• *- —
Barclays Official
California
Code of
Regulations
Title 5. Education
Complete Title
Vol.6
XHOIVISOIM
*
\A/EST
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TITLES. EDUCATION
NOMENCLATURE CROSS-REFERENCE
(NOTE: Effective April 1, 1990, the Office of Administrative Law authorized the renaming of the
hierarchical headings used within the Titles of the California Code of Regulations. Until the agen-
cies implement these changes in their regulations, use the following Cross-Reference Table for
the new organizational headings used in this Title.)
•
OLD HIERARCHY REVISED HIERARCHY
Part Division
Division Chapter
Chapter Subchapter
Subchapter Article
Article Subarticle
Section Section
Title 5
Education
Title Table of Contents
•
Title 5. Education
Table of Contents
•
Division 1.
Chapter J .
Subchapter 1
Subchapter 2
Subchapter 3
Subchapter 4,
Subchapter 5,
Subchapter 6,
Subchapter 7.
Chapter 2.
Subchapter 1,
Article I.
Article 2.
Article 3.
Subchapter 2,
Article 1.
Article 1.1.
Article 2.
Article 3.
Article 4.
Subchapter
3
Article 1.
Page
California Department of
Education 1
General Provisions i
Citation and Definitions l
School Sessions i
Flag of the United
States 1
Affirmative Action
Employment Programs l
Public Records l
Department of Education —
Conflict of Interest
Code 2
Plans to Alleviate Racial
and Ethnic Segregation
of Minority Students 2
Pupils 3
General Provisions 3
Admission and Exclusion of
Pupils 3
Duties of Pupils 4
Privileges of Pupils 4
Records of Pupils 4
Attendance Records and
Accounting 4
Record of Verification of
Absence Due to Illness and
Other Causes 5
Emergency Average Daily
Attendance 6
Individual Pupil Records 6
Records Identifying and
Accounting for Project-
Connected Pupils 8
Health and Safety of
Pupils 8
Fire Drills 8
Article 2.
Article 3.
Article 4.
Article 4.1
Article 5.
Article 6.
Article 7.
Subchapter 3.5.
Subchapter 3.75.
Article 1.
Article 2.
Article 2.5.
Article 3.
Subchapter 3.8.
Subchapter 4.
Article 1.
Article 1.5.
Page
Civil Defense Plans and
Drills 8
School Safety Patrols
(Traffic Safety) 8
Vision Testing 9
Administering Medication to
Pupils or Otherwise
Assisting Pupils in the
Administration of
Medication During the
Regular School Day i o. i
School Environment for
Pupils 12
Pupil Fingerprinting
Program 13
Safe Schools Assessment
Program 13
Leroy Greene Assessment
of Academic Achievement 16
Standardized Testing and
Reporting Program 17
General 17
Designated Achievement Test,
Standards-Based Achievement
Tests, Alternate
Assessment, and Designated
Primary Language Test 18
Golden State Seal Merit
Diploma 28
Designated Primary Language
Test 29
Quality Education
Investment Act of 2006 31
Statewide Testing of
Pupils and Evaluation
Procedures 32
Achievement Testing
Programs 32
Education Improvement
Incentive Program 33
Page i
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Title Table of Contents BARCLAYS CALIFORNIA
Page
Article 1 .6. Immediate Intervention/
Underperforming Schools
Program (II/USP) and High
Priority Schools Grant
Program (HPSGP): Definition
of Significant Growth and
Criteria to Determine
Academic Growth for II/USP
and HPSGP Schools Without
Valid API's 33
Article 1.7. Award Programs Linked to the
Academic Performance Index
(API) 34
Article 2. Physical Performance Testing
Programs 37
Article 2.5. Testing Variations/
Accommodations 38.1
Article 3. Reading Testing Programs in
Grades 1,2, and 3 38.1
Article 4. Alternative Assessment Pilot
Project 38.1
Article 5. Alternative Schools
Accountability Model Pre-
Post Assessments 39
Subchapter 6. California High School
Exit Examination 40
Article 1. General 40
Article 2. High School Exit Examination
Administration 41
Article 3. High School Exit Examination
Testing Variations/
Accommodations/
Modifications/Waivers 46
Article 4. Cheating 46.2
Article 5. Apportionment 46.2
Subchapter 7. Graduation of Pupils from
Grade 12 and Credit
Toward Graduation 46.2
Article 1 . Measurement of Credit Toward
Graduation from Grade 12 46.2
Article 2. Credit Toward High School
Graduation 46.3
Article 3. Diploma of Graduation 47
Chapter 3. Handicapped Children 48
Subchapter 1 . Special Education 48
Article 1 . General Provisions 48
Article 2. Administration 50
Article 3. Identification, Referral,
and Assessment 50
CODE OF REGULATIONS Title 5
Page
Article 3. 1 . Individuals with Exceptional
Needs 51
Article 4. Instructional Planning and
Individualized Education
Program 53
Article 5. Implementation (Program
Components) 54
Article 6. Nonpublic. Nonsectarian
School and Agency Services 61
Article 7. Procedural Safeguards 68
Article 8. State Board of Education
Waivers 70.1
Chapter 3.5. Joint Regulations for
Handicapped Children 71
Subchapter I. Interagency
Responsibilities for
Providing Services to
Handicapped Children 71
Chapter 4. Gifted and Talented Pupil
Program 71
Subchapter 1 . General Provisions 71
Subchapter 2. Eligibility 71
Subchapter 3. Standards Used for
Identification of Gifted
and Talented Pupils 71
Subchapter 4. Minimum Standards for
Programs 72
Article 1 . General 72
Article 2. Types of Programs 72
Article 3. Length of Program 73
Subchapter 5. Approval of Programs 73
Subchapter 6. Indirect Cost
Expenditures 73
Chapter 5. Consolidated Categorical Aid
Programs 73
Subchapter 1 . General Provisions 73
Article 1. Scope of the Chapter 73
Article 2. Administrative Procedures 74
Article 3. Program Requirements 74
Article 4. Fiscal Concerns 75
Article 5. Complaint Procedures 76
Subchapter 2. School Improvement
Programs 76
Article 1. Definitions 76
Article 2. District Master Plan —
Additional Elements 76
Article 3. School Improvement Plan 77
Article 4. Program Review 77
•
•
Page ii
(7-l)-2()08)
Title 5
Education
Page
Selection and Expansion 77 Article 1.
Fiscal Concerns 77 Article 2.
Local Staff Development Article 3.
Programs 78
Local Staff Development Article 4.
Programs 78 Article 4.5.
Funding 78
Economic Impact Aid 78 Anicle 5.
n ^„ Article 6.
Purpose 78
All .- ri- J ^. Article 7.
Allocation ot Funds 79
General Accounting a _• i o
'^ Article 8.
Requirements 79
Administration and . ■ , g
Evaluation Allocations 79
Bilingual Education 79 Chapter 5.2.
Purpose 79
^ ... . . Chapter 5.3.
Definitions 79 ^
Program Requirements 79 o u u . i
^ ^ Subchapter 1 .
Special Funds to Assist
Districts 80
State Compensatory
Education Programs 81
Program Purpose 81
Article 1.
Program Requirements 81
^ Article 2.
Designating Eligible and a ■ ] o <
Participating School 81
Article 3
Designating Students to Be
Participants 82
Level of Funding 82
Allocation Alternatives 82 Article 3.5.
Evaluation 84
District and School Advisory
Councils 84 Article4.
r- u\-. o. Article 5.
Comparability 84
California Preschool
Program 85 Article 7.
Miscellaneous Programs 85 Article 8.
Schoolwide Programs 85
School Security 86 Chapter 6.
„.,. , T-j .• Subchapter 1.
Bilingual Education ^
Programs 86 Article 1.
Bilingual-Bicultural
Education Programs 86 Article 2.
Subchapter 2.
Uniform Complaint Procedures 86
Complaint Procedures 86
Title Table of Contents
•
Article 5.
Article 6.
Subchapter 3.
Article 1.
Article 2.
Subchapter 4.
Article 1.
Article 2.
Article 3.
Article 4.
Subchapter
5,
Article 1.
Article 2.
Article 3.
Article 4.
Subchapter
6
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Article 6.
Article 7.
Article 8.
Article 9.
Article 10.
Subchapter 7.
Article 1.
Article 2.
Subchapter 8.
Subchapter 9.
Chapter 5.1.
Subchapter 1.
Page
Definitions 86
Purpose and Scope 87
Local Educational Agency
Compliance 88
Local Complaint Procedures 88
Appeal of Local Educational
Agency Decision 89
State Complaint Procedures 90
Direct State Intervention 90
State Investigation
Procedures 9i
Enforcement — Slate Procedures
to Effect Compliance 92
Williams Complaints 92
Improvement of Elementary and
Secondary Education 92.1
Nondiscrimination and
Educational Equity 92.2
Nondiscrimination in
Elementary and Secondary
Educational Programs
Receiving State or
Federal Financial
Assistance 92.2
General Provisions 92.2
Definitions 92.2
Sexual Harassment 93
Nondiscrimination in
Intramural,
Interscholastic, or Club
Athletics 93
Nondiscrimination in
Extracurricular and Club
Activities 94
Counseling 94
Course Access 95
Marital and Parental Status 95
Local Agency Compliance 95
Complaint Process
Safeguards 96
Certified Personnel 96
General Provisions 96
Code of Ethics of the
Teaching Profession 96
Employment and Dismissal 96
Duties of Certificated
and Noncertificated
Personnel 98
Page iii
Title Table of Contents BARCLAYS CALIFORNIA
Page
Article 1. Duties of All Certificated
Personnel 98
Article 2. Duties of Principals 98
Article 3. Duties of Teachers 98
Article 4. Duties of District
Superintendents 98
Article 5. Duties of Temporary Athletic
Team Coaches 98
Subchapter 3. Rights of Certificated
Personnel 100
Subchapter 4. Grants of Financial
Assistance to
Certificated Personnel lOl
Article 1 . Scholarship Grants for
Teachers of Reading lOl
Article 2. Loans to Teachers of
Educationally Handicapped
Minors for Specialized
Preparation During the
Summer (Section 56060
Loans) lOl
Subchapter 5. Instructional Time and
Staff Development Reform
Program 102
Subchapter 6. Positions Requiring
Certification
Qualifications 102
Subchapter 7. No Child Left Behind
Teacher Requirements 103
Article 1. General 103
Article 2. Elementary Level Teachers 103
Article 3. Middle and High School Level
Teachers 105
Article 4. State Certification Not
Meefing NCLB Teacher
Requirements 105
Article 5. One-Time Compliance 106
Article 6. Teachers from Out-of-State 106
Chapter 7. Credenfials and Institutions
Preparing Candidates for
Credentials 106
Subchapter 17. Teacher Preparation and
Licensing Law of 1970 106
Subchapter 18. All Prior Credentials and
Life Diplomas of Any
Kind Whatsoever 106
Article 1. General Provisions 106
Article 2. Fees 106
CODE OF REGULATIONS Title 5
Page
Article 3. Application for Credentials
and Life Diplomas 106
Article 4. Health Standards Required of
Applicants for Credentials
Authorizing School Service
in California 106
Article 5. Renewal of Credentials 106.1
Article 6. Life Diplomas Based on
"Prior Regular
Credentials" 106.1
Article 7. Issuance and Denial of
Credentials and Life
Diplomas 106.1
Article 8. Administrative Hearing upon
Denial of an Application 106.1
Article 9. Suspension and Revocation of
Certification Documents 106.1
Subchapter 18.1. Credentials Authorized by
the Licensing of
Certificated Personnel
Law of 1961 106.1
Subchapter 18.2. Restricted Credentials 106.1
Subchapter 18.3. Internship Credentials
Issued under the Teacher
Education Internship Act
of 1967, As Amended 106.1
Subchapter 18.4. Provisional and
Miscellaneous
Credentials 106.1
Subchapter 19. Validation of Service
Without a Credential 106.1
Subchapter 20. Accreditation of Teacher
Education Institutions
for Teacher
Certification Purposes 106.1
Chapter 9. Instructional Materials 106.1
Subchapter 1. Elementary Instructional
Materials 106.1
Article 1. General Provisions 106.1
Article 2. Adoption of Curriculum
Frameworks, Evaluation
Criteria and Instructional
Materials — Procedures 107
Article 2. 1 . Acquisition of Adopted
Instructional Materials 112
Article 2.3. Instructional Materials
Funding 113
Article 3. Request to Purchase
Nonadopted Core Reading
Program Instructional
Materials 114
•
Page iv
(7-11-2008)
Title 5
Education
Page
Additions to Lists of
Adopted Instructional
Materials in Reading/
Language Arts and
Mathematics 1 1 5
Courses of Study 1 16
High School Courses of
Study 116
Automobile Driver Education .... 116
Automobile Driver Training 1 16
Contracting for Automobile
Driver Training 1 18
Physical Education Program 118
Work Experience Education 119
Community Classrooms 119
Cooperative Vocational
Education 121
Adult Education 124
Adult Schools and Classes
for Adults (General) 124
General Provisions 124
Approval of Adult Schools
and Classes 124
Standards for Adult Schools 124
Standards for Particular
Classes for Adults 123
Standards of Administration 125
Classes for Adults in
County Jails, Industrial
Farms, and County or
Joint County Road Camps 125
Adult Education
Innovation and
Alternative
Instructional Delivery 125
Administration 125
Special Programs 126
Continuation Education 126
Standards for Programs 126
Exemption from Maintaining
Continuation Education
Classes 127
Special Elementary School
Reading Instruction
Programs 127
General Provisions 127
Title Table of Contents
Page
Nomination and Designation
of Specialist Teacher in
Reading 127
Minimum Standards of Course
Content for Basic Reading
Program and Criteria for
Approval of Application 128
Allowances to Districts for
Employment of Specialist
Teachers and Salaries of
Librarians 128
Mentor Teacher Program 129
English Language Learner
Education 130
English Language Centers 133
Summer Schools (Other
Than Classes for Adults,
Adult Schools, and
Evening High Schools) 133
Regional Occupational
Centers and Regional
Occupational Programs 1 34
California English
Language Development
Test 135
General 135
Administration i 36
Test Variations/
Accommodations/
Modifications 138.1
Apportionment 138.2
High School Proficiency
Certificates 138.2
Certificate of Proficiency 138.2
High School Equivalency
Certificate (G.E.D.)— for
Persons 1 8 Years of Age or
Older 139
Vocational Educafion
Contracts 140
General Provisions 140
Contracting Standards 140
Contract Provisions 140
Bilingual Education I4i
Bilingual Teacher Corps
Program 141
Regional Adult and
Vocational Education
Councils 141
General Provisions 141
Article 4.
Chapter 10.
Subchapter 1.
Article 1.
Article 2.
Article 3.
ArUcle 3.1.
Article 4.
Article 5.
Article 6.
Chapter 10.2.
Subchapter 1 .
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Subchapter 2.
Subchapter 3.
Arncle 1.
Chapter 11.
Subchapter 1.
Article 1.
Article 2.
Subchapter 2.
Article 1.
Article 2.
Article 3.
Article 4.
Subchapter 3.
Subchapter 4.
Subchapters.
Subchapter 6.
Subchapter 7.
Subchapter 7.5.
Article 1 .
Article 2.
Article 3.
Article 4.
Subchapter 8.
Article 1.
Article 2.
Subchapter 9.
Article 1 .
Article 2.
Article 3.
Subchapter 10.
Article 1.
Subchapter 11.
Article 1.
Page V
Title Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Article 2.
Article 3.
Article 4.
Article 5.
Article 6.
Subchapter 12.
Subchapter 13.
Article 1.
Article 2.
Article 3.
Subchapter 14.
Article 1.
Subchapter 15.
Subchapter 16.
Subchapter 17.
Article 1.
Article 2.
Subchapter 18.
Article 1.
Subchapter 19.
Article 1.
Article 1.2.
Article 1.5.
Article 2.
Article 3.
Subchapter 20.
Subchapter 20.5.
Subchapter 21.
Page
Formation of Regional
Council Boundaries 142
Criteria for Council
Boundary Determination 142
Organization of Councils 142
Council Functions 142
Appeals from Decision of the
Council 142
Alternative Schools 143
Independent Study 143
General Provisions 143
Standards for Independent
Study 144
Provisions Unique to Charter
Schools 144
School Resource Centers 143
School Resource Centers 145
Comprehensive Health
Education 1 45
Pregnant Minor Program 146
Grant Program for
Restructuring in Public
Education 146
Planning Grant Application 146
Demonstration Grant
Applications 146
Grant Program for Healthy
Start 148
Grants 148
Charter Schools 150
Charter School Regular
Average Daily Attendance 150
Closure Procedures 150
Classroom- and Nonclassroom-
Based Instruction in
Charter Schools 151
General Provisions 154.1
Facilities for Charter
Schools 160
Education Technology
Staff Development
Program 162.3
Enhancing Education
Through Technology Grant
Program 162.3
Mathematics and Reading
Professional Development
Program 165
Subchapter 21.5
Subchapter 22.
Subchapter 22.5
Subchapter 23.
Subchapter 24.
Article 1.
Chapter 12.
Subchapter 1.
Article 1.
Subchapter 2.
Article 1.
Article 2.
Article 3.
Article 4.
Subchapter 4.
Subchapter 5.
Article 1.
Article 3.
Subchapter 6.
Article 1.
Article 2.
Article 3.
Article 4.
Subchapter 7.
Article 1.
Subchapter 9.
Article 1.
Subchapter 11.
Article 1.
Subchapter 12.
Page
School Community Violence
Prevention Program 168.2(a)
Reading First Program 168.3
K Reading First Achievement
Index/Definition of
Significant Progress 168.3
Defining Persistently
Dangerous Public
Elementary and Secondary
Schools 168.4
American Indian
Education Centers 168.5
General Provisions 168.5
Compensatory Education 168.8
General Provisions 168.8
General Provisions 168.8
Migrant Education 168.8
Program Requirements 168.8
Program Eligibility 168.8
Complaint Procedures 168.8
Fiscal Allocation and
Service Delivery Structure 168.9
Preschool Educational
Programs 168.9
Special Teacher
Employment Programs (K-6) 168.9
General Provisions 168.9
Teacher Aides 169
Demonstration Programs in
Intensive Instruction
(Reading and
Mathematics) for Low
Achieving Pupils in
Grade 7, 8 or 9 169
General Provisions 169
Applications 170
Personnel in Program 170
Evaluation of Program 170
New Careers in Education
Programs 170
General Provisions 170
Professional Development
and Program Improvement
Programs 172
General Provisions 172
School Housing Aid for
Compensatory Education 175
General Provisions 175
School Housing Aid for
Districts Impacted by
Seasonal Agricultural
Employment 175
•
Page vi
(7-11-2008)
Title 5
Education
Page
Supplemental Services 17.5
School Facilities and Equipment 176.1
School Housing 176.1
General Standards 176,1
School Sites 176.1
Attendance Areas and
Practices 178
Standards, Planning and
Approval of School
Facilities 178
Use of School Buses and
School Pupil Activity
Buses 183
General Provisions 183
School Buses 184
School Finance 184
Nonresident Tuition 184
Budgeting, Accounting,
and Reporting 184.1
Transfer of Funds from the
School District General
Fund to the Child
Development Fund and the
Development Center for
Handicapped Pupils Fund 184.1
Standardized Account Code
Structure 184.1
Annual Financial Statements . . . 184.2
Decreases in Average
Daily Attendance for
Apportionment Purposes
Due to Executive Ratios
Pupils to Classroom
Teachers 184.2
General Provisions 184.2
Waiver of Class Size
Requirements for
Kindergarten 1 84.3
School District Reports 184.3
Class Size Reduction
Program Kindergarten -
Grade 3 184.3
Program to Reduce Class
Size in Two Courses in
Grade 9 184.4
Reduction in State
Support Due to Excessive
Administrative Employee
to Teacher Ratio 1 84.4(a)
Title Table of Contents
Page
General Provisions I84,4(a)
Waiver of Full-Time
Equivalent Administrative
Employees iH4..s
School District Reports I84..'s
Reimbursement for Costs
of Education for
Institutional and Family
Home Children \M.5
Allowances for Pupil
Transportation 184.6
Definitions 1 84.6
Classification of School Bus
Fleets for Transportation
Allowance Purposes 184.7
Records and Available
Information (All
Districts) 184.7
Additional Records and
Available Information
(Districts Maintaining Own
Transportation System) 184.8
Reports 184.8
Review and Approval of
Expenditures 1 84.9
Replacement of School Bus
and Fleplacement
Allowances 184.9
Newly Formed Unified School
Districts 184.10
Revenue Limits for School
Districts I84.li
General Provisions 1 84. 1 1
Recomputation of 1978-79
School District Revenue
Limits 184.11
Calculation of School
District Revenue Limits for
1979-80 184.14
Revenue Limits for County
Superintendents of
Schools 184.19
General Provisions 184.19
Computation of Revenue
Limits for 1979-80 184.20
Criteria and Standards
for School District
Budgets and Interim
Reports 184.25
Budget Review 184,25
Interim Report Review 184 27
•
Subchapter 13.
Chapter 13.
Subchapter 1.
Article 1.
Article 2.
Article 3.
Article 4.
Subchapter 2.
Article 1.
Subchapter
Chapter 14.
Subchapter
Subchapter
Article 1.
Article 2.
Article 3.
Subchapter
Article 1.
Article 2.
Article 3.
Subchapter
3.5.
Subchapter 3.75
Subchapter 4.
Article 1.
Article 2.
Article 3.
Subchapter 4.1.
Subchapter 5.
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Article 6.
Article 7.
Article 8.
Subchapter 6.
Article 1.
Article 2.
Article 3.
Subchapter 7.
Article 1.
Article 2.
Subchapter 8.
Article 1.
Article 2.
Page vii
(7-ll-2(H)Si
Title Table of Contents BARCLAYS CALIFORNIA
Page
Subchapter 9. Criteria and Standards
for County Office of
Education Budgets and
Interim Reports 184.30
Article 1. Budget Review 184.30
Article 2. Interim Report Review 184.32
Chapter 15. Child Nutrition Programs 184.32(d)
Subchapter 1. Food Sales, Food Service,
and Nutrition Education 184.32(d)
Article 1 . Food Sales by Student
Organizations 184.32(d)
Article 2. Mandatory Meals for Needy
Pupils 184.33
Article 3. Nutrition Education 184.33
Article 4. School Lunch and Breakfast
Programs 184.34
Article 5. California Fresh Start Pilot
Program 184.35
Chapter 16. Governing Boards of School
Districts 184.36(a)
Subchapter 1. Contracts with Federal
Agencies 184.36(a)
Article 1. Approval of Contracts 184.36(a)
Subchapter 2. Destruction of Records of
School Districts 184.36(a)
Article 1. General Provisions 184.36(a)
Article 2. Period of Retention 184.36(b)
Article 3. Steps in Destruction 184.37
Subchapter 2.5. Historical Inventory of
Equipment 184.37
Subchapter 3. School Libraries 184.37
Article 1. School Library Services 184.37
Chapter 17. County Superintendents 184.38
Subchapter 1. Duties of the County
Superintendent 184.38
Article 1. Services to School Districts
and the California
Department of Education 184.38
Article 2. Reports to the State
Department of Education 184.38
Subchapter 2. Fiscal Responsibilities
of the County
Superintendent 184.38
Article 1 . Report of Miscellaneous
Funds Pursuant to Education
Code Section 17606 184.38
Article 2. Allowances for Emergency
Purposes 184.39
CODE OF REGULATIONS Title 5
Page
Article 3. Reimbursement of Travel
Expense in Connection with
Cooperative County
Publication Projects 184.40
Article 4. Purchasing and Replacing of
Capital Outlay Items 184.40
Article 5. Purchase, Replacement,
Operation, and Maintenance
of Automotive Equipment 184.40
Article 6. Coordination of the
Educational Program by the
County Superintendent 184.41
Article 7. County School Service Fund
Budget Procedures 184.42
Article 8. County Tax for the
Identification and
Education of Physically
Handicapped Minors by a
County Superintendent 184.43
Article 9. Petty Theft Fine Fund 184.43
Subchapter 3. Destruction of Records of
a County Superintendent 184.43
Article 1. General Provisions 184.43
Article 2. Authorization and
Procedure 184.44
Subchapter 4. Travel Expenses for
County Superintendents
of Schools and
Designated Staff
Members 184.44
Chapter 18. Cahfornia State Special Schools
for the Deaf or Blind, or State
Diagnostic Centers 184.45
Subchapter 1. Employees 184.45
Article 1 . Pay Plan for the Exempt
Teaching Staff of the State
Special Schools and
Diagnostic Centers 184.45
Article 2. Work Days and Vacation
Credit 184.47
Article 3. Tenure Rights of Exempt
Staff 184.48
Article 4. Separation of Employees for
Lack of Funds or Lack of
Work 184.48(a)
Article 5. Termination of a Supervisory
or Managerial
Appointment 184.48(a)
Subchapter 2. State Special Schools
Admission Process 184.48(b)
Article 1 . California School for the
Deaf 184.48(b)
Page viii
(7-11-2008)
Title 5
Education
Page
California School for the Article 5.
Blind 184.48(c)
Child Care and Development ^^^^'^ ^■
Programs 1 84.49 Article 7.
Award of Funding for Article 8.
Child Care and Subchapter 6.
Development Programs 184.49
General Provisions 184.49 Subchapter 7.
Selection of Contractors 184.49
State Child Care Facilities
Fund 184.50 Article 2.
Contingency Funds for
Alternative Payment Subchapter 7.5.
Programs 184.51
Continued Funding 184.51 Article 1.
„ , r. • Article 2.
General Requirements 184.51
General Provisions 184.51 o u u . o
Subchapter 8.
Subcontracts 1 84.54
Costs 184.55
Determination of Article 1.
Reimbursement 184.56 Article 2.
Accounting and Reporting Subchapter 9.
Requirements 184.57
Utilization of the Subchapter 10.
Regional Market Rate
Ceiling 184.60 Article 1 .
General Provisions 184.60 Article 1.5.
General Child Care Article 2.
Programs 184.63 Article 2.5.
General Provisions 184.63
Family Data File 184.64
Enrollment 184.68(c)
Admission Policies and Article 3.
Procedures 184.68(d) Article 4
Parent Fees 184.69 Subchapter 11.
Due Process Requirements .... 184.70
State Preschool Program 184.71 Article 1.
Scope of Chapter 184.71 Article 2.
Enrollment Priorities 184.71
Subchapter 12.
Other Requirements 184.72
Article 1.
School-Age Parenting and a • i o
Infant Development
Programs 184.72
^ , ^ Subchapter 13.
General Provisions 184.72
Subchapter 14.
Fiscal Provisions 184.73
Educational Provisions 184.73 Subchapter 15.
Personnel Provisions 184.73
Title Table of Contents
Page
Structural and Safely
Provisions 184.73
Health Provisions 184.73
Nutrition Provisions 184,73
Social Services Provisions 184.73
Campus Child Care
Program 184.73
Federal Based Migrant
Program 184.74
Scope of Chapter 1 84.74
Eligibility and Enrollment
Priorities 184.74
State EJased Migrant
Program 1 84.74
Scope of Chapter 1 84.74
Eligibility and Enrollment
Priorities 184.74
School Age Community
Child Care Services
Program (Latch Key) 1 84.74
Scope of Chapter 1 84.74
General Provisions 184.75
Severely Handicapped
Program 1 84.75
Alternative Payment
Program 184.76
Scope of Subchapter 184.76
General Provisions 184.76
Policies and Procedures 184.76
Receipt of Notification of
Temporary Suspension Order,
License Revocation, or
Probation. Notification of
Parents and Facihties 184.76(a)
Services and Payments 184.76(a)
Records 184.76(b)
Resource and Referral
Program 184.76(b)
Scope of Subchapter 184.76(b)
Resource and Referral
Service 184.76(b)
Program Quality 1 84.77
Scope of Chapter 184.77
General Program
Requirements 1 84.77
Staffing Ratios 184.79
Waiver of Qualifications
for Site Supervisor 184.79
Appeal and Dispute
Resolution Procedures 184.79
•
Article 2.
Chapter 19.
Subchapter 1.
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Subchapter 2.
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Subchapter 2.5
Article 1.
Subchapter 3.
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Article 6.
Subchapter 4.
Article 1.
Article 2.
Article 3.
Subchapter 5.
Article 1.
Article 2.
Article 3.
Article 4.
Page ix
Title Table of Contents BARCLAYS CALIFORNIA
Page
Chapter 19.5. CalWORKs and Child Care and
Development Programs 184.81
Subchapter 1. Definitions 184.81
Article 1. General Provisions 184.8!
Subchapter 2. CalWORKs Stage 2 Child
Care Program 1 84.82
Article 1. General Provisions 184.82
Article 2. Requirements and Procedures
for Receiving CalWORKs
Stage 2 Services 184.82
Article 3. Requirements for Family Data
File 184.85
Article 4. Provider Payments and Parent
Fees 184.85
Article 5. Program Policies 184.86
Article 6. Data Reporting 1 84.86
Article 7. Program Quahty 184.86
Articles. Due Process 184.86
Subchapter 3. CalWORKs Stage 3 Child
Care Program 184.87
Article 1. General Provisions 184.87
Article 2. Requirements and Procedures
for Receiving CalWORKs
Stage 3 Services 184.87
Article 3. Requirements for Family Data
File 184.89
Article 4. Provider Payments and Parent
Fees 184.90
Article 5. Program Policies 184.90
Article 6. Data Reporting 184.90
Article 7. Program Quality 184.90
Article 8. Due Process 184.90
Chapter 20. State Board of Education
Procedures 184.91
Subchapter 1. General Provisions 184.91
Article 1. Public Hearing 184.91
Subchapter 2. Procedure for Appearance
of an Employee Under
Government Code Section
1028.1 184.91
Subchapter 3. Procedures Relating to
Instructional Materials 184.92
CODE OF REGULATIONS Title 5
Page
Article 1. Procedures for the Public
Display of Textbooks,
Public Hearing Given the
Curriculum Development and
Supplemental Materials
Commission, and Receipt of
Comments from the Public 184.92
Article 2. Procedures for Submission
and Opening of Bids for
Elementary Instructional
Materials 184.92
Subchapter 4. Procedures Relating to
Hearings on Proposals
and Petitions for the
Reorganization of School
Districts 184.93
Subchapter 5. State Board of Education —
Conflict of Interest
Code 184.94
Chapter 2 1 . Private Postsecondary Education
Instructions 184.95
Subchapter 1. General Provisions 184.95
Subchapter 2. Applications and
Affidavits by
Institutions 184.97
Subchapter 3. Standards for Evaluating
the Institution 184.98
Article 1. Institutions Approved Under
Education Code Section
94310.2 184.98
Article 2. Institutions Authorized
Under Education Code
Section 94310.3 184.98
Article 3. Institutions Approved Under
Education Code Section
94311(d) 184.98
Subchapter 4. Agents 184.99
Subchapter 5. Enforcement 184.100
Article 6. Student Tuition Recovery
Fund 184.100
Chapter 22. Veterans Education 184.102
Subchapter 1 . Approval of Nonaccredited
Resident Courses in
Educational
Institutions 184.102
Subchapter 2. Approval of
Correspondence Courses 184.102
Subchapter 3. Approval of Accredited
Resident Courses in
Educational
Institutions 184.102
Page X
(7-11-2008)
Title 5
Education
Page
Miscellaneous Provisions 184.103 Article 6.
Instructional Television 184.103 Article 7.
Classroom Instructional
Television 184.103 Article 8.
California Maritime Subchapter 2
Academy 1 84. 103 Article 1
Surplus Property 184.103 Article 2.
Direct Shipment of Food Article 3.
Commodities 184.103
Performance Based Article 4.
Accountability System 184.104 . • , c
Library Services Provided by the
State 184.106 Article 6.
Article 7.
Education Audit Appeals Panel . . . 185
Subchapter 3
General Provisions 185
Summary Review; Appeals 185 Chapter 2.
Audits of Cahfornia K-12 Local
t:a ,■ \ • ,„. Article 1.
bducation Agencies 186
/-in- ,n. Article 2.
General Provisions 186
Audit Reports 187
State Compliance Procedures: „, -
T , r-j • * Chapter 3.
Local bducation Agencies
Other Than Charter Schools .... 190.1
State Compliance Procedures:
School Districts and » • i i
_, o L , Article I.
Charter Schools 190.15
Article 2
State Compliance Procedures:
Charter Schools 190.19
California State Library 191 Division 3
Library Services Provided by the Chapter 1
State 191
Article 1.
State Library 191 , . , ^
^ Article 2.
General Provisions 191 . . , ^
Article 3.
Interlibrary Loans 191
Service to Individuals 191 Article 4.
California Library
Services 191 Article 5.
General Provisions 191
California Library Services Article 6.
Board Procedures 192.1 Article 7.
General Provisions for Article 8.
Sy^f^"^^ 192.2 ArticlelO.
System Reference 192.3 Article 1 1
Consolidations and
Affihations 192.4(a)
Title Table of Contents
Page
Direct Loans I92,4(b)
Communication and
Delivery 192.4(b)
Interlibrary Loans 192.4(c)
Library of California 192.4(c)
General Provisions 192.4(c)
Definitions 192.4(d)
Library of California
Board 192.4(d)
Eligible Libraries 192.4(c)
Regional Library
Networks 192.4(0
Access Services 192.4(g)
Statewide Services I92.4(i)
Library Services for the
Bhnd 192.4(1)
California Library Construction
and Renovation Board 192.4(1)
General Provisions 192.4(1)
California Library
Construction and Renovation
Program 192.4(1)
California Reading and Literacy
Improvement and Public Library
Construction and Renovation
Bond Act of 2000 192.57
General Provisions 192.57
California Library
Construction and Renovation
Program 192.58
Teachers' Retirement System 193
Teachers' FLetirement System 193
Definitions 193
Rules of Procedure 193
General Provisions of
Administration 193
Tax Sheltered Annuity
Contributions 195
Retired Members Employed as
Substitute Teachers 196
Nomination of Beneficiaries 196
Election of Options 196
Rates 197
Dependents 197
State Teachers' Retirement
Systenfi — Conflict of Interest
Code 197
Chapter 23.
