loans made for each calendar year beginning with the calendar year 1990.
(b) The data shall be compiled separately for loan applications and loan originations using the Residential Mortgage Loan Report form set forth in Section 7120 and shall be itemized as follows:
(1) The data shall be itemized by Metropolitan Statistical Area (MSA). Within each MSA, the data shall be further itemized by the census tract in which the property is located, except that:
(A) If the property is located in a county with a population of 30,000 or less (according to 1990 Census of Population, General Population, Characteristics of Inhabitants, CP90-1-1, Prepared by the Bureau of Census, Department of Commerce) or in an area which has not been assigned census tracts, itemization by county shall be used instead of itemization by census tract.
(B) If the property is located outside any MSA, or is located in an MSA in which the lender does not have a place of business, no itemization (by MSA, county or census tract) is required and the data for all such loans shall instead be listed as an aggregate sum.
(2) The data within each geographic category described in paragraph (b)(1) of this section shall be further itemized as follows:
(A) FHA, FmHA and VA applications received and loans made on one- to four-unit dwellings;
(B) Other home purchase (conventional) loan applications received and loans made on one- to four-unit dwellings;
(C) Home improvement loan applications received and loans made on one- to four-unit dwellings;
(D) Total loan applications received and loans made on one- to four-unit dwellings (from category (C) above) made to any borrower who did not, at the time of the loan application, intend to use the property as a principal dwelling. This information is not required for applications or loans on property in the outside-MSAs category described in paragraph (b)(1)(B) of this section.
(c) A lender shall not disclose loan data for:
(1) Loans applied for or made on unimproved land;
(2) Refinancings applied for or that the lender makes if there is no increase in the principal that is outstanding on the existing loan at the time of the refinancing and if the lender and the borrower are the same parties on the existing loan and the refinancing; or
(3) Loans applied for or made on security of real property located outside the State of California.
(4) Loan applications made to or loans made by a person acting as a trustee or in any other fiduciary capacity.
(d) For purposes of geographic itemization:
(1) A lender shall use the MSA boundaries defined by the U.S. Office of Management and Budget as of the first day of the calendar year for which the data were compiled.
(2) The lender shall use the census tract numbers and boundaries on the census tract maps in the “1990 Census of Population and Housing, Census Tracts, “1990 CPH3” series prepared by the Bureau of Census. If a census tract number is duplicated within an MSA, then the census tract shall also be identified by county, city or town name.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35815 and 35816, Health and Safety Code.
HISTORY

1. New section filed 8-28-89; operative 9-27-89 (Register 89, No. 37).
2. Change without regulatory effect amending subsections (b)(1)(A) and (d)(2) filed 1-10-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 2).
§7119. Disclosure and Reporting Requirements.
Note     •     History

(a) A lender shall make its Residential Mortgage Loan Report available to the public by March 31 following the calendar year for which the data were compiled, and shall continue to make the report available for five years from that date.
(b) A lender shall send two copies of its Residential Mortgage Loan Report to its enforcement agency by March 31 following the calendar year for which the data were compiled.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Sections 35815 and 35816, Health and Safety Code.
HISTORY

1. New section filed 8-28-89; operative 9-27-89 (Register 89, No. 37).
§7120. Residential Mortgage Loan Report Form.
Note     •     History

For purposes of the compilation requirement of Section 7118 and the disclosure and reporting requirement of Section 7119, the following form shall be used:

View Graphic
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Section 35816, Health and Safety Code.
HISTORY

1. New section filed 8-28-89; operative 9-27-89 (Register 89, No. 37).
§7121. Exceptions.
Note     •     History

This article does not apply:
(a) To any lender that makes 10% or less of its total loan volume, measured in dollars, during any current reporting year for any of the loan categories listed in paragraph (b)(2) of Section 7118.
(b) To loan applications made to and loans negotiated or arranged by a person acting as a real estate broker within the meaning of subdivision (d) of Section 10131 of the Business and Professions Code.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Section 35816, Health and Safety Code.
HISTORY

1. New section filed 8-28-89; operative 9-27-89 (Register 89, No. 37).
§7122. Lenders Newly Subject to the Article.
Note     •     History

A lender that becomes subject to this article shall compile application and loan data beginning with the calendar year following the year in which it becomes subject.
NOTE

Authority cited: Section 35814, Health and Safety Code. Reference: Section 35816, Health and Safety Code.
HISTORY

1. New section filed 8-28-89; operative 9-27-89 (Register 89, No. 37).
Chapter 4.5. Residential Mortgage Loans
Article 1. Mortgage Lenders
§7200. Determination of Authority of Lenders Making Federally Related Mortgage Loans.
Note     •     History

NOTE

Authority and reference cited: Section 1, Chapter 274, Statutes of 1981 (Civil Code Section 1916.10).
HISTORY

1. New Subchapter 4.5 (Article 1, Section 7200) filed 9-11-81 as an emergency; effective upon filing (Register 81, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-9-82.
2. Certificate of Compliance as to 9-11-81 order transmitted to OAL 12-17-81 and filed 1-12-82 (Register 82, No. 3).
3. Change without regulatory effect repealing section filed 9-9-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
Chapter 5. Allocation of Funds for Special Public Transportation Needs
Article 1. Purpose
§7500. Purpose.
Note     •     History

To define applicant eligibility and establish procedures for application and selection of projects to be allocated funds appropriated pursuant to Section 99312 of the Public Utilities Code. 
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99312, Public Utilities Code.
HISTORY

1. New Subchapter 5, Articles 1-3 (Sections 8000-8005) filed 3-14-80 as an emergency; effective upon filing (Register 80, No. 11). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 7-13-80.
2. Certificate of Compliance filed 5-19-80 (Register 80, No. 21).
3. Amendment filed 5-19-80; as an emergency; effective upon filing (Register 80, No. 21). Certificate of Compliance included.
4. Amendment filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
Article 2. Definitions
§7501. Definitions.
Note     •     History

All definitions contained in this subchapter are applicable to the terms used in this subchapter only. The following terms have the following meanings:
(a) Department. The Department of Transportation.
(b) Eligible Project Costs. Eligible project costs include but are not limited to, real property and equipment acquisition, project planning, preliminary engineering, design and construction of facilities, and operating expenses.
(c) Eligible Projects. Eligible public transportation projects shall meet the purpose of this subchapter. Projects which meet this purpose include, but are not limited to, any of the following:
(1) Projects in unique areas of statewide interest.
(2) Projects which require money to match federal or local funds, and no other source of money is reasonably available to meet a critical time schedule.
(3) Projects under the State Transit Assistance Program of the Transportation Development Act that need additional funding to begin operations.
(4) Projects that enhance the mobility of low-mobility groups.
(d) Public Agency. Public agencies shall include, but not be limited to, public transit agencies and authorities, agencies, and departments of the State of California, and cities and counties.
(e) Secretary. The Secretary for the Business and Transportation Agency.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99312, Public Utilities Code.
HISTORY

1. Amendment filed 5-19-80 as an emergency; effective upon filing, Certificate of Compliance included (Register 80, No. 21).
2. Amendment filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
Article 3. Applications
§7502. Applications.
Note     •     History

Applications are to be sent and addressed to the Department of Transportation, 1120 N Street, Sacramento, California 95814.
Applications for fund allocation beginning the fiscal year 1980-81 must be postmarked not later than the first Monday in October of the fiscal year for which funds are appropriated. Applications postmarked after this date will not be considered for funding.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99312, Public Utilities Code.
HISTORY

1. Amendment filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§7503. Information Required in the Application.
Note

As a minimum, an eligible project must be submitted with an application to include:
(a) A description of the project, statement of reasons why the project is eligible for funding and anticipated benefits;
(b) A budget estimate, including capital and operating costs, revenues and sources and amounts of funding;
(c) An implementation schedule;
(d) Discussion of the following as each relates to the project:
(1) If the project is contained in the current adopted regional or state transportation improvement program, a statement to that effect is sufficient. If the project is not contained in the current adopted regional or state transportation improvement program, explain how the project is compatible with the current regional or state transportation plans.
(2) Summarize how the proposed project will meet special public transportation needs.
(3) If environmental clearance has been obtained, provide a copy of the Notice of Determination or the Notice of Exemption. If environmental clearance has not been obtained, provide an estimated date by which final environmental clearance will be obtained and indicate the type of document that will be prepared.
(4) Provide the estimated date that any allocated funds will be expended.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99312, Public Utilities Code.
§7504. Eligible Applicants.
Note     •     History

A public agency may apply for funds and at a minimum shall provide the information required by Section 7503. While only public agencies may submit an application, such agencies may contract with private or nonprofit entities, or both, for certain services required in the development or operation of the project. All applications shall be handled as provided in Section 7505 of this subchapter.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99312, Public Utilities Code.
HISTORY

1. Editorial correction filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
§7505. Approval and Fund Allocation.
Note     •     History

After it reviews the application and approves the project as meeting the requirements of Section 7503, the department shall establish a statewide “needs” list of eligible projects. The list will be made available to the Secretary along with the department's recommendation for funding not later than May 1 of the year for which funds are to be allocated. The department's recommendation for project allocation may include any eligible project in the statewide “needs” list.
The Secretary will consider the department's recommendation and the statewide “needs” list and may approve any eligible project on the “needs” list for fund allocation. The Secretary will allocate the funds no later than June 30 of the fiscal year for which the funds are appropriated.
Funds are allocated on a yearly basis from funds appropriated for that purpose by the Legislature. Applicants whose projects received funds and applicants whose projects did not receive funds in any fiscal year, must submit new applications in the following fiscal year to be eligible for funding in that fiscal year. All proposed projects will be considered for funding without regard to whether a proposed project ad previously received funds under this program.
The department, with the Secretary's concurrence, may establish terms and conditions which must be met by the applicant prior to receipt of funds. An agreement shall be entered into between the successful applicant and the department covering these terms and conditions.
The Secretary will not allocate funds for any project for which final environmental clearance has not been obtained. The final environmental document must be available for review by the Secretary before any funds are allocated.
NOTE

Authority cited: Section 99241, Public Utilities Code. Reference: Section 99312, Public Utilities Code.
HISTORY

1. Amendment filed 5-19-80 as an emergency; effective upon filing, Certificate of Compliance included. (Register 80, No. 21).
2. Editorial correction filed 6-21-84; effective thirtieth day thereafter (Register 84, No. 25).
Chapter 6. Regulations Relating to Appeals Under the Permit Reform Act of 1981
Article 1. General Provisions
§7600. Definitions.
Note     •     History

As used in this Chapter,
(a) “Appeal letter” refers to the written document or documents filed by an applicant with the Secretary which seeks resolution of a dispute with a state agency arising from an alleged violation of the time periods for processing applications as required by the Permit Reform Act (Government Code Section 15374 et seq.).
(b) “Applicant” means any person that has filed an application, as defined in Subdivision (c), with a state agency.
(c) “Application” means any application for a permit for which a state agency has established time periods for processing in its regulations, in compliance with the Permit Reform Act.
(d) “Secretary” refers to the Secretary of the Business, Transportation, and Housing Agency.
(e) “State agency” means any department, office, or similar entity within the Business, Transportation, and Housing Agency.
NOTE

Authority cited: Section 15378, Government Code. Reference: Section 15378, Government Code.
HISTORY

1. New chapter 6, article 1 and section filed 6-27-95; operative 7-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 26).
§7601. Communications with the Secretary.
Note     •     History

All communications with the Secretary shall be directed as follows:
 Secretary of the Business Transportation and Housing Agency
 980 9th Street, Suite 2450
 Sacramento, CA 95814-2719
 Telephone: (916) 323-5400
 Facsimile: (916) 323-5440
NOTE

Authority cited: Section 15378, Government Code. Reference: Section 15378, Government Code.
HISTORY

1. New section filed 6-27-95; operative 7-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 26).
2. Change without regulatory effect amending agency address filed 9-3-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 36).
Article 2. Appeal Procedure
Part 1. Appeal Relating to State Agency's Failure to Comply with Time Period for Notice of Completeness or Deficiency of Application
§7605. Authorization to File Appeal.
Note     •     History

An applicant who has not received the notification required by Government Code Section 15376(a) - i.e., written notification either that the applicant's application is deemed complete, or that the application is deficient and what specific information is required - within the time period specified in the state agency's regulations may file an appeal with the Secretary under this Part.
NOTE

Authority cited: Section 15378, Government Code. Reference: Section 15378, Government Code.
HISTORY

1. New article 2 and section filed 6-27-95; operative 7-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 26).
§7606. Form of Appeal.
Note     •     History

The appeal may be in letter form or any other written format.
NOTE

Authority cited: Section 15378, Government Code. Reference: Section 15378, Government Code.
HISTORY

1. New section filed 6-27-95; operative 7-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 26).
§7607. Contents of Appeal Letter.
Note     •     History

The appeal letter may contain any information and documentation relevant to the appeal, but shall contain the following information:
(a) The name, address, and telephone number of the applicant.
(b) The name of the state agency, and the address of the state agency's office where the application was filed.
(c) The date the application was received by the state agency.
(d) The type of application filed.
(e) The date and description of any communications between the applicant and the state agency relating to the application.
NOTE