Subchapter 1
Article 1.
Subchapter 2
Subchapter 3
Article 1.
Subchapter 4
Chapter 24.
Division 1.5.
Chapter 1.
Chapter 2.
Chapter 3.
Article 1.
Article 2.
Article 3.
Article 3.1.
Article 4.
Division 2.
Chapter 1 .
Subchapter 1
Article 1.
Article 2.
Article 3.
Subchapter 2
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Page xi
Title Table of Contents BARCLAYS CALIFORNIA
Page
Article 12. Unused Excess Sick Leave 199
Article 13. Election of Members to the
Teachers' Retirement Board 199
Article 14. Investment Relationships and
Campaign Contributions 200.2
Division 4. California Student Aid
Commission 201
Chapter 1. California Student Aid
Commission 201
Article I. Definition of Certain Terms 201
Article 2. Applicant Qualifications 202
Article 3. Use of Cal Grants 204
Article 4. State Guaranteed Loans 204
Article 5. State Student Incentive
Grant Program 204
Article 6. Conflict of Interest Code
Student Aid Commission 205
Article 7. Statement of Purpose and
Criteria for Approval as
Processor for the Student
Aid Application for
California for Student Aid
Commission Programs 206
Article 8. Approval or Disapproval for
Processing 206
Article 9. The California Guaranteed
Student Loan Program 206. l
Article 10. The California Loans to
Assist Students Program 208
Article 11. Imposition of Civil
Penalties, and Limitation,
Suspension and Termination
of Eligibility, Under the
California Guaranteed
Student Loan Program
(CGSLP) and the California
Loans to Assist Students
(CLAS) Program 208.1
Article 12. The Paul Douglas Teacher
Scholarship Program 212
Article 13. The California Teacher
Shortage Loan Assumption
Program 215
Article 14. Assumption Program of Loans
for Education 216
.'Article 14.5. National Guard Assumption
Program of Loans for
Education 218
CODE OF REGULATIONS Title 5
Page
Article 15. Process for Selecting an
Organization to Provide
Financial Need Analysis and
Related Services and to Act
as the Sole Processor of
theSAAC 218.3
Article 16. Federal Family Education
Loan Program 2 1 8.4
Article 17. State Nursing Assumption
Program of Loans for
Education for Nursing
Faculty (SNAPLE-NF) 218.4
Article 1 8. State Nursing Assumption
Program of Loans for
Education for Nurses in
State Facilities (SNAPLE-
NSF) 218.8
Division 4.5. ScholarShare Investment
Board 219
Chapter 1 . Golden State Scholarshare Trust
Program 219
Chapter 2. Governor's Scholarship Programs 220.5
Division 5. Board of Trustees of the
California State Universities 221
Chapter 1 . California State University 221
Subchapter 1 . Definitions 221
Subchapter 2. Educational Program 221
Article 1 . General Function 221
Article 2. Curricula 222
Article 3. Special Sessions 223
Article 4. Extension Courses 223
Article 5. General Requirements for
Graduation 224
Article 6. Undergraduate Degrees 227
Article 7. Graduate Degrees 229
Article 8. Integrated Teacher
Preparation Programs 230
Article 9. Lower-Division Transfer
Patterns by Major 231
Subchapter 3. Admission Requirements 231
Article 1 . Construction and
Definitions 231
Article 2. Estabhshment of Enrollment 232
Article 3. Matriculation 233
Article 4. Admission As First-Time
Freshman 233
Article 5. Admission As an
Undergraduate Transfer 235
•
Page xii
(7-11-2008)
Title 5
Education
Page
Admission of Undergraduate
Applicants Not Otherwise
Eligible 238
Admission to Bachelor of
Music and Bachelor of Fine
Arts Degree Programs 238.1
Admission of Post-
Baccalaureate and Graduate
Students 238.1
Requirements for Admission
to Teacher Basic Credential
Programs and Student
Teaching and Recommendation
for Teaching Credential 239
Admission for Employee
Training and Career
Development 240
Physical Examinations 240
Supplemental Information 241
Admission Experiments 241
Student Affairs 241
Scholastic Probation and
Disqualification 241
Student Conduct 241
Student Body Organizations 243
Nondiscrimination in Student
Organizations 245
Student Orientation 245
Administration 245
Community Relations
Responsibilities 245
Facilities and Services 246
Fees 246
Nonresident Tuition 248
Housing 251
Meals 252.3
Parking 252.3
Gifts, Donations, and
Bequests to California
State University 253
Use of California State
University Buildings and
Grounds 253
Disposition of Lost
Property 255
Means of Collection 255
State College Special
Projects Fund 255
Title Table of Contents
Page
Emergency Meeting 255
Privacy and Personal
Information Management 255
Alumni Associations 256
Auxiliary Organizations 260
General 260
Functions of Auxiliary
Organizations and
Requirement for Written
Agreements 262
Organization and Operation 263
Student Body Organization
Funds 264
Systemwide Auxiliary
Organizations 264
Employees 265
Definitions 265
Staff Organization and
Appointment of Employees 266
Management Personnel Plan .... 266.2
Academic Year Employees at
Campuses on Quarter System
Year-Round Operations 266.4
Twelve-Month Librarians
Electing to Work on a Ten-
Month Basis 267
Compensation and Pay Plan 267
Tax Deferred Retirement
Benefit 271
Vacafions 272
Holidays 274
Catastrophic Leave Donation
Program 274
Leaves of Absence with Pay 275
Special Leaves for Research
or Creative Activity 277
Military Leave 277
Leaves of Absence Other Than
Leaves of Absence with Pay 277
Reduced Worktime Program for
All Employees Other Than
Academic Teaching
Employees 278
Reduced Worktime Program for
Academic Teaching
Employees 279
Preretirement Reduction in
Time Base 281
Faculty Early Retirement
Program 282
Article 6.
Article 7.
Article 8.
Article 9.
Article 10.
Article 11.
Article 12.
Article 13.
Subchapter 4,
Article 1 .
Arficle 2.
Article 3.
Ardcle 4.
Arficle 5.
Subchapter 5
Article 1 .
Article 2.
Arficle 3.
Arficle 4.
Arficle 5.
Arficle 6.
Article 7.
Arficle 8.
Arficle 9.
Article 10.
Article 11.
Article 12.
Arficle 13.
Article 14.
Article 15.
Subchapter 6.
Article 1.
Article 2.
Arficle 3.
Article 4.
Article 5.
Subchapter 7.
Article 1.
Article 2.
Article 2.2.
Article 2.5.
Article 2.7.
Article 3.
Article 3.5.
Article 4.
Article 4. 1 .
Article 4.2.
Article 5.
Article 5.1.
Article 5.9.
Article 6.
Article 6.3.
Article 6.4.
Article 6.5.
Article 6.7.
Page xiii
(7- 1I-200S)
Title Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Article 7.
Article 8.
Article 8. 1 .
Article 9.
Article 9.5.
Article 10.
Article 11.
Article 12.
Article 13.
Article 14.
Article 14.1.
Article 15.
Article 15.1.
Article 15.5.
Article 15.6.
Article 16.
Article 16.1,
Page
Separation of Employees from
Service for Lack of Funds
or Lack of Work 283
Termination of Employment of
Probationary Employees 283
Employees Performance
Appraisal Requirements 283
Change in Employment Status
of Disabled Employees 283
Industrial Disability Leave
Benefits and Nonindustrial
Disability Insurance for
Disabled Employees 285
Reassignment of
Administrative Employees 285
Disciplinary Actions 285
Reinstatement 286
Tenure Rights of Academic
Employees 287
Tenure Rights of
Administrative Employees 290
Permanent Status of
Nonacademic Employees 291
Tenure Rights of Employees
Serving in Academic-
Administrative Assignments 291
Rules of Procedure for
Appearance of an Employee
Under Government Code
Section 1028.1
292
Article 16.2.
Article 17.
Certification of Nonacademic
and Administrative
Employees to Confinue
Employment Beyond Mandatory
Retirement Age 292
Certification of Tenured
Faculty to Continue
Employment Beyond Age 70 293
Authority to Meet and Confer
with Employee
Organizations 293
PubUc Notice of Initial
Proposals of Exclusive
Representatives and
Cahfornia State
University 296
Bona Fide Associations 297
Rules of Procedure for
Grievance Proceedings for
Academic Personnel 297
Page
Article 18. Rules of Procedure for
Grievance Proceedings for
Nonacademic and
Administrative Personnel 297
Article 19. Amendment 297
Article 20. California State University —
Conflict of Interest Code 297
Article 21 . Effect of Memorandum of
Understanding on
Subchapter 298
Subchapter 8. Environmental Quality 298
Article 1 . General 298
Article 2. Guidelines 299
Article 3. Authority to Adopt New
Rules, Orders and
Procedures 299
Subchapter 9. Contracts and Purchases 299
Article 1 . Disabled Veteran Business
Enterprise Participation
Goal for California State
University Contracts 299
Article 2. Disabled Veteran Business
Enterprise Participation
Goal for Professional Bond
Services 300
Division 6. California Community Colleges .... 301
Chapter 1 .
Subchapter 1.
Subchapter 2.
Subchapter 3.
Subchapter 4.
Subchapter 5.
Subchapter 6.
Chapter 2.
Subchapter 1 .
Subchapter 2.
Subchapter 3.
Subchapter 4.
Subchapter 5.
Board of Governors 301
Board of Governors'
Procedures 301
Board of Governors of the
California Community
Colleges — Conflict of
Interest Code 301
Committees 302
Coordinating Council of
Higher Education 302
Chancellor 302
Board of Governors and
Chancellor's Office —
Conflict of Interest
Code
302
Community College Standards 302
Minimum Conditions 302
Invesfigafion and
Enforcement of Minimum
Conditions 308
Faculty 309
Standards of Scholarship 309
Facilities 309
Page xiv
(7-11-2008)
Title 5
Education
Page
Counseling Services 309 Article 3.
Degrees and Certificates 309 Subchapter 4.
Degrees and Certificates 309 Article 1 .
Minimum Class Size 309 Article 2.
New Colleges and
Educational Centers 309 Subchapter 5.
Open Courses 309
Minimum Standards for Chapter 5.
Colleges Operating Subchapter 1.
Pursuant to Education
Code 78007 and Not Subchapter 2.
Receiving or Utilizing
State or Local Funds 309
Subchapter 2.5
General Provisions 309
Instructional Programs 310 Subchapter 3
Faculty 310 Subchapter 4.
Standards of Scholarship 310 Subchapter 4.5
Facilities 310 Subchapter 5.
Student Services 310
Finances 310 Subchapter 6.
Degrees and Certificates 310 Subchapter 7.
District Responsibilities 310 Subchapter 8.
Compliance 311 Article 1.
Genera] Provisions 311 ^
Subchapter 1.
Employees 311
Equal Employment Article 1.
Opportunity Programs 311
General 311
Other Specific Article 2.
Responsibilities of
Community College Article 3.
^'''''^'' ^21 Article4.
Faculty and Staff Diversity
f"""^ ^'-^ Article5.
Certificated Positions 324.1
Special Non-Credentialed Article 6.
Employees 324.1 Article 7.
Sick Leave Transfer 324.1 Article 8.
Evaluation of Academic Subchapter 2.
Employees 324.2
Academic Senates 324.2 Article 1 .
Full-Time and Part-Time
Faculty 326 Article 2.
Scope and Definitions 326
Proportions of Full-Time and Article 3.
Part-Time Faculty, Article 4.
Computation and Reports 327
Title Table of Contents
Page
Enforcement 328
Minimum Qualifications 328
Scope and Definitions 328
Qualifications and
Equivalencies 3.30
Faculty Internship
Programs 333
Students 334
Student Residence
Classification 334
Parking for Students
with Disabilities 338
Medical Insurance for
Hazardous Activities 338
Attendance 338
Student Equity 339
Electronic Submissions 339
Commercial Solicitation
on Campus 340
Student Records 340
Health Services 341
Student Organization 343
Student Representation Fee 343
Curriculum and Instruction 344
Programs, Courses and
Classes 344
Program, Course and Class
Classification and
Standards 344
Grading and Academic Record
Symbols 348
Probation and Dismissal 350
Course Repetition and
Academic Renewal 352
Alternative Methods for
Awajrding Credit 354
The .Associate Degree 355
Credit Certificates 357
Educational Master Plans 357
Approval by the
Chancellor 357
Approval of Credit
Educational Programs 357
Approval of Noncredit
Courses and Programs 358
Approval of Other Courses 362
Approval of Colleges and
Educational Centers 362
Subchapter 6.
Subchapter 7.
Subchapter 8.
Subchapter 9.
Subchapter 10.
Subchapter 11.
Subchapter 15.
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Article 6.
Article 7.
Article 8.
Article 9.
Article 10.
Chapter 3.
Chapter 4.
Subchapter 1.
Article 1.
Article 2.
Article 3.
Subchapter 2.
Article 1.
Article 1.5.
Article 1.6.
Article 2.
Subchapter 3.
Article 1.
Article 2.
Page XV
Title Table of Contents BARCLAYS CALIFORNIA
Page
Article 5. Approval of Educational
Master Plans 362.2
Subchapter 3. Alternative Instructional
Methodologies 362.2
Article 1 . Distance Education 362.2
Article 2. Excursions and Field Trips 363
Article 3. Independent Study 364
Article 4. Cooperative Work Experience
Education 365
Subchapter 4. Programs and Classes
Outside of District 368
Subchapter 5. Educational Master Plans
[Repealed] 371
Subchapter 5.5. Excursions and Field
Trips [Repealed] 372
Subchapter 6. Matriculation Programs 372
Article 1. Scope and Definitions 372
Article 2. Planning and Administration 373
Article 3. Matriculation Services 374
Article 4. Appeals, Waivers, Student
Rights and
Responsibilities 376
Subchapter 7. Contract Education 377
Article 1. Contracts with Providers of
Career Technical Education 377
Article 2. Contracting Standards 378
Article 3. Contract Provisions 379
Article 4. Regional Adult and
Vocational Education
Councils [Repealed] 379
Article 5. Calculation and Payment of
Excess Costs of
Apprenticeship Classes 380
Subchapter 8. Academic Calendar 380
Article 1. 175-Day Minimum Academic
Calendar 380
Article 2. Flexible Calendar
Operations 380
Subchapter 9. Libraries 380.4
Subchapter 11. New Colleges and
Education Centers
[Repealed] 380.5
Subchapter 12. Libraries [Repealed] 380.6
Chapter 7. Special Programs 380.6
Subchapter 1. Disabled Student Programs
and Services 380.6
Article 1 . General Provisions and
Definitions 380.6
CODE OF REGULATIONS Title 5
Page
Article 2. DSPS Services 380.7
Article 3. Reports, Plans and Program
Requirements 380.9
Article 4. Funding and Accountability 382
Subchapter 2. Extended Opportunity
Programs and Services 383
Subchapter 2.5. Extended Opportunity
Programs and Services 384
Article 1 . General Provisions and
Definitions 384
Article 2. Student Eligibility and
Responsibility 385
Article 3. Program Standards 386
Article 4. EOPS Financial Aid
Standards 388
Article 5. Staffing Standards 388
Article 6. Plans and Priorities 389
Article 7. Funding and Expenditures 390
Subchapter 3. Educational Programs and
Services for Students
with Learning
Disabilities 392
Subchapter 4. The Community College
Real Estate Education
Endowment Fund 392
Subchapter 5. Fund for the Improvement
of Instruction 394
Article 1 . General 394
Article 2. Grants 394
Article 3. Loans 394.1
Subchapter 6. Underrepresented Students
Special Project Fund 394.2
Chapter 8. Construction 394.2
Subchapter 1. Community College
Construction Act 394.2
Subchapter 1.5. Energy and Resource
Conservation 394.6
Subchapter 2. Environmental Quality 394.8
Subchapter 3. District Funded
Construction Projects 394.9
Subchapter 4. Deferred Maintenance 394.9
Chapter 9. Fiscal Support 394.10
Subchapter 1 . Attendance 394.10
Article 1 . General Provisions 394.10
Article 2. Attendance Reporting
Procedures 394.11
Article 3. Tabulations 394.14
Article 4. Support Documentation 394.15
Page xvi
(7-11^2008)
Title 5
Education
Page
Attendance Accounting Article 2.
Standards 394. 16 Article 3
Limitations on State Aid 394.18
Open Courses 394.18
175-Day Rule 394.20 Subchapters.
(Reserved) 394.20
(Reserved) 394.20
Other Limitations 394.20
Interstate Attendance 394.25
Budgets and Reports 394.26 Article 1
Student Fees 394.29 Article 2.
Enrollment Fee and Article 3.
Differential Enrollment
F^^ -^94.29 Articled
Student Center Fee 394.31
Transportation Services Subchapter 6.
Fees 394.32
Student Financial Aid 394.32 Subchapter 7.
Community College General
Apportionment Funding 394.34 Subchapter 7.
General Provisions 394.34
Subchapter 8.
Credit Instruction 394.35 ^ , ,
Subchapter 9.
Credit Instructional
Services 394.35
Credit Student Services 394.36
Maintenance and Division 7
Operations 394.37
Institutional Support 394.38 „, ,
^' Chapter 1.
Noncredil Activities 394.38 Subchapter 1 .
Allocation Process 394.38 Article 1
Reporting Procedures 394.40(b) Article 2.
Community College
Administration 394.40(b)
„, Article 3.
Warrants 394.40(b)
^ . ^ „ ^ , Article 4.
Community College Budget
and Accounting Manual 394.40(c) Article 5.
Retention and Destruction
of Records 394.41 Article 7.
General Provisions 394.41
Period of Retention 394.41 c u u ^ i
Subchapter 2.
Procedures for Destruction 394.42 Article 1
Audits and Reviews 394.43 Article 2
Administration of Article 3.
Education Code 84362 394.45 c u u . t
Subchapter 3.
Auxiliary Organizations 394.47 Article 1
Scope and Definitions 394.47
Title Table of Contents
Article 5.
Subchapter 2.
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Subchapter 3.
Subchapter 4.
Subchapter 6.
Article 1.
Article 2.
Article 3.
Subchapter 7.
Subchapter 8.
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Article 6.
Article 7.
Article 8.
Article 9.
Chapter 10.
Subchapter 1.
Subchapter 2.
Subchapter 2.5
Article I.
Article 2.
Article 3.
Subchapter 3.
Subchapter 4.
Subchapter 4.5
Article 1.
Page
District Responsibilities .394.48
Board of Governors and
Chancellor's Office
Responsibilities 394.50
Nondiscrimination in
Programs Receiving State
Financial Assistance
Through the Chancellor
or Board of Governors of
the California Community
Colleges 394. .50
General 394.50
Definitions 394.5)
District Compliance and
Enforcement 394.52
Chancellor's Procedure to
Effect Compliance 394.55
Waiver of Part-Time
Instructor Limit 394.56
Instructional and Other
Materials 394.56
5. Student Financial
Obhgations 394.57
District Reorganization 394.57
Nondiscrimination in
Public Works Contracting
in the California
Community Colleges 394.57
Board of Governors of the
California Maritime Academy 395
California Maritime Academy 395
Employees 395
Organization 395
Appointment, Promotion and
Tenure of Non-Civil Service
Employees 395
Tenure and Notice 396
Grievances 396
Discipline 396
Resignation 396
The California Maritime
Academy — Conflict of
Interest Code 396
Administration 396
Means of Collection 396
Emergency Meeting 397
Emergency Meeting 397
Student Fees 397
Establishment and Collection
of Fees 397
Page xvii
Title Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Article 2.
Article 3.
Division 7.5.
Page
Determination of Residency 397
Refund of Fees 397
Private Postsecondary
Education
401
Chapter 1 . Council Administration 401
Article 1. General Provisions 401
Chapter 2.
Article 1.
Article 2.
Article 3.
Article 3.5
Article 4.
Article 5.
Article 6.
Article 7.
Article 8.
Article 9.
Article 10.
Article 11.
Article 12.
Article 13,
Article 14.
Article 15,
Article 16.
Article 17.
Article 18.
Degree-Granting Private
Postsecondary Educational
Institutions 401
General Provisions 401
Application for Approval to
Operate and Offer
Educational Programs 402. l
Processing of Applications
for Approval 402.4(c)
Applications from
Institutions Operating on
December 31, 1990 402.4(d)
Visiting Committees 402.4(d)(1)
Emerging Fields of Study
and Innovative Methods of
Instruction 402.4(f)
Change in the Location of
Instruction 402.4(g)
Addition of a Location 402.4(h)
Change of Mission, Purposes,
or Objectives or Primary
Method of Instruction 402.4(i)
Change of Institutional
Name 402.40)
Requirements for Branch and
Satellite Locations 402.4(k)
Institutional Operating
Standards 402.4(k)
Admissions and Academic
Achievement Standards 402.4(n)
Contract, Refund, and
Catalog Requirements 402.4(o)
Special Provisions Regarding
Correspondence Instruction
402.4(p)
Undergraduate Degree
Programs 402.4(p)
Graduate Degrees 402.4(q)
Prior Experiential
Learning 402.4(s)
Reports 402.4(s)
Page
Article 19. Maintenance and Production
of Records 402.4(t)
Chapter 3. Regionally Accredited Out-of-
State Degree-Granting Private
Postsecondary Educational
Institutions 402.4(u)
General Provisions 402.4(u)
Application for Approval to
Operate and Offer
Educational Programs 402.4(v)(l)
Visiting Committees 402.4(v)(5)
Change and Addition of
Location and Change of
Name 402.4(v)(6)
Change of Mission, Purpose
and Objectives 402.4(v)(8)
Requirements for Branch and
Satellite Locations 402.4(v)(8)
Institutional Operational
Standards 402.4(v)(9)
Admissions and Academic
Achievement Standards . . . 402.4(v)(il)
Contract. Refund, and
Catalog Requirements 402.4(v)(ll)
Special Provisions Regarding
Correspondence
Instruction 402.4(v)(l2)
Undergraduate Degree
Programs 402.4(v)(l2)
Graduate Programs 402.4(v)(13)
Prior Experiential
Learning 402.4(v)(l4)
Reports 402.4(v)(i4)
Maintenance and Production
of Records 402.4(v)(l5)
Chapter 4. Vocational and Non-Degree
Granting Schools 402.4(v)(l6)
Article 1. General Provisions 402.4(v)(16)
Article 2. Application for Approval to
Operate 402.4(v)(l6)
Article 3. Processing of Applications
for Approval 402.1 1
Article 4. Change of Institutional
Name 402.li
Article 5. Change in the Location of
Instruction 402.12
Article 6. Certificate of Authorization
for Service 402.13
Article 7. Institutional Operating
Standards 402.14
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Article 6.
Article 7.
Article 8.
Article 9.
Article 10.
Article 1 1 .
Article 12.
Article 13.
Article 14.
Article 15.
Page xviii
(7-11-2008)
Title 5
Education
Page
General Provisions Regarding Article 8.
Institutional Operations 402.15
Additional Requirements for
Institutions Subject to Article 9.
Article 7 402.17
Reports 402.18
Article 10.
Maintenance and Production
of Records 402.19
Provisions Applicable to All Article 1 2.
Approved Postsecondary Article 13.
Institutions 402.20
Fees and Payment Schedule . . . 402.20
Change of Ownership or
Control 402.21 Divisions.
Probation 402.22
General Provisions 402.23 Chapter 1 .
Provisions Governing
Temporary Approvals to
Operate 402.25 Article 1 .
Agents and Agencies 402.25 Article 2
Agents 402.25
Agencies 402.26
Article 3.
Student Tuition Recovery Fund 402.26
General Provisions 402.26 Article 4.
Assessment 402.27
.. , „ , Article 5.
Payments rrom the Fund 402.28
Special Assessments 402.29
Registered Educational Services
and Programs 402.29
Definitions 402.29 . . , _
Article 7.
Purpose and Scope of
Chapter 402.30(a)
Chapter 2.
Initial and Re-Registration,
Annual Fees, and Report . ,
Ti • . .r,^ o„ Article 1.
Requirements 402.30(a)
XT -r- • r^u Article 2.
Notification oi Changes or
Amendments to Article 3.
Registration 402.31 Article 4.
General Provisions 402.31 Chapter 2 5
Intensive English Language Article 1.
Program Definition and
Requirements 402.32 a ' ^1 9
Short-Term Career Training
Definition and Chapter 3.
Requirements 402.32 Article I .
Title Table of Contents
Page
Short-Term Seminar Training
Definition and
Requirements 402.33
License Examination
Preparation Definition and
Requirements 402.34
Continuing Education
Definition and
Requirements 402.34
Tuition Refunds 402.35
Grounds for Denial,
Complaint Investigations,
Revocation, and Hearing
Procedures and Remedies 402.35
Commission on Teacher
Credentialing 403
Credentials Issued Under the
Teacher Preparation and
LicensingLaw of 1 970 403
General Provisions and
Definitions 403
Credential Types,
Authorizations, and
Requirements 404.6
Examinations and Subject
Matter Programs 428
Approval of Programs of
Professional Preparation 4.34.1
Permits Authorizing Service
in Child Care and
Development Programs 434.1
Positions Requiring
Administrative Credentials
or Supervision Credentials 440
Code of Ethics of the
Teaching Profession 440
Rules of Procedure for the
Commission 441
General Provisions 441
Rules of Procedure 441
Conflict of Interest Code 441
Information Practices 443
Approved Programs 443
Professional Preparation
Programs 443
Off-<Campus Programs 443
Committee of Credentials 443
General Provisions 443
Article 8.
Article 9.
Article 10.
Article 1 1 .
Chapter 5.
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Chapter 6.
Article 1.
Article 2.
Chapter 7.
Article 1.
Article 2.
Article 3.
Article 4.
Chapter 8.
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Article 6.
Article 7.
Page xix
Title Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Page
Article 2. Duties and Functions of the
Committee of Credentials;
Guidelines 445
Article 3. Rules of Conduct for
Professional Educators 447
Chapter 4. Procedure for Application for,
Adding Authorization to, and
Renewal of Credentials 430
Article 1 . General Provisions 450
Article 2. Direct Application to the
Commission 452
Articles. Recommendation of the
Applicant by the
Institution 455
Article 4. Fees for Credentials 456
Article 6. Denial of Application for
Credentials 456.2
Article 7. Requirements and Procedures
for Renewing Professional
Clear Multiple and Single
Subject Teaching
Credentials, Service or
Specialist Credentials, and
Designated Subjects Adult
and Vocational Education
Teaching Credentials 460
Page
Chapter 5. Approved Programs 460.5
Article 1. Procedure for Validation 460.5
Article 2. Professional Preparation
Programs 461
Article 3. Other Program Approval
Procedures 466
Subarticle J. Faculty Participation in
the Public Schools 466
Subarticle 2. Guidelines for Staff
Development Programs for
Teachers of English
Learners 467
Division 9.
Chapter L
Secretary for Education
477
Education Technology Grant
Program 477
Page XX
jB^
Barclays Official
California
Code of
Regulations
Title 5. Education
Division 1. California Department of Education
Vol.6
XMOIVISOIM
*
\A/EST
Barclays Official California Code of Regulations
425 Market Street • Fourth Floor • San Francisco, CA 94105
800-888-3600
Title 5
California Department of Education
Table of Contents
Division 1. California Department of Education
Table of Contents
Page
Page
Chapter 1 . General Provisions i
Subchapter 1. Citation and Definitions i
§ 1. Citation.
{j 2. Definitions.
Subchapter 2. School Sessions l
Subchapter 3. Flag of the United
States 1
Subchapter 4. Affirmative Action
Employment Programs 1
§ 30. Statement of Policy.
§ 31. Development and Implementation
ot Programs.
Subchapter 5. Public Records l
§ 50. Access to Public Records of the
State Department of Education.
§31. Obtaining Copies of Public
Records.
Subchapter 6. Department of Education —
Conflict of Interest
Code 2
§ 70. General Provisions.
Appendix 2
Subchapter 7. Plans to Alleviate Racial
and Ethnic Segregation
of Minority Students 2
§ 90. Policy.
§91. Findings and Intentions.
§ 92. Definitions.
§ 93. Identification of Segregated
Schools.
§ 94. Preparation of District Plans.
§95. Contents of District Plan.
§ 96. Community Involvement.
§ 97. Racial and Ethnic Survey.
§ 98. Publication by Governing Board.
§ 99. Certification by Governing Board.
§ 100. Responsibility of the Department.
§101. Responsibihty of County
Superintendent of Schools.
Chapter 2. Pupils 3
Subchapter 1 . General Provisions 3
Article 1. Admission and Exclusion of
Pupils 3
§ 200. Admittance to First Grade from
Kindergarten.
§ 201 . Admission to High School.
§ 202. Exclusion of Pupils with a
Contagious Disease.
Article 2. Duties of Pupils 4
§ 300. Duties Generally.
§ 301 . Duty to Refrain from Certain
Conduct.
§ 302.
Pupils to Be Neat and Clean on
Entering School.
§430.
§431.
§432.
§ 433.
§434.
§ 303.
Duly to Remain at School.
§ 304.
Leaving Room at Recess.
§ 305.
Pupil Responsible for Care of
Property.
§ 306.
Explanation of Absence.
§307.
Participation in School Activities
Until Departure of Bus.
Article 3.
Privileges of Pupils
§ 350.
Fees Not Permitted.
§351.
Work or Services Required of
Pupils.
§ 352.
Detention During Recess or Noon
Intermission.
§ 353.
Detention After School.
Subchapter 2.
Records of Pupils
Article 1.
Attendance Records and
Accounting
§400.
Attendance Records.
§401.
Forms and Procedures for
Recording Attendance.
§402.
Attendance That May Be Counted.
§403.
Pupils Enrolled for the Minimum
School Day.
§404.
Pupils Whose Attendance Is
Reported by Clock Hour.
§405.
Actual Attendance Counted.
§406.
Attendance Reported by Clock
Hour.
§407.
Attendance Recorded in Minutes.
§408.
Compulation of Attendance for
Classes Recorded in Minutes.
§409.
Deduction of Attendance of Pupils
in Remedial Classes Maintained by
a County Superintendent.
Article 1.1.
Record of Verification of
Absence Due to Illness and
Other Causes
§420.
Absences Allowable as Attendance.
§421.
Method of Verification.
§422.
Recording of Absence Due to
Illness or Quarantine.
§423.
Prolonged Illness.
§424.
Prior Registration and Attendance
PLequired.
Article 2.
Emergency Average Daily
Attendance
§428.
Material Decrease.
§429.
Inability to Maintain Schools for the
Prescribed Minimum Fiscal Year.
Article 3.
Individual Pupil Records
Definition.
Responsibilities of Local Governing
Boards.
Varieties of Pupil Records.
Maintenance and Security of Pupil
Records.
Access to Pupil Records.
Page i
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Page
Page
§ 435.
Procedure for Access to Pupil
§611.
Issuance and Periodic Updating of
Records.
Advisory.
§436.
Rights of Parents and Adult Pupils.
Article 5.
School Environment for
§ 437.
Retention and Destruction of Pupil
Records.
Pupils 12
§ 438.
Transfer of Records.
§630.
Condition of School Premises.
Article 4.
Records Identifying and
§631.
§ 632.
Maintenance.
School Crossing Signs.
Accounting for Project-
Article 6.
Pupil Fingerprinting
Connected Pupils 8
Program 13
§ 450.
Records Identifying
§640.
Definitions.
Project-Connected Pupils.
§641.
Standards.
Subchapter 3.
Health and Safety of
Article 7.
Safe Schools Assessment
Pupils 8
Program 13
Article 1.
Fire Drills 8
§700.
Definifions.
§701.
School Crime and Incident
§ 550.
Fire Drills.
Reporting Procedures.
Article 2.
Civil Defense Plans and
§702.
Guidelines for Reporting and
Required Documentation.
Drills 8
§704.
Certification of Report.
§ 560.
Civil Defense and Disaster
§ 705.
Failure to Submit or Intentionally
Preparedness Plans.
Submitting Misleading Data.
Article 3.
School Safety Patrols
Subchapter 3.5.
Leroy Greene Assessment
(Traffic Safety) 8
of Academic Achievement 16
§570.
Establishment and Supervision.
§800.
General Testing Provisions.
§571.
Age or Grade of Members.
§801.
Reporting Test Results.
§ 572.
Where School Safety Patrols May
§802.
Waiver Criteria.
Be Used.
Subchapter 3.75.
Standardized Testing and
§ 573.
§ 574.
Hours on Duty.
Operating Procedure at Crossings
Reporting Program 17
Where School Safety Patrols Are
Article 1.
General 17
§ 575.
§ 576.
Stationed.
School Safety Patrol Crossing Sign.
Uniforms and Insignia.
§ 850.
§ 850.5.
Definitions.
School District Liability.
Article 2.
Designated Achievement Test,
Article 4.
Vision Testin<^ 9
Standards-Based Achievement
§ 590.
Duly Authorized Agency.
§591.
Employees Authorized to Give
Tests, Alternate
Tests.
Assessment, and Designated
§ 592.
Acceptable Course in Vision
Testing.
Primary Language Test 18
§ 593.
Responsibility as to Eligibility.
§851.
Pupil Testing.
§ 594.
Test of Visual Acuity.
§ 852.
Pupil Exemptions.
§ 595.
Appraisal of Color Vision.
§ 853.
Administration.
§596.
Gross External Observation of the
§ 853.5.
Use of Variations, Accormnodations,
Children's Eyes, Visual
and Modifications.
Performance and Perception.
§ 854.
Advance Preparation for the Tests.
§ 855.
Testing Period.
Article 4. 1 .
Administering Medication to
§ 856.
Sales and Use Tax.
Pupils or Otherwise
§ 857.
District STAR Coordinator.
r
§ 858.
STAR Test Site Coordinator.
Assisting Pupils in the
§ 859.
STAR Test Security Agreement and
Administration of
Test Security Affidavit.
Medication During the
§860.
Standard Agreement Between
School Districts and Publisher.
Regular School Day lO.i
§861.
§862.
School-By-School Analysis.
Apportionment Informafion Report.
§600.
Authorization.
§601.
Definitions.
§863.
STAR Student Reports and
§602.
Written Statement of Authorized
Cumulafive Record Labels.
Health Care Provider.
§864.
Reporting Test Scores.
§603.
Written Statement of the Parent or
§ 864.5.
Test Order Information.
Legal Guardian.
§ 865.
Transportafion.
§604.
Administration of Medication to
§866.
School District Delivery.
Pupils or Otherwise Assisting Pupils
§867.
Test Site Delivery and Return.
in the Administration of
§ 867.5.
Retrieval of Materials by
Medication.
Contractor.
§ 605.
Self- Administration of Medication.
§868.
Discrepancy Resolution for
§606.
Delivery and Storage of
Designated Achievement Test,
Medication.
Standards-Based Achievement
§607.
Documentation.
Tests, and Designated Primary
§608.
Deviation from Authorized Health
Language Test.
Care Provider's Written Statement.
§869.
Performance of Designated
§609.
Unused, Discontinued and Outdated
Achievement Test Publisher.
Medication.
§870.
Apportionment to School Districts.
§610.
Applicabihty of this Article.
§871.
Payment of Publisher.
Page ii
(7-U-2008)
Title 5
California Department of Education
Table of Contents
•
•
•
§874.
vj 875.
Article 2.5.
§876.
Arlicle 3.
§ 880.
§881.
§ 882,
§ 883.
§884,
§ 885.
§886.
§887.
§888.
§889.
§ 890.
§891.
§ 892.
§ 893,
§894,
§ 895.
§896.
§897,
§898,
§899.
§900.
§901.
§902.
§ 903.
§904.
Subchapter 3.8.
§ 1000.
§ 1000.1.
§ 1000.2.
§ 1000.3.
§ 1000.4.
§ 1000.5.
§ 1000.6.
§ 1000.7.
Subchapter 4.
Article 1.
Page
Performance Bond.
Standard Agreement Form for the
Designated Achievement Test.
Delivery Schedule and Order Form.
School District Liability.
Golden State Seal Merit
Diploma 28
Golden State Seal Merit Diploma.
Designated Primary Language
Test 29
Pupil Testing.
Pupil Exemptions.
Administration.
Advance Preparation for Test.
Testing Period.
Sales and Use Tax.
STAR Program District
Coordinator.
STAR Test Site Coordinator.
STAR Test Security Agreement and
Test Security Affidavit.
Standard Agreements Between
School Districts and Publisher(s).
School-By-School Analysis.
Apportionment Information Report.
Parent Reports.
Reporting Test Scores.
Test Order Information.
Transportation.
School District Delivery.
Test Site Delivery.
Retrieval of Materials by Publisher.
Discrepancy Resolution for
Designated Primary Language
Test(s).
Performance of Designated Primary
Language Test Publisher(s).
Apportionment.
Payment of Publisher.
Performance Bond.
Standard Agreement Form for Any
Designated Primary Language Test.
Quality Education
Investment Act of 2006 3i
Eligibility, Assignment of Random
Order, and Determination of
Program Option. [Repealed]
Submission of Applications Under
Education Code Section 52055.740.
[Repealed]
Submission of Applications Under
Education Code Section 52055.760.
[Repealed]
Submission of Applications for
Priority Approval. [Repealed]
Review of Applications. [Repealed]
Selection of Schools for Funding.
[Repealed]
Geographic Distribution by County
and Distribution by Grade Span.
[Repealed]
Definitions. [Repealed]
Statewide Testing of
Pupils and Evaluation
Procedures
§ 1020.
§ 1021.
§ 1022.
Achievement Testing
Programs
Definitions.
Tests and Procedures.
Recording Test Scores.
32
32
Page
§ 1023. Security of Test Material,
§ 1023.1. Practice Exercises.
§ 1024. Responsibility of the County
Superintendent of Schools.
§ 1025. Related Information.
§ 1026. Reporting Test Results.
Article 1.5. Education Improvement
Incentive Program 33
§ 1030. Computation of Change in a
Schools Performance.
Article 1.6. Immediate Intervention/
Underperforming Schools
Program (II/USP) and High
Priority Schools Grant
Program (HPSGP): Definition
of Significant Growth and
Criteria to Determine
Academic Growth for Il/USP
and HPSGP Schools Without
Valid API's 33
§ 1030.5. Definition of Significant Growth for
ll/L'SP Schools.
§ 1030.6. Criteria to Demonstrate Significant
Growth for II/USP Schools Without
Valid APIs.
§1030.7. Definition of Significant Growth for
HPSGP Schools.
§ 1030.8. Criteria to Demonstrate Academic
Growth Equivalent to Significant
C}rowth for HPSGP Schools Without
Valid APIs.
Article 1.7. Award Programs Linked to the
Academic Performance Index
(API) 34
§1031. Intent of the Regulations.
§ 1032. General Eligibility Criteria for
Award Programs Related to API
Growth.
§ 1033. Award Funding Criteria for
Governor's Performance Award
Program.
§ 1034. Specific Eligibility Criteria for the
Certified Staff Performance
Incentive Act.
§1035. Award Funding Criteria for
Certificated Staff Performance
Incentive Act.
§1036. Waiver Deadline.
§ 1037. Exemption from Statutory Benefits
Calculations.
§ 1038. Exemption from Indirect Costs.
§ 1039. Use of Award Funds Allocated to
School Sites.
Article 2. Physical Performance Testing
Programs 37
§ 1040. Definitions.
§1041. Required Program.
§ 1042. Recommended Program.
§ 1043. Methods of Administration.
§ 1043.2. Test Administration Training.
§ 1043.4. District Physical Fitness Test
Coordinator.
§ 1043.6. Data for Analysis of Pupil
Proficiency.
§ 1043.8. Reporting Test Scores.
§1043.10. Reports of Results.
§1044. Recording Test Scores.
§1045. Responsibility of County
Superintendent of Schools.
Page iii
(7 -11-2^1 )S)
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Page
§ 1046.
Use of Reports.
Article 2.5.
Testing Variations/
Accommodations
. 38.1
§ 1047.
Testing Variations and
Accommodations Available to
Pupils.
§ 1048.
Testing Variations Available to
English Learners.
Article 3.
Reading Testing Programs in
Grades 1 , 2, and 3
. 38.1
Article 4.
Alternative Assessment Pilot
Project
. 38.1
§1061.
Eligibility.
§ 1062.
Application Process.
§ 1063.
Mandatory Application
Requirements and Review Process.
§ 1064,
Quality Requirements and Review
Process.
§ 1065.
Eligibility of Agency Providing
Independent Evaluation.
§ 1066.
Evaluation of Proposals to Conduct
Independent Evaluation.
§ 1067.
Rating Criteria for Selecting
Independent Evaluation Agency.
Article 5.
Alternative Schools
Accountability Model Pre-
Post Assessments
...39
§ 1068.
Application of this Article.
§ 1069.
Definitions.
§ 1070.
Administration of Pre-Post
Assessment Instrument.
§1071.
Test Administrator Eligibility.
§ 1072.
Security and Storage Requirements.
§ 1073.
Scoring.
§ 1074.
Reporting.
ubchapter 6.
California High School
Exit Examination
...40
Article 1.
General
...40
§ 1200.
Definitions.
Article 2.
High School Exit Examination
Administration
...41
§ 1202.
Excessive Materials Costs.
§ 1203.
Pupil or Adult Student
Identification.
§ 1204.
Grade 10 Testing.
§ 1204.5.
Grades 11 and 12 and Adult Student
Testing Dates.
§ 1205.
School District Information.
§ 1206.
Permanent Record Information.
§ 1207.
Data for Analysis of Pupil
Performance.
§ 1207.1.
Data for Analysis of Local Waiver
Process for Pupils with Disabilities.
§ 1207.2.
Data for Analysis of Exemption for
Pupils with Disabilities in the Class
of 2007.
§ 1207.5.
Reporting Test Scores.
§ 1208.
Notice of the High School Exit
Examination.
§ 1209.
High School Exit Examination
District Coordinator.
§ 1210.
High School Exit Examination Test
Site Coordinator.
§1211.
High School Exit Examination Test
Security.
§ 1211.5.
High School Exit Examination Test
Security Forms.
§ 1212.
Test Site Delivery.
Page
Article 3. High School Exit Examination
Testing Variations/
Accommodations/
Modifications/Waivers 46
§1215. Testing Variations.
§ 1215.5. Accommodations for Pupils or
Adult Students with Disabilities.
§ 1216. Modifications for Pupils or Adult
Students with Disabilities.
§1217. English Learners.
§ 1217.5. English Language Learners.
§ 1218. Review Process for Variations Not
Specified in Sections 1215, 1215.5,
or 1216 in Administering the
Examination.
§1218.5. Llse of Modifications.
§ 1218.6. Waiver Requests on Behalf of Pupils
in a State Special School.
§ 1219. Independent Work of the Pupil or
Adult Student
§ 1219.5. Invalidation of Test Scores.
Article 4. Cheating 46.2
§ 1220. Cheating.
Article 5. Apportionment 46.2
§ 1225. Apportionment.
Subchapter 7. Graduation of Pupils from
Grade 12 and Credit
Toward Graduation 46.2
Article 1. Measurement of Credit Toward
Graduation from Grade 12 46.2
§ 1600. Definitions.
Article 2. Credit Toward High School
Graduation 46.3
§ 1630. Credit for College Courses.
§ 163 1 . Credit for Private Instruction.
§ 1632. Credit for Private School Foreign
Language Instruction.
§1633. Credit for Correspondence
Instruction,
§ 1634. Credit to Present or Past Members
of the Armed Services.
§ 1635. Credit for Work Experience
Education.
Article 3. Diploma of Graduation 47
§1650. Time of Granting Diploma.
§1651. Time of Granting Diploma upon
Evaluation (Veterans),
Chapter 3. Handicapped Children 48
Subchapter 1 . Special Education 48
Article 1 . General Provisions 48
§ 3000, Scope.
§ 3001. Definitions.
Article 2. Administration 50
§ 3010. Other Public Agencies.
Article 3. Identification, Referral,
and Assessment 50
§3021, Referral.
§ 302 1.1. Referral of Pupils Having a
Diagnosed Chronic Illness.
§ 3022. Assessment Plan.
§ 3023. Assessment.
§ 3024. Transfer.
§ 3025. Assessment Option: Referral to
State Schools for Further
Assessment.
§ 3027. Hearing and Vision Screening.
•
Page iv
(7-11-2008)
Title 5
California Department of Education
Table of Contents
§ 3028.
§ 3029.
Article 3.1.
S 3030.
ij 303 1 .
Article 4.
§ 3040.
Jj 3042.
§ 3043.
Article 5.
•
§ 30.^ 1
§ 305 1
§ 305 1
§ 3051
?5 305 1
^ 3051
§ 305 1
§ 305 1
§ 3051
§3051
§ 305 1
§ 305 1
§.^051.11.
§3051.12.
§3051.13.
§ 3051.14.
§3051.15.
§3051.16.
§ .3051.17.
§3051.18.
§ 3052.
§ 3053.
§ 3054.
Article 6.
§ 3060.
§3061.
§ 3062.
§ 3063.
§ 3064.
§ 3065.
§ 3066.
§ 3067.
§ 3068.
Page
Audiologicai Assessmenl.
Contracting for Individually
Administered Tests of Psychological
Functioning Due to the
Unavailability of School
Psychologists.
Individuals with Exceptional
Needs 31
Eligibility Criteria.
Additional Eligibility Criteria for
Individuals with Exceptional
Needs — Age Birth to Four Years
and Nine Months.
Instructional Planning and
Individualized Education
Program 53
Individualized Education Program
Implementation.
Placement.
Extended School Year.
Implementation (Program
Components) 54
Standards for Designated Instniction
and Services (DIS).
Language, Speech and Hearing
Development and Remediation.
Audiologicai Services.
Mobility Instruction.
Instruction in the Home or Hospital.
Adapted Physical Education for
Individuals with Exceptional Needs.
Physical and Occupational Therapy.
Vision Services.
Vision Therapy.
Specialized Driver Training
Instruction.
Counseling and Guidance Services.
Psychological Services Other Than
Assessment and Development of the
Individualized Education Program.
Parent Counseling and Training.
Health and Nursing Services.
Social Worker Services.
Specially Designed Vocational
Education and Career Development.
Recreation Services.
Specialized Services for
Low-Incidence Disabilities.
Services for Pupils with Chronic
Illnesses or Acute Health Problems.
Designated Instruction and Services
for the Deaf and Hard of Hearing.
Designated Positive Behavioral
Interventions.
Special Classes.
Special Center.
§ 3069.
§ 3070.
Article 7.
§ 3080.
§ 3081.
§ 3082.
§ 3083,
§ 3084.
§ 3085.
§ 3086.
§ 3087.
§ 3088.
§ 3088.1
§ 3088.
§ 3089.
Nonpublic. Nonsectarian
School and Agency Services
Application for Certification.
Service Fees, Finance and
Maintenance of Records.
Contracts and Agreements.
Program Reviews.
Staff Qualifications — Special
Education Instruction.
Staff Qualifications — Related
Services including Designated
Instruction and Services.
Oul-of-State Nonpublic
Schools/Agencies.
Certification Status.
Appeals and Waivers.
61
Article 8.
§ 3100.
Chapter 3.5.
Subchapter 1 .
§ 3300.
Chapter 4.
Subchapter 1.
Subchapter 2.
Subchapter 3.
§ 3820.
§3821.
§ 3822.
§ 3823.
§ 3824.
Subchapter 4.
Article 1.
§ 3830.
§3831.
Article 2.
§ 3840.
§3841.
Article 3.
§ 3850.
Subchapter 5.
§ 3860.
Subchapter 6.
§ 3870.
Page
Annual Review of Individualized
Education Program.
Graduation.
Procedural Safeguards 68
General Provisions.
Complaint Procedures.
Due Process Hearing Procedures.
Service Notice.
Ex Parte Communications.
Precedent Decisions.
Mediation.
Decision by Settlement.
Sanctions.
Sanctions: Withholding Funds to
Enforce Special Education
Compliance.
2. Enforcement and Withholding of
Founds.
Partial Non-Applicability of Certain
Sections of the Administrative
Procedure Act to Special Education
Due Process Hearing Procedures.
State Board of Education
Waivers 70. i
Resource Specialist Caseload
Waivers.
Joint Regulations for
Handicapped Children 7i
Interagency
Responsibilities for
Providing Services to
Handicapped Children 71
jfoint Regulations for Handicapped
Children.
Gifted and Talented Pupil
Program 71
General Provisions 71
Ehgibility 71
Standards Used for
Identification of Gifted
and Talented Pupils 71
Method of Identification.
Responsibility for Identification.
Categories for Identification.
Evidence for Identification.
Identification and Placement.
Minimum Standards for
Programs 72
General 72
Minimum Standards for All Types
of Programs.
General Standards.
Types of Programs 72
Special Day Classes and Special
Services or Activities.
Contracting for Programs.
Length of Program 73
Length of Program.
Approval of Programs 73
Approval of Programs.
Indirect Cost
Expenditures 73
Indirect Cost Expenditures.
Page V
(7-11 2l)()Xi
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Chapters.
Subchapter 1.
Article 1.
§ 3900.
Article 2.
§ 3920.
§3921.
§ 3922.
§ 3923.
Article 3.
§ 3930.
§3931,
§ 3932.
§ 3933.
§ 3934.
§ 3935.
§ 3936.
§ 3937.
Article 4.
§ 3940.
§3941.
§ 3942.
§ 3943.
§3944.
§ 3945.
§ 3946.
§ 3947.
Article 5.
§ 3950.
§3951.
§ 3952.
§ 3953.
Subchapter 2.
Article 1.
§4000.
§4001.
§ 4002.
§ 4003.
§ 4004.
§ 4005.
§ 4006.
§ 4007.
Article 2.
§ 4020.
§4021.
§ 4022.
§ 4023.
§ 4024.
Article 3.
§ 4040.
§4041.
Page
Consolidated Categorical Aid
Programs 73
General Provisions 73
Scope of the Chapter 73
Scope of the Chapter.
Administrative Procedures 74
Application Procedure.
Federal Regulations.
Waiver Procedure.
Complaint Procedure.
Program Requirements 74
Comprehensive Plan.
Instructional Program.
Parent, Community, Teacher, Other
School Personnel, and Student
Involvement.
Staff Development.
Isolation and Segregation of Pupils.
Multicultural Education.
Bilingual-Bicultural Education.
Basic Skills.
Fiscal Concerns 75
Maintenance of Effort.
Reports and Inspection of Records.
Continuity of Funding.
Federal Categorical Aid Funds for
Eligible Students Attending Private,
Nonprofit, Tax Exempt Elementary
or Secondary Schools.
Fiscal and Technical Requirements.
Cooperative Programs.
The Control, Safeguards, and
Disposal of Equipment Purchased
with State and Federal Consolidated
Application Funds.
Administrative Costs.
Complaint Procedures 76
Definitions.
Local Educational Agency (LEA).
State Department of Education.
Compliance Agreement.
School Improvement
Programs 76
Definitions 76
Classroom Teacher
Parity.
Parent Eligible for Membership on
the School-Site Council.
Non-English-Speaking Pupil.
Limited-English-Speaking Pupil.
Pupil with Exceptional Needs.
Pupil with Exceptional Abilities.
Elementary School.
District Master Plan —
Additional Elements 76
Community Participation.
Responsiveness to the Improvement
Objectives of Participating Schools.
Additional Elements of District
Master Plan.
Availability of the District Master
Plan.
Waivers.
School Improvement Plan 77
Review of School Improvement
Plans.
Existing School Plans: Early
Childhood Education.
Page
§ 4042. Program Strategies.
§ 4060. Evaluation.
§ 4061 . Availability of Evaluation
Information.
Article 4. Program Review 77
§ 4070. Program Reviews Conducted by
Consortia.
§ 407 1 . Monitoring of Consortia Activities
and Training of Review Team
Members.
Article 5. Selection and Expansion 77
§ 4080. Phase-In of Elementary Schools.
§ 408 1 . Criteria for Approval of Planning
Application: Elementary Schools.
§ 4082. Alternative Elementary Selection
Process.
§ 4083. Secondary School Applications.
§ 4084. Criteria for Approval of Planning
Application: Secondary Schools.
Article 6. Fiscal Concerns 77
§ 4090. Expenditure of Planning Grant
Funds.
§4091. School Improvement Budget.
Subchapter 3. Local Staff Development
Programs 78
Article 1 . Local Staff Development
Programs 78
§ 4100. Definitions.
§ 4101. School District Master Plans.
§ 4103. Staff Development Objectives and
Programs.
§ 4104. Criteria for District Selection of
Staff Development Programs.
§ 4105. Assurance Requirement for District
Application.
§ 41 06. Criteria for Department of
Education Approval of District
Applications.
§ 4107. Evaluation.
§4108. Maintenance of Effort.
§ 4109. Eligibility for Funding.
Article 2. Funding 78
§ 4110. Geographical Distribution of Funds.
§4111. Allocation of Funds Among
Schools.
§4112. Annual Funding Levels.
§4113. Cost Limitations.
Subchapter 4. Economic Impact Aid 78
Article 1 . Purpose 78
§ 4200. Purpose.
Article 2. Allocation of Funds 79
§4201. Allocation of Funds.
Article 3. General Accounting
Requirements 79
§ 4202. Accounting.
Article 4. Administration and
Evaluation Allocations 79
§ 4203. Limits on Administration and
Evaluation Allocations.
Subchapter 5. Bilingual Education 79
Article 1. Purpose 79
§ 4300. Purpose.
§ 4301. Effective Instruction — Bilingual
Learning Opportunities.
Article 2. Definitions 79
§ 4302. Definitions.
•
Page vi
(7-11-2008)
Title 5
California Department of Education
Page
Program Requirements 79 § 4500.
Program Requirements. s 4, Ul .
Census.
Identification and Assessment. Article 2
Reclassification. ,. ,-„_
§ 4">02
Educational Services. 'l /.„_,'
n . NT .t- .■ § 4503.
Parent Notiiication.
Teacher and Teacher Aide Criteria.
Waivers. Subchapter 8.
Academic Assessment.
Advisory Committees.
Monitoring and Enforcement. Subchapter 9.
Special Funds to Assist
Districts 80
Determination of Funding to Chapter 5. 1 ,
Support Programs to Overcome the
Linguistic Difficulties of English Subchapter 1 .
Learners.
Article 1.
State Compensatory ^^ 4^qo
Education Programs 81 . . . ^
Program Purpose 81 § 4610.
Purpose. §4611.
Program Requirements 81
Federal Requirements. Artirle ^
Consistent Services.
Secondary School Program.
Designating Eligible and
Participating School 81 § 4621.
General Standards for Determining § 4622.
School Eligibility. Article 4
Selecting Participating Schools.
Uniform Measure for Designating § 4630.
Eligible and Participating Schools.
Exceptions to the General Rule for ' ^63 1 .
Designating Eligible and
Participating Schools. Article 4 5
Designating Students to Be
Participants 82 § 4632.
General Standards for Determining
Student Eligibility. § 4633.
General Standards for Determining
Students to Be Participants. Article 5
Level of Funding 82 § 4640.
Minimum and Maximum Levels of
Funding.
Recognition of Local Compensatory
Education Programs. Article 6
Allocation Alternatives 82 § 4650.
General Standards. §4651.
Allocation Models. § 4652.
Evaluation 84 Article 7.
Evaluation Plan.
District and School Advisory s 4661
Councils 84
Advisory Councils. § 4662.
§ 4663.
Comparability 84
Comparability of Services. §4664.
§ 4665.
California Preschool
P'"«g^^"^ ^' Articles.
California State Preschool Program.
Maintenance of Effort.
§ 4670.
Miscellaneous Programs 85 § 467t
Schoolwide Programs 85 Article 9.
Table of Contents
Articli
e3.
§ 4303.
§ 4304.
§ 4305.
§ 4306.
§ 4307.
§ 4308.
§ 4309.
§4310.
§4311.
§4312.
§4313.
Article 4.
§ 4320.
Subchapter 6.
Article 1 .
§ 4400.
Article 2.
§4401.
§ 4402.
§ 4403.
Article 3.
§4410.
§4411.
§4412.
§4413.
Article 4.
§4414.
§ 4415.
Article 5.
§4416.
§4417.
Article 6.
§4420.
§4421.
Article 7.
§ 4422.
Article 8.
§4423.
Article 9.
§4424.
Article 10.
§ 4425.
§4426.
ubchapter 7.
Article 1.
Page
Lovv Income Schoolwide Programs.
Low Achievement Schoolwide
Programs.
School Security 86
Improvement of School Security.
Alternative Program Options for
Special Needs.
Bilingual Education
Programs 86
Bilingual-Bicultural
Education Programs 86
Uniform Complaint Procedures 86
Complaint Procedures 86
Definitions 86
General Definitions.
Purpose and Scope 87
Purpose and Scope.
Referring Complaint Issues to Other
Appropriate State or Federal
Agencies.
Local Educational Agency
Compliance 88
Local Educational Agency
Responsibilities.
District Policies and Procedures.
Notice.
Local Complaint Procedures 88
Filing a Local Complaint;
Procedures, Time Lines.
Responsibilities of the Local
Educational Agency.
Appeal of Local Educational
Agency Decision 89
Appeal of Local Educational
Agency Decision — Grounds.
Appeal of Local Educational
Agency Decision.
State Complaint Procedures 90
Filing a State Complaint That Has
Not First Been Filed at the Local
Educational Agency; Time Lines,
Notice, Appeal Rights.
Direct State Intervention 90
Basis of Direct State Intervention.
Notification.
Appealing Local Agency Decisions.
State Investigation
Procedures 91
Department Resolution Procedures.
Mediation Procedures; State
Mediation Agreements; Notice.
Investigation Timeline.
Department Investigation
Procedures.
Department Investigation Report.
Discretionary Reconsideration of
Department Investigation Report.
Enforcement — State Procedures
to Effect Compliance 92
Enforcement.
Federal Review Rights.
WilUams Complaints 92
Page vii
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Page
§ 4680.
Complaints Regarding Instructional
Materials, Teacher Vacancy or
Misassignment, and School
Facilities.
§4681.
Contents of Complaints Regarding
Instructional Materials.
§ 4682.
Contents of Complaints Regarding
Teacher Vacancy or Misassignment.
§ 4683.
Contents of Complaints Regarding
the Condition of a Facility.
§ 4684.
Notice.
§ 468.S.
Investigation.
§ 4686.
Responsibilities of Governing
Boaid.
§ 4687.
Appeal of Facilities Complaint to
Superintendent.
Chapter 5.2.
Chapter 5.3.
Subchapter 1 .
Article 1.
§ 4900,
§ 4901 ,
§ 4902,
Article 2.
§4910.
§4911.
§4912,
§4913.
§ 4914,
Article 2.5.
§4915,
§4916,
§4917,
Article 3.
§ 4920
§4921
§ 4922
Article 3.5.
§ 4925,
§ 4926,
§ 4927
Article 4.
§ 4930,
§4931,
Article 5.
§ 4940,
Improvement of Elementary and
Secondary Education 92. l
Nondiscrimination and
Educational Equity 92.2
Nondiscrimination in
Elementary and Secondary
Educational Programs
Receiving State or
Federal Financial
Assistance 92.2
General Provisions 92.2
Purpose.
Academic Requirements.
State and Local Agency
Responsibilities and Obligations.
Definitions 92.2
General Definitions.
Government Code Definitions,
Incorporation by Reference.
Educational Equity Act Definifions,
Incorporation by Reference.
Prohibited Activities, Incorporation
by Reference.
Prohibited Discrimination on
Parental, Family, or Marital Status.
Sexual Harassment 93
General Prohibitions.
Sexual Harassment Definitions.
Notification Requirements.
Nondiscrimination in
Intramural, Interscholastic, or
Club Athletics 93
General Prohibition.
Separate Teams.
Equivalent Opportunity.
Nondiscrimination in
Extracurricular and Club
Activities 94
General Prohibition.
General Provisions.
Equal Access.
Counseling 94
General Provisions.
Use of Appraisal and Counseling
Materials.
Course Access 95
General Provisions.
Page
Article 6. Marital and Parental Status 95
§ 4950. Marital and Parental Status of
Students.
Article 7. Local Agency Compliance 95
§ 4960. Local Agency Responsibilities.
§ 496 1 . Responsible District Officer.
§ 4962. Compliance Procedures.
Article 8. Complaint Process
Safeguards 96
§ 4963. Prohibitions.
§ 4964. Confidentiality.
§ 4965. Disciplinary Action.
Chapter 6. Certified Personnel 96
Subchapter 1 . General Provisions 96
Article 1 . Code of Ethics of the
Teaching Profession 96
Article 2. Employment and Dismissal 96
§ 5500. Statement a Condition to
Employment.
§ 5501. Filing of Nofice of Employment.
§ 5502. Filing of Notice of Physical
Examination for Employment of
Refired Persons.
§ 5503. Physical Examination for
Employment of Retired Persons.
§ 5504. Medical Certification Procedures.
Subchapter 2. Duties of Certificated
and Noncertificated
Personnel 98
Article 1. Duties of All Certificated
Personnel 98
§ 5530. Moral Supervision.
§ 5531. Supervision of Extracurricular
Activities of Pupils.
§ 5532. Employment of Noncertificated
Athletic Coaches.
Article 2. Duties of Principals 98
§ 5550. Principal.
§ 5551. Administration of School.
§ 5552. Playground Supervision.
§ 5553. Disseminafion of Information.
§ 5554. Records to Be Kept on File by All
Principals in the Office of the
School.
§ 5555. Additional Records Kept by High
School Principals.
§ 5556. Reports to the State Department of
Education.
Article 3. Duties of Teachers 98
§ 5570. When School Shall Be Open and
Teachers Present.
Article 4. Duties of District
Superintendents 98
§ 5580. Library Records.
Article 5. Duties of Temporary Athletic
Team Coaches 98
§ 5590. Definitions.
§ 5591. Supervision of Athletic Team
Acfivities.
§ 5592. Use of Noncertificated Temporary
Athletic Team Coach.
§ 5593. Temporary Athletic Team Coach
Qualifications and Competencies.
§ 5594. Local Board Certification of
Athlefic Coaches.
Page viii
(7-11-2008)
Title 5
California Department of Education
Page
Recertificalion of Temporary Article 4.
Athletic Team Coaches.
Code of Ethical Conduct.
Rights of Certificated § 6115,
Personnel lOO
Diity-Free Lunch Period. § 6 1 1 6.
Transfer of Accumulated Sick Leave
of Cenificated Employees.
Article 5.
Grants of Financial ^ ^p^
Assistance to ^^^^^^ ^ "
Certiiicated Personnel lOi s 6P5
Scholarship Grants for
Teachers of Reading loi Chapter 7.
Application for a Scholarship Grant
for Teachers of Reading.
Review of Application;
Recommendation. Subchapter 1 7.
Use or Return of Scholarship.
Loans to Teachers of Subchapter 1 8.
Educationally Handicapped
Minors for Specialized
Preparation During the Article 1
Summer (Section 56060
Loans) lOl Article 2.
Applicable Provisions of Article 1. Article 3.
Approval of Specialized
Preparation.
Repayment of Loans. Article 4.
Instructional Time and
Staff Development Reform
Program 102
Definitions. Article 5.
Records of Attendance.
Method of Application for Funds. Article 6.
Positions Requiring
Certification
Qualifications 102 Article 7.
No Child Left Behind
Teacher Requirements 103 Article 8
General 103
Defimtions. Article 9.
Elementary Level Teachers 103
Elementary Teachers. Subchapter 1 8. 1
Elementary Teachers New to the
Profession.
Elementary Teachers Not New to
the Profession.
High Objective Uniform State
Standard Evaluation (HOUSSE). Subchapter 1 8.2
Subject Matter Verification Process
for Middle and High School Level Subchapter 1 8.3
Teachers in Special Settings.
Middle and High School Level
Teachers 105
Middle and High School Teachers. Subchapter 1 8.4
Middle and High School Teachers
New to the Profession.
Middle and High School Teachers
Not New to the Profession. Q K h t 1 Q
Middle and High School Teachers bUDcnapter 1 y .
Rural Flexibility.
Table of Contents
Page
State Certification Not
Meeting NCLB Teacher
Requirements i()5
State Certification Not Meeting
NCLB Teacher Requirements.
Teachers with Supplementary
Authorizations and Local Teaching
Assignment Options.
One-Time Compliance 106
One-Time Compliance.
Teachers from Out-of-Stale i()6
Teachers from Out-of-State.
International Teachers.
Credentials and Institutions
Preparing Candidates for
Credentials i()6
Teacher Preparation and
Licensing Law of 1970 106
All Prior Credentials and
Life Diplomas of Any
Kind Whatsoever 106
General Provisions 106
Fees 106
Application for Credentials
and Life Diplomas 106
Health Standards Required of
Applicants for Credentials
Authorizing School Service
in California 106
Renewal of Credentials 106.1
Life Diplomas Based on
"Prior Regular
Credentials" 106.1
Issuance and Denial of
Credentials and Life
Diplomas 106.1
Adnninistrative Hearing upon
Denial of an Application 1O6.I
Suspension and Revocation of
Certification Documents 106.1
Credentials Authorized by
the Licensing of
Certificated Personnel
Law of 1961 106.1
Restricted Credentials 106.1
Internship Credentials
Issued under the Teacher
Education Internship Act
of 1967, As Amended 106.1
Provisional and
Miscellaneous
Credentials 106.1
Validation of Service
Without a Credential 1O6.1
•
v; 5.595.
i? 5596.
Subchapter 3.
^ 5600.
§5601.
Subchapter 4.
Article 1.
§5710.
§ 57 1 1 .
§5712.
Article 2.
§ 5720.
§.5721.
§ 5722.
Subchapters.
§ 6000.
§6001.
§ 6002.
Subchapter 6.
Subchapter 7.
Article 1.
§6100.
Article 2.
§6101.
§6102.
§6103.
§ 6104.
§6105.
Article 3.
§6110.
§6111.
§6112.
§6113.
Page ix
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Page
Subchapter 20. Accreditation of Teacher
Education Institutions
for Teacher
Certification Purposes 106.1
Chapter 9. Instructional Materials 106,1
Subchapter 1 . Elementary Instructional
Materials 106.1
Article 1 . General Provisions 106. 1
§ 9500. Definition.
i^ 9501 . Ownership of Materials.
§ 9502. Loan of Instructional Materials.
§ 9503. Distribution of Large Print
Textbooks.
§ 9504. Distribution of Braille Textbooks.
§ 9505. Purchase of In-Service Training.
§ 9506. Improvement of Quality and
Reliability Through Learner
Verification.
Article 2. Adoption of Curriculum
Frameworks, Evaluation
Criteria and Instructional
Materials — Procedures 107
§9510. Definitions.
§9510.5. Internal Governance of the
Curriculum Commission.
§9511. Curriculum Framework and
Evaluation Criteria Committee
Establishment, Composition and
Membership Qualifications.
§ 9512. Appointment of Instructional
Materials Reviewers and Content
Review Experts.
§ 9513. Application Process for Curriculum
Framework and Evaluation Criteria
Committee Members, Instructional
Materials Reviewers and Content
Review Experts.