Authority cited: Section 15378, Government Code. Reference: Section 15378, Government Code.
HISTORY

1. New section filed 6-27-95; operative 7-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 26).
§7608. Notice of Appeal to State Agency.
Note     •     History

The Secretary shall mail or deliver a notice of the filing of the appeal letter to the state agency with which the application was filed. The notice shall contain the following:
(a) A copy of the applicant's appeal letter.
(b) A statement that if the state agency desires to respond to the appeal letter, its written response must be submitted within 10 business days after receipt of the Secretary's notice.
NOTE

Authority cited: Section 15378, Government Code. Reference: Section 15378, Government Code.
HISTORY

1. New section filed 6-27-95; operative 7-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 26).
§7609. Secretary's Determination of Appeal.
Note     •     History

(a) Within 10 business days after either receiving the state agency's response or the elapsing of the 10-day response period, the Secretary shall issue a written decision on the applicant's appeal.
(b) If the Secretary finds that the state agency failed to provide the notification required by Government Code Section 15376(a) within the time period determined in accordance with the state agency's regulations, the Secretary shall specify in the decision the date by which the state agency shall provide the applicant with the required notification.
(c) A copy of the Secretary's decision shall be delivered or mailed to the applicant and to the state agency.
NOTE

Authority cited: Section 15378, Government Code. Reference: Section 15378, Government Code.
HISTORY

1. New section filed 6-27-95; operative 7-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 26).
Part 2. Appeal Relating to State Agency's Failure to Comply with Time Period for Decision
§7620. Authorization to File Appeal.
Note     •     History

An applicant whose application filed with a state agency has not been decided by the state agency within the time period specified in the state agency's regulations, as required by Government Code Section 15376(b), may file an appeal under this Part with the Secretary.
NOTE

Authority cited: Section 15378, Government Code. Reference: Section 15378, Government Code.
HISTORY

1. New section filed 6-27-95; operative 7-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 26).
§7621. Form of Appeal.
Note     •     History

The appeal may be in letter form or other written format.
NOTE

Authority cited: Section 15378, Government Code. Reference: Section 15378, Government Code.
HISTORY

1. New section filed 6-27-95; operative 7-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 26).
§7622. Timing of Appeal.
Note     •     History

An appeal made under this Part shall be filed no later than 30 days after the date of mailing of the state agency's decision on the application.
NOTE

Authority cited: Section 15378, Government Code. Reference: Section 15378, Government Code.
HISTORY

1. New section filed 6-27-95; operative 7-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 26).
§7623. Contents of Appeal Letter.
Note     •     History

The appeal letter may contain any information or documentation relevant to the appeal, but shall contain the following information:
(a) The name, address, and telephone number of the applicant.
(b) The name of the state agency, and the address of the state agency's office where the application was filed.
(c) The type of application filed.
(d) The amount of filing fees paid.
(e) The date on which the applicant received notification from the state agency that the application was determined to be complete.
(f) Whether the application is subject to notice and hearing requirements, and if so, whether the state agency has complied with such requirements.
(g) The date and description of any communications between the applicant and the state agency relating to the application.
NOTE

Authority cited: Section 15378, Government Code. Reference: Section 15378, Government Code.
HISTORY

1. New section filed 6-27-95; operative 7-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 26).
§7624. Notice of Appeal to State Agency.
Note     •     History

The Secretary shall mail or deliver a notice of the filing of the appeal letter to the state agency with which the application was filed. The notice shall contain the following:
(a) A copy of the applicant's appeal letter.
(b) A statement that if the state agency desires to respond to the appeal letter, its written response must be submitted within 10 business days after receipt of the notice.
NOTE

Authority cited: Section 15378, Government Code. Reference: Section 15378, Government Code.
HISTORY

1. New section filed 6-27-95; operative 7-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 26).
§7625. Secretary's Determination of Appeal.
Note     •     History

(a) As used in this Section, “time period” means the maximum time period for determining an application as established in a state agency's regulations in accordance with Government Code Section 15376. Where a state agency has not designated in its regulation a “maximum” time limit because it had no basis of actual performance during the two years prior to proposing its regulation, “time period” means the time period specified in the regulation within which the state agency is required to render a decision after the receipt of a completed application.
(b) Within 10 business days after either receiving the state agency's response or the elapsing of the 10-day response period, the Secretary shall issue a written decision on the applicant's appeal.
(c) The Secretary shall require the state agency to fully reimburse the applicant for filing fees paid if:
(1) The agency did not make a decision on the application within the time period specified in the state agency's regulations; and
(2) The Secretary decides the appeal in favor of the applicant.
(d) The Secretary shall decide the appeal in favor of the applicant if the Secretary finds all of the following:
(1) The state agency did not make a decision on the application within the time period for such decision specified in the state agency's regulations.
(2) The state agency has complied with any applicable notice and hearing requirements.
(3) The state agency has failed to establish good cause for exceeding the time period.
(e) In the event that the state agency has not yet rendered a decision, the Secretary shall set a date by which the state agency is required to make a decision.
(f) A copy of the Secretary's decision shall be delivered or mailed to the applicant and to the state agency.
NOTE

Authority cited: Section 15378, Government Code. Reference: Section 15378, Government Code.
HISTORY

1. New section filed 6-27-95; operative 7-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 26).
Article 3. Notice of Appeal Process
§7630. Notice to Applicants.
Note     •     History

Each state agency shall include on any form of application it uses in connection with an application subject to the Permit Reform Act and this Chapter, a notice of the applicant's right to appeal to the Secretary in the event that the state agency fails to comply with the time periods for processing the application. The notice may be in any format but shall contain the following information:
“The [name of the state agency] has established time periods for the processing of permit applicants as required by the Permit Reform Act (Government Code Section 15374 et seq.). These time periods are set forth in the regulations of the [name of the state agency] at [citation to regulations containing Permit Reform Act time periods]. Failure to comply with these time periods may be appealed to the Secretary of the Business, Transportation, and Housing Agency, 801 K Street, Suite 1918, Sacramento, CA, 95814-3520, pursuant to the regulations of the Secretary set forth in Chapter 6 (commencing with Section 7600) of Title 21 of the California Code of Regulations. Under certain circumstances, the Secretary may require the [name of the state agency] to reimburse the applicant for the filing fees paid in connection with the application.”
NOTE

Authority cited: Section 15378, Government Code. Reference: Section 15378, Government Code.
HISTORY

1. New article 3 and section filed 6-27-95; operative 7-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 26).
Chapter 7. Public Infrastructure Advisory Commission
Article 1. Establishment and Definitions
§7700. Establishment of Public Infrastructure Advisory Commission.
Note     •     History

(a) By the authority set forth in Government Code section 13978 and Streets and Highways Code section 143, subdivision (a), paragraph (5), the Public Infrastructure Advisory Commission (Commission) is hereby established within the Business, Transportation and Housing Agency. 
(b) The Commission's business shall be conducted in accordance with sections 7701 through 7711 of these regulations.
NOTE

Authority cited: Section 143, Streets and Highways Code. Reference: Section 143, Streets and Highways Code.
HISTORY

1. New chapter 7 (articles 1-2, sections 7700-7711), article 1 (sections 7700-7702) and section filed 6-22-2009 as an emergency; operative 6-22-2009 (Register 2009, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-22-2009 order transmitted to OAL 8-18-2009 and filed 9-16-2009 (Register 2009, No. 38).
§7701. Establishment of Commission.
Note     •     History

(a) There is the Public Infrastructure Advisory Commission (Commission) established within the Business. Transportation and Housing Agency (Agency) pursuant to Streets and Highways Code section 143, subdivision (a), paragraph (5). 
(b) The Commission is under the direct control and supervision of the Secretary and it is operated as a program under the Agency.
(c) The Commission shall serve as an advisory board.
(d) The Commission shall operate and conduct its business pursuant to its statutory purpose, which shall include advising the California Department of Transportation and regional transportation agencies, as defined in Streets and Highways Code section 143, in developing transportation projects through performance-based infrastructure projects, otherwise called public-private partnerships.
NOTE

Authority cited: Section 143, Streets and Highways Code. Reference: Section 143, Streets and Highways Code.
HISTORY

1. New section filed 6-22-2009 as an emergency; operative 6-22-2009 (Register 2009, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-22-2009 order transmitted to OAL 8-18-2009 and filed 9-16-2009 (Register 2009, No. 38).
§7702. Definitions.
Note     •     History

(a) “Agency” means the Business, Transportation and Housing Agency.
(b) “Commission” means the Public Infrastructure Advisory Commission.
(c) “Member or commissioner” means a person appointed by the Secretary to serve on the Commission.
(d) “Secretary” means the Secretary of Business, Transportation and Housing Agency. 
NOTE

Authority cited: Section 143, Streets and Highways Code. Reference: Section 143, Streets and Highways Code.
HISTORY

1. New section filed 6-22-2009 as an emergency; operative 6-22-2009 (Register 2009, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-22-2009 order transmitted to OAL 8-18-2009 and filed 9-16-2009 (Register 2009, No. 38).
Article 2. Structure, Procedure and Conduct of Business of the Public Infrastructure Advisory Commission
§7703. Commission Membership.
Note     •     History

(a) Members of the Commission shall be appointed by the Secretary and shall hold office at the pleasure of the Secretary.
(b) The Commission may organize itself into committees.
(c) The Commission may use staff and consultants to carry out its functions. Staff work may also be provided by the Agency or personnel from state departments or programs within the Agency. 
NOTE

Authority cited: Section 143, Streets and Highways Code. Reference: Section 143, Streets and Highways Code.
HISTORY

1. New article 2 (sections 7703-7711) and section filed 6-22-2009 as an emergency; operative 6-22-2009 (Register 2009, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-22-2009 order transmitted to OAL 8-18-2009 and filed 9-16-2009 (Register 2009, No. 38).
§7704. Meetings.
Note     •     History

(a) Regular meetings of the Commission shall be held at least four times annually. Notice of all regular meetings of the Commission and an agenda of such meetings enumerating the items to be considered at the meeting shall be mailed to each commissioner ten days before the day on which the regular meeting of the Commission is scheduled. The agenda shall include the items of business to be transacted, and no item shall be added to the agenda unless the conditions described in Government Code section 11125.3, subdivision (a) arise. Notice of such additional items shall be given in the manner described in Government Code section 11125.3, subdivision (b). A person may request and be provided notice for all meetings of the commission or may limit his request to notice for a specific meeting or meetings in accordance with Government Code section 11125, subdivision (d).
(b) All meetings of the Commission, with the exception of executive sessions permitted under Government Code section 11126, are open meetings properly announced in accordance with the provisions of the Bagley-Keene Open Meeting Act (commencing with Government Code section 11120). 
(c) A quorum at all meetings of the Commission shall consist of a majority of the voting members of the whole Commission. 
(d) The act of a majority of a quorum shall be the act of the Commission. 
(e) Commission meetings, where possible, are recorded electronically. Otherwise, the Commission shall keep accurate minutes of all meetings and make them available to the public. The original copy of the minutes is that signed by the Chair and is the evidence of taking any action at a meeting. Any resolutions that may be adopted at a meeting shall be entered in the text of the minutes by reference.
(f) Commission meetings, when appropriate, may be held in accordance with Government Code Section 11123.
NOTE

Authority cited: Section 143, Streets and Highways Code. Reference: Section 143, Streets and Highways Code; and Sections 11123 and 11125.3, Government Code.
HISTORY

1. New section filed 6-22-2009 as an emergency; operative 6-22-2009 (Register 2009, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-22-2009 order transmitted to OAL 8-18-2009 and filed 9-16-2009 (Register 2009, No. 38).
§7705. Special and Emergency Meetings.
Note     •     History

In accordance with the Bagley-Keene Open Meeting Act, special and emergency meetings shall be conducted as follows: 
(a) Special meetings of the Commission may be called at any time by the chair or by a majority of the Commission. In the event such special meeting is called, notice will be sent to those who have requested such notice and in accordance with Government Code section 11125.4.
(b) Emergency meetings of the Commission may be called at any time by the chair or a majority of the Commission when such meeting is necessary to discuss an unforeseen emergency condition. Determination of the emergency and meeting notices shall be conducted in accordance with Government Code section 11125.5. 
NOTE

Authority cited: Section 143, Streets and Highways Code. Reference: Section 143, Streets and Highways Code; and Sections 11125.4 and 11125.5, Government Code.
HISTORY

1. New section filed 6-22-2009 as an emergency; operative 6-22-2009 (Register 2009, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-22-2009 order transmitted to OAL 8-18-2009 and filed 9-16-2009 (Register 2009, No. 38).
§7706. Committees and Committee Meetings.
Note     •     History