§ 9514. Prohibited Communications.
§ 9515. Public Inspection of and Comment
on. Curriculum Framework and
Evaluation Criteria.
§ 95 1 6. Public Meetings Held by the
Curriculum Commission and the
SBE Regarding Curriculum
Frameworks and Evaluation
Criteria.
§ 9517. Procedures for Submitting
Instructional Materials for
Adoption.
§ 9517.1. Follow-Up Adoptions: Notice to
Publishers and Manufacturers,
Intent to Submit, Fee, List of
Adopted Materials. [Repealed]
§9517.2. Textbook Weight Standards.
§ 9518. Social Content Standards for All
Instructional Materials Adoptions.
§ 9519. Instructional Materials Review
Panels and Curriculum Commission
Advisory Report.
§ 9520. Written Statements to the
Curriculum Commission Regarding
Instructional Materials and
Curriculum Frameworks Submitted
for Adoption. [Repealed]
§ 9521 . Public Comments Regarding
Content of Instructional Materials.
§ 9522. Presentation of Public Testimony.
§ 9523. Display of Instructional Materials
for Public Inspection.
Page
§ 9524. Public Meetings Held by the
Curriculum Conrmission and the
State Board of Education Regarding
Instructional Materials.
§ 9525. Post Adoption Edits and
Corrections Procedures.
Article 2. 1 . Acquisition of Adopted
Instructional Materials 112
§ 9527. Free Instructional Materials.
§ 9528. Alternate Formats of Adopted
Instructional Materials.
§ 9529. New Editions of Adopted
Instructional Materials.
§ 9530. School District Ordering of
Instructional Materials.
Article 2.3. Instructional Materials
Funding 113
§ 9531. Instructional Materials Funding
Realignment Program: Expenditure
Policy Percentages and 24 Month
Purchasing Requirement.
§ 9532. School District or Charter School in
its First Year of Operation or of
Expanding Grade Levels at a School
Site.
Article 3. Request to Purchase
Nonadopted Core Reading
Program Instructional
Materials 114
§ 9535. Request to Purchase Nonadopted
Core Reading Program Instructional
Materials.
Article 4. Additions to Lists of
Adopted Instructional
Materials in Reading/
Language Arts and
Mathematics 115
§ 9540. Establishment of Policy.
§9541. Definitions.
§ 9542. Additional Submissions Allowed.
§ 9543. Required Subject Matter Coverage
and Basis in Standards.
§ 9544. Instructional Materials Evaluation
Criteria.
§ 9545. Formal Action by the State Board.
§ 9546. Prerequisites to Formal Action by
the State Board.
§ 9547. Period of Adoption.
§ 9548. Evaluation Criteria Development.
§ 9549. Review Process.
§ 9550. Invitation to Submit.
Chapter 10. Courses of Study 116
Subchapter 1. High School Courses of
Study 116
Article 1. Automobile Driver Education 116
§10020. General Provisions.
Article 2. Automobile Driver Training 116
§ 10040. General Provisions.
§ 10041. Standards of Pupil Eligibility.
§ 10042. Standards for Automobiles Used.
§ 10043. Standards for Laboratory Phase of
Driver Education.
Article 3. Contracting for Automobile
Driver Training 118
§ 10045. Scope.
§ 10046. Approved Private Driver Training
School.
Page X
(7-11-2008)
Title 5
California Department of Education
Table of Contents
Page
Page
i? 10046.5.
i^ 10047.
{^ 10047.5.
§ 10047.6.
S 10048.
§ 10049.
Article 3.1.
§ 10060.
Article 4.
ij 10070.
S 10071
§ 10072.
§ 10100.
§ 10101.
§ 10102.
§ 10103.
§ 10104.
§ 10105.
§ 10106.
§ 10107.
§ 10108.
§ 10109.
§ 10110.
§ 10111.
Application for Approval of Initial
and Renewal Contract.
Approval of Contract.
Grounds for Contract Disapproval
or Termination.
Reconsideration of Disapproval or
Termination.
Reimbursement.
Reporting.
Physical Education Program . . .
Criteria for Physical Education
Program.
Work Experience Education . . .
District Plan for Work Experience
Education.
Formal Training Agreements for
Each Type of Work Experience
Education.
Selection and Approval of Work
Stations.
§ 10502.
§ 10503.
§ 10504.
§ 10505.
§ 10506.
§ 10507.
§ 10508.
Article 2.
118
119
Maintenance.
Educational Purpose.
Use of Films.
Recreational Classes Not Permitted.
Clas.ses in Connection with
Organizations.
Attendance and Enrollment.
Records and Reports.
Approval of Adult Schools
and Classes
124
§ 10073.
Related Classroom Instruction.
J? 10074.
Supervision of Students.
§ 10075.
Work Experience Education
Teacher-Coordinator Minimum
Qualifications.
Article 5.
Community Classrooms 119
§ 10080.
Definition.
§ 10081.
Academic Credit for Participation in
Community Classroom.
^ 10082.
Student Qualifications.
§ 10083.
Teacher Responsibilities.
§ 10084.
Records.
§ 10085.
Related Classroom Instruction.
§ 10086.
Selection and Approval of
Community Classroom Training
Stations.
§ 10087.
Community Classroom Joint
Venture Training Agreements and
Plans.
§ 10088.
Supervision of Students.
§ 10089.
Student-Teacher Ratio.
§ 10090.
Unpaid On-the-Job Experiences.
S 10091.
Programs Conducted in Community
Classrooms.
§ 10092.
Scope.
Article 6.
Cooperative Vocational
Education 121
i? 10520.
Approval of Adult Schools.
§ 10521.
Approval of Classes for Adults.
§ 10522.
Areas of Instruction Approved.
§ 10523.
Areas of Instruction Requiring
Suppleinentary Information.
§ 10524.
Attendance and Enrollment.
§ 10525.
Compliance with Regulations.
Article 3.
Standards for Adult Schools 124
§ 10530.
Counseling and Guidance Services.
§ 10531.
Duration.
§ 10532.
Curricula.
§ 10533.
Curricula.
§ 10534.
Apportionments. Required
Pioponional Level of Service.
Article 4.
Standards for Particular
Classes for Adults 125
Article 5.
Standards of Administration 125
§ 10560.
General.
§ 10561.
Administration — Under 100 A. D. A.
§ 10562.
Separate Adult Schools.
§ 10563.
Administration. Schools and
Definitions.
Advisory Committee.
Academic Credit for Participation in
Cooperative Vocational Education.
Student Qualifications.
Teacher Responsibilities.
Records.
Related Classroom Instructions.
Selection and Approval of Training
Stations.
Cooperative Vocational Educafion
Training Agreements and
Individualized Training Plans.
Supervision of Students.
Student-Teacher Ratio.
Paid On-the-Job Experiences.
Subchapter 2.
Subchapter 3.
Article 1.
§ 10600.
§ 10605.
§ 10610.
§ 10615.
Classes for Adults in County
Tuberculosis or Poliomyelitis
Hospitals or Sanitoriums.
Classes for Adults in
County Jails, Industrial
Farms, and County or
Joint County Road Camps . . .
Adult Education
Innovation and
Alternative
Instructional Delivery
Administration
125
125
125
Allowable Expenditures.
Range of Allowable Expenditures.
Reporting Requirements.
Program Evaluation.
Chapter 1 1 . Special Programs
Subchapter 1. Continuation Education
Chapter 10.2. Adult Education 124
Subchapter 1.
Article 1.
§ 10500.
§ 10501.
Adult Schools and Classes
for Adults (General) 124
General Provisions 124
Scope.
Definitions.
icle 1.
Standards for Programs
§ 11000.
Director of Continuation Education.
§ 11001.
Programs of Guidance, Placement,
and Follow-Up.
§ 11002.
Instruction Based on Individual
Needs.
§ 11003.
Coordination Programs.
§ 11004.
Separate Continuation High
Schools.
§ 11005.
Records and Reports.
§ 11006.
Apportionments.
icle 2.
Exemption from Maintaining
Continuation Education
Classes
§ 11010.
Exemption.
126
126
126
127
Page xi
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Page
Page
ubchapter 2.
Special Elementary School
Reading Instruction
Programs 127
Article 1.
General Provisions 127
§ 11200.
Scope of Chapter.
§ 11201.
Reading Testing Program.
§ 11202.
Scholarship Grants for Teachers of
Reading.
Article 2.
Nomination and Designation
of Specialist Teacher in
Reading 127
§ 11210.
Nomination for the Position of
Specialist Teacher.
§ 11211.
Petition by Certificated Employee to
Be Appointed a Specialist Teacher.
§ 11212.
Appointment of Panels of
Observers.
§ 11213.
Conduct of Panel Observations.
§ 11214.
Report by Chairman of Observer
Panel.
§ 11215.
Examination for Specialist Teacher
in Reading and Fees.
Article 3.
Minimum Standards of Course
§ 11301.
Knowledge and Fluency in English.
§ 11302.
Duration of Services.
§ 11303.
Reclassification.
§ 11304.
Monitoring.
§11305.
Documentation.
§ 11306.
Annual Assessment.
§ 11307.
Census.
§ 11308.
Advisory Committees.
§ 11309.
Parental Exception Waivers.
§ 11310.
State Board of Education Review of
Guidelines for Parental Exception
Waivers.
§ 11315.
Community-Based English Tutoring
(CBET) Programs.
§ 11315.5.
Duties of School Districts.
§ 11315.6.
Data Collection and Reporting.
§11316.
Notice to Parents or Guardians.
Subchapter 5.
English Language Centers
Subchapter 6.
Summer Schools (Other
Than Classes for Adults,
Adult Schools, and
Evening High Schools) 133
§ 11220.
§ 11221.
Article 4.
§ 11230.
§ 11231.
§ 11232.
§ 11233.
§ 11234.
§ 11235.
§ 11236.
§ 11237.
Subchapter 3.
§ 11250.
§11251.
§ 11252.
§ 11253.
§ 11254.
§ 11255.
§ 11256.
§ 11257,
Subchapter 4.
§ 11300.
Content for Basic Reading
Program and Criteria for
Approval of Application 128
Minimum Standards of Course
Content for Basic Reading Program.
Criteria for Approving District
Applications for Funds Pursuant to
Section 5789.
Allowances to Districts for
Employment of Specialist
Teachers and Salaries of
Librarians 128
Application for Allowance.
Contents of the Application.
Reporting for Allowances.
Final Certification of Actual
Participation.
Repayment to the State Department
of Education.
Definition of Average Daily
Attendance.
Newly Formed Districts.
Determining Priority for Small
Schools.
Mentor Teacher Program 129
District Participation in the Mentor
Teacher Program.
Establishment of Selection
Committees.
Application of Individual Teachers
for Mentor Teacher Designation.
Review of Applications and
Nominations by the Selection
Committees.
Review of Nominees and
Designation of Mentor Teachers by
the Governing Boards.
Renomination As Mentor Teacher.
Duties and Responsibilities of
Mentor Teachers.
Duration of Mentor Teacher
Designation.
English Language Learner
Education 130
Definitions.
§ 11470.
Application of Chapter.
§ 11471.
Approval Required.
§ 11472.
Courses Authorized.
§11473.
Level of Difficulty.
§ 11474.
Time and Duration.
§ 11475.
Work Experience Education.
Subchapter 7.
Regional Occupational
Centers and Regional
Occupational Programs 1 34
§ 11500.
Scope.
§ 11501.
Definitions.
§ 11502.
Applications for Establishment of
Regional Occupational Centers or
Regional Occupational Programs.
§ 11503.
Course Approval.
§ 11504.
Course Appropriateness and Criteria
for Course Approval.
§ 11505.
Counseling and Guidance.
§ 11506.
Evaluation.
§ 11507.
Administration.
§11508.
Establishing and Operating
Business, Commercial, Trade,
Manufacturing or Construction
Activities.
Subchapter 7.5.
California English
Language Development
Test 135
Article L
General 135
§ 11510.
Definitions.
Article 2.
Administration 136
§ 11511.
Initial and Annual Assessments.
§ 11511.5.
Reporting to Parents.
§ 11511.6.
Reporting Test Scores.
§ 11512.
District Documentation and Pupil
Records.
§11512.5.
Data for Analysis of Pupil
Proficiency.
§ 11513.
California English Language
Development Test District
Coordinator.
§ 11513.5.
California English Language
Development Test Site Coordinator.
§ 11514.
Test Security.
Article 3.
Test Variations/
Accommodations/
Modifications 138.1
§ 11516.
Variations.
§11516.5.
Accommodations.
Page xii
(7-11-2008)
Title 5
California Department of Education
Page
Modifications for Pupils with § 11620.
Disabilities.
Alternate Assessments for Pupils
with Disabilities. § 11621.
i? 11622,
Apportionment 138.2
Apportionment to School Districts. § 1 1623.
Apportionment Information Report.
High School Proficiency ^
Certificates 138.2 § 11625.
Certificate of Proficiency 138.2 5^ ii626.
Definitions, §11627,
Placement on Pupil Transcript. § 1 1628.
Requirement for Exemption from Article 6
School Attendance Form.
Examination Announcements.
High School Equivalency Subchapter 12.
Certificate (G.E.D.)— for Subchapter 13.
Persons 18 Years of Age or Article 1
O'der 139 i^ '1,700
Definitions. jij 11700.1.
Approval of General Educational
Development Testing Centers. § ] 1701
Eligibility to Take a GED Test. § 1 1 701 .5.
Vocational Education
Contracts 140 Article 2.
General Provisions 140 ^i ,702
Definitions. § 11703.
Application for Approval. . • , ^
Contracting Standards 140
Standards, ^ 11704.
Contract Provisions 140 ^ ' ^^^^•'^■
Terms and Conditions.
Reporting. Subchapter 14.
'"PP^^^ Article I.
Bilingual Education Ml § J 1710.
Bilingual Teacher Corps
Program I4i § 11712.
Program.
Definitions. §11713.
Funding. 5? 11714.
Stipend. §11715.
Evaluation,
Regional Adult and
Vocational Education
Councils 141 _ , ,
Subchapter 15.
General Provisions 141
Selection of Members to a Council. jj 1 \ goo
Criteria for Review of Courses. § 11801.
Formation of Regional Subchapter 16.
Council Boundaries 142 § 11820.
§ 11822.
Criteria for Council § 1 1 823.
Boundary Determination 142 ^ WItI
Organization of Councils 142 ^ 'i^-^-
§ 1 1831
Initial Organizational Meefing. j iis'ii
Membership Eligibility. 8 11833
Selection of Members to a Council. ^ moVa
Vacancies.
Attendance at Meetings. Subchapter 17.
Council Organization.
Council Functions 142
Table of Contents
§ 11516.6,
§ 11516.7.
Article 4.
§ 11517,
§ 11517.5.
Subchapter 8.
Article 1.
§ 11520.
§ 11521.
§ 11522.
§ 11523.
Article 2.
§ 115.30.
§ 11531,
§ 11532.
Subchapter 9.
Article 1.
§ 11535.
§ 11536.
Article 2.
§ 11537.
Article 3.
§ 11538.
§ 11540.
§ 1 1 544.
Subchapter 10.
Article 1.
§ 11600.
§ 11601.
§ 11602.
§ 11603,
§ 11604.
Subchapter 11.
Article 1.
§ 11610.
§ 11611.
Article 2.
Article 3.
Article 4.
§ 11614.
§ 11615.
§ 11616.
§ 11617.
§ 11618.
§ 11619.
Article 5.
Page
FLeview of Courses and Programs
and Approval of Plans for Courses
and Programs.
Criteria for Review of Courses.
Procedures for Reviewing
Educational Courses and Programs,
Criteria for Determining Necessary
Duplication.
Delineation of Function
Agreements.
Short Term Plans for Vocational and
Adult Continuing Education.
Fiouting of Material to the Council.
Fvcport of Council Activities,
Fiscal Procedures.
Appeals from Decision of the
Council 142
Alternative Schools 143
Independent Study 143
General Provisions 143
Definitions.
Additional Definitions Applicable to
Charter Schools.
District Responsibilities.
Equitable Provision of Resources
and Services.
Standards for Independent
Study 144
Requirements for Agreements.
Records.
Provisions Unique to Charter
Schools 144
Pupil — Teacher Ratio.
High School Graduation
Requirements.
School Resource Centers 145
School Resource Centers 145
Definitions.
Interagency Agreements for
Centers.
Assurance Requirement for
Resource Center Application.
Selection Process and Criteria.
Governance of Center Projects.
Relationship of Regulations
Covering School Resource Centers
with Those Covering the Teacher
Centers Program Established
Pursuant to Public Law 94-482 of
1976.
Comprehensive Health
Education 145
Criteria for Approval of Plans.
Application.
Pregnant Minor Program 146
Definitions.
Statement of Assurance.
General Program Provisions.
Placement Procedures.
Parent Notification.
Eligibility.
Staff Development.
Program Advisory Council.
Safeguarding of Funds.
Reporting Requirements.
Grant Program for
Restructuring in Public
Education 146
Page xiii
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Article
§ 11840.
§ 11841.
§ 11842.
Article 2.
§ 11843.
§ 11844.
Subchapter 18.
Article 1.
§ 11900.
§ 11905.
§ 11910.
§ 11915.
§ 11920.
§ 11925.
§ 11930.
§ 11935.
Page
Planning Grant Application 146
Procedures for Filing a Planning
Grant Application.
Criteria.
Scoring the Applications.
Demonstration Grant
Applications 146
Scoring Applications.
Interviews.
§ 11967.6.
Grant Program for Healthy
Start
Grants
Definitions.
Operational Grants.
Planning Grants.
Review of Applications for
Operational and Planning Grants.
Awarding of Grants.
Use of Funds.
Grant Award Appeal Process.
Waivers to Program Regulations.
148
148
i! 11967.7
§ 11967.8
J? 11968.
§ 11969.
Article 3.
§ 11969.1
^ 11969.2
§ 11969.3
§ 11969.4
§ 11969.5
§ 11969.6
§ 11969.7
§ 11969.8
Subchapter 19. Charter Schools 150
§ 11969.9.
§ 11969.10.
§ 11969.11.
Article 1.
§ 11960.
Article 1.2.
§ 11962.
§ 11962.1.
Article 1.5.
§ 11963.
§ 11963.1.
§ 11963.2.
§ 11963.3.
§ 11963.4.
§ 11963.5.
§ 11963.6.
§ 11963.7.
Article 2.
§ 11965.
§ 11966.
§ 11967.
§ 11967.5.
§ 11967.5.1.
Charter School Regular
Average Daily Attendance 150
Regular Average Daily Attendance
for Charter Schools.
Closure Procedures 150
Definition of Procedures for School
Closure.
Definitions Related to the Duties of
a Chartering Authority.
Classroom- and Nonclassroom-
Based Instruction in
Charter Schools 151
Definition of Classroom-Based
Instruction.
Nonclassroom-Based Instruction in
Charter Schools.
Average Daily Attendance for
Nonclassroom-Based Instruction in
Charter Schools.
Determination of Funding Request
Forms and CalculaUons.
Evaluation of Determination of
Funding Requests Regarding
Nonclassroom-Based Instruction.
Determination of Funding Requests
for Nonclassroom-Based Virtual or
On-Line Charter Schools.
Submission and Acfion on
Determination of Funding Requests
Regarding Nonclassroom-Based
Instruction.
Termination of a Determination of
Funding Regarding
Nonclassroom-Based Instruction.
General Provisions 154.1
Definitions.
Certification.
Appeals on Charter Petitions That
Have Been Denied.
Review and Approval of Charter
School Pefitions by the State Board
of Education.
Criteria for the Review and
Approval of Charter School
Petitions by the State Board of
Education.
Subchapter 20.
§ 11970.
Subchapter 20.5.
Page
Submission of Statewide Benefit
Charter School Petitions to the State
Board of Education.
Evaluation of Facilities for
Statewide Benefit Charter Schools.
Funding for Statewide Benefit
Charter Schools.
Maximum Number of Charters.
Numbering of Charter School
Petitions.
Facilities for Charter
Schools 160
Purpose and Stipulation.
Definitions.
Condiuons Reasonably Equivalent.
Operations and Maintenance.
Availability.
Location.
Charges for Facilities Costs.
Reimbursement Rates for
Over-Allocated Space.
Procedures and Timelines for the
Request for. Reimbursement for, and
Provision of. Facilities.
Mediation of Disputes.
Operative Date of Changes.
Education Technology
Staff Development
Program
Definitions.
Enhancing Education
Through Technology Grant
Program
•
162.3
162.3
§ 11971.
Purpose.
§ 11972.
Federal Definifion.
§ 11973.
State Definitions.
§ 11974.
Eligibility Requirements.
§ 11975.
Application Process and
Requirements.
§ 11976.
District Technology Plan
Requirement.
§11977.
Funding.
§ 11978.
Funding Priority.
§ 11979.
Process for Awarding Grants.
§ 11979.5.
Uses of Funds.
s
jbchapter 21.
Mathematics and Reading
Professional Development
Program 1 65
§ 11980.
Teacher Eligibility.
§ 11981.
Funding Allocation for Program
Training Pursuant to Education
Code Section 99237.
§ 11981.3.
Funding Allocation for Teachers of
English Learners.
§ 11981.5.
Funding Limitafions.
§ 11982.
Local Education Agencies'
Assurances of Compliance.
§ 11982.5.
Local Educational Agencies as a
Consortium.
§ 11983.
Instructional Materials.
§ 11983.5.
Definition of Instructional Materials
Otherwise Authorized by the
California State Board of
Education.
§ 11984.
Training Curriculum for the Initial
Forty Hours.
§ 11984.5.
Curriculum Review of the Initial
Forty Hours.
§ 11984.6.
Training Providers of the Initial
Forty Hours.
§ 11985.
Training Curriculum for English
Learner Professional Development.
•
Page
XIV
(7-11-2008)
Title 5
California Department of Education
Table of Contents
Page
Page
^ 11985.5.
§ 11985.6.
S 11986.
Subchapter 21.5.
§ 11987.
§ 11987.1.
i^ 11987.2.
§ 11987.3.
§ 11987.4.
§ 11987.5.
§ 11987.6.
§ 11987.7.
Subchapter 22.
§ 11990.
Subchapter 22.5.
§ 11991.
§ 11991.1.
§ 11991.2.
Subchapter 23.
§ 11992.
§ 11993.
§ 11994.
Subchapter 24.
Article 1.
Curriculum Review of English
Learner Professional Development.
Training Providers of English
Learner Professional Development.
Eligible Local Educational
Agencies. [Renumbered]
School Community Violence
Prevention Program 168.2(a)
Purpose.
Eligibility to Apply for SCVP Grant
Funds and Grant Application
Requirements.
Reviewing SCVP Grant
Applications.
Awarding SCVP Grants.
Allowable/Non-Allowable Uses of
SCVP Grant Funds.
Reporting Requirements for the
SCVP Program.
Reimbursement of Program
Expenditures.
School Safety and Violence
Prevention Training Grant.
Reading First Program 168.3
Funding Allocation.
Reading First Achievement
Index/Definition of
Significant Progress 168.3
Reading First Achievement Index.
Defining Significant
Progress/Continuance of Reading
First Funding.
Appeal Process.
Defining Persistently
Dangerous Public
Elementary and Secondary
Schools 168.4
Provisions.
Definitions.
Data Collection.
American Indian
Education Centers 168.5
§ 1 1996.
§ 11996.1.
§ 11996.2.
§ 11996.3.
i^ 11996.4.
§ 11996.5.
§ 11996.6.
§ 11996.7.
§ 11996.8.
jj 11996.9.
§ 11996.10.
§ 11996.11.
General Provisions 168.5
Purpose.
Definitions.
American Indian Education
Oversight Committee.
Grant Application.
Selection of Applications for Grant
Awards.
Grant Recipient Funding.
Appeals of Grant Awards.
Reporting Requirements.
Fiscal and Program Monitoring.
Grant Amount Revisions.
Grant Extension.
Budget Application Revisions.
Chapter 12.
Subchapter 1.
Article 1.
§ 12000
§ 12001
Subchapter 2.
Article 1.
Compensatory Education 168.8
General Provisions 168.8
General Provisions 168.8
Definifions.
Copies of Guidelines.
Migrant Education 168.8
Program Requirements 168.8
§ 1 20 1 0. Types ol Programs That May Be
Supported Through the Use of
Migrant Education Funds.
§ 1201 1 . Monitoring and Enforcement of
Regulations.
fj 12012. Composition of a Parent Advisory
Council.
Article 2. Program Eligibility 16X8
§ 12013. Determining and Documenting
Student Eligibility.
Article 3. Comiplaint Procedures 168.x
§ 12015. Vv^here to File the Complaint.
§ 12016. Vv'hen Direct Involvement by the
State Department of Education
(SDE) Is Necessary.
§ 12017. Procedures Which the Operating
Agency Must Adhere to When
Resolving a Complaint.
§ 12018. Procedures Which the SDE Must
Adhere to When Resolving a
Complaint.
Article 4. Fiscal Allocation and
Service Delivery Structure 16X9
§ 12019. Criteria for Designation as a
Migrant Service Center.
§ 12020. VVhat the Service Agreement Shall
Contain.
§ 1 202 1. Functions and Responsibilities To
Be Carried Out by the Lead Agency
of a Migrant Service Center.
§ 12022. How a Migrant Service Center May
Apply to Conduct a Migrant
Education Project.
§ 12023. How a Migrant Service Center May
Revise Its Three- Year Project
Application.
§ 12024. How Migrant Education Funds
Allocated to a School District May
Be Reallocated by a Migrant Service
Center.
§ 12025. Procedure for Granting an Award to
a Migrant Service Center.
§ 12026. Definifions Applicable to the State
Migrant Education Program.
Subchapter 4. Preschool Educational
Programs 1 68.9
Subchapter 5. Special Teacher
Employment Programs (K-6) 168.9
Article 1. General Provisions 168.9
§ 12050. Definifions.
§ 12051 . Idenfificafion of the Most
Concentrated Areas.
§12052. Priority of Projects.
§12060. Application for Funds.
§ 12061. Content of Applicafion for Grants.
Article 3. Teacher Aides 169
§ 12065. Qualifications.
§12066. Health Examination.
§ 12067. Duties Under Supervision of
Classroom Teacher.
§ 12068. Dufies Not Under Direct
Supervision of Classroom Teacher.
§ 12069. FLelation to Instructional Program.
§12070. Assignment on Team Basis.
Subchapter 6. Demonstration Programs in
Intensive Instruction
(Reading and
Mathematics) for Low
Achieving Pupils in
Grade 7, 8 or 9 169
Page XV
(7-li-2(iOS)
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Page
Article 1 . General Provisions 169
§ 12090. Definitions.
Article 2. Applications 170
§12091. Application for Funds.
§ 12092. Application for Approval of
Demonstration Program.
§ 12093. Programs Operated by Public or
Private Agencies.
§ 12094. Program Content.
§ 12095. Evaluation Committee. Preceding
Approval.
Article 3. Personnel in Program 170
§12097. Teaching and Supervisory
Personnel.
§ 12098. Assistants.
Article 4. Evaluation of Program 170
§12099. Program Evaluation.
Subchapter 7. New Careers in Education
Programs 170
Article 1. General Provisions 170
§ 13000. Definitions.
§ 13001 . Basic Requirements of the Program.
§ 13002. Intern Financial Support.
§13003. Duties of Team Leader
§ 13004. Compensation of Team Leaders.
§13005. CoordinaUon with the
Compensatory Education Program.
§13006. Funds for Student Support.
§13007. Intern Eligibility.
§13008. Selection of Interns.
§ 13009. Applications for Funding.
§ 13010. Eliminating an Intern from a
Program.
§ 13011. District Responsibilities.
§ 13012. Services Provided by Institutions of
Higher Education.
§13013. Maintenance of Effort.
§ 13014. Program and Reporting.
§ 13015. Fiscal and Technical Requirements.
§ 13016. Compliance with Nondiscrimination
Requirements.
§ 13017. Waivers.
Subchapter 9. Professional Development
and Program Improvement
Programs 172
Article 1 . General Provisions 172
§ 13025. Definitions.
§ 13026. Agencies Eligible to Apply.
§13027. Establishing Professional
Development Centers and
Programs.
§ 13028. Selecting the Center.
§ 13029. Selecting Satellite Schools.
§13030. Assurances Required.
§ 13031. Personnel Rotation.
§ 13032. Professional Development Steering
Committee.
§ 13033. Integration of the Center Program
with Other Staff Development or
Training Programs.
§ 13034. Summer School Training Required.
§ 1 3035. Maintenance of Effort.
§ 13036. Legislative Ceiling on Per Capita
Cost.
§ 13037. Competitive Nature of the Program.
§13038. Development of Program.
§ 13039. Project Evaluation and Reporting.
§13040. Confinuity of Funding.
§ 13041. Reports and Inspection of Records.
§ 13042. Fiscal and Technical Requirements.
§ 13043.
§ 13044.
Subchapter 1 1.
Article 1.
§ 13050.
§ 13051.
§ 13052.
§ 13053.
Subchapter 12.
Subchapter 13.
§ 13075.
§ 13075.1.
§ 13075.2.
§ 13075.3.
§ 13075.4.
Page
Compliance with Nondiscrimination
Requirements.
Waivers.
School Housing Aid for
Compensatory Education 175
General Provisions
Application for Funds.
Priorities to Districts Reducing
Teacher-Pupil Ratio.
Basis of Priorities.
Computation of Entitlements.
School Housing Aid for
Districts Impacted by
Seasonal Agricultural
Employment
175
175
Supplemental Services 175
AppUcation of this Subchapter.
Definitions.
Application, Quality Requirements
and Approval.
Submission of an Annual
End-of-Fiscal-Year Report by
Approved Providers.
Termination as an Approved
Provider.
Chapter 13. School Facilities and Equipment 176.1
Subchapter 1. School Housing 176.1
Article 1. General Standards 176.1
§ 14000. Policy Declaration.
§14001. Minimum Standards.
Article 2. School Sites 176.1
§ 14010. Standards for School Site Selection.
§ 14011. Procedures for Site Acquisition —
State-Funded School Districts.
§ 14012. Procedures for Site Acquisition -
Locally-Funded School Districts.
§ 14013. Procedures for Site Acquisition -
Locally-Funded Districts.
Article 3. Attendance Areas and
Practices 178
Article 4. Standards, Planning and
Approval of School
Facilities 178
§ 14030. Standards for Development of Plans
for the Design and Construction of
School Facilities.
§ 14031. Plan Approval Procedures for
State-Funded School Districts.
§ 14032. Plan Approval for State-Funded
School Districts.
§ 14033. ApplicabiUty of Plan Standards to
Locally-Funded School Districts.
§ 14034. Planning Guides.
§14035. Abandonment of Inadequate
Facilities.
§ 14036. Integrated Facilities.
§ 14037. Integrated Facilities.
§ 14040. Scope of Article.
§ 14041. Plans.
§ 14042. Justification Procedure.
§ 14043. Approval.
§14044. Change Orders.
§14045. Abandonment of Inadequate
Facilities.
§ 14046. Building Area Required to Provide
Adequate Facilities for Exceptional
Children.
Page
XVI
(7-11^2008)
Title 5
California Department of Education
Page
Use of School Buses and Subchapter 3.5.
School Pupil Activity
Buses 183
^ , „ . . § 13130.
ueneral Provisions 183
Scope of Chapter.
Definitions. § 15131.
Bus Evacuation Instruction. § 15132.
Authority of the Driver. § 15133.
instructor Certificate Cancellation.
Suspension or Revocation: Request c u u , i nc
• c eu Subchapter 3.75.
and Scope ot Hearing. *
School Bus and School Pupil
Activity Bus (SPAB) Passenger
Restraint System Use. ^ isidn
School Buses 184 § 1-^141.
Subchapter 4.
School Finance 1 84
Nonresident Tuition 184
Definitions Under Education Code
Section 37107. Article!.
Budgeting, Accounting, §15150.
and Reporting 184.1 5 -
Article 2.
Transfer of Funds from the
School District General
Fund to the Child § 15158.
Development Fund and the
Development Center for Article 3.
Handicapped Pupils Fund 184.1 §15160.
Budget Procedure. Subchapter 4. 1 .
Order of Governing Board.
Transfers and Refunds.
Standardized Account Code
Structure 184.1 § 15180.
Standardized Account Code § 15181.
Structure. § 15182.
§ 15183.
Annual Financial Statements . . . 184.2
Submission of Annual Financial § 15184.
Statements. § 15185.
Alternative Form for Submission of
Annual Financial Statements by § 15186.
Charter Schools. § 15187.
Decreases in Average ^ , ,
„.,.,,, ,. Subchapter 5.
Daily Attendance tor ^
Apportionment Purposes
Due to Executive Ratios Article 1.
Pupils to Classroom | 15^41
Teachers 184.2 § 15242.
General Provisions 184.2 § 15243.
Purpose. § 15244.
Application and Exemptions. ArfiVlp 9
Combined Grades.
Definitions.
Waiver of Class Size
Requirements tor §15247
Kindergarten 184.3
Kindergarten Exemption. §15-48.
School District Reports 184.3 §15249.
Reports by School Districts. Article 3.
Classes Maintained for Less Than
the Full "Second Period."
"Ungraded" Classes.
Table of Contents
Subchapter 2.
Article I.
§ 14100
§ 14101
§ 14102
§ I4I03
§ 14104
§ 14105
Subchapter 4.
Chapter 14.
Subchapter
§ 15000
Subchapter
Article 1.
§ 1
§1
§ 1
Article 2.
§ 1
Article 3.
§1
§1
5050
5051
5052
5060
5070
5071
Subchapter 3.
Article 1 .
§ 15100
§ 15101
§ 15102
§ 15103
Article 2.
§ 15106
Article 3.
§ 15110
§ 15111.
Page
Class Size Reduction
Program Kindergarten -
Grade 3 1X4.3
Eiligibiiity for Participation in ihe
Class Size Reduction Program
Under Option Two.
Oualification for Funding.
Appointments to Charter Schools.
Apportionment of Funds for Class
Size Reduction.
Program to Reduce Class
Size in Two Courses in
Grade 9 184.4
Definitions.
Certification of Enrollment.
Reduction in State
Support Due to Excessive
Administrative Employee
to Teacher Ratio 184.4(a)
General Provisions 184.4(a)
Purpose.
Definition.
Waiver of Full-Time
Equivalent Administrative
Employees
184.5
§ 15112.
Administrative Employee
Exemption.
School District Reports
Reports by School Districts.
Reimbursement for Costs
of Education for
Institutional and Family
Home Children
Application for Program Approval.
Entitlement.
The Special Educational Program.
Determination of Local Property
Tax Share.
Determination of Excess Cost.
Determination of Total Allowable
Income per Pupil.
Revenue Limit.
Claims and Audits.
Notices.
Allowances for Pupil
Transportation
Definitions
Current Expenses.
Minimum Transportation Distances.
Excessive Distances and Relatively
Few Pupils.
Physically Handicapped Minors.
Bus.
Classification of School Bus
Fleets for Transportation
Allowance Purposes
Definition.
Establishment of School Bus Fleet
Classes.
Emergency Affecting Normal
Classification: Exemption.
Median Average Cost.
Records and Available
Information (All
Districts)
184.5
184.5
184.6
184.6
184.7
184.7
Page xvii
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 15253.
§ 15254.
§ 15255.
§ 15256.
§ 15257.
Article 4.
§ 15260.
§ 15261.
Article 5.
§ 15270.
§ 15271.
§ 15272.
§ 15273.
Article 6.
§ 15280.
§ 15281.
§ 15282.
§ 15283.
§ 15284.
§ 15285.
Article 7.
Page
Available Information.
Identification of School Buses.
Record of Normal Pupils
Transported.
Records of All Pupil Transportation
Expenses.
Records of Receipts for Service and
Sales.
Additional Records and
Available Information
(Districts Maintaining Own
Transportation System) 184.8
Available Information.
Record of Transportation Expense.
Reports 184.8
Annual Report.
Exclusion from "Annual Report"
(J-141) of Expense for Physically
Handicapped and Mentally Retarded
Pupils Coming Within Education
Code Section 56515.
Report of School Bus Purchase.
Other Reports.
Review and Approval of
Expenditures 184.9
Scope of Article.
Limitation on Current Expenses.
Deductions of Payments Received.
Deductions for Certain Expenses
and for Depreciation.
Expenditures Exceeding 125% of
the Median.
Maximum Allowable for Excessive
Distances.
§ 15377.
§ 15378.
§ 15379.
§ 15380.
icle 3.
§ 15384.
§ 15385.
§ 15386.
§ 15387.
§ 15388.
§ 15389.
§ 15390.
Replacement of School Bus
and Replacement Allowances
184.9
§ 15320.
Disposal of Replaced Bus.
§ 15321.
Replacement.
§ 15322.
Replacement of More than One
Small Bus in Certain Unified Schoo
Districts.
1
§ 15323.
Allowance for Expense of
Replacing a Class 1 School Bus.
§ 15324.
Allowances for Expense of
Replacing Class 2 School Buses.
§ 15325.
Adjustment for Use in Other Than
Home-to-School Transportation.
Article 8.
Newly Formed Unified School
Districts
184.10
§ 15340.
Notification.
§ 15341.
Inclusion in Annual Report.
§ 15342.
Maximum Allowance for Capital
Outlay.
§ 15343.
Maximum Allowance for Cunenl
Expense.
Subchapter 6.
Revenue Limits for School
Districts
184.11
Article 1.
General Provisions
184.11
§ 15370.
Scope of the Chapter.
§ 15371.
Definitions.
§ 15391.
§ 15392.
Subchapter 7.
Article I.
§ 15400.
§ 15401.
Article 2.
§ 15405.
§ 15406.
§ 15407.
§ 15408.
Article 2.
§ 15375.
§ 15376.
Recomputation of 1978-79
School District Revenue
Limits
Use of Official Schedules.
Use of Actual Data.
184.11
Subchapter 8.
Article 1.
§ 15440.
Page
1978-79 Recomputed Revenue
Limit for K-12 Programs Using
Schedule B and Back-Up Schedules
Q(B) and F.
Calculation of Statewide Average
1978-79 Revenue Limits for K-12
Programs.
1978-79 Recomputed Revenue
Limit for Adult Programs Using
Schedule BB.
Calculation of Statewide Average
1978-79 Adult Revenue Limit.
Calculation of School
District Revenue Limits for
1979-80 184.14
Use of Official Schedules.
Use of Estimated or Actual Data.
Calculation of 1979-80 Revenue
Limit for School Districts Using
Form K-12.
Calculation of Increase in Revenue
Limit for a High School District
Maintaining a Junior High School
Using Schedule J.
Calculation of Increase in Revenue
Limit Because of Declining
Enrollment Using Schedule C.
Calculation of Increase in Revenue
Limit for Pupils in Children's
Institutions and Foster Homes Using
Schedule D.
Calculation of Increase in Revenue
Limit for Necessary Small
Continuation High Schools for
Fiscal Year 1979-80 and a Newly
Organized Unified School District
Which Became Effective for All
Purposes on or After June 30, 1978,
Using Schedule E.
Calculation of Increase in Revenue
Limit for Meals for Needy Pupils
and Development Centers for
Handicapped Pupils Using Schedule
G.
Calculation of Adult Revenue Limit
Using Schedule S.
Revenue Limits for County
Superintendents of
Schools
184.19
General Provisions 184.19
Scope of the Chapter.
Definitions.
Computation of Revenue
Limits for 1979-80
184.20
Use of Official Schedules.
Use of Estimated or Actual Data.
Computation of 1979-80 Revenue
Limits for Physically Handicapped
and Mentally Retarded Programs
Using Schedule W and Back-Up
Schedules WW and T.
Computation of 1979-80 Revenue
Limit for County School Service
Fund Using Form O.
Criteria and Standards
for School District
Budgets and Interim
Reports
Budget Review
General.
184.25
184.25
•
Page xviii
Title 5
California Department of Education
Table of Contents
Page
Page
§ 15441.
Average Daily Attendance (Al^A).
ij 15442.
Hnrollment.
Jj 15443.
Average Daily Attendance to
Enrollment.
!^ 15444.
Revenue Linvit.
J^ 15445.
Salaries and Benefits.
§ 15446.
Other Revenues and Expenditures.
§ 15447.
Facilities Maintenance.
S 1.5448.
Deficit Spending.
S 15449.
Fund Balance.
S 154.50.
Reserves.
J^ 1.5451.
Supplemental Information.
§ 15452.
Supplemental Information.
[Repealed]
Article 2.
Interim Report Review
184.27
§ 1545.1.
General.
§ 15454.
Fund and Cash Balances.
S 1.5455.
Reserves.
§ 15456.
Deficit Spending.
§ 15457.
Average Daily Attendance.
§ 15458.
Enrollment.
§ 15459.
ADA to Enrollment.
§ 1.5460.
Revenue Limit.
S 15461.
Salaries and Benefits.
§ 1.5462.
Other Revenues and Expenditures.
^ 15463.
Facilities Maintenance.
§ 15464.
Supplemental Information.
§ 15465.
Cash Balance.
S 15466.
Supplemental Information.
Subchapter 9.
Criteria and Standards
for County Office of
Education Budgets and
Interim Reports
184.30
Article
Budget Review 184.30
§ 15467.
General.
§ 15468.
Average Daily Attendance.
§ 1 5469.
Revenue Limit.
§ 15470.
Special Education Entitlement.
§ 15471.
Salaries and Benefits.
§ 15471.1.
Other Revenues and Expenditures.
§ 15471.2.
Facilities Maintenance.
§ 15472.
Deficit Spending.
§ 15473.
Fund Balance.
§ 15474.
Reserves.
§ 15475.
Supplemental Information.
icle 2.
Interim Report Review
184.32
§ 15476.
General. [Repealed]
§ 15477.
Other Revenue. [Repealed]
J? 15478.
Other Operating Expenses.
[Repealed]
§ 15479.
Other Sources and Uses. [Repealed]
§ 15479.5.
Supplemental Information.
[Repealed]
§ 15480.
General.
J5 15481.
Fund and Cash Balances.
§ 15482.
Fund Balance.
§ 15483.
Reserves.
§ 15484,
Deficit Spending.
§ 15485.
Average Daily Attendance.
§ 15486.
Revenue Limit.
§ 15487.
Other Revenues. [Repealed]
§ 15488.
Salaries and Benefits.
S 15489.
Other Revenues and Expenditures.
ij 15490.
Facilities Maintenance.
§ 15491.
Fund Balance.
§ 15492.
Cash Balance.
§ 15493.
Supplemental Information.
Chapter 15. Child Nutrition Programs 184.32(d)
Subchapter 1. Food Sales, Food Service,
and Nutrition Education 184.32(d)
Article 1 . Food Sales by Student
Organizations 184.32(d)
§ 15500. Food Sales in Elementary Schools.
v5 15501 . Sales in High Schools and Junior
High Schools.
Article 2. IVIandatory IVIeals for Needy
Pupils 184.33
§ 15510. Definitions.
§15511. Plan of Operation.
Articles. Nutrition Education 184.33
§15530. Scope of Article.
§15531. Eligibility.
§ 15532. Procedure for Filing an Application.
§ 15533. Criteria for Approving
Applications.
§ 15534. Procedure for Funding.
§ 15535. Procedure for Project Manageinent.
Article 4. School Lunch and Breakfast
Programs 1 84.34
§ 15550. Scope.
§15551. Definitions.
§ 15552. Authority.
§ 15553. Administration.
§ 15554. Agreements.
§ 15555. Eligibility.
§15556. Payment of Claims.
§ 15557. Responsibilifies of Child Nutrition
Entities.
§ 15558. Requirements for Nutritionally
Adequate Lunch or Breakfast.
§ 15559. Requirements for Basic Breakfast.
§ 15560. Requirements for Special Breakfast.
§ 15561. Modification of Nutrition
Requirements.
§ 15562. Meals Eligible for Reimbursement.
§ 15563. Meal Requirement for Needy
Students.
§ 15564. Reimbursement Procedure.
§ 15565. Notification of Changes in
Reimbursement Rates.
Article 5. California Fresh Start Pilot
Program 184.35
§15566. Purpose and Scope.
§ 15567. Definitions.
§ 15568. Requirements for Participation.
§ 15569. Strategies.
Chapter 16. Governing Boards of School
Districts 184.36(a)
Subchapter 1 . Contracts with Federal
Agencies 1 84. 36(a)
Article 1. Approval of Contracts 184 36(a)
§ 16000. Approval of Contracts with Federal
Agency.
§ 16001. Contracts with Federal Agency by
School District or County
Superintendent of Schools.
Subchapter 2. Destruction of Records of
School Districts 184.36(a)
Article 1. General Provisions lH4.36(a)
§16020. Definition of Records.
§16021. Scope of Chapter.
§16022. Classificafion of Records.
Article 2. Period of Retention 184.36(b)
§ 16023. Class 1 — Permanent Records.
§ 16024. Class 2— Optional Records.
§ 16025. Class 3 — Disposable Records.
§16026. Retention Period.
Page xix
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Page
Page
^ 16027.
Destruction of Records.
Article 5.
Purchase, Replacement,
§ 16028.
Transfer of Records.
Operation, and Maintenance
Article 3.
Steps in Destruction
. 184.37
of Automotive Equipment
184.40
Subchapter 2.5.
Historical Inventory of
J? 17300.
§ 17301.
Application.
Purchasing Procedure.
Equipment
. 184.37
§ 17302.
Motor Vehicle and Trailer
§ 16035.
Definition of Terms.
Purchases.
§ 16036.
Listing.
§ 17303.
§ 17304.
Motor Vehicle Replacements.
Repair and Replacement of Parts of
Subchapter 3.
School Libraries
. 184.37
Passenger Type Vehicles.
Public Liability and Property
J? 17305.
Article 1.
School Library Services
. 184.37
Damage Insurance.
!? 16040.
Definitions.
§ 17306.
Comprehensive Insurance.
§ 16041.
Content of School Libraries.
§ 17307.
Maintenance Procedures.
§ 16042.
Services for Pupils and Teachers.
§ 17308.
Conditions Governing the Operation
§ 16043.
Duties of Library Personnel.
of Motor Vehicles and Trailers.
Chapter 17. County Superintendents 184.38
Subchapter 1 . Duties of the County
Superintendent 184.38
Services to School Districts
and the California
Department of Education 184.38
Article 6.
Article 1.
§ 17101.
Definition of "Under Review."
Article 2.
Reports to the State
Department of Education
184.38
Subchapter 2.
Fiscal Responsibilities
of the County
Superintendent
184.38
Article L
Report of Miscellaneous
Funds Pursuant to Education
Code Section 17606
184 38
§ 17260.
Time of Report.
§ 17261.
Funds to Be Reported.
§ 17262.
Funds Not to Be Included.
Article 2.
Allowances for Emergency
Purposes
184.39
§ 17270.
Application.
§ 17271.
"Emergency" Defined.
§ 17272.
Allowances for Emergency
Elementary Schools.
§ 17273.
Other Emergency Financial Aid to
School Districts.
§ 17274.
Allowances for Emergency
Financial Aid.
§ 17275.
Use of Funds of Suspended School
Districts.
§ 17276.
Use of Forest Reserve Funds.
§ 17277.
Approvals by County Board of
EducaUon.
§ 17278.
Final Filing Date for Claims.
Article 3.
Reimbursement of Travel
§ 17320.
§ 17321.
§ 17322.
Article 7.
§ 17340.
§ 17341.
§ 17342.
§ 17343.
§ 17344.
§ 17345.
§ 17346.
§ 17347.
Article 8.
§ 17280.
§ 17281.
§ 17282.
§ 17283.
Article 4.
§ 17290.
§ 17291.
§ 17292.
Expense in Connection with
Cooperative County
Publication Projects 184.40
Application.
Definifion.
Allowances for Reimbursement.
Final Filing Date for Claims.
Purchasing and Replacing of
Capital Outlay Items 184.40
Application.
Purchasing Procedure.
Limitations on Purchases.
§ 17360.
§ 17361.
§ 17362.
§ 17363.
Article 9.
§ 17370.
Subchapter 3.
Article 1.
§ 17401.
Article 2.
§ 17403.
§ 17404.
Subchapter 4.
§ 17430.
§ 17431.
§ 17432.
§ 17433.
§ 17434.
§ 17435.
§ 17436.
Coordination of the
Educational Program by the
County Superintendent 184.41
Definition.
Level at Which Services to Be
Provided.
Responsibility of District.
County School Service Fund
Budget Procedures 184.42
Subnaitting the Budget.
Tentafive Approval of Budget.
Approval of Final Budget.
Budget Review.
Appropriation for Contingencies.
Cumulative Reserve.
Trust Accounts.
Publications Included in Budget.
County Tax for the
Identification and
Education of Physically
Handicapped Minors by a
County Superintendent 184.43
Requirement of a Tax Levy.
Definitions.
Determination of Amount.
Restricted Account.
Petty Theft Fine Fund 184.43
Establishment and Allocations.
Destruction of Records of
a County Superintendent 184.43
General Provisions 184.43
Definitions.
Authorization and Procedure . . 184.44
Applicable Provisions of Sections
16020 through 16028.
Classification of Records Filed by
Districts.
Travel Expenses for
County Superintendents
of Schools and
Designated Staff
Members 184.44
Applicafion.
Definitions.
Conditions of Payment.
Claims for Travel Expense.
Subsistence Allowances.
Transportation Allowances.
Budgeting and Accounting for
Travel Expense.
Page XX
(7^11-2008)
Title 5 California Department of Education Table of Contents
Page Page
Chapter 18. California Slate Special Schools S 17645. Cause. fRcpealcdj
r »u r^ r ni" j c» ^ '^ 17646. Notice of Terminalioii.
lor the Deal or Blind, or State v n. .-, n ,o i ji
5^ 17647. Hearing. | Repealed]
Diagnostic Centers 184.45 §17648. Appeaf.
§ 17649. Termination. | Repealed]
Subchapter 1 . Employees 184.45 § ]7650. Appointment alter Termination.
Article 1 . Pay Plan lor the Exempt Subchapter 2. State Special Schools
Teaching Staff of the State Admission Process 184.48(b)
Special Schools and Article 1 . California School for the
Diagnostic Centers 184.45 Deaf 184.48(b)
S 17600. Application of Article. §17660. Definitions.
S 17601. Definitions. §17661. Admission Process for the
§ 1 7602. Fixing of School Term. Summer California School for the Deaf
Session, and School Holidays. (CSD).
§17603. Amendment of Calendar. §17662. Eligibility for Enrollment in CSD's
§17604. Categories of Employees for Pay Dav Program.
Plan Purposes. § 1 7563. Eligibility for Enrollment in CSD's
§17604.1. Establishment of Exempt Residential Program.
Classifications.
§ 17605. Effective Date of Initial Article 2. California School tor the
Appointment. Blind 184,48(c)
§17605.1. Failure to Meet a Requirement for §17664 Definitions
Continuing Employment. j^ ] -jf^^^^] Admission Process for the
§ 17606. Pay Plan for School Term C:alifomia School for the Blind
Employee. (CSB)
§ 17607. Pay Plan for Summer Session j^ l^^,^,^ Eligibility for Enrollment in CSB's
Employee. ^)^y Program.
§ 17608. Pay Plan for Other Exempt § , 7^,67. Eligibility for Enrollment in CSB's
Employees. Residential Program.
§ 17609. Personal Leave Days.
Article 2. Work Days and Vacation Chapter 1 9. Child Care and Development
Credit 184.47 Programs 184.49
§17624, Application of Article. Subchapter!. Award of Funding for
§ 17625. Definitions. ChTH C^ nnH
§ 17626. Categones and Classifications of ^""" ^^''^ ^"^
Employees. Development Programs 184.49
§ 17627. School Term Exempt Employees. » • 1 1 ^ , r, ■ ■
§ 1 7628. Fiscal Year Employees. Article 1 . General Provisions 1 84.49
§17629. Summer Session Employees. §17906. Fiscal Control.
Substitute Teachers, and Readers for § 17930. Definitions,
the Blind. §18000. Definitions.
§ 18001. Eligibility for Funding.
Article 3. Tenure Rights ot Exempt » . , ^ r. , • ,-^
<;,,.,. 18/148 Article 2. Selection 01 Contractors 184.49
., ,^ ' !- ■ • r„ ' ' ,\ ' § 18002. Application Review and Award of
§ 17630. Definitions. [Renumbered] Contract
§17630.1. Application of Article._ ^ ,8003 Contract Award Disputes.
§ 17630.2. Categones and Classifications of § 18005 Contractor Eligibility for Slate Child
Employees, and Definitions. Care Facilities Fund.
§ 1 763 1 Acquisition of Tenure. g j gQoe. Priorities for State Child Care
§ 1 7632. Tenure of a Supervisory or Facilities Fund (School Age
Managenal Employee. Community Child Care Programs).
§17633. Reappointment and Notice of
intenfion Not to Reappoint. Article 3. State Child Care Facilities
[Repealed] p^nd 184.50
§ 17634. Acceptance of Appointment or ^^^^^ p^.^^.,^^^ ^^^
Reappointment. [Repealed] ^,^^.j.^.^^ P^^^^ ^^^^^^
Article 4. Separation of Employees for ^ I8OO8. Funding Award Procedures for Stale
Lack of Funds or Lack of ^^'^'^ ^""^ ^^^"''^ ''""'*^-
Yv^Qj-j, 184 48(a) Article 4. Contingency Funds for
§17638. Application of Article. Alternative Payment
§ 17639. Definitions, Categories, and Programs 184.51
Classifications of Employees. j^ lg009. ApplicaUon for Confingency Funds.
§17640. Area and Order of Layofi. ^^ ^ ^
§17641. Notice of Layoff Article 5. Continued Funding 184.51
§17642. Acceptance of Layoff §18010. Confinued Funding.
. • , c T- • »• f c • § 18011. Location of the Program.
Article 5. Termination ot a Supervisory ^
or Managerial Subchapter 2. General Requirements 184.51
Appointment 184.48(a) Article 1. General Provisions 184.51
§17643. Application of Article. §18012. Scope of Chapter.
§17644. Definitions, Categories, and §18013. Definitions.
Classifications of Employees. § 18014. Notification of Address Change.
Page xxi
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Page
Page
§ 18015.
Private Agencies; Open Board
Meetings.
S 18065.
§ 18016.
Materials Developed with Contract
Funds.
§ 18066.
§ 18017.
Prohibition Against Religious
Instruction or Worship.
§ 18067.
§ 18018.
Prohibition Against Presigned
Checks, Child Development
§ 18068.
Division Prior Written Approval:
§ 18069.
Two (2) Authoriiied Signatures on
Checks.
§ 18070.
§ 18019.
Prohibition Against Loans and
§ 18071.
Advances.
§ 18072.
§ 18020.
Compliance with Title 22 Cahfomia
Code of Regulations.
§ 18021.
Payments to Family Child Care
Providers.
§ 18073.
§ 18022.
Contracts with Multiple Service
Areas.
§ 18023.
Compliance Reviews of
Contractors.
Subchapter 2.5.
§ 18024.
Contractor's Termination for
Convenience.
§ 18025.
Title, Use, Disposition and
Retention of Equipment.
Article 1.
Article 2.
Subcontracts 1 84.54
§ 18074.
§ 18074.1.
§ 18026.
Subcontracts Excluded from Scope
of This Article.
§ 18074.2.
§ 18027.
Private Contractors; Three (3) Bids
for Subcontracts Exceeding the
§ 18074.3.
Amount Stated in Annual Contract.
§ 18074.4.
§ 18028. Prior Child Development Division
Approval Required for All
Subcontracts Exceeding the Amount
Stated in the Annual Child
Development Contract.
Required Documents for Prior Child
Development Division Approval of
Subcontracts.
Child Development Division
Approval or Disapproval of
Subcontract Within Thirty (30)
Calendar Days.
Required Subcontract Provisions.
Audit Requirements for
Subcontracts.
Costs 184.55
General Standards.
Specific Items of Reimbursable
Costs.
Nonreimbursable Costs.
Charging of Expenditures.
Recoupment of Advanced Contract
Funds.
Use of Subsidized Parent Fees.
Prior Approval for Certain Capital
Outlay Expenditures.
§ 1 804 1 . Prior Approval for Out-of-State
Travel.
Determination of
Reimbursement 184.56
§ 18054. Determination of Reimbursable
Amount.
§18055. Minimum Days of Operation.
§ 18056. Reduction, Withholding, and
Cancelling Apportionments to
Contractors.
§18057. Order of Expenditure.
Article 5. Accounting and Reporting
Requirements 184.57
§18063. General Provisions.
§ 18064. Child Development Fund; Interest
Bearing Accounts.
§ 18029.
§ 18030.
§ 18031.
§ 18032.
Article 3.
§ 18033.
§ 18034.
§ 18035.
§ 18037.
§ 18038.
§ 18039.
§ 18040.
Article 4.
§ 18074.5.
§ 18074.6.
§ 18075.
§ 18075.1.
§ 18075.2.
§ 18076.
§ 18076.1.
§ 18076.2.
§ 18076.3.
Subchapter 3.
Article 1.
§ 18077.
§ 18078.
Article 2.
§ 18081.
§ 18082.
§ 18083.
§ 18084.
§ 18085.
§ 18085.5.
§ 18086.
§ 18086.1.
§ 18086.5.
§ 18087.
Enrollment and Attendance
Accounting.
Verification of Excused Absence;
Policies.
General Recordkeeping
Requirements.
Attendance and Expenditure
Reports.
Service Data Report for Resource
and Referral Programs.
Report Data.
Audits and Auditors.
Review of Audit by the State
Department of Education Office of
External Audits.
Delinquent Audits; One-Time
Extension; Liability for State
Department of Education Audit
Costs.
Utilization of the
Regional Market Rate
Ceiling 184.60
General Provisions 184.60
Applicable Regulations.
Definition(s).
Application of Regional Market
Rate Ceilings.
Establishment of Reimbursement
Rate.
Establishment of Provider
Reimbursement Rate Utilizing the
Comparable Local Rate.
Establishment of Hourly
Reimbursement Rate for
In-Home/Exempt Providers.
Determination of Reimbursement
Amount.
Reimbursement Rate Categories.
Adjustment for Evenings and/or
Weekends for Licensed Providers.
Adjustment for Children with
Exceptional Needs.
Limitations on Reimbursement.
Other Reimbursable Fees.
Reimbursable Hours of Care.
Reimbursement to Multiple
Providers.
General Child Care
Programs 184.63
General Provisions 184.63
Scope of Chapter.
Definitions.
Family Data File 184.64
Contents of Family Data File.
Certification of Eligibility.
Application for Services; Contents.
Documentation of Income
Eligibility.
Documentation of Public
Assistance.
Documentation of Need Based on
Employment, Seeking Employment,
Training, Seeking Housing, and
Incapacity; In General.
Documentation of Employment.
Documentation of Employment in
the Home or a Licensed Family Day
Care Home; Service Limitations.
Documentation of Seeking
Employment; Service Limitations.
Documentation of Training Toward
Vocational Goals; Service
Limitations.
Page xxii
(7-11-2008)
Title 5
California Department of Education
Table of Contents
Page
Page
J? 18088.
§ 18089.
§ 18090.
§ 18091.
§ 18092.
§ 18092.5
§ 18093.
^ 18094.
§ 1 8095.
S 18096.
Artie
e3.
§ 18100.
i? 18101.
!^ 18102.
§ 18103.
§ 18104.
Article 4.
§ 18105.
§ 18106.
§ 18107.
Article 5.
§ 18108.
§ 18109.
§ 18110.
§ 18111.
^ 18112.
§ 18113.
§ 18114.
§ 18115.
§ 18116.
§ 18117.
Article 6.
§ 18118.
§ 18119.
J^ 18120.
§ 18121.
§ 18122.
Subchapter 4.
Article 1.
Documentation of Parental
Incapacity; Service Limitations.
Documentation of the Child's
Exceptional Needs.
Documentation of Homelessness.
Documentation of Seeking
Permanent Housing: Service
Limitations.
Documentation of Child Protective
Services.
Documentation of At Risk of Abuse.
Neglect, or Exploitation. [Repealed]
Certification of Federal Eligibility
for the Federal Based Migrant
Program.
Notice of Action. Application for
Services.
Notice of Action. Recipient of
Services.
Calculation of Income.
Enrollment 184.68(c)
Documentation and Determination
of Family Size.
Parents Seeking Employment;
Eligibility and Service Limitation.
[Renumbered]
Notice to Families of Their
Responsibility to Notify Contractor
of Changes to Family
Circumstances.
Recertification.
Limited Term Service Leave
Requirements.
Admission Policies and
Procedures 184.68(d)
Admission Policies and Procedures;
Interview.
Admission Priorities; Waiting List;
and Displacement.
Residency Requirements.
Parent Fees 184.69
Fee Schedule.
Fee Assessment; Explanation to
Parents.
Exceptions to Fee Assessment.
No Additional Payments or Costs;
Refunds; Exceptions.
Credit for Fees Paid to Other
Service Providers.
Receipt for Payment of Fee;
Retention of Copy for Records.
Advance Payment of Fees;
Delinquent Fees; Notice of
Delinquency.
Plan for Payment of Delinquent
Fees.
Consequences of Nonpayment of
Delinquent Fees.
Confidentiality of Records.
Due Process Requirements 184.70
Approval or Denial of Child Care
and Development Services.
Changes Affecting Service.
Clients Request for a Hearing; Rules
and Procedures.
Appeal Procedure for Child
Development Division Review.
Contractor Compliance with Child
Development Division Decision;
Reimbursement for Services During
the Appeal Process.
State Preschool Program 184.71
Scope of Chapter 184.71
§ 18130. Scope of Chapter; Applicable
Regulations.
Article 2. Enrollment Priorities 184.71
§ 18131 . Enrollment Priorities for State
Preschool Programs.
§ 18132. Certificationof Eligibility; Wailing
List.
§ 18133. Elxceptions to Enrollment Priorities;
Ten Percent (10%) Limitation.
§ 18134. Exceptions to Calculation of
Adjusted Monthly Income (as
Defined in Section 1 8078) for
Military Personnel.
Article 3. Other Requirements 184.72
J:; 18135. Volunteers; Staffing Ratios.
§ 18136. Minimum Hours and Days of
Operation.
Subchapter 5. School-Age Parenting and
Infant Development
Programs 1 84,72
General Provisions 184.72
Definitions.
Agencies Who May Operate This
Program.
Services Which Shall Be Provided.
Location of the Program.
Eligibility for School-Age Parenting
and Infant Development Program.
Priority for Service.
Advisory Council Component.
Composition of Advisory Council.
Minimum Number of Meefings.
Records of Council Meetings.
Admission Policies and Procedures.
Confidentiality of Record.
Parent Fee.
Compliance Reviews.
Compliance Review Worksheet.
Quality Evaluation.
Compliance Review Process.
Adequacy of Program Components.
Evaluation Requirements.
Application Procedure.
Renewal of Current Operating
Programs.
Fiscal Provisions 184.73
Funding.
Method of Reimbursement.
Attendance Factor.
Claim for Reimbursement.
Budget Procedures.
Educational Provisions 184.73
Program Components for
School-Age Parents and Other
Participating Students.
§ 18167. Educational Stimulation
Component.
Article 4. Personnel Provisions 184.73
§ 18168. Personnel and Their Duties with
Infants and Toddlers.
Article 5. Structural and Safety
Provisions 1 84.73
§ 18169. Standards for Building and Ground.
Article 6. Health Provisions 184.73
§ 18170. Health Services Component.
Article 7. Nutrition Provisions 184.73
§18171. Nutritional Component.
Articles. Social Services Provisions 184.73
§ 18172. Social Services Requirement.
Article 1.
§ 18140
§ 18141
§ 18142
§ 18143
§ 18144
§ 18145
§ 18146
§ 18147
§ 18148
§ 18149
§ 181.50
§ 18151
§ 18152
§ 18153
§ 18154
§ 18155
§ 18156
§ 18157
§ 18158
§ 18159
§ 18160
Article 2.
§ 18161
§ 18162
§ 18163
§ 18164
§ 18165
Article 3.
§ 18166
Page xxiii
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 18173.
§ 18174.
Subchapter 6.
§ 18175.
Subchapter 7.
Article 1.
§ 18180.
Article 2.
§ 18181.
§ 18182.
§ 18183.
§ 18184.
Subchapter 7.5.
Article 1.
§ 18190.
Article 2.
§ 18191.
§ 18192.
Subchapter 8.
Article 1.
§ 18200.
Article 2.
§ 18201.
§ 18202.
§ 18203.
§ 18204.
§ 18205.
§ 18206.
§ 18207.
§ 18208.
Subchapter 9.
§ 18210.
§ 18211.
§ 18212.
§ 18213.
Subchapter 10.
Article 1.
§ 18220.
Article 1.5.
§ 18220.2.
Page
Social Services Contracts.
Social Services Components.
Campus Child Care
Program 184.73
Applicable Regulations.
Federal Based Migrant
Program 1 84.74
Scope of Chapter 184.74
Scope of Chapter: Applicable
Regulations.
Eligibility and Enrollment
Priorities 184.74
Definitions.
Enrollment Priorities.
Eligibility Certification for Federal
Based Migrant Programs.
Migrant Student Record Transfer
System.
State Based Migrant
Program 1 84.74
Scope of Chapter 184.74
Scope of Chapter: Apphcable
Regulations.
Eligibility and Enrollment
Priorities 184.74
EligibiHty Criteria.
Priorities for Enrollment; Waiting
List; Displacement Order.
School Age Community
Child Care Services
Program (Latch Key) 184.74
Scope of Chapter 184.74
Scope of Chapter: Applicable
Regulations.
General Provisions 184.75
Waiting List; Priorities for
Enrollment.
Age Limitation.
Staff Qualifications — Program
Director for School Age Programs
AdultyChild Ratios in Group Child
Development Programs.
Staff Qualifications — Site
Supervisor.
Staff Qualifications — Teacher.
Staff Qualifications — Teacher Aide.
Ratios Based on Average
Attendance.
Severely Handicapped
Program 1 84.75
Scope of Chapter: Applicable
Regulations.
Eligibility.
Additional Basic Data File
Requirements.
Minimum Hours of Operation.
Alternative Payment
Program 184.76
Scope of Subchapter 184.76
Scope of Subchapter: Apphcable
Regulations.
General Provisions 184.76
Definitions.
Article 2.
i^ 18220.6.
S 18221.
§ 18222.
§ 18223.
§ 18224.
Article 2.5.
§ 18224.2.
§ 18224.4.
Article 3.
§ 18225.
§ 18226.
§ 18228.
§ 18229.
Article 4.
§ 18230.
§ 18231.
Subchapter 11.
Article 1.
§ 18240.
§ 18240.5.
Article 2.
§ 18241.
§ 18242.
§ 18243.
§ 18244.
§ 18245.
§ 18246.
§ 18247.
§ 18248.
§ 18249.
ubchapter 12.
Article 1.
§ 18270.
Article 2.
§ 18270.5.
§ 18271.
Page
Policies and Procedures 184.76
Provider Rate, Family Co-Payment.
Information on Contractor Policies.
Information to Be Given to Parents.
Procedures for Provider
Participation.
Written Materials to Be Given to
Providers.
Receipt of Notification of
Temporary Suspension Order,
License Revocation, or
Probation. Notification of
Parents and Facilities 184.76(a)
Receipt of Notification of
Temporary Suspension or License
Revocation from Resource and
Referral Program. Nofification of
Parents and Facilities.