(a) The Commission may organize itself into committees.
(b) After consulting with members of the Commission, the chair of the Commission shall appoint the members of the committees of the Commission, subject to the approval of the Secretary. Committees shall be composed of no more than four members. Two members shall constitute a quorum. Majority vote of the committee and at least two votes shall be required for committee action. 
(c) Should a committee lack a quorum, the Commission chair shall appoint temporary committee members to establish a quorum. If the Commission chair is not available, the committee chair may appoint temporary committee members. In the absence of either the Commission chair or committee chair, the committee member present may appoint temporary members. The Commission chair shall not serve on any of the committees except in an ex-officio capacity. Each committee shall elect one of its members, on an annual basis, as the committee chair who shall preside at all committee meetings. In the absence of the elected chair, the committee members present shall select a temporary chair.
NOTE

Authority cited: Section 143, Streets and Highways Code. Reference: Section 143, Streets and Highways Code.
HISTORY

1. New section filed 6-22-2009 as an emergency; operative 6-22-2009 (Register 2009, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-22-2009 order transmitted to OAL 8-18-2009 and filed 9-16-2009 (Register 2009, No. 38).
§7707. Chair.
Note     •     History

(a) The Secretary shall serve as the initial Chair of the Commission. As the interim Chair, the Secretary may designate an interim Vice-Chair from the members of the Commission.
(b) As interim Chair, the Secretary shall preside over all Commission meetings and, at a time deemed appropriate by the Secretary, set a meeting of the Commission at which time the members of the Commission shall elect a Chair and Vice-Chair from their number who shall not be the Secretary, subject to the approval of the Secretary.
(c) After the first election of a Chair, each year at a meeting determined by the Commission, the members of the Commission shall elect a new Chair from their number, subject to the approval of the Secretary. The Chair so elected shall serve in that capacity for the year commencing March 1 next following provided that no Chair of the Commission so elected shall serve as Chair for successive terms.
(d) Subject to the supervision of the Secretary, the Chair shall preside over all Commission meetings. The Chair shall sign and countersign, or authorize another Commission member to sign or countersign all certificates, contracts, and other instruments of the Commission. The Chair shall also report to the Commission and the Secretary and shall perform all such other duties as are incident to discharge the duties of the Chair or properly required by the Commission.
NOTE

Authority cited: Section 143, Streets and Highways Code. Reference: Section 143, Streets and Highways Code.
HISTORY

1. New section filed 6-22-2009 as an emergency; operative 6-22-2009 (Register 2009, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-22-2009 order transmitted to OAL 8-18-2009 and filed 9-16-2009 (Register 2009, No. 38).
§7708. Vice-Chair.
Note     •     History

(a) Each year at the same meeting that a Chair is elected, the members of the Commission shall elect a Vice-chair from their number, subject to the approval of the Secretary. The Vice-chair thus elected shall serve in that capacity for the same year during which the Chair elected shall serve, and the Vice-chair so elected shall preside in the absence of the Chair. The Vice-chair may, at the request of the Chair, preside at a meeting notwithstanding that the Chair is present at that meeting. 
(b) In absence of the Chair or in the event of death, disability, refusal or inability to act, the Vice-Chair shall perform the duties of the Chair and when so acting shall have all the powers and be subject to all the restrictions of the Chair. The Vice-Chair shall also have those powers and discharge those duties as may be assigned from time to time by the Commission or the Secretary.
NOTE

Authority cited: Section 143, Streets and Highways Code. Reference: Section 143, Streets and Highways Code.
HISTORY

1. New section filed 6-22-2009 as an emergency; operative 6-22-2009 (Register 2009, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-22-2009 order transmitted to OAL 8-18-2009 and filed 9-16-2009 (Register 2009, No. 38).
§7709. Absence of Chair and Vice Chair.
Note     •     History

In the event of the absence of both the Chair and the Vice-chair from any meeting, the members of the Commission present shall elect a Chair from their number to preside at that meeting. 
NOTE

Authority cited: Section 143, Streets and Highways Code. Reference: Section 143, Streets and Highways Code.
HISTORY

1. New section filed 6-22-2009 as an emergency; operative 6-22-2009 (Register 2009, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-22-2009 order transmitted to OAL 8-18-2009 and filed 9-16-2009 (Register 2009, No. 38).
§7710. Absence of Commissioners.
Note     •     History

The voting members of the Commission must notify the Commission Chair when they will be prevented from attending a duly noticed Commission meeting or committees of which they are a member and the reasons therefore. Should commissioners absent themselves from all regularly noticed meetings of the Commission or committee meetings for 90 days consecutively from the last attended meeting, without prior notification of a justifiable reason or without permission of the Chair, the Commission shall describe the facts and circumstances in its minutes or by special resolution and forward said minutes or special resolution to the Secretary or the Agency.
NOTE

Authority cited: Section 143, Streets and Highways Code. Government Code. Reference: Section 143, Streets and Highways Code.
HISTORY

1. New section filed 6-22-2009 as an emergency; operative 6-22-2009 (Register 2009, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-22-2009 order transmitted to OAL 8-18-2009 and filed 9-16-2009 (Register 2009, No. 38).
§7711. Ethics, Economic Interest.
Note     •     History

(a) Commissioners, as members or as a group, will not accept gifts and gratuities for social purposes. These may include but are not limited to beverages, meals, hosted functions, tickets to athletic or sporting events, entertainment, or theatrical performances, trips or excursions. 
(b) Each Commission member shall file with the Agency a Statement of Economic Interest (Form 700) pursuant to an appropriate disclosure category consistent with the Agency Conflict of Interest Code in Title 21, California Code of Regulations, section 7000.
NOTE

Authority cited: Section 143, Streets and Highways Code. Government Code. Reference: Section 143, Streets and Highways Code.
HISTORY

1. New section filed 6-22-2009 as an emergency; operative 6-22-2009 (Register 2009, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-22-2009 order transmitted to OAL 8-18-2009 and filed 9-16-2009 (Register 2009, No. 38).
Division 4. California Transportation Commission
Chapter 1. Procedure and Conduct of Business of the California Transportation Commission
§8001. Meetings.
Note     •     History

Regular meetings of the California Transportation Commission shall be held at least four times annually. Notice of all regular meetings of the commission and an agenda of such meetings enumerating the items to be considered at the meeting shall be mailed to each commissioner seven days before the day on which the regular meeting of the commission is scheduled. The agenda shall include the items of business to be transacted, and no item shall be added to the agenda unless a statement is included setting forth the unforeseen emergency condition as provided in section 8003. Notice of such meeting shall be given at least one week in advance of such meeting to any person who requests such notice in writing. A person may request and be provided notice for all meetings of the commission or may limit his request to notice for a specific meeting or meetings. Any mailing list maintained pursuant to this rule will be subject to annual correction as provided in Government Code section 14911.
NOTE

Authority cited for Chapter 4 (Sections 8001-8010): Sections 11125 and 14505, Government Code. Reference: Sections 11125 and 14505, Government Code.
HISTORY

1. New division 4, chapter 1 (sections 8001-8010) filed 5-1-78 as an emergency; effective upon filing (Register 78, No. 18). For history of former Chapter 4, see Registers 76, No. 19, and 77, No. 10.
2. Repealer of chapter 4 (sections 8001-8010) and new chapter 4 (sections 8001-8013) filed 8-3-78; effective thirtieth day thereafter (Register 78, No. 31).
3. Editorial correction amending History 1 (Register 94, No. 40).
§8001.5. Committees.
Note     •     History

Pursuant to Government Code section 14506, the Commission shall organize itself into at least four committees: Aeronautics, Streets and Highways, Mass Transportation, and Planning. The Commission committees are:
(1) The Committee on Aeronautics, which shall consider issues relating to aeronautics;
(2) The Review and Highway Committee which shall consider issues relating to streets and highways and determine the items to be on the agenda for the full Commission meeting and which items of the agenda will be on the consent calendar.
Commission agenda items will be heard by the Review and Highway Committee. The Committee will listen to argument and consider any evidence and recommend a decision to the full Commission as a consent-calendar item or recommend further presentation before the full Commission as a non-consent item.
Consent calendar items can be removed from the consent calendar and considered separately at the request of any one member of the Commission.
(3) The Program and Planning Committee which shall consider the long range planning, policy, and programming issues. This Committee shall be responsible for transportation planning related issues, including, but not limited to, monitoring the transportation planning and programming process pursuant to chapter 2.5 (commencing with section 65030) of division 1 of title 7 and recommending to the commission the allocation of federal and state funds available for planning and research.
(4) The Committee on Mass Transportation, which shall consider issues related to the movement of groups of people within urban areas, and between rural communities and between cities.
The chairman shall appoint a Technical Advisory Committee on Aeronautics, after consultation with members of the aviation industry, airport operators, pilots, and other aviation interest groups and experts, as appropriate. This Technical Advisory Committee shall give technical advice to the Committee on Aeronautics on the full range of aviation issues to be considered by the Commission.
The Commission may organize itself into additional committees; however, the Commission shall not form a committee for the purpose of considering budgetary and related fiscal matters.
After consulting with members of the Commission, the chairman of the Commission shall appoint the members of all the committees of the Commission. Committees shall be composed of no more than four members. Two members shall constitute a quorum. Majority vote of the committee and at least two votes shall be required for committee action.
Should a committee lack a quorum, the Commission chairman shall appoint temporary committee members to establish a quorum. If the Commission chairman is not available, the committee chairman may appoint temporary committee members. In the absence of either the Commission chairman or committee chairman, the committee member present may appoint temporary members.
The Commission chairman shall not serve on any of the committees except in an ex-officio capacity.
Each committee shall elect one of its members, on an annual basis, as the committee chairperson who shall preside at all committee meetings. In the absence of the elected chairperson, the committee members present shall select a temporary chairperson.
NOTE

Authority cited: Sections 11125 and 14500-14515, Government Code. Reference: Sections 11125 and 14500-14515, Government Code.
HISTORY

1. Amendment filed 10-12-79 as procedural and organizational; effective upon filing (Register 79, No. 41).
Article 3. Applications
§8002. Special and Emergency Meetings.

Special meetings of the commission may be called at any time by the chairman or by a majority of the commission. In the event such special meeting is called, notice will be sent to those who have requested such notice as provided in section 8001.
Emergency meetings of the commission may be called at any time by the chairman or a majority of the commission when such meeting is necessary to discuss an unforeseen emergency condition as defined by section 8003 of this regulation. In the event such emergency meeting is called, notice will be sent to those who have requested such notice by such means as the secretary deems appropriate.
§8002.5. Open Meetings.

All meetings of the commission, with the exception of executive sessions permitted under Government Code section 11126, are open meetings properly announced in accordance with the provisions of article 9 of chapter 1 of part 1 of division 3 of title 2 of the Government Code (commencing with section 11120).
§8003. Emergency Condition.

An unforseen emergency condition shall be defined as:
(a) Any condition requiring any action by the California Transportation Commission because of a disaster involving the state highway system or any other activity under the jurisdiction of the California Transportation Commission.
(b) Any condition requiring any action by the California Transportation Commission because of the action or requirement of Congress or of the Legislature of the State of California, or because of any act, rule, or regulation promulgated by any public body which has an effect upon the state highway system or any activity under the jurisdiction of the California Transportation Commission.
(c) Any condition requiring any action by the California Transportation Commission caused by any court action brought in State or Federal court which has an effect upon the state highway system or any activity under the jurisdiction of the California Transportation Commission.
(d) Any condition requiring any action by the California Transportation Commission to permit the award of a contract within the time limit specified for the award of such contract, or to permit the filing of a condemnation action to protect the right of way of a state highway, or any action by the commission necessary to prevent loss to the state or an individual. 
§8004. Quorum.

A quorum at all meetings of the commission shall consist of a majority of the voting members of the whole commission.
§8005. Act of a Majority of a Quorum.

The act of a majority of a quorum shall be the act of the commission in all cases except where the unanimous vote of the commission is required by law.
§8006. Unanimous Vote.

The requirement of the unanimous vote of the commission is satisfied by the affirmative vote of all voting members at a meeting, if a quorum is present.
§8006.5. Robert's Rules of Order.

Robert's Rules of Order, Revised, except where inconsistent with expressed provisions of law or specific resolutions of the commission, govern the conduct of meetings of the commission and its established committees.
§8007. Chairman.
Note     •     History

Each year at a meeting determined by the commission, the members of the commission shall elect a chairman from their number. The chairman so elected shall serve in that capacity for the year commencing March 1 next following provided that no chairman of the commission so elected shall serve as chairman for successive terms.
NOTE

Authority cited: Sections 11125 and 14505, Government Code. Reference: Sections 11125 and 14505, Government Code.
HISTORY

1. Amendment filed 10-12-79 as procedural and organizational; effective upon filing (Register 79, No. 41).
§8008. Vice Chairman.

Each year at the same meeting that a chairman is elected, the members of the commission shall elect a vice-chairman from their number. The vice-chairman thus elected shall serve in that capacity for the same year during which the chairman elected under section 8007 shall serve, and the vice-chairman so elected shall preside in the absence of the chairman. The vice-chairman may, at the request of the chairman, preside at a meeting notwithstanding that the chairman is present at that meeting.
§8009. Absence of Chairman and Vice Chairman.

In the event of the absence of both the chairman and the vice-chairman from any meeting, the members of the commission present shall elect a chairman from their number to preside at that meeting.
§8009.5. Absence of Commissioners.
Note     •     History

The voting members of the Commission must notify the Executive Secretary or Commission Chairman when they will be prevented from attending a duly noticed Commission meeting or Committees of which they are a member and the reasons therefor. Should Commissioners absent themselves from all regularly noticed meetings of the full Commission or Committee meetings for 90 days consecutively from the last attended meeting, without prior notification of a justifiable reason or without permission of the chairman, the Commission shall describe the facts and circumstances in its minutes or by special resolution and forward said minutes or special resolution to the Office of the Governor for appropriate action.
NOTE

Authority cited: Sections 11125 and 14500-14515, Government Code. Reference: Sections 11125 and 14500-14515, Government Code.
HISTORY

1. New section filed 10-12-79 as procedural and organizational; effective upon filing (Register 79, No. 41)
§8010. Gratuities.

Commissioners, as members or as a group, will not accept gratuities for social purposes. These may include but are not limited to beverages, meals, hosted functions, tickets to athletic or sporting events, entertainment, or theatrical performances, trips or excursions. This rule will not preclude the acceptance of gratuities incidental to meetings with public or other officials on commission business, for inspection/education purposes, or similar purposes.
§8011. Recordings of Meetings.

Commission meetings, where possible, are recorded electronically, and the recordings are available for replaying at the commission's headquarters.
§8012. Minutes of Meetings.

The commission shall keep accurate minutes of all meetings and make them available to the public. The original copy of the minutes is that signed by the executive secretary and is the evidence of taking any action at a meeting. All resolutions adopted at a meeting shall be entered in the text of the minutes by reference.
§8013. Procedural Rules.

Procedural rules may be amended at any meeting by majority vote of the members of the commission, provided that such proposed amendment has been read into the minutes of the previous meeting of the commission.
Chapter 2. Guidelines for the Preparation of the State and Regional Transportation Programs
§8110. Authority and Purpose.
Note     •     History

These regulations set forth the guidelines of the California Transportation Commission (“the Commission”), for the annual preparation and adoption of the five-year State Transportation Improvement Program (STIP), which presents the State's program for transportation. Section 14532 of the Government Code requires the commission to establish these guidelines in cooperation with the Department of Transportation (“the Department”), Regional Transportation Planning Agencies (“RTPAs”), and the county transportation commissions established by Section 130050 of the Public Utilities Code.
NOTE

Authority and reference cited: Section 14532, Government Code. 
HISTORY

1. New Subchapter 2 (Sections 8110-8121) filed 9-28-78; effective thirtieth day thereafter (Register 78, No. 39).
2. Repealer of Subchapter 2 (Sections 8110-8121) and new Subchapter 2 (Sections 8110-8119) filed 6-3-81; effective thirtieth day thereafter (Register 81, No. 23). For prior history, see Registers 80, No. 21, and 79, No. 52.
§8111. Review, Adoption, and Appeal Dates.
Note

The annual STIP process runs from October to September and requires the preparation of these major documents:
(a) Not later than October 1, the Department, using the Commission's methodology, submits a proposed estimate of the funds that will be available for programming in the STIP. Not later than November 1, the Commission issues its adopted version of the fund estimate to RTPAs, county transportation commissions, and the Department. Guidelines for preparation of the fund estimate are set out in Section 8112.
(b) Not later than December 1, the Department submits its proposed STIP (PSTIP) to the Commission, to all RTPAs, and to the county transportation commissions. Section 8113 contains the guidelines for preparation of the PSTIP.
(c) Not later than April 1, RTPAs representing urbanized areas of 50,000 or more in population prepare and submit regional transportation improvement programs (RTIPs) for their geographic areas. Rural RTPAs do not submit RTIPs, but may, by April 1, submit comments and suggested revisions concerning programs and projects in their areas. Section 8114 of these guidelines deals with the preparation of RTIPs and rural comments.
(d) By May 15, the Department submits a report which compares the previous year's adopted STIP with the PSTIP, RTIPs, and rural comments. This report and the other STIP-related reporting responsibilities of the Department are dealt with in Section 8115.
(e) Not later than July 1, the Commission, after public hearings and a review of the PSTIP and RTIPs, adopts the official STIP and submits it to the Governor and the Legislature. Section 8116 covers the Commission's procedures for reviewing Department and RTPA recommendations and adopting the STIP.
(f) The RTPAs, county transportation commissions, and the Department may appeal specific transportation projects included or excluded from the adopted STIP in writing by August 1. The Commission must hold a public hearing on these appeals by August 15 and act on the appeals by September 1. Guidelines for the appeals process are included in Section 8117.
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 14522, 14524-14534, 65080, 65080.5 and 65082, Government Code.
§8112. Commission Estimates of Available Funds.
Note

The Commission, in consultation with the Department, RTPAs, and the county transportation commissions will adopt a methodology for estimating funds that will be available for the five-year STIP.
(a) Using the Commission's adopted methodology, the Department will develop and submit to the Commission by October 1 of each year recommended annual and five-year estimates of all Federal and State funds available for transportation purposes, not including Federal discretionary grants or funds.
The Department will also use the methodology to estimate the amount of these funds reasonably expected to be available to each RTPA for highways, public mass transit guideways, and aeronautics projects to be funded through the Acquisition and Development (A & D) Program.
(b) In addition to the estimates required by Subsection (a), the fund estimate will include this information:
(1) The minimum statewide expenditure level for rehabilitation projects in the STIP allowed by the Commission's methodology;
(2) The revenue, for each year and fund type, in excess of the amount needed to fund the projects in the adopted STIP, after the project costs have been adjusted for new estimates of inflation and delivery dates;
(3) The division of these excess revenues, undifferentiated by fund type and year, to the north and south county groups that will achieve the allocation of State Highway Funds required by Section 188 of the Streets and Highways Code;
(4) The threshold between major and minor projects. Major projects will be all projects whose estimated costs (excluding right-of-way and engineering costs), as measured in escalated dollars, exceed the threshold.
(c) After reviewing, the Department's proposed fund estimate, and revising as necessary, the Commission will adopt and provide copies of the fund estimate to the RTPAs and county transportation commissions by November 1.
NOTE

Authority cited: Section 14532, Government Code. Reference: Section 14524, 14525, Government Code.
§8113. Proposed State TIP.
Note

The Department shall submit a proposed State TIP (PSTIP) to the Commission, all RTPAs, and the county transportation commissions not later than December 1 of each year.
(a) The PSTIP shall be consistent with the fund estimate adopted by the Commission:
(1) Statewide expenditures by fund type in the PSTIP shall not exceed, and should equal, the estimate of revenues by fund type adopted by the Commission;
(2) The PSTIP shall conform to the distribution of funds to the northern and southern counties specified in the adopted fund estimate;
(3) The rehabilitation program the Department recommends in its PSTIP does not have to be consistent with the minimum rehabilitation level required for the fund estimate by Section 8112 (b)(1). However, the Department must explain in the PSTIP its reasons for proposing a different level than the one included in the fund estimate.
(b) The PSTIP shall include a summary of capital outlay expenditures by fund type by year.
(c) The PSTIP shall include a geographic listing of projects, consistent with the requirements of Sections 8118 and 8119.
(d) The Department shall transmit with the PSTIP project information for each candidate project representing a significant change from the adopted STIP, as recommended by the PSTIP, consistent with the requirements of Section 8118(e)(1).
(e) When programming highway, transit, aeronautics, and other transportation projects in its new PSTIP, the Department shall consider the general order of the following priorities:
(1) Meeting the legal constraints on the program;
(2) Programming in the PSTIP as many projects included in the most recently adopted STIP as feasible;
(3) Serving the long-term needs of existing urban and suburban areas by maintaining and rehabilitating existing facilities, providing public transportation, reducing dependence on individual auto use, increasing the efficiency of existing facilities, and completing gaps in the existing freeway system;
(4) Serving new development; however, preference, where appropriate, should be given to providing services through public transportation facilities;
(5) Including projects that contribute to State and regional economic development.
(f) The PSTIP shall be consistent with the State Urban Strategy, as required by Governor's Executive Order B-41-78. The PSTIP shall include findings and substantiation of this consistency.
(g) The PSTIP shall also include a report on the coordination of its projects with the plans and programs of other State agencies, RTPAs, and county transportation commissions. The report should identify those projects that are part of cooperative programs involving other State and local agencies which would be significantly affected if the Commission changed the projects' funding or scheduling during the STIP adoption process.
(h) The PSTIP shall provide sufficient additional information (e.g., legislative constraints, Federal matching requirements, etc.) that the Department determines is needed by the Commission to adopt the STIP.
(i) The Department shall work with the local cities, counties, and RTPAs in nonmetropolitan areas to establish a forecast of local assistance funding levels that will be included in the PSTIP.
(j) With the transmittal of the PSTIP, through its Transportation Districts, the Department shall submit to the RTPAs project development costs and other project details if they are needed for Federal Regional TIP purposes in the metropolitan areas.
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 14526, 14529, Government Code.
§8114. Regional TIPs (RTIPs) and Rural Comments.
Note

(a) As authorized by Section 65080(b) of the Government Code, transportation planning agencies and county transportation commissions representing urbanized areas of 50,000 or more in population shall prepare and adopt Regional Transportation Improvement Programs (RTIPs).
(1) When preparing RTIPs, RTPAs shall consider the Commission's adopted STIP; the Department's PSTIP; the adopted Regional Transportation Plan; the transportation plans of cities, counties, special districts, private organizations, and State and Federal agencies within the regions; the applicable State Implementation Plan for air quality; and the availability of local matching funds to complete projects in proposed years.
(2) The RTIP shall be consistent with the Regional Transportation Plan (RTP), shall be developed from short-range programming in the Action Element of the RTP, and shall contain findings and substantiation of such consistency.
(3) The RTIP shall contain the required transportation programs and projects for the entire geographic area covered by the RTPA.
(b) The Southern California Association of Governments' (SCAG) RTIP shall be developed in cooperation with the county transportation commissions. SCAG may revise the projects submitted in the county transportation commission TIPs in order to resolve conflicts between programs or with the adopted regional transportation plan. The San Diego Association of Governments' RTIP shall include those elements of the transportation improvement program prepared by the Metropolitan Transit Development Board pursuant to Section 120353 of the Public Utilities Code relating to funds made available to this Board for transportation purposes. Projects using Federal funds shall be consistent with the regional comprehensive plan.
(c) The RTIPs shall also be consistent with the regional portion of the applicable State Implementation Plan for air quality. A statement and substantiation of this consistency shall be included in the RTIP. The substantiation for the carbon monoxide and oxident nonattainment areas shall include:
(1) A reconciliation of capital and noncapital projects and programs from the regional portion of the appropriate five-year period in the applicable State Implementation Plan with the RTIP.
(2) An analysis showing the overall changes in transportation emissions from that which would be projected to occur under a no-transportation system improvement alternative (maintenance and operations) covering the five-year RTIP period. This analysis of emission changes:
(A) shall consider all capital and noncapital actions to the extent they will be implemented under the proposed RTIP;
(B) shall consider other transportation measures included in the applicable State Implementation Plan for the same time period as the RTIP; and
(C) shall not include in the results any decrease attributable to vehicles themselves or to their emissions controls.
(3) For those nonmetropolitan areas not adopting RTIPs which are also part of nonattainment areas, the Department shall prepare a similar assessment of consistency between the PSTIP and the applicable State Implementation Plan for air quality.
(4) To the extent possible, the RTPAs may use the applicable Air Quality Maintenance Plan/Non-Attainment Area Plan and other appropriate data and materials in preparing their RTIPs.
(5) RTPAs may submit, if they choose, a supplemental quantitative air quality analysis that they believe is superior to the analysis required in this section.
(d) RTIPs shall be consistent with the fund estimate adopted by the Commission.
(1) Each RTPA may include in its RTIP projects costing up to the amount specified by the Commission in the fund estimate. A statement of such consistency shall be included in the RTIP. Pursuant to Chapter 340, Statutes of 1980, RTPAs may exceed the estimate of local assistance available to them by up to 25 percent.
(2) Each RTPA submitting an RTIP may request funding for projects from the “excess revenues” defined in Section 8112(b)(2). An RTPA, including SCAG, may not request more excess revenues than the amount the fund estimate indicates is consistent with the allocation of funds to the north or south county groups.
(e) In its RTIP, an RTPA may comment on projects the Department schedules for rehabilitation in its PSTIP. An RTPA can comment on the need for a rehabilitation project, its timing, its priority, or the overall size of the rehabilitation program in its area.
(f) The RTIPs shall include:
(1) Project, program, and a summary of recommendations for annual capital outlay expenditures from the State Highway Account for new facilities, operational improvements, rehabilitation, and local assistance programs for the succeeding five fiscal years, and recommended annual expenditures for the same five fiscal years from other appropriate transportation accounts for which the Commission allocates funds.
(2) A summary of capital outlay expenditures by fund category source, by year.
(3) Other project or program information the RTPA wishes to provide to the Commission (e.g., Federal TIP information, local option or privately funded projects, or Federal discretionary funds earmarked for transportation).
(4) Comments comparing the RTIP projects to the adopted STIP.
(5) Any aeronautics projects the RTPA recommends for full or partial funding.
(6) A geographic listing of projects, consistent with the requirements of Sections 8118 and 8119.
(7) Project information for each significant project change to the adopted STIP proposed by the RTIP, consistent with the requirements of Section 8118(e). At the request of the Executive Director of the Commission, concerning specific projects, the Department shall provide assistance to RTPAs in preparing the project information.
(g) An RTPA not required to submit an RTIP may submit comments to the Commission concerning the adopted STIP, the PSTIP, or new projects which the RTPA wishes to propose.
(1) The comments may be submitted in the same form as an RTIP, if the RTPA wishes, consistent with these guidelines.
(2) These RTPAs may request funding for projects from the “excess revenues” defined in Section 8112(b)(2), but may not request more excess revenues than the amount the fund estimate indicates is consistent with the allocation of funds to the north and south county groups.
(3) The agency shall provide its proposed comments to affected agencies, persons, and organizations it knows, through its public participation program, to be interested in transportation projects.
(4) Adopted agency comments shall be submitted prior to April 1. Project-specific comments shall be made within the context of changes to the adopted STIP and submitted in a format consistent with Section 8118(e).
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 14527, 14528, 65080, 65080.5, 65082, Government Code.
§8115. Project Status Report and Comparison Report.
Note