Receipt of Notification of
Probationary Status of Facility from
Resource and Referral Program.
Notification of Parents and
Facilities.
Services and Payments 184.76(a)
Plan for Continuity of Service and
Expenditures.
Plan for Provider Payments.
Offset of Parent Fees Paid to
Providers.
Basic Data File; Receipt of
Supportive Services.
Records 184.76(b)
Records on File Concerning
In-Home Service Providers.
Records on File Concerning Service
Providers.
Resource and Referral
Program 184.76(b)
Scope of Subchapter 184.76(b)
Scope of Subchapter: Applicable
Regulations.
Definitions.
Resource and Referral
Service 184 76(h)
Service Area.
No Fees Charged for Referral
Services.
Resources Available for Service
Providers.
Written Referral Policies.
Maximizing Parental Choice.
Confidentiality of Information.
Complaint Procedures.
Removal from Referral List;
Notification of Temporary
Suspension, License Revocation, or
Probation.
Reinstatement of Provider or
Facility at Conclusion of Probation
or Temporary Suspension.
Program Quality 184.77
Scope of Chapter 184.77
Scope of Chapter.
General Program
Requirements 184.77
Definifions.
Program Philosophy, Goals and
Objectives.
Page
Title 5
California Department of Education
Table of Contents
•
i? 18272.
i^ 18273.
i; 18274.
§ 18275.
§ 18276.
§ 18277.
J^ 18278.
i? 18279.
^ 18280.
§ 18281.
Subchapter 13.
§ 18290.
ij 18291.
§ 18292.
Subchapter 14.
i? 1829.S.
Subchapter 15.
i? 18300.
§ 18301.
§ 18302.
Page
Developmental Profile.
Education Program.
Stall Development Program.
Parent Involvement and Education.
Health and Social Services.
Community Involvement.
Nutrition.
Program Self-Evaluation Process.
Parent Survey.
Environment Rating Scales.
Staffing Ratios 184.79
Staffing Ratios for Child Care and
Development Programs.
Commingling of Age Categories.
Staffing Ratio Variance.
Waiver of Qualifications
for Site Supervisor 184.79
Waiver of Qualifications for Site
Supcrvi.sor; Conditions.
Appeal and Dispute
Resolution Procedures
184.79
§ 18303.
§ 18304.
§ 18305.
§ 18306.
§ 18307.
§ 18308.
Scope of Chapter.
Termination. Suspension, and Major
Reductions in Contract.
Contractor's Responsibility After
Notice of Termination or Notice of
Decision to Make No Offer of
Continued Funding.
Administrative Review of Changes
in Contract Status.
Conditional Status Imposed During
the Contract Period.
Conditional Status Addendum.
Monthly Reports; Inventory of
Equipment.
Duration of Conditional Contract
Status.
Resolution of Contract
Administration Disputes.
Chapter 19.5.
Subchapter 1.
Article 1.
§ 18400.
Subchapter 2.
Article 1 .
§ 18405.
Article 2.
§ 18406.
§ 18407.
§ 18408.
§ 18409.
CalWORKs and Child Care and
Development Programs 184.81
Definitions 184.81
§ 18409.5.
18410.
§ 18411.
Article 3.
§ 18412.
General Provisions 184.81
Definitions.
CalWORKs Stage 2 Child
Care Program 1 84.82
General Provisions 184.82
Scope of Subchapter.
Requirements and Procedures
for Receiving CalWORKs
Stage 2 Services 184.82
Family Eligibility.
Child Eligibility.
Eligibility Duration.
Enrollment into CalWORKs Stage 2
By Transfer from Another
CalWORKs Agency.
Enrollment into CalWORKs Stage
2 When Not Transferring from
Another CalWORKs Agency.
Contractor Responsibilities for
Maintaining Family Eligibility.
Eligible Providers.
Requirements for Family Data
File 184.85
Family Data File.
Article 4.
§ 18413.
§ 18414.
Article 5.
§ 18415.
Article 6.
S 18416.
Article 7.
§ 18417.
Article 8.
§ 18418.
§ 18419.
Subchapter 3.
Article 1.
18420.
Article 2.
§ 18421.
§ 18422.
§ 18423.
§ 18424.
§ 18425.
ij 18426.
Article 3.
§ 18427.
Article 4.
§ 18428.
§ 18429.
Article 5.
§ 18430.
Article 6.
§ 18431.
Article 7.
§ 18432.
Article 8.
§ 18433.
§ 18434.
Provider Payments and Parent
Fees
Provider Payments.
Parent Fees and Co-payments.
Program Policies
Contractor Responsibilities.
Data Reporting
Data Reporting.
Program Quality
Quality.
Due Process
Parental Appeals.
Notice of Action Requirements.
CalWORKs Stage 3 Child
Care Program
General Provisions
Scope of Subchapter.
Requirements and Procedures
for Receiving CalWORKs
Stage 3 Services
P^'amily Eligibility.
Child Eligibility.
Eligibility Duration.
Enrollment into CalWORKs Stage
By Transfer from Another
CalWORKs Agency.
Contractor Responsibilities for
Maintaining Family Eligibility.
Eligible Providers.
Requirements for Family Data
File
Family Data File.
Provider Payments and Parent
Fees
Provider Payments.
Parent Fees and Co-Payments.
Program Policies
Contractor Responsibilities.
Data Reporting
Data Reporting.
Program Quality
Quality.
Due Process
Parental Appeals.
Notice of Action Requirements.
Page
184,85
184.86
184.86
184.86
184.86
184.87
184.87
184.87
Chapter 20.
State Board of Education
Procedures
Subchapter 1 .
General Provisions
Article 1.
Public Hearing
§ 18460.
§ 18461.
§ 18462.
§ 18463.
§ 18464.
Subchapter 2.
Public Hearings.
Speakers.
Copies of Statement.
Presentation of Public Testimony.
Waiver by President.
Procedure for Appearance
of an Employee Under
Government Code Section
1028.1
Subchapter 3.
Procedures Relating to
Instructional Materials
184.89
184.90
184.90
184.90
184.90
184.90
184.91
184.91
184.91
184.91
1 84.92
Page XXV
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Page
Page
Article 1.
§ 18530.
§ 18531.
§ 18532.
§ 18533.
§ 18534.
Procedures for the Public
Display of Textbooks,
Public Hearing Given the
Curriculum Development and
Supplemental Materials
Commission, and Receipt of
Comments from the Public ...
CiiiTiculum Commission
Recommendation.
Procedure for Hearing Given the
Curriculum Commission.
Display of Instructional Materials.
Written Statements to the Board
Regarding Instructional Materials
and Curriculum Frameworks.
Oral Comments from the Public;
Notice of Intention to Present.
184.92
§ 18807.
Disclosures to Consumers.
{} 18808.
Location of Approval or
Authorization.
Subchapter 2.
Applications and
Affidavits by
Institutions
§ 18809.
Processing.
§ 18810.
Earned Fees.
§ 18811.
Consent to Inspection.
Subchapter 3.
Standards for Evaluating
the Institution
•
§ 18535.
Participation by the Public.
§ 18536.
Time Devoted to Oral Comments of
the Public.
§ 18537.
Time Limitations.
§ 18538.
Manner of Oral Presentation.
Article 2.
Procedures for Submission
and Opening of Bids for
Elementary Instructional
Materials
184.92
§ 18550
Definitions.
§ 18551
Contents of Invitation to Submit
Instructional Materials for Adoption
in California.
§ 18552
Mailing of Invitation to Submit.
§ 18553
Submission of Instructional
Materials.
§ 18554
Submission of Bids.
§ 18555
Opening of Bids.
§ 18556
Opening of Bids.
§ 18557
Estimated Cost of Manufacture.
§ 18558
Estimated Cost of Acquisition.
Subchapter 4.
Procedures Relating to
Hearings on Proposals
and Petitions for the
Reorganization of School
Districts
184.93
§ 18570
Submission of Proposals and
Petitions.
§ 18571
Arguments Before the Board
(Original Submission).
§ 18572
Resubmissions and Petitions for
Reconsideration.
§ 18573
Criteria for Reorganizafion of
School Districts.
§ 18574
Policy.
Subchapter 5.
State Board of Education —
Conflict of Interest
Code
184.94
§ 18600
General Provisions.
Appendix
184.95
hapter 21.
Private Postsecondary Education
instructions
184.95
Subchapter 1.
General Provisions
184.95
§ 18800
Definitions,
§ 18801
Content of Diplomas and Degrees.
§ 18802
Custodian of Records.
§ 18803
Affiliation and Evaluation of Credit
§ 18804
Advertising.
§ 18805
Refund Policy.
§ 18806
Advertising.
Article 1,
§ 18814.
Article 2.
§ 18815.
Article 3.
Institutions Approved Under
Education Code Section
94310.2
Standards.
Institutions Authorized
Under Education Code
Section 94310.3
Related Documents.
184.97
184.98
184.98
184.98
Institutions Approved Under
Education Code Section
94311(d) 184.98
§ 18816. Objectives Subject to Approval.
§ 18817. Standards Relating to Instructors
and Administrators.
§ 18818. Standards Applicable to Courses of
Instruction in Massage.
Subchapter 4. Agents 184.99
§18822. Agent's Permit.
§ 18823. Standards.
Subchapter 5. Enforcement 184.100
§ 18825. Grounds for Denial, Revocation or
Suspension of an Approval or
Authorization.
§ 18826. Grounds for Denial, Revocation, or
Suspension of an Agent's Permit.
§18827. Hearing Procedures.
§ 1 8828. Automatic Termination.
§ 18829. Standards Applicable to Courses of
Instruction in Massage.
Article 6. Student Tuition Recovery
Fund 184.100
§18831. Definitions.
§ 18832. Institutions Subject to Assessment.
§18833. Assessment Base.
§ 18834. Due Date.
§ 18835. Maximum Assessment.
§ 18836. EnroIIee Assessment Refund.
§ 1 8837. Application for Payment from the
Fund.
§ 18838. Payments from the Fund.
§ 18839. Altemafive Method for Exemption
from Participation in the Fund.
§18840. Notification of EnroIIees.
§18841. Automatic Termination.
§ 18846. Definitions.
§ 18847. Institutions Subject to Assessment.
§ 1 8848. Assessment Base.
§18849. Due Date.
§18850. Maximum Assessment.
§18851. EnroUee Assessment Refund.
§ 18852. Application for Payment from the
Fund.
§ 18853. Payments from the Fund.
§ 18854. Exempted Institutions.
§18855. Nofification of EnroIIees.
§18856. Administration of the Fund.
Chapter 22. Veterans Education 1 84.102
Page xxvi
(7-11-2008)
Title 5
California
Department of Education Table of Contents
Page Page
§ 19503. School District Claim tor
Allowance.
§ 19504. County Superintendent's Claim tor
Allowance.
1^4 jQT §19505. F'lanning of Programs.
§ 19506. Study Guides.
Subchapter 2. California Maritime
'^"^■'0- Academy 1X4.10.3
Subchapter 3. Surplus Property 1X4.10.3
Article 1. Direct Shipment of Food
Commodities 1X4. 103
I X4 10''
§19540. Direct Shipment of Commodities
Donated by the United States
1 X4. 1 03 Department of Agriculture.
^g^jQ-^ Subchapter 4. Performance Based
Accountability System 1X4.104
§ 19600. Definitions.
184 103 §19601. PBA System Reporting Procedures.
Chapter 24. Library Services Provided by the
State 1X4.106
Subchapter 1. Approval of Nonaccredited
Resident Courses in
Educational
Institutions
Subchapter 2. Approval of
Correspondence Courses . .
Subchapter 3. Approval of Accredited
Resident Courses in
Educational
Institutions
Chapter 23. Miscellaneous Provisions
Subchapter 1 . Instructional Television . . .
Article 1. Classroom Instructional
Television
§ 19500. Scope.
§19501. Definitions.
§19502. Application for Approval.
•
•
Page xxvii
(7 11-2008)
Title 5
California Department of Education
§50
TITLE 5. EDUCATION
Division 1.
•
California Department of
Education
Chapter 1. General Provisions
Subchapter 1. Citation and Definitions
§ 1 . Citation.
NOTE: Authorily cited: Section 33031(a). Education Code.
History
1. New Chapter I (§§ 1 and 2) filed 9-23-69; etTective thirtieth dav thereafter
(Register 69, No. 39).
2. Amendment filed 9-23-77; etTective thirtieth day thereafter (Reeister 77, No.
39).
3. Repealer filed 12-14-83;effectivethirtiethdaythereafter(Register83, No. 51).
4. Amendment of division headins filed 6-8-2004; operative 6-8-2004 (Register
2004, No. 24).
§ 2. Definitions.
Throughout Part I of this title, unless otherwise indicated by the con-
text:
(a) "County superintendent" means the county superintendent of
schools having jurisdiction.
(b) "Department" means the State Department of Education.
(c) "Governing board" means the governing board of a school district
maintaining any grade K-12.
(d) "Grade" includes kindergarten, unless otherwise specified.
(e) "High school" includes junior high school, four year high school,
senior high school, and continuation high school unless a contrary inten-
tion appears, but excludes evening high schools, called "adult schools"
in this title.
( 1 ) "Four year high schools" are organized to include grades 9, 10, 11 ,
and 12.
(2) "Junior high schools" are organized to include grades seven and
eight; grades seven, eight, and nine; or grades seven, eight, nine, and ten.
(3) "Senior high schools" are organized to include grades 10. 11, and
12; or grades 1 1 and 12.
(f) "K-12" means kindergarten and grades 1 through 12.
(g) "Pupil" means a person enrolled in any grade K-12, in an ungraded
class, or individual instruction.
(h) "Regular day class" means a class maintained during the regular
school day, as fixed by the governing board of the school district. Classes
in special day and evening and summer schools, juvenile hall schools, re-
medial classes, and classes for the physically handicapped, mentally re-
tarded, severely mentally retarded, educationally handicapped, and men-
tally gifted are not regular day classes.
(i) "Regular full-fime day school" means a school maintained by a
school district during the day, as distinguished from evening or night, for
not less than 1 75 days during the fiscal year and for not less than the mini-
mum school day established by or pursuant to law.
(j) "School" means a public school maintained for a grade or grades,
K-12.
(k) "Section" means a section of this code, unless some other code or
statute is expressly mentioned.
(/) "State Board" means the State Board of Education.
History
1. Amendment of subsection (f) filed 9-23-77; effective thirtieth day thereafter
(Register 77, No. 39).
Subchapter 2. School Sessions
History
Repealer of Chapter 2 (Sections lOand I 1) filed 9-23-77; effective thirtieth day
thereafter (Register 77, No. 39). For prior history see Register 70, No. 9.
Subchapter 3. Flag of the United States
History
1 . Repealer of Chapter 3 (Secfions 20 and 2 1 ) filed 9-23-77; effective thirtieth day
thereafter (Register 77, No. 39). For prior history, see Register 69, No. .39.
Subchapter 4. Affirmative Action
Employment Programs
§ 30. Statement of Policy.
It continues to be the policy of the State Board of Education to provide
equal opportunity in employment for all persons and to promote the total
realizafion of equal employment opportunity through a continuing affir-
mative acfion employment program. It is the intention of the Board to im-
plement that policy and to implement Sections 44100 through 44105 of
the Educafion Code as added by Chapter 1090 of the Statutes of 1977
(S.B. 179 ).
NOTE: Authority cited for Chapter 4 (Sections 30 and 31): Article 4 (Sections
44100-44105) of Chapter I, Part 25, Division 3, Educafion Code.
History
1 . Repealer of Chapter 4 (Secdons 3C^36) and new Chapter 4 (Sections 30 and 3 1 )
filed 5-17-78; effecUve thirtieth day thereafter (Register 78, No. 20). For prior
history, see Registers 77, No. 39; 75, No. 39; 74, No. 16.
§ 31 . Development and Implementation of Programs.
Each public education agency will develop and implement an affirma-
tive action employment program for all operating units and at all levels
of responsibility within its jurisdiction.
Subchapter 5. Public Records
§50.
Access to Public Records of the State Department of
Education.
(a) Inspecdon of the original copy of any public record of the State De-
partment of Educafion (as defined by Government Code Sections
6252(d) and 6254) will be permitted during regular office hours of the
State Department of Educafion, 721 Capitol Mall, Sacramento, Califor-
nia.
(b) Requests to inspect such records should be filed with the Chief
Deputy Superintendent of Public Instruction at least five working days
prior to the requested inspecfion date in order to in.sure availability.
(c) Requests for inspection should be as specific as possible in identi-
fying the records desired.
(d) Original copies of public records shall not be removed from the of-
fice of the custodian thereof.
(e) If search by a state employee for the records requested, inspection
of the public record will be subject to the payment of the fees required
by Secfion 18473 of this fitle.
Note: Authority cited; Section 33031(a). Education Code; and Section 6253(a),
Government Code. Reference: Section 6253(a), Government Code.
History
1 . New Chapter 5 (§§ 50-5 1 ) filed 1-23-76; effective thirtieth day thereafter (Reg-
ister 76, No. 4).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
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BARCLAYS CALIFORNIA CODE OF REGULATIONS
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3. Amendment of NOTE filed 12-14-83; effective thirtieth day thereafter (Regis-
ter 83, No. 51).
§ 51 . Obtaining Copies of Public Records.
Copies of public records may be obtained from the custodian thereof
through the procedure provided in Section 18471.
NoTE: Authority cited: Section 33031(a), Education Code; and Section 6253(a).
Government Code. Reference: Sections 6253(a), 6256 and 6257. Government
Code.
History
1 . Amendment of NOTE filed 12-14-83; effective thirtieth day thereafter (Regis-
ter 83, No. 51).
Subchapter 6. Department of
Education — Conflict of Interest Code
§ 70. General Provisions.
The Political Reform Act. Government Code Sections 81000. et seq..
requires state and local government agencies to adopt and promulgate
Conflict of Interest Codes. The Fair Political Practices Commission has
adopted a regulation, 2 Cal. Code of 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 Politi-
cal Practices Commission to conform to amendments in the Political Re-
form Act after public notice and hearings. Tlierefore, the terms of 2 Cal.
Code of Regulations Section 18730 and any amendments to it duly
adopted by the Fair Political Practices Commission, along with the at-
tached Appendix in which officials and employees are designated and
disclosure categories are set forth, are hereby incorporated by reference
and constitute the Conflict of Interest Code of the Department of Educa-
tion, except as provided below.
Designated employees shall file statements of economic interests with
the agency.
EXCEPTION: As provided in 2 Cal. Code of Regulations Section 18730(b)(1). the
definitions contained in the Political Reform Act of 1974 shall apply to the terms
used in this Code except that neither the term "investment" nor the term "business
entity" shall operate to exclude any private school in California, whether or not
such school is operated for profit.
NOTE: Authority cited: Sections 87300 and 87304, Government Code. Reference:
Sections 87300, et seq.. Government Code.
History
1. New chapter 6 (sections 70-78) filed 12-17-76; designated effective 2-1-77.
Approved by Fair Political Practices Commission 10-6-76 (Register 76, No.
51).
2. Repealer of chapter 6 (sections 70-78) and new chapter 6 (section 70 and Ap-
pendix) filed 2-26-81 ; effective thirtieth day thereafter. Approved by Fair Po-
litical Practices Commission 12-1-80 (Register 81, No. 9).
3. Amendment filed 3-2-94; operative 4-1-94. Submitted to OAL for printing
only. Approved by Fair Political Practices Commission 1-25-94 (Register 94,
No. 9).
4. Amendment of Appendix, list of designated employees, filed 1 1-8-99; opera-
tive 12-8-99. Approved by Fair Political Practices Coiiunission 9-1-99 (Reg-
ister 99, No. 46).
Appendix
Disclosure
Designated Employees Categories
Headquarters Offices
All educational classifications at or above the level of
Assistant Superintendent 1, II, 111
All exempt positions, including those authorized for boards
and commissions 1, 11, 111
All Career Executive Assignment classes I, II, III
All legal classifications I, II. Ill
All professional education classifications I, II
Ail field representative classifications in school facilities I. II. Ill
Senior Architect I, II. Ill
All positions in curriculum frameworks and textbook
development at or above the level of Staff Services Analyst I, II
All Child Nutrition classifications I, II
All fiscal, management and staff services classifications at or
above the level of Staff Services Manager I II
All supervising data processing or information systems classes I, II
Disclosure
Desig)iated Employees Categories
All per.sons in staff services classes where the duties include
substantial review of local programs and funding or coiruiiodities
decisions may be affected I, II
All Business Services Office classifications at or above the
level of Business Service Officer II 11
All accounting classifications at or above the level of
Accounting Administrator I II
All audio-visual classifications at or above the level of
Audio-Visual Specialist II
Departmental Construction and Maintenance Supervisor II
All contract consultants *
State Special Schools
Site Superintendent or Director of a Special School or Center 1, II
All education positions designated Supervisory, Managerial,
or Excluded II
All physician positions II
All Business Manager positions II
All director of dietetics positions II
All supervising cook positions II
All chief of plant operation positions II
Disclosure Categories:
Category 1.
Persons in this category shall report investments, business positions
and income to the extent that they know or have reason to know that the
business entity in which the investment or business position is held or the
source of income is a publisher, manufacturer, or vendor of instructional
materials, educational materials, supplies, machines, equipment, food
commodities or consulting services offered to educational institutions in
the State of California. They shall also report any investments, business
positions and income in or from any private school in the State of Califor-
nia.
Category II.
Persons in this category shall report investments, business positions,
and income to the extent that they know or have reason to know that the
business entity in which the investment or business position is held or the
source of income is engaged in the performance of educational, research
or professional consulting services, or publishes, manufactures, or sells
supplies, books, machines, equipment, food commodities, or other items
purchased by the Department.
Category III.
Persons in this category shall report interests in real property in Cali-
fornia.
* Contract consultants shall be included in the list of designated employees and
shall disclose pursuant to the broadest disclosure category in the code subject to
the following limitations:
The Executive Deputy Superintendent may determine in writing that a particu-
lar consultant, although a "designated position," is hired to perform a range of du-
ties that is limited in scope and thus is not required to fully comply with he disclo-
sure requirements in this section. Such written determination shall include a
description of the consultant's duties, and based upon that description, a statement
of the extent of disclosure requirements. The Executive Deputy Superintendent'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.
•
Subchapter 7. Plans to Alleviate Racial and
Ethnic Segregation of Minority Students
§ 90. Policy.
NOTE: Authority cited: Section 33031, Education Code.
History
1. New chapter 7 (sections 90 through 101) filed 9-16-77; effective thirtieth day
thereafter except for section 97 (Register 77, No. 38). For effective date of sec-
tion 97, see history note of section 97.
2. Repealer of section filed 6-28-91 as an emergency; operative 6-28-91 (Regis-
ter 91, No. 46). A Certificate of Compliance must be transmitted to OAL
10-28-91 or emergency language will be repealed by operafion of law on the
following day.
3. Certificate of Compliance as to 6-28-91 order transmitted to OAL 10-16-91
and filed 1 1-7-91 (Register 92, No. 8).
•
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Title 5
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§201
•
§ 91 . Findings and Intentions.
History
1 . Repealer of section filed 6-28-91 as an emergency; operative 6-28-9 1 (Regis-
ter 91, No. 46). A Certificate of Compliance must be transmitted to OAL
10-28-91 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-28-91 order transmitted to OAL 10-16-91
and filed 1 1-7-91 (Register 92, No. 8).
§ 92. Definitions.
History
1 . Repealer of section filed 6-28-9 1 as an emergency: operative 6-28-91 (Regis-
ter 91, No. 46). A Certificate of Compliance must be transmitted to OAL
10-28-91 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-28-91 order transmitted to OAL 10-16-91
and filed 1 1-7-9 1 (Register 92, No. 8).
§ 93. Identification of Segregated Schools.
History
1. Amendment of subsecfion (a) filed 7-18-78; effective thirtieth day thereafter
(Register78, No. 29).
2. Repealer of section filed (S-28-91 as an emergency; operative 6-28-91 (Regis-
ter 91, No. 46). A Certificate of Compliance must be transmitted to OAL
10-28-91 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 6-28-91 order transmitted to OAL 10-16-91
and filed 1 1-7-91 (Register 92, No. 8).
§ 94. Preparation of District Plans.
History
1. Repealerofsecnon filed 6-28-91 as an emergency; operative 6-28-91 (Regis-
ter 91, No. 46). A Certificate of Compliance must be transmitted to OAL
10-28-91 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-28-91 order transmitted to OAL 10-16-91
and filed 1 1-7-91 (Register 92, No. 8).
§ 95. Contents of District Plan.
History
1 . Repealer of section tiled 6-28-91 as an emergency; operative 6-28-91 (Regis-
ter 91, No. 46). A Certificate of Compliance must be transmitted to OAL
10-28-91 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-28-91 order transmitted to OAL 10-16-91
and filed 11-7-91 (Register 92, No. 8).
§ 96. Community Involvement.
History
1 . Repealer of section filed 6-28-91 as an emergency; operafive 6-28-91 (Regis-
ter 91, No. 46). A Certificate of Compliance must be transmitted to OAL
10-28-91 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-28-91 order transmitted to OAL 10-16-91
and filed 1 1-7-91 (Register 92, No. 8).
§ 97. Racial and Ethnic Survey.
History
1. New secfion filed 9-16-77 as an emergency; effective upon filing. Certificate
of Compliance included (Register 77, No. 38).
2. Repealerofsecnon filed 6-28-91 as an emergency; operafive 6-28-91 (Regis-
ter 91, No. 46). A Certificate of Compliance must be transmitted to OAL
10-28-91 or emergency language will be repealed by operafion of law on the
following day.
3. Certificate of Compliance as to 6-28-91 order transmitted to OAL 10-16-91
and filed 1 1-7-91 (Register 92, No. 8).
§ 98. Publication by Governing Board.
History
1. Repealer of secfion filed 6-28-91 as an emergency; operative 6-28-91 (Regis-
ter 91, No. 46). A Certificate of Compliance must be transmitted to OAL
10-28-91 or emergency language will be repealed by operafion of law on the
following day.
2. Certificate of Compliance as to 6-28-91 order transmitted to OAL 10-16-91
and filed 1 1-7-91 (Register 92, No. 8).
§ 99. Certification by Governing Board.
History
1. Amendment filed 7-18-78; effective thirtieth day thereafter (Register 78. No.
29).
2. Repealer of section filed 6-28-91 as an emergency; operative 6-28-91 (Regis-
ter 91, No. 46). A Certificate of Compliance must be transmitted to OAL
10-28-91 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 6-28-91 order transmitted to OAL 10-16-91
and filed 1 1-7-91 (Register 92. No. 8).
§ 1 00. Responsibility of the Department.
History
1. Amendment of subsection (b) filed 7-18-78; effective thirtieth day thereafter
(Register 78, No. 29).
2. Repealer of section filed 6-28-91 as an emergency; operative 6-28-91 (Regis-
ter 91, No. 46). A Certificate of Compliance mu.st be transmitted to OAL
10-28-91 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 6-28-91 order transmitted to OAL 10-16-91
and filed 1 1-7-91 (Register 92. No. 8).
§ 1 01 . Responsibility of County Superintendent of
Schools.
History
1. Repealer of secfion filed 6-28-91 as an emergency; operative 6-28-9 1 (Regis-
ter 91, No. 46). A Certificate of Compliance must be transmitted to OAL
10-28-91 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-28-91 order transmitted to OAL 10-16-91
and filed 11-7-91 (Register 92, No. 8).
Chapter 2. Pupils
Subchapter 1 . General Provisions
Article 1 .
Admission and Exclusion of
Pupils
§ 200. Admittance to First Grade from Kindergarten.
A child who has been lawfully admitted to a public school kindergar-
ten in California may be placed in the first grade at the discretion of the
administration of a school district if it determines that the child is ready
for first grade work.
(a) The governing board shall adopt regulations setting forth the proce-
dures to be followed.
(b) The procedures adopted shall insure that a kindergarten pupil
placed in the first grade meets the following minimum criteria:
(1 ) The child is at least five years of age.
(2) The child has attended a public school kindergarten for a long
enough time to enable school personnel to evaluate his ability.
(3) The child is in the upper five percent of his age group in terms of
general mental ability.
(4) The physical development and social maturity of the child are con-
sistent with his advanced mental ability.
(5) The parent or guardian of the child has filed with the school district
a written statement approving placement in the first grade.
NOTE: Authority cited for Article 1: Section 33031 and 33037, Education Code.
History
1. New Chapter 1 (§§ 200-202, 300-307, 350-3.'>3) filed 9-23-69; effective thir-
tieth day thereafter (Register 69, No. 39).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
§ 201 . Admission to High School.
The school district maintaining a high school shall admit pupils in ac-
cordance with the grade organization of the schools maintained and the
maturity and achievement of the pupils as follows:
(a) A pupil shall be admitted to the high school shown if he has com-
pleted at least the grade indicated.
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§202
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Adiiiitliiii^
Grade Completed Hi}>h School
Grade 6 Junior high school
Grade 8 Four year high school
Grade 9 Senior high school (having grades 10, 11, and 12)
Grade 10 Senior high school (having grades 1 1 and 12)
(b) A pupil may be admitted to a high school who in the judgment of
personnel of the district described in Education Code Section 48020 or
48030, as appropriate, is capable of profiting from the instruction of-
fered, regardless of the grade he has completed.
History
1. Amendment of subsection (b) filed 9-23-77; effective thirtieth day thereafter
(Register77. No. 39).
§ 202. Exclusion of Pupils with a Contagious Disease.
A pupil while infected with any contagious or infectious disease may
not remain in any public school.
Article 2. Duties of Pupils
§ 300. Duties Generally.
Every pupil shall attend school punctually and regularly; conform to
the regulations of the school; obey promptly all the directions of his
teacher and others in authority; observe good order and propriety of de-
portment; be diligent in study; respectful to his teacher and others in au-
thority; kind and courteous to schoolmates; and refrain entirely from the
use of profane and vulgar language.
§ 301 . Duty to Refrain from Certain Conduct.
History
1 . Repealer filed 6-23-76; effective thirtieth day thereafter (Register 76, No. 26).
§ 302. Pupils to Be Neat and Clean on Entering School.
A pupil who goes to school without proper attention having been given
to personal cleanliness or neatness of dress, may be sent home to be prop-
erly prepared for school, or shall be required to prepare himself for the
schoolroom before entering.
§ 303. Duty to Remain at School.
A pupil may not leave the school premises at recess, or at any other
time before the regular hour for closing school, except in case of emer-
gency, or with the approval of the principal of the school.
§ 304. Leaving Room at Recess.
Every pupil shall leave the schoolroom at recess unless it would occa-
sion an exposure of health.
§ 305. Pupil Responsible for Care of Property.
A pupil who defaces, damages, or destroys any school property or
willfully or negligently injures another pupil or school employee is liable
to suspension or expulsion, according to the nature of the offense.
§ 306. Explanation of Absence.
A principal or teacher may require satisfactory explanation from the
parent or guardian of a pupil, either in person or by written note, whenev-
er the pupil is absent a part or all of a school day. The explanation shall
not be required until the day following.
§ 307. Participation in School Activities Until Departure of
Bus.
A pupil for whom the district provides transportation facilities may be
required to remain at school to participate in activities approved by the
superintendent of schools or by the governing board until the departure
of the pupil in the vehicle to which he has been assigned.
Article 3. Privileges of Pupils
§ 350. Fees Not Permitted.
A pupil enrolled in a school shall not be required to pay any fee, depos-
it, or other charge not specifically authorized by law.
§ 351. Work or Services Required of Pupils.
A pupil shall not be required to perform any work or services that may
be detrimental to his health.
§ 352. Detention During Recess or Noon Intermission.
A pupil shall not be required to remain in school during the intermis-
sion at noon, or during any recess.
§ 353. Detention After School.
A pupil shall not be detained in school for disciplinary or other reasons
for more than one hour after the close of the maximum school day, except
as otherwise provided in Section 307.
Note. Specific authority cited for Section 330: Section 5 of Article IX, California
Constitution.
Subchapter 2. Records of Pupils
Article 1.
Attendance Records and
Accounting
§ 400. Attendance Records.
Records of attendance of every pupil in the public schools shall be kept
for the following purposes;
(a) For apportionment of State funds.
(b) To insure general compliance with the compulsory education law,
and performance by a pupil of his duty to attend school regularly as pro-
vided in Section 300.
NOTE; Authority cited: Section 46000, Education Code.
History
1. New Article 1 (§§400-408) filed 2-24-70; designated effective 7-1-70 (Regis-
ter 70, No. 9).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
§ 401 . Forms and Procedures for Recording Attendance.
(a) Elementary school attendance shall be kept in a state school regis-
ter, as required by Section 44809, except when a central file is maintained
as authorized by Education Code Section 44809.
(b) High school attendance (including junior high school) shall be kept
on forms approved by the State Department of Education.
(c) In all high schools, except those listed in (d) of this section, each
teacher shall be required to submit to the principal, at least once each
school day, a report of attendance for each period of the day in which he
conducts classes, listing the names of all pupils absent in any period.
(d) In all classes for adults, continuation schools, and classes, and re-
gional occupational centers and programs, attendance shall be reported
to the supervising administrator at least once each school month.
NOTE: Authority cited: Sections 44809, 46000, EducaUon Code. Reference: Sec-
tion 44809, Education Code.
History
1 . Amendment of subsection (a) filed 9-23-77; effective thirtieth day thereafter
(Register 77, No. 39).
2. Amendment filed 1 1-7-79: effective thirtieth day thereafter (Register 79, No.
45).
§ 402. Attendance That May Be Counted.
For apportionment purposes, attendance of a pupil upon schools or
classes maintained by a school district or a county superintendent may
be counted when the pupil is present during the time lawfully prescribed
for the school or class in which he is enrolled and when such attendance
meets the requirements prescribed by Education Code Section 46300. In
•
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Title 5
California Department of Education
§421
addition, if the pupil is enrolled in summer school his attendance may be
counted only ii'lhe summer school meets the requirements of Education
Code Section 12400.
History
1 . Amendment tiled 9-23-77; effective thirtieth day thereafter (Register 77, No.
.39).
§ 403. Pupils Enrolled for the Minimum School Day.
Subject to the provisions of Sections 402. 404, and 405. for apportion-
ment purposes a pupil enrolled in a regular day class or a special day class
for the minimum school day applicable to him (except pupils whose at-
tendance is recorded by clock hour) is deemed present for the entire
school day, unless he is absent for the entire school day prescribed by the
local governing board under Education Code Section 46100.
History
1 Amendment tiled 9-2.3-77; effective thirtieth day thereafter (Register 77, No.
39).
§ 404. Pupils Whose Attendance Is Reported by Clock
Hour.
Subject to the provisions of Sections 402 and 405, a pupil eniolled in
a class described in Section 406 is deemed present, and he shall not be
counted or recorded as absent for apportionment purposes, unless he is
absent the entire clock hour.
§ 405. Actual Attendance Counted.
For apportionment purposes, in a situation described in (a), (b), or (c)
of this section, only a pupil's actual attendance upon regular day school
or class shall be counted. Such attendance shall be recorded in clock
hours.
(a) Admission Charge.
For some period of time during his regularly programmed school day
he attends or engages in a school sponsored function or activity for which
he pays a fee, an admission, or participation charge, except for fees au-
thorized for adult education (Education Code Sections 52612 and
52613).
(b) Work Experience Class. He is enrolled in a work experience class.
In this case, his attendance is the sum of the hours of his actual attendance
upon the regular school plus the hours of attendance in the work experi-
ence class which meet the requirements of Section 46300 of the Educa-
tion Code.
(c) Excused from Regular Schools or Class.
Whenever a pupil is excused from a school or class to attend or partici-
pate in a function or activity which does not meet the requirements of
Section 46300 of the Education Code.
History
1 . Amendment tiled 9-23-77; effective ttiirtietti day thereafter (Register 77, No.
39).
§ 406. Attendance Reported by Clock Hour.
Attendance shall be reported in clock hours for the following:
(a) Pupils enrolled for less than the minimum school day.
(b) Pupils in classes for adults wherever held pursuant to the Education
Code.
(c) Pupils enrolled in work experience programs.
(d) Pupils in continuation education schools or classes.
(e) Pupils in regional occupational centers or regional occupational
programs.
(f) Pupils in summer schools.
(g) Physically handicapped pupils.
( 1 ) Adults and minors receiving individual instruction in home or hos-
pital.
(2) Pupils sixteen years of age or over who are enrolled in an occupa-
tional training program, i.e., sheltered workshop, pursuant to Education
Code Section 46500.
(h) Educationally handicapped minors receiving individual instruc-
tion in home or hospital or children's institution pursuant to Education
Code Section 46511.
History
1. Amendment of subsection (g)( I) filed 3-19-71 ; effective thirtieth day thereaf-
ter (Register 71, No. 12).
2. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77. No.
39).
§ 407. Attendance Recorded in Minutes.
History
1. Amendment filed 3-19-71; effective thirtieth day thereafter (Register 71. No.
12).
2. Chanee without regulatory effect repealing section tiled 9-19-91 pursuant to
sectio^n 100, title 1 ."California Code of Regulations (Register 92, No. 6).
§ 408. Computation of Attendance for Classes Recorded in
Minutes.
History
1 . Amendment filed 3-19-71 ; effective thirtieth day thereafter (Register 71 . No.
12).
2. Change without regulatory effect repealing section tiled 9-19-91 pursuant to
section 100, title 1, CaHfornia Code of Regulations (Register 92, No. 6).
§ 409. Deduction of Attendance of Pupils in Remedial
Classes Maintained by a County
Superintendent.
History
1 . New section filed 6-25-70; effective thirtieth day thereafter (Register 70. No,
26).
2. Amendment of subsection (a) filed 9-2.3-77; effective thirtieth day thereaher
(Register 77, No. 39).
3. Change without regulatory effect repealing section filed 9-19-91 pursuant to
section 100, title 1, California Code of Regulations (Register 92, No. 6).
Article 1 .1 . Record of Verification of
Absence Due to Illness and Other Causes
§ 420. Absences Allowable as Attendance.
Absence due to any one or more of the following causes, when verified
in accordance with this article, is allowable as attendance in a regular
full-time day school as defined in Section 2(i) maintained by a district
and in a school or class maintained by a county superintendent of schools:
(a) Illness.
(b) Quarantine directed by a county or city health officer.
(c) Having medical, dental, or optometrical services rendered.
(d) Attending funeral services of a member of the pupil's immediate
family to the extent of not more than one day if the service is conducted
in California and not more than three days if the service is conducted out-
side of California. Members of an immediate family are, for purpo.ses of
this subsection, those relationships set out in Education Code Section
45194 except that references therein to "employee" shall be deemed to
be references to "pupil."
NOTE; Authority cited for Article 1.1; Section 46000, Education Code.
History
1. New Article 1.1 (§^ 420 through 424) filed 2-24-70; designated effective
7-1-70 (Register 70, No. 9).
2. Amendment filed 9-20-74; effective thirtieth day thereafter (Register 74, No.
38).
3. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
§ 421. Method of Verification.
(a) Any of the following persons may verify an absence due to illness
or quarantine:
(1) A school or public health nurse.
(2) An attendance supervisor.
(3) A physician.
(4) A principal.
(5) A teacher.
(6) Any other qualified employee of a district or of a county superin-
tendent of schools assigned to m;ike such verification.
(b) The verification shall be made in accordance with any reasonable
method which establishes the fact that the pupil was actually ill or under
quarantine if the method has been approved:
Page 5
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BARCLAYS CALIFORNIA CODE OF REGULATIONS
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(1 ) In the case of a school district, by resolution of the governing board
entered in its minutes.
(2) In the case of a school or class maintained by a county superinten-
dent of schools, by resolution of the county board of education entered
in its minutes.
§ 422. Recording of Absence Due to Illness or Quarantine.
(a) Absence due to illness or quarantine shall, in the first instance, be
recorded on attendance accounting forms and in state school registers in
the same manner as any other absence is recorded.
(b) After a person authorized to make verification has determined that
an absence is due to illness or quarantine, such fact shall be recorded as
follows:
(1) If attendance records are kept manually and on the negative basis,
the absence entry shall be circled with blue or black ink. If attendance re-
cords are kept manually and on the positive basis, an attendance entry
shall be made and circled with blue or black ink. Circled entries may be
recorded as attendance in the total attendance column.
(2) If attendance records are made by machine, an appropriate symbol
shall be used to identify verified absences due to illness or quarantine on
monthly attendance summary forms. Absences so identified may be re-
corded as attendance in the total attendance column.
§ 423. Prolonged Illness.
A pupil who contacts an illness of a prolonged nature or who has been
a victim of an accident which will prevent attendance for a prolonged pe-
riod shall be counted as absent due to illness only until such time as he
is able and starts to receive instruction in home, hospital, or sanitorium,
or is given instruction by other means. No absence due to illness shall be
credited as attendance beyond the current school year.
§ 424. Prior Registration and Attendance Required.
Absence due to illness or quarantine shall not be credited for a pupil
prior to his having been registered and in attendance upon a school or
class.
Article 2. Emergency Average Daily
Attendance*
§ 428. Material Decrease.
A decrease in the average daily attendance is material for the purposes
of Education Code Section 46392 when at least ten percent of the stu-
dents who would normally attend a school do not attend on any one day.
Any decrease in attendance at a necessary small school, as defined in
Education Code Section 42283 is material for the same purpose. The av-
erage daily attendance of the school during either the month of May or
the month of October of the same school year, at the District's option,
shall be used to determine the normal attendance of a school for purposes
of this section.
NOTE; Authority cited: Sections 33112 (a) and 46392, Education Code. Refer-
ence: Section 46392, Education Code.
History
1 . New Article 2 (Section 428) filed 2-24-70 as an emergency; designated effec-
tive 7-1-70 (Register 70, No. 9).
2. Certificate of Compliance filed 4-15-70 (Register 70, No. 16).
3. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77. No. 39).
4. New subsections (d) and (e) filed 12-6-77; effective thirtieth day thereafter
(Register 77, No. 50).
5. Amendment filed 11-16-89; operafive 12-16-89 (Register 89, No. 46).
History
1 . New section filed 12-6-77; effective thirtieth day thereafter (Register 77, No.
50).
2. Repealer filed 1 1-16-89; operative 12-16-89 (Register 89, No. 46).
*See Sections 151 00-15106 for decrease in A.D.A. due to excessive rafio of pupils
to classroom teachers.
§ 429. Inability to Maintain Schools for the Prescribed
Minimum Fiscal Year.
Note: Authority cited: Secfions 33112(a) and 41422, Education Code. Refer-
ence: Sections 41422 and 46392, Education Code.
Article 3. Individual Pupil Records
§ 430. Definition.
(a) "F^upil" means a person who is or was enrolled in a school.
(b) "Adult Pupil" means a person who is or was enrolled in school and
who is at least 18 years of age.
(c) "Eligible Pupil" means a person 1 6 years or older or who has com-
pleted Grade 10.
(d) "Pupil Record" means information relative to an individual pupil
gathered within or without the school system and maintained within the
school system, regardless of the physical form in which it is maintained.
Essential in this definition is the idea that any information which is main-
tained for the purpose of second party review is considered a pupil re-
cord.
( 1 ) "Mandatory Permanent Pupil Records" are those records which are
maintained in perpetuity and which schools have been directed to com-
pile by California statute, regulation, or authorized administrative direc-
tive.
(2) "Mandatory Interim Pupil Records" are those records which the
schools are directed to compile and maintain for stipulated periods of
time and are then destroyed as per California statute, regulation, or autho-
rized administrative directive.
(3) "Permitted Pupil Records" are those records having clear impor-
tance only to the current educational process of the student.
(e) "District" means a local school district or county or state operated
special school or private or out-of-state school for which California tax
revenues pay all or part of the tuition.
NOTE: Authority cited for Article 3: Section 33031 and 49062, Education Code
and 20 U.S.C. § 1232(g). Reference: Section 49062, Education Code.
History
1 . Repealer of Article 3 (Sections 430-432) and new Article 3 (Sections 430-438)
filed 9-27-76; effective thirtieth day thereafter (Register 76, No. 40).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
§ 431. Responsibilities of Local Governing Boards.
(a) Local governing boards shall designate a certificated employee as
custodian of records. Such employee shall be charged with districtwide
responsibility for implementing board policies relating to pupil records.
(b) The principal of each school or a certificated designee shall be re-
sponsible for the implementation of board and district policies relating
to the pupil records maintained in that school.
(c) Each district shall establish written policies and procedures for pu-
pil records which implement Education Code Section 49060, and Title
5 regulations relating to pupil records. Such procedures and policies
shalh
( 1 ) Guarantee access to authorized persons within 5 days following the
date of request;
(2) Assure security of the records; and
(3) Enumerate and describe the pupil records collected and maintained
by the district.
(d) All anecdotal information and assessment reports maintained as a
pupil record shall be dated and signed by the individual who originated
the data.
(e) The district shall notify parents in writing at least annually of their
rights in regard to pupil records as per Education Code Section 49063.
(f) When a parent' s domit\ai\t language is not English, the district shall
make an effort to:
( 1 ) Provide interpretation of the pupil record in the dominant language
of the parent, or
(2) Assist the parent(s) in securing an interpreter.
(g) Neither the pupil record, nor any part thereof, shall be withheld
from the parent or eligible pupil requesting access.
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§437
History
1. Amendmenl tiled 9-23-71: effective thirtieth day thereafter (Register 77, No.
39).
§ 432. Varieties of Pupil Records.
(a) The principal of each school shall keep on file a record of enrol-
lment and scholarship for each pupil currently enrolled in said school.
(b) Local school districts shall not compile any other pupil records ex-
cept mandatory or permitted records as herein defined:
( 1 ) "'Mandatory Permanent Pupil Records" are those records which the
schools have been directed to compile by California statute authorization
or authorized administrative directive. Each school district shall main-
tain indefinitely all mandatory permanent pupil records or an exact copy
thereof for every pupil who was enrolled in a school program within said
district. The mandatory permanent pupil record or a copy thereof shall
be forwarded by the sending district upon request of the public or private
school in which the student has enrolled or intends to enroll. Such records
shall include the following:
(A) Legal name of pupil.
(B) Date of birth.
(C) Method of verification of birth date.
(D) Sex of pupil.
(E) Place of birth.
(F) Name and address of parent of minor pupil.
1. Address of minor pupil if different than the above.
2. An annual verification of the name and address of the parent and the
residence of the pupil.
(G) Entering and leaving date of each school year and for any summer
session or other extra session.
(H) Subjects taken during each year, half-year, summer session, or
quarter.
(1) If marks or credit are given, the mark or number of credits toward
graduation allows for work taken.
(J) Verification of or exemption from required immunizations.
(K) Date of high school graduation or equivalent.
(2) "Mandatory Interim Pupil Records" are those records which
schools are required to compile and maintain for stipulated periods of
time and are then destroyed as per California statute or regulation. Such
records include:
(A) A log or record identifying those persons (except authorized
school personnel) or organizations requesting or receiving information
from the record. The log or record shall be accessible only to the legal
parent or guardian or the eligible pupil, or a dependent adult pupil, or an
adult pupil, or the custodian of records.
(B) Health information, including Child Health Developmental Dis-
abilities Prevention Program verification or waiver.
(C) Participation in special education programs including required
tests, case studies, authorizations, and actions necessary to establish eli-
gibility for admission or discharge.
(D) Language training records.
(E) Progress slips and/or notices as required by Education Code Sec-
tions 49066 and 49067.
(F) Parental restrictions regarding access to directory information or
related stipulations.
(G) Parent or adult pupil rejoinders to challenged records and to disci-
plinary action.
(H) Parental authorizations or prohibitions of pupil participation in
specific programs.
(I) Results of standardized tests administered within the preceding
three years.
(3) "Permitted Records" are those pupil records which districts may
maintain for appropriate educational purposes. Such records may in-
clude:
(A) Objective counselor and/or teacher ratings.
(B) Standardized test results older than three years.
(C) Routine discipline data.
(D) Verified reports of relevant behavioral patterns.
(E) All disciplinary notices.
(F) Attendance records not covered in the Administrative Code Sec-
tion 400.
History
1 . Amendment of subsection {2)(E) filed 9-2.V77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
§ 433. Maintenance and Security of Pupil Records.
(a) The custodian of records shall be responsible for the security of pu-
pil records maintained by the district and shall devise procedures for as-
suring that access to such records is limited to authorized persons.
(b) Records for each individual pupil shall be maintained in a central
file at the school attended by the pupil, or when records are maintained
in different locations a notation in the central file as to where such other
records may be found is required.
§ 434. Access to Pupil Records.
Access to pupil records should be in accordance with Education Code
Sections 49069 and 49073 through 49077.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77. No.
39).
§ 435. Procedure for Access to Pupil Records.
(a) Authorized organizations, agencies, and persons from outside the
school whose access requires the consent of the parent or the adult pupil
must submit their request to view the records, together with any required
authorization, to the chief school administrator or the custodian of re-
cords.
(b) The chief school administrator or the custodian of records or a cer-
tificated designee shall be responsible during the inspection for interpre-
tation of the records where necessary and for prevention of their alter-
ation, damage, or loss. In every instance of inspection of pupil records by
persons who do not have assigned educational responsibility, an entry
shall be made in the access log of said record, indicating the name of the
person(s) granted access, the reason access was granted, the time and cir-
cumstances of inspection, and the records inspected.
(c) Unless otherwise judicially instructed, the school district shall,
prior to the disclosure of any pupil records to organizations, agencies, or
persons outside the school pursuant to a court order, give the parent or
adult pupil at least three days' notice, if lawfully possible within the re-
quirements of the judicial order, of the name of the requesting agency and
the specific records requested. Such notification shall be provided in
writing, if practicable. Only those records related to the specific purpose
of the court order shall be disclosed.
§ 436. Rights of Parents and Adult Pupils.
A parent or an adult pupil may challenge the content of any pupil re-
cord according to the procedures established by Education Code Sections
49069 and 49070. A hearing panel may be convened to aid the superin-
tendent or board in deciding whether a challenge should be sustained, as
specified in Educafion Code Section 49071.
Informafion shall be corrected or removed if it is: (I) inaccurate, (2)
an unsubstanfiated personal conclusion or inference, (3) a conclusion or
inference outside of the observer's area of competence, or (4) not based
on the personal observation of a named person with the time and place
of the observation noted.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§ 437. Retention and Destruction of Pupil Records.
(a) No additions except roufine updating shall be made to the record
after high school graduaUon or permanent departure without the prior
consent of the parent or adult pupil.
(b) Mandatory permanent pupil records shall be preserved in perpetu-
ity by all California schools according to Chapter 2, Division 16. Part I,
of this title.
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§438
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(c) Unless forwarded to another district, mandatory interim pupil re-
cords may be adjudged to be disposable when the student leaves the dis-
trict or when their usefulness ceases. Destruction shall be in accordance
with Section 16027 of this title during the third school year following
such classification.
(d) Permitted pupil records may be destroyed when their usefulness
ceases. They may be destroyed after six months following the pupil's
completion of or withdrawal from the educational program.
The method of destaiction shall assure that records are not available
to possible public inspection in the process of destruction.
§ 438. Transfer of Records.
(a) When a pupil transfers to another school district or to a private
school, a copy of the pupil's Mandatory Permanent Pupil Record shall be
transferred upon request from the other district or private school. The
original or a copy must also be retained permanently by the sending dis-
trict. If the transfer is to another California public school, the pupil's en-
tire Mandatory Interim Pupil Record shall be forwarded. If the transfer
is out of state or to a private school, the Mandatory Interim Pupil Record
may be forwarded. Permitted pupil records may be forwarded. All pupil
records shall be updated prior to such transfer.
(b) If the pupil is a within-Califomia transfer, the receiving school
shall notify parents of the record transfer. If the student transfers out of
state, the sending district may notify the parents of the rights accorded
them. The notification shall include a statement of the parent's right to
review, challenge, and receive a copy of the pupil record, if desired.
(c) Pupil records shall not be withheld from the requesting district be-
cause of any charges or fees owed by the pupil or his parent. This provi-
sion applies to pupils in grades K-12 in both public and private schools.
Article 4. Records Identifying and
Accounting for Project-Connected Pupils
§ 450. Records Identifying Project-Connected Pupils.
The following procedure shall be used, and the following records kept,
in identifying project-connected pupils defined in Education Code Sec-
tion 41931:
(a) On October 31 or on the last day of school preceding October 31,
each school district contemplating the filing of an application for an ap-
portionment under the provisions of Article 1 4 of Chapter 5 of Part 24 of
the Education Code shall identify each pupil who has enrolled in the reg-
ular full-time day schools of the district subsequent to the commence-
ment of any project defined in Education Code Section 41930, and whose
parent or guardian has moved into the district subsequent to the com-
mencement of such project. The record of identification shall include, but
is not limited to, each of the following items of information which shall
be verified by an employee of the school district:
( 1 ) Name of pupil enrolled.
(2) Grade in which enrolled.
(3) Name of parent or guardian.
(4) Address of parent or guardian.
(5) Date parent or guardian moved into district.
(6) Name of employer of parent or guardian.
(7) Address of such employer and location of employment.
(8) Date of beginning such employment.
(9) Signature of school district employee verifying information.
(10) Dates on which re-examinations required by subsection (c) of this
section were made.
(11) Date pupil enrolled in the regular full-time day schools.
(b) The pupil identified in (a) above shall include only those pupils
whose parents or guardians are employed by a contractor or subcontrac-
tor in connection with the project or by the State of California whose
work is in connection with the project. Upon verification of the informa-
tion required in (a) above and the filing of a ceruficafion by the parent or
guardian of each pupil that such parent or guardian moved into the area
subsequent to the commencement of the project primarily for the purpose
of securing employment or being employed in connection with the proj-
ect, such pupil shall be determined to be in addition to the number of chil-
dren who would otherwise normally be expected to be in the district pur-
suant to the provisions of Educadon Code Secfion 41931.
(c) Periodically throughout the school year, but not less than three
times during such year, the district shall re-examine the employment sta-
tus of the parent or guardian of each project-connected pupil. The date
of any change of employment shall be indicated and the new employer
noted on the idenUfication record of the pupil.
NOTE; Authority cited: Section 41931, Education Code.
History
1. Renumbering from Article 6 (Section 450) to Article 4 (Section 450) filed
9-27-76; effective thirtieth day thereafter (Register 76, No. 40).
2. Amendment and new NOTE filed 9-23-77; effective thirtieth day thereafter
(Register 77, No. 39).
Subchapter 3. Health and Safety of Pupils
Article 1. Fire Drills
§ 550. Fire Drills.
A fire drill shall be conducted in each elementary and intermediate
school at least once each month and in each secondary school not less
than twice every school year. The fire drill shall be conducted in accor-
dance with either (a) or (b).
(a) The governing board may arrange for a fire department to conduct
fire drills for the school.
(b) The principal of each school shall conduct the fire drills. In this
case, all pupils, teachers, and other employees shall be required to leave
the building.
NOTE; Authority cited: Section 32001, Education Code. Reference: Section
32001. Education Code.
History
1. New Chapter 3 (§§ 550, 560, 570-576. 590-593)filed 9-23-69; effective thir-
tieth day thereafter (Register 69, No. 39).
2. New NOTE filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
3. Amendment filed 1 1-7-79; effective thirtieth day thereafter (Register 79, No.
45).
Article 2. Civil Defense Plans and Drills
§ 560. Civil Defense and Disaster Preparedness Plans.
The governing board shall adopt a written policy for use by schools of
the district in formulating individual civil defense and disaster prepared-
ness plans.
NOTE; Authority cited: Section 33031, Education Code. Reference: None.
History
1. Amendment filed 6-28-73; effective thirtieth day thereafter (Register 73, No.
26).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
3. Amendment filed 1 1-7-79; effective thirtieth day thereafter (Register 79, No.
45).
Article 3.
School Safety Patrols (Traffic
Safety)
§ 570. Establishment and Supervision.
A school safety patrol established by a governing board pursuant to
Education Code Secfion 49300, shall comply with this article, as well as
Article 4 (commencing with Secfion 49300) of Chapter 1 of Part 19 of
the Educafion Code.
NOTE; Authority cited for Article 3: Sections 49300 and 49303, Education Code.
History
1 . Amendment of Section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
•
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California Department of Education
S591
•
§ 571 . Age or Grade of Members.
A pupil enrolled in the school who is either less than 10 years old or
enrolled in a grade below the tilth grade may not be a member of the pa-
trol.
History
I . Amendment tiled 7-20-73; effective thirtieth day thereafter (Resister 73. No.
29).
§ 572. Where School Safety Patrols May Be Used.
School safety patrols may be used only at those locations where the na-
ture of traffic will permit theirsafe operation. The locations where school
safety patrols are used should be determined by joint agreement between
the local school district and the local police agency.
§ 573. Hours on Duty.
(a) Patrol members shall reach their posts at least 15 minutes before
the opening of classes in the morning and in the afternoon, or at such ear-
lier lime as the governing board shall authorize, and shall remain on duty
until the last bell calls the pupils to class.
(b) At dismissals, patrol members shall leave their classes in time to
reach their posts before the dismissal bell.
(c) At dismissals, each patrol member shall remain on duty until all
students who are not stragglers have passed his post.
§ 574. Operating Procedure at Crossings Where School
Safety Patrols Are Stationed.
(a) At Crossings Controlled by a Police Officer or a Crossing Guard.
At crossings where traffic is controlled by a police officer or crossing
guard, the .safety patrol will direct the crossing of the students in confor-
mity with the signal of the police officer or crossing guard.
(b) At Crossings With Automatic Signals.
Patrol members shall hold the students off the roadway until the sig-
nals allow them to cross safely. The patrol members should allow only
the immediate group to cross. All latecomers should wait for the next
cycle.
(c) At Crossings With No Automatic or Pedestrian Signals.
(1) The patrol members shall be so posted as to be clearly visible to
approaching traffic. They shall stay out of the moving stream of traffic
and where there are parked cars obstructing their view, they shall be
posted no farther in the roadway than the outer edge of the parked cars.
(2) Patrol members shall not permit students to enter the roadway until
it appears it is safe for them to cross.
(3 ) When it appears it is safe for them to cross, the patrol members shall
direct the students to cross the roadway in a group.
(4) When the students are safely across the roadway, the patrol mem-
bers shall change the signs so that the normal traffic may proceed and so
that the students may be held off the roadway.
(d) At Crossings Where There Are No Automatic Signals and the
Roadway Is Designed for More Than Two Lanes of Moving Traffic.
There shall be at least two patrol members. One shall operate as de-
scribed in section (c) above. The other patrol member shall operate in uni-
formity similarly on the opposite side of the roadway and give attention
to traftlc approaching on that side. He shall assist the group of students
to reach that side of the roadway safely.
(e) At Crossings Where There Are Pedestrian-operated Signals.
( 1 ) Patrol members shall have the responsibility for the operation of
the pedestrians' signals during the hours on duty specified in Section 573.
(2) When there is a break in the traffic stream the patrol member shall
activate the signal.
(3) Patrol members shall hold the students off the roadway until the
signals allow them to cross. The patrol members shall allow only the im-
mediate group to cross. Latecomers should wait for the next cycle.
(0 Pedestrian Tunnels or Overpasses.
Patrol members shall be stationed on each side of the roadway so that
the protection provided shall be used,
(g) Loading on Streetcars.
Patrol members shall hold the students off the roadway until the street-
car or other conveyance which is to be loaded in the roadway has arrived
at the loading station and has stopped. The patrol members will then al-
low the students to cross the roadway to the public conveyance, provided
their crossing is not in conllict with a traffic signal, or the direction of a
police officer or crossing guard.
§ 575. School Safety Patrol Crossing Sign.
(a) The crossing sign shall be a rigid disk 18 inches in diameter and
brilliant red in color. The word STOP in 6-inch white letters shall appear
in the center of the disk. The word SCHOOL shall appear in 2-inch white
letters directly above and parallel to the word STOP, and the word
CROSSING shall appear in 2-inch white letters directly below and paral-
lel to the word STOP.
(b) The sign shall be fastened to a round pole approximately six feet
in length, and at such an angle that when the sign is extended in an operat-
ing position the lettering will be horizontal.
(c) In lieu of the crossing sign referred to in subsections (a) and (b) of
this section, any other type of crossing sign approved by the Department
of Public Works may be used.
§ 576. Uniforms and Insignia.
(a) A school safety patrol member (except a member of the R.O.T.C.
or California Cadet Corps on traffic duty in his official uniform) shall
wear, at all times while on duty, the basic standard uniform specified in
this section, except that the rainy day uniform may be worn under appro-
priate weather conditions. Only the optional additions specified in this
section may be added to the uniform.
(b) The basic standard uniform for patrol members is the white or fluo-
rescent orange Sam Browne belt and either an overseas type federal yel-
low or fluorescent orange cap or a yellow or fluorescent orange helmet.
Optional additions to the basic standard uniform are any or all of the
following:
(1) Colored piping on the federal yellow cap
(2) Colored striping on the yellow helmet
(3) A red or fluorescent orange upper garment
(4) Insignia or a special badge identifying the organization, to be worn
on the left breast, left arm, or cap.
(c) The rainy-day uniform is a federal yellow raincoat and a federal
yellow rain hat. The Sam Browne belt may be worn over the raincoat.
(d) The insignia, or special badge and cap shall be worn only during
official .school safety patrol duty, except that the governing board may
authorize members of the school safety patrol to wear the uniform and
insignia for special school safety patrol functions.
Article 4. Vision Testing
(Education Code Section 49452)
§ 590. Duly Authorized Agency.
Pursuant to Education Code Section 49452, a county superintendent
of schools may contract with an agency duly authorized to provide vision
tests, which includes a city or county health department, a local health
district, or the Stale Department of Health Services.
NoTE: Authority cited: Section 33031, Education Code. Reference: Section
49452, Education Code.
History
1 . Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77. No. 39),
2. Amendment of article heading, section heading, section and NotE: filed
8-9-2004; operative 8-9-2004 pursuant to Government Code section 1 1 343.4
(Register 2004, No. 33).
§ 591 . Employees Authorized to Give Tests.
(a) An employee of a school district or of a county superintendent of
schools may be authorized to give vision tests pursuant to Education
Code Section 49452 and may be designated a "duly qualified supervisor
of health" within the meaning of that section if the employee is:
(1) A physician and surgeon or osteopath employed pursuant to
Education Code Section 44873.
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§592
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(2) A school nurse employed pursuant to Education Code Section
44877.
(3) An optometrist employed pursuant to Education Code Section
44878.
(b) Any other certificated employee of the school district or of the
county superintendent of schools may be authorized to give vision tests
pursuant to Education Code Section 49452 if the employee has one of the
following documents:
( 1 ) A statement from a qualified supervisor of health that the employee
has satisfactorily completed an acceptable course of in-service training
in techniques and procedures in vision testing of at least six clock hours
given by the qualified supervisor of health making the statement and that
the employee is qualified to administer vision tests to pupils.
(2) A transcript from an accredited college or university evidencing
that the employee has successfully completed an acceptable course in vi-
sion testing of at least one semester unit.
NOTE: Authority cited: Section 3303 L Education Code. Reference: Sections
44873. 44877, 44878 and 49452, Education Code.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Amendment of section and new Note filed 8-9-2004; operative 8-9-2004 pur-
suant to Government Code section 11 343.4 (Register 2004, No. 33).
§ 592. Acceptable Course in Vision Testing.
An acceptable course in vision testing is one that provides the follow-
ing:
(a) Basic knowledge of the structure, normal development, and func-
tion of the eye and common anomalies of vision and factors influencing
visual performance.
(b) Basic knowledge of signs and symptoms suggesting eye difficulty.
(c) Techniques and procedures in administering optotype and color vi-
sion tests. Such techniques and procedures shall include training in the
following:
(1) Establishing tests rapport with pupils.
(2) Seating of pupil and placing of equipment.
(3) Providing adequate lighting conditions for the testing situation.
(4) Recording test results.
(5) Referring pupils in need of follow-up.
(d) Practice in administering optotype and color vision tests under the
supervision of a duly qualified supervisor of health.
NOTE: Authority cited: Section 33031. Education Code. Reference: Section
49452, Education Code.
History
1 . Amendment of section heading, first paragraph and subsections (c) and (d) and
new Note filed 8-9-2004; operative 8-9-2004 pursuant to Government Code
section 1 1343.4 (Register 2004, No. 33).
accurately the majority of letters or symbols on the 20-foot line of the test
chart at a distance of 10 feet.
(2) For children six years of age or older: Visual acuity of 20/40 or
worse. This means the inability to identify the majority of letters or sym-
bols on 1 5-foot line of the chart at a distance of 1 0 feet.
(3) For all children: A difference of visual acuity between the two eyes
of two lines or more on the optotype chart.
(b) For pupils who, because of age or special needs are not able to be
tested with an optotype test, other types of vision testing, such as a func-
tional vision test, may be utilized, using procedures and criteria of failure
as described by the manufacturer.
(c) If a pupil fails a vision test that is conducted by an employee autho-
rized to give vision tests pursuant to subdivision (b) of Section 591 . a re-
evaluation shall be conducted prior to a report being made to the pupil's
parent or guardian. This reevaluation shall be conducted by an einployee
authorized to give vision tests pursuant to subdivision (a) of Section 591 .
(d) If a pupil fails a vision test conducted by an employee authorized
to give vision tests pursuant to subdivision (a) of Section 591, a report
shall be made to the pupil's parent or guardian as required by Education
Code Section 49456.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
3308.5, 49452. 49455 and 49456, Education Code.
History
1. New section filed 1-19-73; effective thirtieth day thereafter (Register 73, No.
3).
2. Amendment filed 5-21-75; effective thirtieth day thereafter (Register 75, No.
21).
3. Amendment of Section and repealer of NOTE filed 9-23-77; effective thirtieth
day thereafter (Register 77, No. 39).
4. Amendment of section heading and section and new Note filed 8-9-2004; op-
erative 8-9-2004 pursuant to Government Code section 11343.4 (Register
2004, No. 33).
§ 595. Appraisal of Color Vision.
The appraisal of color vision in male pupils pursuant to Education
Code sections 49452 and 49455 shall mean a test employing pseudoi-
sochromatic plates. Procedures and criteria of failure as described by the
manufacturer shall be used.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
49452 and 49455, Education Code.
History
1. New section filed 1-19-73; effective thirtieth day thereafter (Register 73, No.
3).
2. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
3. Amendment of section heading and section and new Note filed 8-9-2004; op-
erative 8-9-2004 pursuant to Government Code section 11343.4 (Register
2004, No. 33).
•
§ 593. Responsibility as to Eligibility.
Each school district and county superintendent of schools shall deter-
mine and be responsible for the eligibility of personnel employed or per-
mitted by the district or county superintendent of schools to administer
vision tests or to conduct inservice training programs in techniques and
procedures in administering such tests.
Note: Authority cited: Section 33031, Education Code. Reference: Section
49452, Education Code.
History
1 . Amendment of section and new Note filed 8-9-2004; operative 8-9-2004 pur-
suant to Government Code section 1 1343.4 (Register 2004, No. 33).
§ 594. Test of Visual Acuity.
(a) The test of visual acuity administered pursuant to Education Code
sections 49452 and 49455 shall mean a test for visual acuity at the far
point. This shall be conducted by means of an optotype test. Test failure
for the visual acuity test shall be defined as follows:
(1) For children under six years of age: Visual acuity of 20/50 or
worse. The designation 20/50 or worse indicates the inability to identify
§ 596. Gross External Observation of the Children's Eyes,
Visual Performance and Perception.