(a) As part of the annual STIP process, by February 1 of each year, the Department shall report to the Commission, RTPAs, and county transportation commissions on the status of major projects that are either in the adopted STIP or are candidates for inclusion in future STIPs.
(1) The Commission shall submit a list of no more than 40 projects to be included in the report to the Department by November 1. When selecting projects, the Commission shall consult with the RTPAs, county transportation commissions, and the Department.
(2) The report shall identify the expected date of completion of each project, its expected cost, and the work the Department has completed on it.
(3) The Department shall identify all significant projects that will not be finished by their delivery date in the adopted STIP and briefly explain the reasons for the delay.
(4) The Commission shall solicit testimony on the report from its staff, the RTPAs, county transportation commissions, and the Department prior to April 1.
(b) The Department shall submit a Comparison Report no later than May 15 of each year. This report shall identify changes from the adopted STIP (as update in the fund estimate for new estimates of inflation and project scheduling) made in the PSTIP, RTIPs, or rural agency comments.
(1) Such projects shall be listed geographically, by RTPA and county.
(2) Significant variations in projects or programs shall be discussed for each geographic area.
(3) The report shall discuss, when appropriate, the consistency of the PSTIP, RTIPs, and rural comments with statewide priorities, especially those identified in Section 8116(d)(1).
(4) Department policy comments and other observations shall also be provided for the benefit of the Commission.
(c) Pursuant to Section 14032 of the Government Code, the Department shall prepare additional reports related to the STIP as requested by Commission resolution.
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 14032, 14521, Government Code.
§8116. Commission Review and STIP Adoption.
Note

(a) The Commission, or one of its committees, will meet with nonmetropolitan RTPAs for presentation of rural recommendations on the programming of funds. These meetings will be held between December 1 and June 1 of each programming cycle.
(b) Prior to adopting the STIP, the Commission shall hold public hearings and accept oral and written testimony from the public on all RTIPs and the PSTIP. The hearings shall be publicized through the local news media.
(c) The Commission shall identify by June 1 the major criteria it will emphasize when evaluating the PSTIP and the RTIPs during the STIP adoption process.
(d) In the adoption of the STIP the Commission may deviate from an RTIP based on the finding that there is one or more of the following:
(1) There is an overriding statewide interest. In making such a finding, the Commission may consider, but is not limited to, the following areas in which the State has concerns:
(A) interregional transportation;
(B) air quality;
(C) energy consumption and efficiency;
(D) effects of transportation on urban development patterns;
(E) protection of areas of critical statewide interest;
(F) maintenance and more efficient use of existing public investments;
(G) better transportation for the elderly, handicapped, and those with low incomes;
(H) wider opportunities for alternative modes and new types of public transport;
(I) conformance with State Urban Strategy;
(J) financial feasibility of the project;
(K) effects of projects on State and regional economic development; and
(L) statutory constraints on the program.
(2) There are insufficient funds available to implement the program. In this event, the Commission will conform to regional priorities to the extent possible within its own policies, evaluation criteria, and priority setting procedures when selecting the projects competing for the funds available.
(3) There are conflicts between the Regional TIPs.
(e) The Commission shall indicate in writing or at a public hearing reasons for its deviation from the RTIPs.
(f) Pursuant to Section 189(1)(c) of the Streets and Highways Code, the Commission shall make a finding in its adopted STIP that the Commission has not deleted, delayed, or decreased the amount allocated to any State highway or exclusive public mass transit guideway project included in the 1980 State Transportation Improvement Program or any subsequent STIP in any State Transportation District, except in District 7, for the purpose of allowing increased allocations to District 12.
(g) Criteria for Evaluation of Transit Guideway Projects:
Transit projects receive State funds allocated by the Commission pursuant to Section 199 of the Streets and Highways Code and Sections 99317.5 and 99317.9 of the Government Code. The projects must meet the applicable statutory requirements, including environmental clearance pursuant to the California Environmental Quality Act. The Commission and Department shall consider the following issues when setting priorities for funding the projects:
(1) Alternatives:
(A) the degree to which the proposing agency has given adequate consideration to alternatives;
(B) demonstration that the project is an effective solution to a transportation problem.
(2) Financing the Project's Capital Expenditures:
(A) reasonableness of the project's capital costs;
(B) the adequacy of probable capital revenues to defray implementation costs, including the source and degree of firm commitments of proposed funds (for projects proposed for Transportation Planning and Development Account funds--the degree of commitment of Article XIX, State Highway Account funds);
(C) the percentage of local contributions for capital costs; and
(D) annualized capital cost per passenger mile.
(3) Financing Project Operations:
(A) reasonableness of projected operating costs;
(B) adequacy of probable operating revenues to defray operating costs;
(C) the percentage of fare revenues to operating costs;
(D) the percentage of total local funds to operating costs;
(E) the projected annualized total project operating cost per passenger-mile; and
(F) net change in system operating cost per passenger-mile resulting from project implementation.
(4) Project readiness: the status of planning and feasibility studies and of the environmental impact analysis, and the year in which each phase of construction can begin.
(5) Maintenance: The degree to which the project involves maintenance, rehabilitation, or modernization of an existing facility as compared with new construction activities.
(6) Significant social and environmental effects, including the project's consequences for:
(A) transit use, accessibility, and mobility;
(B) air quality, especially the goals in the State Implementation Plan and regional strategies adopted pursuant to the 1977 Clean Air Act amendments;
(C) energy consumption;
(D) traffic congestion;
(E) neighborhood environment;
(F) local economic development policy; and
(G) community and regional land use and development patterns.
(H) criteria for Evaluation of Airport Projects:
The Department and the Commission shall prioritize airport projects using the following criteria for the airports and projects considered.
(1) The Importance of the Services the Airport Provides: The degree to which the airport serves the area. The analysis shall consider both current and projected traffic for the entire area, the role this airport has in serving that traffic, and the difference between the project's expected economic benefits and its cost.
(2) Safety: The degree to which the proposed project will improve safety. The analysis shall consider existing safety hazards, the record of accidents at the airport, the expected positive impact of the proposed project, and any negative impacts it may have.
(3) Environment: The degree to which the proposed project will enhance the environment. The analysis shall consider environmental problems at the airport, the expected positive impact of the proposed project, and any negative impacts it may have.
(4) Maintenance of Existing Facility: The degree to which the project will prevent deterioration or extend the usefulness of an existing physical facility.
(5) Maximize Use of Facility: The degree to which the project will improve operational efficiency of the airport.
(6) The degree to which the project relates to the California Aviation System Plan.
(i) The adopted STIP shall be consistent with the State Urban Strategy and the State Implementation Plan (SIP) for air quality.
(j) The adopted STIP shall list projects consistent with the requirements of Sections 8118 and 8119.
(k) An annual program of projects is required by Section 105 of Title 23 of the United States Code. After July 1, 1979, the Department shall select only State highway projects included in the adopted STIP for the Section 105 Program.
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 14529, 14530, Government Code; Section 189 (1)(c), Streets and Highways Code.
§8117. STIP Appeals and Amendments.
Note

(a) Upon adoption of each annual STIP, written appeals will be accepted by the Commission up to and including August 1. Only RTPAs, county transportation commissions, or the Department may appeal. Others, including cities, counties, or implementing agencies, may submit their appeals through their appropriate RTPA with the approval of the governing board of the RTPA, or through the Department with approval of the Director.
(b) Each appeal shall indicate the specific project(s) or program(s) being appealed, the reasons for the appeal, and the proposed alternative(s). The appeal must specify the source of funds for any proposed additions to the STIP, including the identity of projects proposed for reduction in cost or deletion.
(c) Not later than August 15, the Commission shall consider all appeals at a public hearing. At the hearing, the Commission will accept oral and written testimony only from agencies authorized to appeal the STIP; however, an appealing agency may allow another agency, public group, or person supporting its appeal to present a portion of the testimony. By September 1, the Commission shall resolve the appeals, amend the STIP according to this resolution and notify the RTPAs and other involved parties that brought an appeal of the disposition of that appeal.
(d) Amendments to the RTIP shall be approved in accordance with rules of the governing board of the RTPA.
(e) Amendments to the adopted STIP, other than those resulting from the appeals, may be made when the Commission deems appropriate. The Commission shall provide that such additional proposed amendments are noticed to the public at least 30 calendar days before the Commission takes formal action regarding them. The Commission shall solicit comments on the proposed amendments from the Department, the RTPA(s) and the implementing agency(s) involved. For amendments to individual minor project(s) or the programs for minor projects the 30-day notice is not required.
(f) In emergency situations as described in Section 14120 of the Government Code, the Commission may waive the 30-calendar-day public notice.
(g) If during the budget year of an adopted STIP it becomes apparent that a scheduled aeronautics project is unlikely to be undertaken, the Commission may designate a substitute project or projects from a list of standby projects. This list shall include projects already contained in the adopted STIP, but programmed after the first year and capable of delivery within the budget year. The priority sequence shall be that assigned under the criteria specified in Section 8116(h). Prior to such substitution, the original recipient shall be duly notified and provided an opportunity to demonstrate the likelihood of the scheduled project's completion. Any project subject to removal from an adopted STIP shall be eligible, without prejudice, for inclusion in a subsequent STIP.
(h) To establish that an aeronautics project will be undertaken during the budget year of an adopted STIP, the grantee should complete the following actions prior to March 1 of the budget year: complete any required environmental assessment procedures; obtain any necessary approvals; and file the application for funds with the Department. The completion of these actions will allow for State authorization of the allocation, awarding of the project contract, and execution of grant documents prior to June 30 of the budget year. Failure to comply with the March 1 deadline may constitute grounds for project substitution, as specified in Section 8117(g).
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 14531, 14533, 14534, Government Code.
§8118. Project Listings Content, Priority Rankings, and Submission of Project Differences.
Note

The PSTIP, RTIPs, and STIP shall contain a listing of projects for the five-year period including the immediately upcoming fiscal year and the following four years.
(a) Project Listings. The PSTIP, the RTIPs, and the adopted STIP shall contain a geographic listing of major and minor projects (as defined in Section 8112(b)(4)).
(1) The Executive Director shall specify the format of the listings for projects on the State highway system, mass transit projects, and aeronautics projects.
(2) Project information shall be transmitted to the Commission in a standardized fashion, as specified by the Executive Director. Whenever possible, this transmittal will take advantage of automated data processing capabilities available to the Department and/or the Commission.
(3) Standardized project description forms shall be completed by RTPAs and the Department for all eligible aeronautics projects submitted for inclusion in the adopted STIP. The standardized form to be used in this process shall be developed by the Department and distributed to all RTPAs by the Commission. Failure to complete this form shall be grounds for excluding a project from the adopted STIP. 
(b) Project Priorities. The geographic listings shall include the following information on project priorities:
(1) To assist the Commission in programming the STIP, the Department shall assign priorities for the Interstate and Primary-State cash fund types. For each fund type, a relative priority shall be assigned to the following projects:
(A) either the 20 projects to which the Department assigns the lowest priority among all projects included in the PSTIP for the fund type; or,
(B) if they number more than 20 projects, the lowest priority projects whose combined cost (in escalated dollars) equals 25 percent of the revenues estimated to be available for the fund type. Each lump sum for minor projects may be assigned a single priority. The priority information may be submitted as a supplement to the PSTIP no later than March 1 of each year.
(2) Each RTPA shall prepare a separate priority ranking for projects in the following categories: Interstate; Primary and State-only; State Transportation Planning and Development (TP&D) Account; and Aeronautics. The RTPA shall assign a unique ordinal priority to each project within each category, without regard to subprogram category, with these exceptions:
(A) rehabilitation projects from the adopted STIP or PSTIP which an RTPA does not wish to comment upon will be exempted from the priority ranking;
(B) each lump sum for minor projects may be assigned a single priority;
(C) SCAG may adopt the priorities established by the county transportation commissions within its jurisdiction.
(c) Major Projects Information. As a minimum, the project listings shall include the following information for major projects: 
(1) project location identification (e.g., District, county, route, postmile, guideway identification);
(2) written description of location and type of work (Where applicable, the project nickname commonly used by the local population shall be used in a relevant project listing. The nickname will appear ahead of any more detailed or more technical project identifier. The same nickname will be used for adjoining segments, where applicable, even though each segment is identified as a separate project for planning and programming purposes.);
(3) current and escalated costs for highway rights of way, airport land acquisition, and all construction;
(4) escalation rate;
(5) category of funds to be used (FAI, FAU, State, etc.);
(6) subprogram category of work;
(7) fiscal year for proposed funding;
(8) relevant priority ranking for the project.
(d) Minor Projects Information. The following information, to the extent possible, shall be included for minor projects:
(1) Minor projects in the State Highway Noise Attenuation, bicycle, and planting programs shall be identified and listed in the PSTIP and RTIPs in the same manner and detail as major projects.
(2) For the following categories, minor projects shall to the extent possible be listed for the initial two years in the PSTIP and RTIPs and may be grouped as defined in Section (4) below for the remaining three years:
(A) Projects intended to implement the Transportation Systems Management Element of the Regional Transportation Plans.
(B) Projects (including noncapital projects) identified in the regional portion of the appropriate five-year period from the applicable State Implementation Plan established pursuant to the 1977 Clean Air Act Amendments.
(C) Projects funded from the State Aeronautics Account.
(D) Projects involving multiple occupancy vehicles, including but not limited to: public transit vehicles; transit guideways; and preferential highway facilities.
(E) Other minor projects of regional significance specifically identified in the Regional Transportation Plan.
(3) A small line-item lump sum for each year may be included to cover other minor projects that may not be identifiable in advance. They may be grouped into single line items by category of fund source, by implementing jurisdiction, by subprogram category (those defined in Section 8119), or may be listed in the same manner and detail as major projects. At a minimum, the following information shall be included for minor State project line-item listings:
(A) State Transportation District;
(B) county;
(C) fund category;
(D) subprogram category;
(E) total value of work to be done; and
(F) fiscal year.
(4) A single group listing may be provided for several individual minor projects in these categories if they involve the same work purpose in the same location or corridor (e.g., signalize 10 intersections on Avenue A).
(e) Information on recommended changes to the adopted STIP. The agency recommending a project not in the adopted STIP, or requesting any other change in the adopted STIP, shall be responsible for providing information about its recommendations to the Commission.
(1) The Executive Director shall issue instructions for submitting information on the changes in a format compatible with the Commission's STIP data base.
(2) For significant changes, all applicable measures of the current situation and proposal (for example, level of service, average daily traffic, safety index, delay index, etc.) shall be provided to the Commission.
(3) The Department shall provide technical assistance, to the extent possible within existing resources, to each RTPA providing information on changes to the adopted STIP, at the request of the Executive Director of the Commission.
(4) For significant changes to the adopted STIP (either new projects or major changes in existing projects), the recommending agency shall provide an appropriately scaled map (each no larger than 8 1/2” x 11”), which indicates the project's location in the State, its location and relationship to the subregional/local street and highway network; and the details of the project, at a level of detail appropriate for project evaluation and programming. The Executive Director may request a map for any change recommended by the Department or a region.
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 14526-14530, 14532, Government Code.
§8119. Subprogram Designations.
Note

The following subprogram categories shall be used for project identification and grouping of minor projects:
(a) State Highway System Projects
(1) Rehabilitation
(A) Land, Buildings, and Facilities Improvements
(B) Bridge Reconstruction
(C) Roadway Reconstruction and Restoration
(D) Major Damage Restoration
(E) Highway Planting Restoration
(F) Safety Roadside Rest Area Restoration
(G) Protective Betterments
(H) Disaster Restoration
(2) Operational Improvements
(A) Safety Improvements
(B) Community Noise Attenuation
(C) School Noise Attenuation
(D) Highway Planting
(E) Safety Roadside Rest Areas
(F) Roadside Enhancement
(G) System Operational Improvements
(3) New Facilities
(A) New Highway Construction
(B) New Toll Bridge Construction
(C) New Bicycle Facilities Construction
(b) Local Assistance Projects
(1) Streets, Roads, and Transit
(A) Federal-Aid Secondary
(B) TOPICS
(C) Railroad Crossings
(D) Federal-Aid Urban (FAU) System
(E) Local Jurisdiction Bikeways
(F) Highway Safety Improvement on Local Roads
(G) Off-System Roads
(H) Unassigned Local Assistance
(2) Mass Transit Guideways
(A) Article XIX of the California State Constitution (Proposition 5)
(B) TP&D Account (SB 620, Chapter 171, Statutes of 1979)
(3) Intermodal Facilities
(A) Article XIX (Proposition 5)
(B) TP&D Account (SB 620, Chapter 171, Statutes of 1979)
(4) Aeronautics
(c) Projects for each subprogram and summaries thereof shall be labeled with an appropriate coding in conformance with the coding system established by the Department (e.g., HB1 = Safety Improvements). In addition, summaries shall also include the above titles.
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 14526-14529, Government Code.
Chapter 3. Resolution G-14
§8122. Resolution G-14 Outlining Procedure Relative to Adoption of Freeway Locations by the California Transportation Commission.
Note     •     History

(1) To the end of improving coordinated planning, it is the intent of the Commission that there should be a complete exchange of pertinent information through conferences between representatives of the Department and local government and other appropriate agencies, their technical staffs, and planning personnel from the inception of studies to the adoption of a freeway location.
Recommendations from these agencies and the effects of the proposed freeway upon their activities and present and future development are to be considered in the studies.
(2) At the initiation of studies, the Department is to furnish written notice to the appropriate local governing bodies, to other public agencies that may be affected thereby, to any designated advisory groups, and to each legislator within whose district the project is located. Such notification to the local governing bodies shall call attention to sections 75.5, 75.6, and 210.4 of the Streets and Highways Code.
(3) Publicized informational meetings should be held as appropriate during the course of studies to inform the citizens of the progress of studies and to obtain their views with respect thereto.
(4) When basic studies have been completed, the Department is to publicize and hold such public hearing, or hearings, as may be reasonably necessary to acquaint interested individuals, officials, and civic or other groups with the information developed and to obtain their views with respect thereto.
(5) The Department will employ presiding officers to preside at such public hearings. The presiding officer will report to the Department without recommendation regarding statements made and other events occurring at the hearings over which he has presided.
All hearings will be conducted in an informal manner to the end that all interested persons may be heard as time will permit and will not be conducted in accordance with formal rules of evidence.
(6) The Chief Engineer shall submit to the Director of Transportation a written recommendation, including a summary of the results of such conferences and meetings, any information submitted pursuant to section 75.5 of the Streets and Highways Code, and a recommendation as to the location of the freeway.
The Director shall notify the State Office of Planning and Research, and other State agencies concerned with the State's resources, of the Chief Engineer's proposed freeway routing recommendations, in order that they may analyze the socioeconomic factors involved. Any recommendations made by such agencies shall be considered by the Director in making his/her recommendation to the Commission.
The Director shall transmit the recommendations received from the Chief Engineer and, if submitted, the recommendations of the State Office of Planning and Research, and other affected State and local agencies, to the Commission, together with his/her own recommendation, and with his/her comment on the recommendation of the Chief Engineer when deemed appropriate or when requested by the Commission or any member thereof.
(7) The Chief Engineer, in each case, upon being authorized to do so by resolution of the Commission, shall notify the appropriate local governing body or bodies, which notice shall be publicized, of the intention of the Commission to consider the location of the freeway. Such notification shall include a statement that the Commission or designated members thereof will hold a public hearing on the proposal, if requested to do so by the local legislative body within thirty (30) days after the first regular meeting of such body following receipt of such written notification; however, if prior to receipt of such notification from the Commission the local legislative body or bodies shall have, by official action, declared that no public hearing by the Commission is necessary, then the notification by the Chief Engineer shall advise such local body or bodies only of the intention of the Commission to consider the adoption of the Director of Transportation's recommended routing.
(8) If any such legislative body requests such hearing, the Commission, or a designated member or members thereof, will hold a hearing, after public notice given in such manner as the Commission may determine, at which time and place all persons, and official bodies and other organizations interested in the matter, shall be afforded an opportunity to be heard. The Commission may also, on its own motion, call a public hearing or hold such hearings as it may deem appropriate.
(9) After the expiration of such period of thirty (30) days, if no hearing is requested, or after such hearings as the Commission may hold, the Commission may adopt a location for the freeway between the limits under consideration.
(10) Where the specific freeway location requires the use of property appropriated for use as a state, regional, county or city park or other public uses specified in section 1241.9 of the Code of Civil Procedure and such use was dedicated or established prior to the initiation of highway route location studies, written notice shall be given by the Commission to the agency owning such property. 
(11) In reaching its conclusions as to freeway locations, the Commission will consider from the standpoint of the overall public interest all information and recommendations developed in the conferences, meetings and hearings and any information furnished to it by any local agency pursuant to the provisions of section 75.5 of the Streets and Highways Code, the recommendations of the Department, and, if received, the recommendations of the State Office of Planning and Research and other affected State agencies. Where a local agency presents to the Department a master plan of highways and transportation having the approval of the legislative body of such local agency, and no further presentations are made by the local agency at such hearings, the Department and the Commission will consider that the plan or plans represent(s) the desires and recommendations of such local agency.
(12) Where the Commission has adopted a location for a freeway, a local agency may request the Commission to consider modifications in the route. Should the Commission, in its discretion, determine that the suggested modifications in route location merit consideration, the Commission shall, on its own motion, hold an adequately publicized public hearing to consider the suggested modifications. The Commission, in exercising its discretion, may consider the effect, if any, that the suggested modifications will have upon adjacent local agencies. If the requested modifications involve locations that extend beyond the boundaries of the local agency requesting the reconsideration, the Department shall, after studying the matter and with the approval of the Transportation Commission, notify the other local agencies within whose boundaries the proposed route modifications are located at least 75 days prior to such a hearing. The Transportation Commission shall not proceed with the consideration of such proposed modification if any of such local agencies indicates by resolution, adopted at least 45 days prior to the hearing, that it opposes such modification.
The Office of Planning and Research and other affected state agencies shall be notified regarding such suggested modifications; and their recommendations, if any, together with the recommendations of the Director and the Chief Engineer, which shall include an environmental impact statement, shall be presented to the local agency and shall be publicized in advance of the public hearing.
Following such public hearing, the Commission may, without further notice of or hearings, adopt the modified route or any portion thereof.
Unless or until such modifications are adopted by the Commission, the previous route adoption shall not be affected, and the Commission and the Department may take any and all actions permitted by law as to the adopted route during the time the Commission is considering the suggested route modification.
(13) The Chief Engineer and the Director of Transportation are hereby authorized, without further resolution or order of this Commission, to do such things and take such action as may appear to be necessary or proper to comply with the above procedure specified in this resolution.
NOTE

Authority cited: Sections 70, 213 and 30050, Streets and Highways Code.
HISTORY

1. New Subchapter 3 (Section 8122) filed 1-10-79 as procedural and organizational; effective upon filing (Register 79, No. 2).
Chapter 4. Allocation of Funds for Intermodal Interface Projects
Article 1. Purpose
§8200. Purpose.
Note     •     History

To establish guidelines for the allocation of funds from the Transportation Planning and Development Account by the California Transportation Commission for intermodal interface projects.
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 62, 63, 64 and 71 of Chapter 161, 1979 Statutes; Section 30 of Chapter 1002, 1979 Statutes; Section 99319, Public Utilities Code.
HISTORY

1. New Subchapter 4 (Sections 8200-8207) filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-20-80 (Register 80, No. 34).
Article 2. Definitions
§8201. Definitions.
Note

When used in this subchapter, the following terms have the following meaning:
(a) Commission. The California Transportation Commission.
(b) Department. The Department of Transportation.
(c) Eligible Costs. Includes costs of project planning, property and equipment acquisition, design, and facility construction.
(d) Eligible Public Agency. Includes, but is not limited to, public transit agencies and authorities, agencies and departments of the state, cities and counties.
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 62, 63, 64 and 71 of Chapter 161, 1979 Statutes; Section 30 of Chapter 1002, 1979 Statutes; Section 99319, Public Utilities Code.
Article 3. Eligible Projects and Fund Usage
§8202. Eligible Projects.
Note

Only projects listed in the current annual report of the department prepared pursuant to Section 99319 of the Public Utilities Code are eligible for matching funds under this subchapter.
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 62, 63, 64 and 71 of Chapter 161, 1979 Statutes; Section 30 of Chapter 1002, 1979 Statutes; Section 99319, Public Utilities Code.
§8203. Limitations.
Note     •     History

No funding shall be made available for projects serving primarily patrons of one mode of transportation such as bus shelters, parking lots, and bus turnarounds which could be constructed with funds available pursuant to Section 99268.7 of the Public Utilities Code.
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 62, 63, 64 and 71 of Chapter 161, 1979 Statutes; Section 30 of Chapter 1002, 1979 Statutes; Section 99319, Public Utilities Code.
HISTORY

1. Certificate of Compliance including amendment filed 8-20-80 (Register 80, No. 34).
§8204. Fund Usage.
Note

Funds may be used for eligible costs of new construction, or to modify existing facilities. While only eligible public agencies may submit an application, such agencies may contract with private entities, for services required in the development or operation of the project.
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 62, 63, 64 and 71 of Chapter 161, 1979 Statutes; Section 30 of Chapter 1002, 1979 Statutes; Section 99319, Public Utilities Code.
Article 4. Project Selection and Allocation
§8205. Project Selection.
Note     •     History

Consideration for funding will be based upon criteria developed pursuant to Section 99319(b) of the Public Utilities Code.
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 62, 63, 64 and 71 of Chapter 161, 1979 Statutes; Section 30 of Chapter 1002, 1979 Statutes; Section 99319, Public Utilities Code.
HISTORY

1. Certificate of Compliance including amendment filed 8-20-80 (Register 80, No. 34).
§8206. Allocation.
Note     •     History

The commission, from funds appropriated to it for the purpose stated in Section 8200 of this subchapter, shall allocate funds to recommended projects listed in the current annual report. The commission may augment the original project cost by no more than 10 percent (10%) for contingency and administrative purposes.
The commission may reallocate funds to other projects eligible for funding from funds previously allocated to any applicant that has not executed an allocation agreement by January 1, 1981, or from any applicant that has filed a written waiver of funds with the department.
Before allocation of funds is made, there must be an approved final environmental document for the project made available to the commission for its review and consideration.
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 62, 63, 64 and 71 of Chapter 161, 1979 Statutes; Section 30 of Chapter 1002, 1979 Statutes; Section 99319, Public Utilities Code.
HISTORY

1. Certificate of Compliance including amendment filed 8-20-80 (Register 80, No. 34)
§8207. Allocation Agreement.
Note

The allocation for each project funded under this subchapter shall be subject to the terms and conditions of an allocation agreement entered into between the department and the eligible public agency.
NOTE

Authority cited: Section 14532, Government Code. Reference: Sections 62, 63, 64 and 71 of Chapter 161, 1979 Statutes; Section 30 of Chapter 1002, 1979 Statutes; Section 99319, Public Utilities Code.
Division 5. Earthquake Emergency and Seismic Retrofit Permit Review Panel
Chapter 1. General Provisions
§9100. Definitions.
Note     •     History

(a) “Department” means the Department of Transportation.
(b) “Panel” means the earthquake emergency and seismic retrofit permit review panel created pursuant to Streets and Highways Code Section 180.3 and consisting of the Secretary of the Business, Transportation and Housing Agency, the Secretary for Environmental Protection, and the Secretary of the Resources Agency.
NOTE

Authority cited: Section 180.3, Streets and Highways Code. Reference: Sections 180.1 and 180.3, Streets and Highways Code.
HISTORY

1. New Division 5, chapter 1 (sections 9100-9103) and section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 19).
3. New Division 5, chapter 1 (sections 9100-9103) and section filed 5-12-95; operative 5-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 19).
§9101. Meetings.
Note     •     History

(a) Each meeting of the Panel shall be held on such date and at such place and time as shall be fixed by the Panel or the person calling the meeting.
(b) Meetings of the Panel may be called by or at the direction of the chairperson of the Panel. Meeting calls need not be in writing.
(c) Notice of meetings shall be given to all members of the Panel, to all parties to appeals on the agenda for the meeting, and to all persons who request in writing such notice. Notice shall also be given to the city, if any, and county identified in any appeal by a permitting agency on the agenda for the meeting. Notice of meetings shall be mailed at least ten days in advance of the meeting and shall include: 
(1) the date, time and location of the meeting; 
(2) the name, address and telephone number of a person designated by the Panel who can provide further information prior to the meeting; and
(3) a specific agenda for the meeting. Notice of meetings need not include a list of witnesses.
(d) Subject to Government Code Section 11125.5, the Panel may convene emergency meetings.
(e) The act of any two members of the Panel shall be the act of the Panel.
NOTE

Authority cited: Section 180.3, Streets and Highways Code. Reference: Section 11125.5, Government Code; and Sections 180.4 and 180.5, Streets and Highways Code.
HISTORY

1. New section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 19).
3. New section filed 5-12-95; operative 5-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 19).
§9103. Filing Procedures.
Note     •     History

(a) All appeals and responses authorized to be filed with the Panel under this Division shall be filed with the Secretary of the Business, Transportation and Housing Agency, 801 K Street, Suite 1918, Sacramento, CA 95814-3520.
(b) All appeals and responses, including any exhibits or riders, shall be filed with the Panel in triplicate.
(c) Appeals and responses required to be filed with the Department under this chapter shall be filed as follows:

DEPARTMENT OF TRANSPORTATION
1120 N STREET
SACRAMENTO, CA 95814
ATTENTION: CHIEF LEGAL COUNSEL
NOTE

Authority cited: Section 180.3, Streets and Highways Code. Reference: Sections 180.4 and 180.5, Streets and Highways Code.
HISTORY

1. New section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 19).
3. New section filed 5-12-95; operative 5-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 19).
Chapter 2. Appeal Procedure
Article 1. Appeals to Extend the Period of Time to Issue or Deny a Permit
§9200. Authorization to File Appeal.
Note     •     History

A permitting agency may file with the Panel an appeal for an extension of time to issue or deny a permit for a project. 
NOTE

Authority cited: Section 180.3, Streets and Highways Code. Reference: Section 180.4, Streets and Highways Code.
HISTORY

1. New chapter 2, article 1 (sections 9200-9205) and section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 19).
3. New chapter 2, article 1 (sections 9200-9205) and section filed 5-12-95; operative 5-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 19).
§9201. Timing of Appeal.
Note     •     History

An appeal for an extension of time under Article 1 of this Chapter shall be filed no later than 15 working days after the receipt by a permitting agency of a permit application for a project from the Department or a local agency.
NOTE

Authority cited: Section 180.3, Streets and Highways Code. Reference: Section 180.4, Streets and Highways Code.
HISTORY

1. New section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 19).
3. New section filed 5-12-95; operative 5-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 19).
§9202. Form and Contents of Appeal.
Note     •     History

The appeal shall be typewritten and may be in a letter or other written format. The appeal shall state that it is an appeal under Article 1 of Chapter 2 of Division 5 and shall include all of the following information:
(a) The name, address, telephone number, and fax number, if any, of the permitting agency;
(b) The name, address, telephone number, and fax number, if any of the Department or local agency submitting the application for a permit;
(c) The permit for which the Department or local agency applied;
(d) The statute, ordinance, regulation or rule pursuant to which the permit may be issued;
(e) The date on which the application for a permit was received by the permitting agency;
(f) The period of extension requested by the permitting agency;
(g) A concise statement of the basis for the appeal; and
(h) The city, if any, and county in which the project is located. 
The appeal shall include an undertaking by the permitting agency to provide notice of the appeal and any meeting to hear the appeal to any interested parties required be notified by the permitting agency.
NOTE

Authority cited: Section 180.3, Streets and Highways Code. Reference: Section 180.4, Streets and Highways Code.
HISTORY

1. New section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 19).
3. New section filed 5-12-95; operative 5-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 19).
§9203. Notice to Department or Local Agency.
Note     •     History

A copy of an appeal under Article 1 of this Chapter shall be filed with the Department or local agency on the same date that it is filed with the Panel.
NOTE

Authority cited: Section 180.3, Streets and Highways Code. Reference: Section 180.4, Streets and Highways Code.
HISTORY

1. New section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 19).
3. New section filed 5-12-95; operative 5-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 19).
§9204. Responses.
Note     •     History

The Department or local agency may file with the Panel a response to an appeal under Article 1 of this Chapter. A response shall be filed with the Panel not later than five days prior to the date of the meeting of the Panel at which the appeal will be considered. A copy of the response shall be filed with the permitting agency at the address set forth in the appeal on the same date that it is filed with the Panel. Filing with the permitting agency may be effected by delivery at the address set forth in the appeal, or if the response does not exceed 25 pages, by facsimile transmission to the fax number identified in the appeal. A response shall be typewritten and may be in letter or other written format. A response shall identify the appeal and the respondent and shall contain a concise statement of opposition to the appeal.
NOTE

Authority cited: Section 180.3, Streets and Highways Code. Reference: Section 180.4, Streets and Highways Code.
HISTORY

1. New section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 19).
3. New section filed 5-12-95; operative 5-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 19).
§9205. Panel's Determination of Appeal.
Note     •     History

Within thirty days after the filing of an appeal under Article 1 of this Chapter, the chairperson of the Panel shall call a meeting of the Panel to consider and act on the appeal. The Panel shall mail written notice of the decision to the permitting agency and the Department or local agency.
The 15 working day period set forth in Streets and Highways Code Section 180.4 is not tolled during any period of appeal under Article 1 of this Chapter.
NOTE

Authority cited: Section 180.3, Streets and Highways Code. Reference: Section 180.4, Streets and Highways Code.
HISTORY

1. New section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 19).
3. New section filed 5-12-95; operative 5-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 19).
Article 2. Appeals of Permit Denials or Unreasonable Conditions
§9206. Authorization to File Appeal.
Note     •     History

The Department or local agency may file an appeal with the Panel if: (1) the permitting agency denies a permit for a project; or (2) the Department or local agency determines that the permitting agency has imposed unreasonable conditions on a permit for a project that would lead to a significant delay in a seismic retrofit project.
NOTE

Authority cited: Section 180.3, Streets and Highways Code. Reference: Section 180.5, Streets and Highways Code.
HISTORY

1. New article 2 (sections 9206-9211) and section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 19).
3. New article 2 (sections 9206-9211) and section filed 5-12-95; operative 5-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 19).
§9207. Timing of Appeal.
Note     •     History

An appeal under Article 2 of this Chapter shall be filed with the Panel within 180 days after the denial of a permit or the issuance of a permit.
NOTE

Authority cited: Section 180.3, Streets and Highways Code. Reference: Section 180.5, Streets and Highways Code.
HISTORY

1. New section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 19).
3. New section filed 5-12-95; operative 5-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 19).
§9208. Form and Contents of Appeal.
Note     •     History

The appeal shall be typewritten and may be in letter or other written format. The appeal shall state that it is an appeal under Article 2 of Chapter 2 of Division 5 and shall include all of the following:
(a) The permit for which the Department or local agency applied and whether the permit was issued or denied;
(b) The statute, ordinance, regulation or rule pursuant to which the permit may be issued;
(c) If the permit was issued, the conditions determined by the Department or local agency to be unreasonable and the reasons why such conditions would lead to a significant delay in a seismic retrofit project;
(d) A concise statement of the necessity of the project for the preservation of the public peace, health, or safety within the meaning of Article IV of the California Constitution; and
(e) If the permit was applied for by a local agency, the name, address, telephone number, and fax number, if any, of the local agency.
NOTE

Authority cited: Section 180.3, Streets and Highways Code. Reference: Section 180.5, Streets and Highways Code.
HISTORY

1. New section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 19).
3. New section filed 5-12-95; operative 5-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 19).
§9209. Notice to the Permitting Agency.
Note     •     History

A copy of an appeal under Article 2 of this Chapter shall be filed with the permitting agency on the same date that it is filed with the Panel.
NOTE

Authority cited: Section 180.3, Streets and Highways Code. Reference: Section 180.5, Streets and Highways Code.
HISTORY

1. New section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 19).
3. New section filed 5-12-95; operative 5-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 19).
§9210. Responses.
Note     •     History

A permitting agency may file with the Panel a response to an appeal under Article 2 of this Chapter. A response shall be filed with the Panel not later than five days prior to the date of the meeting of the Panel at which the appeal will be considered. A response shall be filed with the Department or local agency on the same date that it is filed with the Panel. A response filed with a local agency shall be filed at the address set forth in the appeal, or if the response does not exceed 25 pages, by facsimile transmission to the fax number identified in the appeal. A response shall be typewritten and may be in letter or other written format. A response shall identify the appeal and the respondent and shall contain a concise statement of opposition to the appeal.
NOTE

Authority cited: Section 180.3, Streets and Highways Code. Reference: Section 180.5, Streets and Highways Code.
HISTORY

1. New section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 19).
3. New section filed 5-12-95; operative 5-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 19).
§9211. Panel's Determination of Appeal.
Note     •     History

(a) Within sixty days after the filing of an appeal under Article 2 of this Chapter, the chairperson of the Panel shall call a meeting of the Panel to consider and act on the appeal.
(b) If the Panel finds that the project is necessary for the preservation of the public peace, health, or safety within the meaning of Article IV of the California Constitution, the Panel may in its discretion: (1) waive the permit; (2) amend any condition established by the permit; or (3) issue a permit that has been denied by the permitting agency. The Panel shall mail written notice of its decision to the Department or local agency and the permitting agency.
NOTE

Authority cited: Section 180.3, Streets and Highways Code. Reference: Section 180.5, Streets and Highways Code.
HISTORY

1. New section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 19).
3. New section filed 5-12-95; operative 5-12-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 19).
Division 6. California High-Speed Rail Authority
Chapter 1. Selection Process for Private Architectural and Engineering Firms
Article 1. General Provisions
§10000. Purpose and Scope.
Note     •     History

The purpose of these regulations is to establish those procedures authorized and required by legal enactments, including the following: 
-- Chapter 1434 of the Statutes of 1974, as amended, which added Chapter 10(commencing with Section 4525) of Division 5 of Title 1 of the Government Code. 
-- Chapter 796 of the Statues of 1996, which added Division 19.5 (commencing with Section 185000) of the Public Utilities Code. 
-- Initiative Measure of 2000 (Proposition 35, § 4, approved November 7, 2000, effective November 8, 2000), which added Chapter 10.1 (commencing with Section 4529.10) of Division 5 of Title 1 of the Government Code. 
-- Article XXII of the California Constitution, Article XXII, which was added by Initiative Measure (Proposition 35, § 4, effective November 8, 2000, approved November 7, 2000), and amended the California Constitution. 
Such procedures shall require the securing of services covered under Chapter 10 and Chapter 10.1 of the Government Code on the basis of demonstrated competence and on the professional qualifications necessary for the satisfactory performance of the services required. 
The California High-Speed Rail Authority is authorized to contract with qualified entities for the services listed in Government Code Section 4525(d), 4525(e), 4525(f) and 4529.10. 
The regulations in this chapter are intended to be broad enough to encompass all matters needed for the California High-Speed Rail Authority to carry out its mission and vision, which include the duties to provide a statewide high-speed train system for users and workers; integrating with existing transportation services to optimize transportation system throughput and provide dependable travel times; improve delivery of projects and services; provide mobility choices through strategic partnerships; and, preserve and enhance California's resources and investments, and to fulfill its statutory mandates. 
NOTE

Authority cited: Section 4526, Government Code; Section 185000, Public Utilities Code; and Article XXII, California Constitution, Sections 1-2. Reference: Sections 4525-4529.10, Government Code; Sections 185000-185038, Public Utilities Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New division 6 (chapter 1), chapter 1 (article 1), article 1 (sections 10000-10000.13) and section filed 10-6-2006; operative 10-6-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 40).
2. Editorial correction of History 1 (Register 2006, No. 44).
§10000.1. Definitions.
Note     •     History

As used in these regulations: 
(a) “Firm” means any individual, firm, partnership, corporation, association, or other legal entity permitted by law to practice the professions of architecture or engineering, as defined in section 10000.1(e) of these regulations. 
(b) A “Small business” firm is a firm certified as a “small business” in accordance with Section 14837 of the Government Code or its successor provisions. 
(c) “Executive Director” is the Executive Director of the California High-Speed Rail Authority. 
(d) “Authority” is the California High-Speed Rail Authority. 
(e) The term “architectural and engineering (hereafter “A&E”) services” shall include all architectural, landscape architectural, environmental, engineering, land surveying, and construction project management services, as well as incidental services that members of these professions and those in their employ may logically or justifiably perform, in support of the aforementioned services, including permitting and environmental studies, right-of-way service, design phase services, construction phase services, public outreach and meeting facilitation related to the foregoing. “A&E services” shall not include legal services rendered to the Authority. 
(f) “Project” includes a project as defined in Section 10105 of the Public Contract Code, or as defined in Public Resources Code Section 21065. Project shall also include any and all projects and works in which the Authority is authorized to engage or for which the Authority is authorized to contract pursuant to the High Speed Rail Act, Public Utilities Code sections 185000 et seq. 
(g) “RFQ” is an acronym for Request for Qualifications, the solicitation document used to request a Statement of Qualifications of firms that perform A&E services. 
(h) “SOQ” is an acronym for Statement of Qualifications, the response to an RFQ or annual announcement submitted by firms that perform A&E services. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Article XXII, California Constitution, Sections 1-2; Sections 4525, 4526, 4527 and 4529.10, Government Code; and Section 21065, Public Resources Code. 
HISTORY

1. New section filed 10-6-2006; operative 10-6-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 40).
2. Editorial correction of History 1 (Register 2006, No. 44).
§10000.2. Annual Announcements for Statement of Qualifications and Performance Data.
Note     •     History

On an annual basis the Executive Director shall request SOQs for specified A&E services by statewide announcement as provided in Section 10000.5 of these regulations. This announcement must, at a minimum, include a description of the project or proposed services, an Authority contact, and the date, time and location for submission of SOQs. The announcements may also identify the criteria upon which the award will be made. 
NOTE

Authority cited: Section 4526, Government Code; and Section 185034, Public Utilities Code. Reference: Section 4527, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-6-2006; operative 10-6-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 40).
2. Editorial correction of History 1 (Register 2006, No. 44).
§10000.3. Establishment of Criteria.
Note     •     History

The Executive Director shall establish criteria, which will comprise the basis for the selection of a firm for each project. The criteria shall include such factors as professional excellence, demonstrated competence, specialized experience of the firm, education and experience of key personnel to be assigned, staff capability, workload, ability to meet schedules, nature and quality of completed work, reliability and continuity of the firm and/or subcontractors, location, or other considerations deemed relevant. Such factors shall be weighted by the Executive Director according to the nature of the project, the needs of the State, and complexity and special requirements of the specific project. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526, 4527 and 4529.12, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-6-2006; operative 10-6-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 40).
2. Editorial correction of History 1 (Register 2006, No. 44).
§10000.4. Estimate of Value of Services.
Note     •     History

Before any discussion with any firm concerning fees may take place, the Executive Director shall cause an estimate of the value of such services to be prepared. This estimate may be based on such factors as a market survey, comparison with fees paid to other departments' or agencies' contractors for similar services, or comparison with the salaries of comparable positions within the Authority, within State service, or within other governmental entities. This estimate shall serve as a guide in determining fair and reasonable compensation for the services rendered. Such estimate shall be, and remain, confidential until approval of contract or abandonment of any further procedure for the services to which it relates. At any time the Executive Director determines the State's estimates to be unrealistic due to rising costs, special conditions, or for other relevant considerations, the estimate shall be reevaluated and modified if necessary. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526, 4528 and 4529.12, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-6-2006; operative 10-6-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 40).
2. Editorial correction of History 1 (Register 2006, No. 44).
§10000.5. Request for Qualifications -- Publication of Announcement.
Note     •     History

(a) Where a project or Authority need requires A&E services, the Authority shall make a statewide announcement through the publications of the respective professional societies. 
The Authority may also advertise to reach providers of services within the appropriate trade or profession by publishing the announcement through electronic communications media which support bulletin boards or Internet web sites that have demonstrated statewide accessibility and are regularly maintained at established addresses by professional organizations which are representative of the services to be procured or in a construction trade journal, or publicize the requirements for services in other appropriate publications. 
Failure of any professional society or construction trade journal to publish the announcement shall not invalidate any contract. 
(b) The announcement shall include information describing the project or services, an Authority contact for obtaining RFQs, and the due date, time and location for submission of SOQs. The announcement may also identify the criteria upon which the award will be made. 
(c) The Executive Director shall disseminate RFQs to those firms responding to the announcement and to qualified firms providing SOQs pursuant to Section 10000.2. The RFQs shall include a description of the project for which the services are to be required, the criteria upon which the award shall be made, the due date, SOQ submission and contract requirements. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4527 and 4529.12, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-6-2006; operative 10-6-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 40).
2. Editorial correction of History 1 (Register 2006, No. 44).
§10000.6. Selection Process.
Note     •     History

After expiration of the period stated in the announcement prescribed in Section 10000.5, the Executive Director shall evaluate statements of qualifications and performance data that have been submitted to the Authority. Discussions shall be conducted with no less than three firms regarding the required service. From the firms with which discussions are held, the Executive Director shall select no less than three, in order of preference, based upon the established criteria, that are deemed to be the most highly qualified to provide the services required. Where three firms cannot be found, that could provide the required service, a full explanation including names and addresses of firms and individuals requested to submit qualifications must be entered in the files. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4527, 4528 and 4529.12, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-6-2006; operative 10-6-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 40).
2. Editorial correction of History 1 (Register 2006, No. 44).
§10000.7. Negotiation.
Note     •     History

The Executive Director shall attempt to negotiate a contract with the most highly qualified firm. In negotiating fees and executing a contract, the procedure described in Section 6106 of the Public Contract Code (or any successor statute) shall be followed. When the Executive Director is unable to negotiate a satisfactory contract with this firm with fair and reasonable compensation provisions as determined by the procedure set forth in Section 10000.4, negotiations shall be terminated. The Executive Director may then undertake negotiations with the second most qualified firm on the same basis. Failing accord, negotiations shall be terminated. The Executive Director may then undertake negotiations with the third most qualified firm on the same basis. Failing accord, negotiations shall be terminated. Should the Executive Director be unable to negotiate a satisfactory contract at fair and reasonable compensation with any of the selected firms, additional firms may be selected in the manner prescribed and the negotiation procedure continued. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4528 and 4529.12, Government Code; and Section 6106, Public Contract Code. Reference: Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-6-2006; operative 10-6-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 40).
2. Editorial correction of History 1 (Register 2006, No. 44).
§10000.8. Audits.
Note     •     History

Contracts for A&E services are subject to standard accounting practices. The Executive Director may require pre-, interim- and/or post-award financial and performance audits as necessary to ensure contract services are delivered within the agreed schedule and budget. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Article XXII, California Constitution, Sections 1-2; and Section 4529.14, Government Code. 
HISTORY

1. New section filed 10-6-2006; operative 10-6-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 40).
2. Editorial correction of History 1 (Register 2006, No. 44).
§10000.9. Amendments.
Note     •     History

Where the Executive Director determines that a change in the contract is necessary during the performance of the services, the parties may, by mutual consent, in writing, agree to modifications, additions or deletions in the general terms, conditions and specifications for the services involved, including extensions of time, with a reasonable adjustment in the firm's compensation. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526, 4528 and 4529.12, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-6-2006; operative 10-6-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 40).
2. Editorial correction of History 1 (Register 2006, No. 44).
§10000.10. Contracting in Phases.
Note     •     History

Where the Executive Director determines it is necessary or desirable for a project to be performed in separate phases, the Executive Director may negotiate a price for the initial phase work. To establish a contract price for the initial portion of phased work, the Executive Director must first determine that the chosen firm is best qualified to perform the entire project. A contract for work to be performed in phases without a negotiated total contract price must provide that the state may, at its option utilize that firm to perform other phases of the work to be later negotiated and reflected in a subsequent written instrument. The procedures established herein with respect to estimates and negotiation as specified herein shall otherwise apply. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Section 4526, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-6-2006; operative 10-6-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 40).
2. Editorial correction of History 1 (Register 2006, No. 44).
§10000.11. Executive Director's Power to Require Bids.
Note     •     History

Subject to Board approval, where the Executive Director determines that the services needed are technical in nature and involve little professional judgment and that requiring bids would be in the public interest, a contract may be awarded on the basis of bids rather than by following the foregoing procedures for requesting qualifications and negotiation. 
NOTE

Authority cited: Section 4526, Government Code; and Article XXII, California Constitution, Section 1. Reference: Section 4529, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-6-2006; operative 10-6-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 40).
2. Editorial correction of History 1 (Register 2006, No. 44).
§10000.12. Prohibited Practices and Conflict of Interest.
Note     •     History

(a) Practices which might result in unlawful activity, including but not limited to rebates, kickbacks, or other unlawful consideration are strictly prohibited. The Authority shall require a contract entered into pursuant to this chapter to include a provision in which the firm certifies that the contract was not obtained through rebates, kickbacks, or other unlawful considerations either promised or paid to an Authority employee. In addition to any other applicable legal proscriptions, failure to adhere to the certification may be cause for contract termination and recovery of damages under the rights and remedies due the Authority under the default provision of the contract. 
(b) An Authority employee shall not participate in the selection process if the employee has a relationship, as specified in Section 87100 of the Government Code, with a firm seeking a contract subject to this chapter. 
(c) Nothing in this chapter shall be construed to abridge the obligation of the Authority or the firm to comply with all laws regarding political contributions, conflicts of interest, or unlawful activities. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526, 4528, 4529.12 and 87100, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-6-2006; operative 10-6-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 40).
2. Editorial correction of History 1 (Register 2006, No. 44).
§10000.13. Small Business Participation.
Note     •     History

The Executive Director shall encourage small business firms to become certified through the State Department of General Services and to subscribe to the California State Contracts Register for advertisement notifications. The Executive Director shall participate in outreach programs to provide small business with information on Authority contracting opportunities. 
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4527, Government Code; and Article XXII, California Constitution, Sections 1-2. 
HISTORY

1. New section filed 10-6-2006; operative 10-6-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 40).
2. Editorial correction of History 1 (Register 2006, No. 44).