Gross external observation of the children's eyes, visual performance
and perception, pursuant to Education Code sections 49452 and 49455,
shall mean continuous observation by teachers of the appearance, behav-
ior and complaints of pupils that might indicate vision problems. Also,
periodic investigation where pupils' school performance begins to give
evidence that existence of the problem might be caused by a visual diffi-
culty. Such an evaluation shall be done in consultation with the school
nurse.
Note; Authority cited: Section 33031, Education Code. Reference: Sections
49452 and 49455, Education Code.
History
1 . New section filed 1-19-73; effective thirtieth day thereafter (Register 73, No.
3).
2. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77. No.
39).
3. Amendment of section and new Note filed 8-9-2004; operative 8-9-2004 pur-
suant to Government Code section 11 343.4 (Register 2004, No. 33).
Page 10
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Title 5
California Department of Education
§601
Article 4.1. Administering Medication to
Pupils or Otherwise Assisting Pupils in the
Administration of Medication During the
Regular School Day
§ 600. Authorization.
Pursuant to Section 49423 and subdivision (b) of Section 49423.6 of
the Education Code, any pupil who is required to take, during the regular
school day, prescribed medication may be assisted by a sciiool nurse or
other designated school personnel if both of the following conditions are
met:
(a) The pupil's authorized health care provider executes a written
statement specifying, at a minimum, the medication the pupil is to take,
the dosage, and the period of time during which the medication is to be
taken, as well as otherwise detailing (as may be necessary) the method,
amount, and lime schedule by which the medication is to be taken.
(b) The pupil's parent or legal guardian provides a written statement
initiating a request to have the medication administered to the pupil or to
have the pupil otherwise assisted in the administration of the medication,
in accordance with the authorized health care provider's written state-
ment.
NOTK: Authority cited: Sections 3303 1 and 49423.6. Educalion Code. RelcrencL':
Sections 49423 and 49423.6. Education Code.
History
1. New article 4.1 (sections 600-61 1) and .section filed 1 1-20-2003; opcnilivc
1 1-20-2003 pursuant to Government Code section 1 1.343.4 (Registci 2003.
No. 47).
§601. Definitions.
As used in Section 49423 and subdivision (b) of Section 49423.6 of
the Education Code and in this article:
•
[The next page is 11. J
Page 10.1
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Title 5
California Department of Education
§604
•
(a) "ALilhorized health care provider" means an individual who is li-
censed by the State oi' California to prescribe medication.
(b) "Medication" may include not only a substance dispensed in the
United States by prescription, but also a substance that does not require
a prescription, such as over-the-counter remedies, nutritional supple-
ments, and herbal remedies.
(c) "Medication log" may consist of a form developed by the local
education agency for the documentation of the administration of the me-
dication to the pupil or otherwise assisting the pupil in the administration
of the medication. The medication log may include the following:
(1) Pupil's name;
(2) Name of medication the pupil is required to take;
(3) Dose of medication;
(4) Method by which the pupil is required to take the medication;
(5) Time the medication is to be taken during the regular school day;
(6) Date(s) on which the pupil is required to take the medication;
(7) Authorized health care provider's name and contact information;
and
(8) A space for daily recording of medication administration to the pu-
pil or otherwise assisting the pupil in administration of the medication,
such as date. time, amount, and signature of the individual administering
the medication or otherwise assisting in administration of the medica-
tion.
(d) "Medication record" may include:
(1) The authorized health care provider's written statement;
(2) The written statement of the parent or legal guardian;
(3) The medication log; and
(4) Any other written documentation related to the administration of
the medication to the pupil or otherwise assisting the pupil in the adminis-
tration of the medication.
(e) "Other designated school personnel" may include any individual
employed by the local education agency who:
(1 ) Has consented to administer the medication to the pupil or other-
wise assist the pupil in the administration of medication; and
(2) May legally administer the medication to the pupil or otherwise as-
sist the pupil in the administration of the medication.
(f) "Parent or legal guardian" means the individual recognized by the
local education agency as having authority to make medical decisions for
the pupil.
(g) "Regular school day" may include not only the time the pupil re-
ceives instruction, but also the time during which the pupil otherwise par-
ticipates in activities under the auspices of the local education agency,
such as field trips, extracurricular and cocurricular activities, before- or
after-school programs, and camps or other activities that typically in-
volve at least one overnight stay away from home.
(h) "School nurse" means an individual employed by the local educa-
tion agency who is a currently licensed registered nurse and is creden-
tialed pursuant to Education Code section 44877.
NOTE: Authority cited: Sections 33031 and 49423.6, Education Code. Reference:
Sections 44877, 49423 and 49423.6, Education Code.
History
]. New section filed 1 1-20-2003; operative 11-20-2003 pursuant to Government
Code section 11 343.4 (Register 2003, No. 47).
§ 602. Written Statement of Authorized Health Care
Provider.
(a) A local education agency may establish specifications for the au-
thorized health care provider's written statement in order to ensure that:
(1) The pupil is clearly identified;
(2) The medication is clearly identified;
(3) The dosage is clearly specified;
(4) The period of time during which the medication is to be taken is
clearly specified; and
(5) Other information is obtained that is relevant to administering the
medication to the pupil or otherwise assisting the pupil in administration
of the medication.
(b) A pupil's parent or legal guardian may deliver the authorized
health care provider's written statement to an authorized representative
of the local education agency, such as the schoolsite administrator or his
or her designee.
(c) A local education agency may require that an amended or new writ-
ten statement be provided annually and whenever there is a change in the
pupil's authorized health care provider, or a change in the medication,
dosage, method by which the medication is required to be taken, or
date(s) or time(s) the medication is required to be taken.
NOTll: Authority cited: Sections 3303 1 and 49423.6. Education Code. Kclcrcncc:
Sections 49423 and 49423.6, Education Code.
History
1. New section tiled 1 1-20-2003; operative 1 1-20-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 47).
§ 603. Written Statement of the Parent or Legal Guardian.
(a) A local education agency may establish specifications for the writ-
ten statement of the pupil's parent or legal guardian in order to ensure
that:
(1) The pupil is cleariy identified.
(2) Permission is obtained for an authorized representative of the local
education agency to communicate directly with the pupil's authorized
health care provider, as may be necessary, regarding the authorized
health care provider's written statement.
(3) The parent or legal guardian understands what employees of the
local education agency will do to administer the medication to the pupil
or otherwise assist the pupil in the administration of the medication.
(4) The parent or legal guardian understands his or her responsibilities
to enable employees of the local education agency to administer the me-
dication to the pupil or otherwise assist the pupil in administration of the
medication, e.g., to ensure that a current authorized health care provid-
er's written statement has been delivered to an authorized representative
of the local education agency, or to ensure that the medication is deliv-
ered to the schoolsite in a proper container by an individual legally autho-
rized to be in possession of the medication.
(5) The parent or legal guardian understands how he or she may termi-
nate consent for administration of the medication to the pupil or other-
wise assisting the pupil in the administration of the medication.
(b) A local education agency may provide reasonable accommoda-
tions to a parent or legal guardian who has insufficient English language
proficiency to produce a written statement without assistance or who has
a disability that makes it difficult to produce a written statement.
NOTE: Authority cited: Sections 33031 and 49423.6, Education Code. Reference:
Sections 49423 and 49423.6. Education Code.
History
1 . New section filed 1 1-20-2003; operative 1 1-20-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 47).
§ 604. Administration of Medication to Pupils or Otherwise
Assisting Pupils in the Administration of
Medication.
(a) A school nurse may administer medication to a pupil or otherwi.se
assist a pupil in the administration of medication as allowed by law and
in keeping with applicable standards of professional practice.
(b) Other designated school personnel may administer medication to
pupils or otherwise assist pupils in the administration of medication as
allowed by law and, if they are licensed health care professionals, in
keeping with applicable standards of professional practice for their li-
cense.
(c) The pupil's parent or legal guardian may administer medication to
the pupil or otherwise assist the pupil in the administration of medication
as allowed by law.
(d) An individual designated to do so by the parent or legal guardian
may administer medication to the pupil or otherwise assist the pupil in the
administration of medication as allowed by law. A local education
agency may establish rules governing the designation of an individual by
a parent or legal guardian in order to ensure that:
(1) The individual is clearly identified;
(2) The individual is willing to accept the designafion;
Page 11
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§605
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(3) The individual being designated is permitted to be present on the
school site;
(4) Any limitations on the individual's authority in his or her capacity
as designee are clearly established; and
(5) The individual's service as a designee would not be inconsistent
or in conflict with his or her employment responsibilities, if the individu-
al being designated is employed by the local education agency.
NOTE: Authority cited: Sections 3303 1 and 49423.6, Education Code. Reference:
Sections 49423 and 49423.6. Education Code.
History
1 . New section filed 1 1 -20-2003; operative 1 1 -20-2003 pursuant to Government
Code section 11 343 .4 (Register 2003, No. 47).
§ 605. Self-Administration of Medication.
With the approval of the pupil's authorized health care provider and
the approval of the pupil's parent or legal guardian, a local education
agency may allow a pupil to carry medication and to self-administer the
medication. A local education agency may establish rules governing
self-administration in order to protect the health and safety both of the
pupil and of the whole student body and staff at the schoolsite. Through
such rules, a local education agency may describe circumstances under
which self-administration may be prohibited.
NOTE: Authority cited: Sections 33031 and 49423.6, Education Code. Reference:
Sections 49423 and 49423.6, Education Code.
History
1 . New section filed 1 1 -20-2003; operative 1 1-20-2003 pursuant to Government
Code section 11 343.4 (Register 2003, No. 47).
§ 606. Delivery and Storage of Medication.
A local education agency may establish policies governing the deliv-
ery of medication to the schoolsite (other than medication a pupil is al-
lowed to carry for purposes of self-administration), as well as the storage
of medication in a manner that is secure and maintains the medication's
effectiveness.
NOTE: Authority cited: Sections 33031 and 49423.6, Education Code. Reference:
Sections 49423 and 49423.6, Education Code.
History
1 . New section filed 1 1-20-2003; operative 1 1-20-2003 pursuant to Government
Code section 11 343.4 (Register 2003, No. 47).
§ 607. Documentation.
A local education agency may establish policies regarding documen-
tation of the administration of medication to pupils or otherwise assisting
pupils in the administration of medication to ensure that:
(a) Pupil confidentiality is appropriately maintained;
(b) A medication record is maintained for each pupil to whom medica-
tion is administered or other assistance is provided in the administration
of medication; and
(c) An appropriate record is kept of pupils who are allowed to carry and
self-administer medication.
NOTE: Authority cited: Sections 33031 and 49423.6, Education Code. Reference:
Sections 49423 and 49423.6, Education Code.
History
1 . New section filed 1 1-20-2003; operative 11 -20-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 47).
§ 608. Deviation from Authorized Health Care Provider's
Written Statement.
A local education agency may establish policies regarding any materi-
al or significant deviation from the authorized health care provider's
written statement in order to ensure that, as quickly as possible upon dis-
covery, appropriate notification of the deviation is made:
(a) In accordance with applicable standards of professional practice,
if the discovery is made by a licensed health care professional; or
(b) To the schoolsite administrator, the pupil's parent or legal guard-
ian, an employee of the local education agency who is a licensed health
care professional (if any), and the pupil's authorized health care provider,
if the discovery is made by an individual who is not a licensed health care
professional.
NOTE: Authority cited: Sections 33031 and 49423.6, Education Code. Reference:
Sections 49423 and 49423.6, Education Code.
History
1. New section filed 1 1-20-2003; operative 11 -20-2003 pursuant to Government
Code secnon 1 1 343.4 (Register 2003, No. 47).
§ 609. Unused, Discontinued and Outdated Medication.
A local education agency may establish policies regarding unused,
discontinued, and outdated medication in order to ensure that:
(a) Such medication is returned to the pupil's parent or legal guardian
where possible;
(b) Such medication that cannot be returned to the pupil's parent or le-
gal guardian is disposed of by the end of the school year in accordance
with apphcable law.
NOTE: Authority cited: Sections 33031 and 49423.6, Education Code. Reference:
Sections 49423 and 49423.6, Education Code.
History
1 . New section filed 1 1-20-2003; operative 1 1-20-2003 pursuant to Government
Code section 1 1343.4 (Register 2003. No. 47).
§ 61 0. Applicability of this Article.
Nothing in this article may be interpreted as creating a state-mandated
local program or as affecting in any way:
(a) The staaites, regulations, or standards of practice governing any
health care professional licensed by the State of California in the carrying
out of activities authorized by the license;
(b) The statutes or regulations governing the administration of me-
dication to pupils or otherwise assisting pupils in the administration of
medication by individuals who are not licensed health care professionals,
other than Section 49423 and subdivision (b) of Section 49423.6 of the
Education Code;
(c) The use of emergency epinephrine auto-injectors pursuant to Sec-
tion 49414 of the Education Code;
(d) The content or implementation of a pupil's individualized educa-
tion program prepared in accordance with applicable provisions of feder-
al and state law, or a pupil's Section 504 Accommodation Plan prepared
in accordance with applicable provisions of the federal Rehabilitation
Act of 1973.
NOTE: Authority cited: Sections 33031 and 49423.6, Education Code. Reference:
SecUons 49414, 49423 and 49423.6, and Part 30 (commencing with Section
56000) of Division 4 of Title 2, Education Code.
History
1 . New section filed 1 1-20-2003; operative 1 1-20-2003 pursuant to Government
Code section 11 343.4 (Register 2003, No. 47).
§ 611. Issuance and Periodic Updating of Advisory.
The California Department of Education, with the approval of the
State Board of Education, may issue and periodically update an advisory
providing non-binding guidance on the administration of medication to
pupils and otherwise assisting pupils in the administration of medication.
The advisory shall be a program guideline under Education Code section
33308.5, and shall meet the requirements of Education Code section
33308.5 (including the written notification that the guideline is merely
exemplary and that compliance with the guideline is not mandatory).
NOTE; Authority cited: Sections 33031 and 49423.6, Education Code. Reference:
Sections 33308.5, 49423 and 49423.6, Education Code.
History
1 . New section filed 1 1-20-2003; operative 1 1-20-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 47).
Article 5. School Environment for Pupils
§ 630. Condition of School Premises.
Governing boards, superintendents, principals, and teachers are re-
sponsible for the sanitary, neat, and clean condition of the school prem-
ises and freedom of the premises from conditions that would create a fire
or life hazard.
NOTE: Authority cited for Article 5: Section 33031, Education Code.
History
1 . Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39). For prior history, see Register 76, No. 9.
Page 12
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Title 5
California Department of Education
§700
§631. Maintenance.
Adequate separate toilet facilities shall be maintained for each sex, and
all buildings and grounds shall be maintained according to the regula-
tions of the Board of Health having Jurisdiction over the school district.
§ 632. School Crossing Signs.
The governing board shall neither purchase nor accept any school
crossing sign (except hand signs to be carried by adult crossing guards
and hand signs described in Section 575 to be carried by school safety
patrols), unless it conforms to the requirements of the Traffic Manual is-
sued by the California Department of Transportation.
History
I . Amendment tiled 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
Article 6. Pupil Fingerprinting Program
§ 640. Definitions.
(a) "Private funding," as used in Education Code Section 32390(a),
means fund-raising activities by the school district or private persons or
entities, or any other form of accepting donated funds.
(b) "Volunteer assistance," as used in Education Code Section
32390(a), means the voluntary contribution, without charge to the school
district, of materials, equipment, or personal time, special knowledge or
skill.
NOTE: Authority cited: Section 32390(a), Education Code. Reference: Section
32390(a), Education Code.
History
1 . New section filed 10-8-86; effective upon filing pursuant to Government Code
Section 1 1346.2(d) (Register 86, No. 46).
§ 641 . Standards.
In providing fingerprint services, school districts shall comply with
the following standards:
(a) The standard California Department of justice 8" x 8" personal
identification fingerprint form (BID-8) may be used. Other fingerprint
forms may be used that are of the card stock, size and format of form
BID-8, as specified by the California Department of Justice.
(b) Fingerprint equipment used shall provide for a permanent black
finger print impression. Standard fingerprinting ink or inkless equipment
shall be used which meet standards specified by the Cahfomia Depart-
ment of justice.
(c) Those specifications referred to in subsections(a) and (b) may be
obtained from the California Department of justice. Bureau of Criminal
Identification, P.O. Box 903417, Sacramento. California 94203-4170.
(d) A full set of fingerprints shall be taken that includes the ten rolled
impressions and the two flat impressions. A notation shall be made on the
fingerprint form when fingers are amputated, bandaged or deformed.
(e) A person trained in the taking of fingerprints shall perform the fin-
gerprint process, or if an untrained person is used, a trained person shall
inspect each set of fingerprint impressions for quality. A person is
deemed to be trained in the taking of fingerprints if he or she has com-
pleted a course of instruction in the taking of fingerprints from a law en-
forcement agency, or a public or private college or university, or from a
person who has successfully completed a course of instruction in the tak-
ing of fingerprints from a law enforcement agency, or a public or private
college or university.
NOTE: Authority cited: Section 32390(a), Education Code. Reference: Section
32390(a), Education Code.
History
1 . New section filed 1 0-8-86; effective upon filing pursuant to Government Code
Section 11 346.2(d) (Register 86, No. 46).
Article 7. Safe Schools Assessment
Program
§ 700. Definitions.
(a) "Aggregated data," means the information contained on all of the
completed California Safe Schools Assessment School Crime and Inci-
dent Reporting Forms (July 1 , 2001 ) collected during each reporting peri-
od by the school district or county office of educarion from each school,
program, or camp within the jurisdiction of the superintendent of the re-
spective school district or county office of education.
(b) Crime classifications
( 1 ) Arson
"Arson" means the willful and malicious setting fire to or burning any
structure or property, regardless of the value of the property. Arson does
not include one burning his or her own property, unless there is injury to
another person or another person's property. Reporting for the purposes
of the Safe Schools Assessment Program shall be limited to incidents of
arson that result in an economic loss of $1 00 or more to an individual, the
school district or county office of education.
(2) Assault with a deadly weapon
"Assault with a deadly weapon" means the use of a firearm, deadly
weapon or instrument other than a firearm or by any means of force likely
to produce great bodily injury. A deadly weapon can be a firearm: stun
gun or taser; bows and arrows; knives or other cutting instalments; clubs;
bottles; explosives; and body parts, such as teeth, hands, fists, and feet
used with force likely to produce great bodily injury.
(3) Battery
"Battery" means the willful and unlawful use of force or violence upon
the person of another.
(4) Burglary
"Burglary" means any entry with the intent to commit a theft or any
felony, even though force may not have been used to gain entry.
(5) Destructive devices
"Destructive devices" means the use of any of the following for crimi-
nal purposes:
(A) Projectile containing any explosive or incendiary material or any
chemical substance, bomb, facsimile bomb, grenade, explosive missile
or similar device or any launching device.
(B) Weapon of a caliber greater than 0.60 caliber which fires fixed am-
munition or any ammunition other than a shotgun.
(C) Rocket, rocket propelled projectile, or any similar device of diam-
eter greater than 0.60 inches or launching device.
(D) Breakable container which contains a flammable liquid with a
flashpoint of 150 degrees Fahrenheit or less and has a wick or similar de-
vice capable of being ignited, other than a device which is commercially
manufactured primarily for the purpose of illumination.
(E) Sealed device containing dry ice (CO 2) or other chemically reac-
tive substances assembled for the purpose of causing an explosion by a
chemical reaction.
Included in this category also are written or oral threats to use destruc-
tive devices. Devices such as snappers or poppers, firecrackers, and fire-
works shall not be reported.
(6) Drug and alcohol offenses
"Drug and alcohol offenses" means the possession, use, sale, or fur-
nishing of any drug, intoxicating liquor, controlled substance, or toluene,
as well as drug paraphernalia, that is prohibited by law.
(7) Explosive devices
"Explosive devices" means any substance, or combination of sub-
stances, the primary or common purpose of which is detonation or rapid
combustion with criminal intent. Explosives include, but are not limited
to:
(A) Dynamite, nitroglycerin, black powder, propellant explosives,
detonating primers, blasting caps or commercial boosters.
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BARCLAYS CALIFORNIA CODE OF REGULATIONS
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(B) Substances determined to be class A and class B explosives by the
United States Department of Transportation.
(C) Nitro carbo nitrate substances (blasting agent) as classified by the
United States Department of Transportation.
(D) Any material designated as an explosive by the State Fire Marshal.
(E) Certain class C explosives designated by the United States Depart-
ment of Transportation when listed in regulations adopted by the State
Fire Marshal.
Included in this category also are written or oral threats to use explo-
sive devices. Devices such as snappers or poppers, firecrackers, and fire-
works shall not be reported.
(8) Graffiti
"Graffiti" means any form of unauthorized painting, writing, or in-
scription on the property of a school district or county office of education,
regardless of the content or nature of the material used in the commission
of the act. Reporting for the purposes of the Safe Schools Assessment
Program shall be limited to incidents of graffiti that result in an economic
loss of $ 100 or more to an individual, the school district or county office
of education.
(9) Hate Crime
"Hate crime" means an act or attempted act against the person or prop-
erty of another individual or institution which in any way manifests evi-
dence of hostility toward the victim because of his or her actual or per-
ceived race, religion, disability, gender, nationality, or sexual
orientation. This includes, but is not limited to, threatening telephone
calls, hate mail, physical assault, vandalism, cross burning, destruction
of religious symbols, or fire bombings. This paragraph shall include
those threats or hate mail sent by electronic communication.
(10) Homicide
"Homicide" means the unlawful killing of a person by another person.
(11) Loitering or trespassing
(A) "Loitering" means to delay, to linger, or to idle about any school
location without lawful business for being present.
(B) "Trespassing" means the entering of school grounds during school
hours without registering with the site or program administrator, as re-
quired by law, and remaining after being asked to leave, or returning to
the school grounds within thirty days of being asked to leave or within
seven days if the person is a parent or guardian of a student attending the
school.
(12) Possession of weapons
"Possession of weapons" means the unauthorized possession of dan-
gerous weapons, which include, but are not limited to, fire arms or
knives.
(13) Robbery /extortion
(A) "Robbery" means the taking of personal property in possession of
another, from his person or immediate presence, and against his will, ac-
complished by force or fear.
(B) "Extortion" means the taking of property from another person
without their consent. Extortion is induced by a threat of force or wrong-
ful use of fear. Extortion may occur over a period of time. Included in this
category are written or oral threats to take property.
(14) Sex offenses
"Sex offenses" mean sexual battery, rape, statutory rape, sodomy,
lewd and lascivious conduct with children, oral copulation, and child mo-
lestation.
(15) Theft
"Theft" (larceny) means the taking, leading, driving, or carrying away
of property (including motor vehicles) belonging to another with the in-
tent to deprive the rightful owner of its use, regardless of the value of the
property. Reporting for the purposes of the Safe Schools Assessment
Program shall be limited to incidents of theft that result in an economic
loss of $50 or more to the individual, school district, or county office of
education.
(16) Vandalism
"Vandalism" (to school, student, or employee property on school loca-
tion) means the malicious defacing, damaging, or destroying of property.
Reporting for the purposes of the Safe Schools Assessment Program
shall be limited to incidents of vandalism that result in an economic loss
of $100 or more to the individual, school district, or county office of edu-
cation.
(c) "Economic loss" means (except in the case of arson) the gross dol-
lar loss as a result of a crime committed against the property of an individ-
ual, school district or county office of education before any insurance
claim payments, restitution by students, or restitution by parents or
guardians. In the case of arson, "economic loss" means the estimated cost
of the economic loss to the individual, school district or county office in-
curred as a result of the arson.
(d) "Hate motivated incident" means an act or attempted act which
constitutes an expression of hostility against a person or property or insti-
tution because of the victim's real or perceived race, reUgion, disability,
gender, nationality, or sexual orientation. A hate motivated incident can
be using bigoted insults, taunts, or slurs; distributing or posting hate
group literature or posters; defacing, removing, or destroying posted ma-
terials or announcements; or posting or circulating demeaning jokes or
leaflets. This subsection shall include those expressions of hostility sent
by electronic communication.
(e) "Intentionally misleading data" means data that the school district
or county office of education superintendent intentionally withheld that
cleariy should have been reported, or data submitted that was known or
reasonably should have been known to be misleading or false.
(f) "Location" means the places where, and the times when, school
personnel have supervisory responsibility for pupils, that include the fol-
lowing:
( 1 ) On campus, including before or after school, and during lunch and
recess.
(2) On a school bus, to or from school, or to or from a school-spon-
sored activity.
(3) Off campus during lunch or at a school-sponsored activity.
(4) On the way directly to and from school or at a school-sponsored
activity.
(g) "Non-student" means a person, regardless of age, not enrolled in
the school or program reporting the crime, including hate crime or hate
motivated incident.
(h) "Reportable crime" means an act that (1) is a violation of an exist-
ing criminal statute, (2) involves school activities or school-sponsored
activities conducted by school districts or county offices of education,
and (3) is reportable to local law enforcement as a crime, including hate
crime, whether or not a crime report is filed with the local law enforce-
ment. The reportable crime classifications are described above in subsec-
tion (b).
(i) "Reportable hate motivated incident" means an act or attempted act
that (1) is a violation of an existing civil rights statute, and (2) involves
school activities or school-sponsored activities conducted by school dis-
tricts or county offices of education. The reportable hate motivated inci-
dent classification is described above in subsection (d).
(j) "Safe schools assessment" means the reporting of crime, including
hate crime and hate motivated incidents, committed at a location, as de-
fined above in subsecfion (0.
(k) "School bus" means a bus that is owned or leased by the school dis-
trict or county office of education for the purpose of transporting students
or staff members to or from school or school-sponsored activities.
(/) "Site or program administrator" means the school or program site
person who has responsibility for compiling the school crime and hate
motivated incident data and reporting the crime and incident data to the
respective school district or county office of education superintendent.
The site or program administrator can be, but is not limited to, school site
principals, vice principals, counselors, and coordinators or directors of
county-operated programs.
(m) "Student" means a person enrolled in the school or program re-
porting the crime or incident.
(n) "Suspect" means a person reasonably suspected of having com-
mitted the crime or incident.
Page 14
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§702
(0) "Victim," as it relates to crimes against persons, including hate
crimes and hate motivated incidents, means a person against whom a
crime or incident was committed.
Noi E: Authority cited: Section 33031, Education Code; and Section 628.1, Penal
Code. Reference: Section 23608. Business and Professions Code; Sections 44807
and 48900, Education Code; Sections 11014.5, 11018. 11054-11058, 11351,
11 3.57. 1 13.59, 1 1.360, 1 1.364. 1 1.364.7, 11 5.50, 1 1680, 1 1681 and 12000, Health
and Safety Code; and Sections 71, 148.1. 187, 192.211.212,242.243.2,243.4,
244.5. 245. 245.5, 261, 26! .5, 286, 288, 288a, 308(b), 380, 381, 417, 417.4, 451 ,
4.52. 459, 484. 487. 488. 518, 519. 594. 626.7-626.9. 628-628.6. 640.5. 647(f).
647.6, 65.3(g). 12020. 12220, 12301(a). 12403.7(d) and 12403.8. Penal Code.
History
1 . New subchapter 3, article 7 and section filed 9- 1 3-95 as an emergency; opera-
live 9-13-95 (Regi.stcr95, No. 37). A Certificate of Compliance must be trans-
mitted to OAL by 1-1 1-96 or emergency language will be repealed by opera-
lion of law on the following day.
2. Editorial correction deleting duplicative subchapter 3 heading (Register 96, No.
7).
3. Certificate of Compliance as to 9- ! 3-95 order including amendment of subsec-
tions (b)(1). (b)(5). (b)(7). (b)(14), renumbering of (b)(16) to (b)(15), and
amendment of subsection (h) transmitted to OAL 1-4-96 and filed 2-13-96
(Register96. No. 7).
4. Amendment of subsections (a), (b)( 10)(B). and (b)( 1 3) and amendment of Nrn E
filed 8-4-98; operative 8-4-98 pursuant to Government Code section
1 1.343.4(d) (Register 98, No. 32).
5. Amendment filed 8-1-2001; operative 8-1-2001 pursuant to Government
Code Section 1 1.343.4 (Register 2001, No. 31 ).
§ 701. School Crime and Incident Reporting Procedures.
(a) All school district superintendents and county office of education
superintendents who operate educational programs are required to sub-
mit to the California Department oFEducation safe school assessment re-
ports that contain specific numerical data on the incidents of crime, in-
cluding hate crimes or hate motivated incidents, occurring on their
respective school campuses. Each school district or county office of edu-
cation shall utilize the following procedure to report crime and hate moti-
vated incident data from school or program sites to the respective school
district or county office of education superintendent, and to the Califor-
nia Department of Education;
( 1 ) Each administrator of a school site or county office of education
program, or designee, shall complete a California Safe Schools Assess-
ment School Crime and Incident Reporting Form (July 1, 2001) for each
incident of crime, including hate crime or hate motivated incidents. The
information on the form includes, but is not limited to, identification of
the crime or hate motivated incident, victim characteristics, suspect char-
acteristics, if known at the time of the incident, and the actual or estimated
dollar loss to the school district or county office of education resulting
from a criminal act directed against property of the school district or
county office of education. The site or program administrator shall use
the crime and hate motivated incident classification definitions as speci-
fied above in Section 700(b) and (d) and the reporting guidelines as speci-
fied below in Section 702(a) to determine if a crime or an incident is re-
portable for the purposes of the Safe Schools Assessment Program.
(2) The site or program administrator, or designee, shall retain on file
for not less than three years the individual reports of crimes and hate mo-
viaied incidents on which the aggregate data is based, and any other re-
quired documentation, as specified below in Section 702(b).
(3) Each month the data regarding reportable school crimes and hate
motivated incidents shall be reported to the designated person at the re-
spective school district or county office of education.
(4) Any school district that has its own police department may have the
chief of its police force or other administrator of the police department
prepare the California Safe Schools Assessment School Crime and Inci-
dent Reporting Form (July 1, 2001) for its schools and submit the aggre-
gated data to the California Department of Education.
(5) On or before February 1 and August 1 of each year, the respective
school district or county office of education superintendent, or designee,
shall aggregate the school crime and hate motivated incident data re-
ported by schools or programs within their jurisdiction and report the ag-
gregated data to the California Department of Education.
(6) Beginning February 1. 1997 and thereafter, if a school district or
county office of education chooses to submit its data to the California De-
partment of Education in an electronic format, it must do so in a formal
designated by the California Department of Education. For the purposes
of this section, an electronic format includes, computer disk, modem
transfer, or other electronic means.
(b) Reportable crimes and hate motivated incidents occurring at a
school in the jurisdiction of another school district or county office of
education shall be reported by the education agency in which the crime
or hate motivated incident occurred.
NOTE: Authority cited; Section 3.3031 . Education Code; and Section 628. 1 . Penal
Code. Reference: Section 48902. Educalion Code; and Sections 628-628.6. Penal
Code.
History
1. New .section filed 9-13-95 as an emergency; operative 9-13-95 (Register 95,
No. 37). A Certificate of Compliance must be transmitted to OAL by l-l 1-96
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 9- 1 3-95 order transmitted to OAL 1 -4-96 and
filed 2-1.3-96 (Register 96. No, 7).
3. Amendment of subsections (a)(1) and (a)(4) filed 8-4-98; operative 8-4-98
pursuant to Government Code section 1 1343.4(d) (Register 98. No. 32).
4. Amendment of section heading and section filed 8-1-2001; operative
8-1-2001 pursuant to Governmerrt Code Section 1 1.343.4 (Reeisler 2001. No.
31).
§ 702. Guidelines for Reporting and Required
Documentation.
Site or program administrators and school district and county office of
education superintendents shall use (1) crime and hate motivated inci-
dent classifications based on existing statutes, as specified above in Sec-
tion 700(b) and (d), (2) reporting guidelines as specified in subsection (a)
below, and (3) guidelines for required documentation as specified in sub-
section (b) below to complete the reporting procedures as specified
above in Secfion 701.
(a) Reporting guidelines
The site or program administrator or designee shall report a crime or
hate mofivated incident when it has been determined that a reportable
crime or hate mofivated incident, as specified above in Section 700(b)
and (d), has been committed on a school location, as specified above in
SecUon 700(f). If more than one crime or hate motivated incident is com-
mitted during an occurrence, the most serious crime or incident in the
judgment of the site or program administrator or designee shall be re-
ported. The suspect(s) need not be apprehended for a crime or hate moti-
vated incident to be reportable. The site or program administrator or de-
signee may consult with local law enforcement to confirm that the
occurrences reported on the forms are crimes or hate motivated incidents
as defined in statute.
(b) Required documentation
The school district or county office of educafion superintendent re-
sponsible for reporting school crime and hale mofivated incident data
shall make available, for not less than three years from the date the report
was submitted, supporting data v/hich verifies information contained on
the California Safe Schools Assessment School Crime and Incident Re-
porting Form (July 1, 2001). Such data shall include, but not be limited
to, reports to local law enforcement officers and suspension and expul-
sion reports which have been reported to the respective local governing
board, for the crime classificafions specified in Education Code section
48915(a) through (d); and insurance claims, maintenance records, and
other documents to verify economic loss, if applicable. In addition, staff
should be available to participate in interviews during site visits from the
California Department of Education.
NOTE: Authority cited: Section 3303 1 , Educalion Code; and Section 628. 1 , Penal
Code. Reference: Sections 628-628.6, Penal Code.
History
1. New section filed 9-13-95 as an emergency; operative 9-13-95 (Register 95,
No. 37). A Certificate of Compliance must be transmitted to OAL by l-1 1-96
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 9-13-95 order transmitted to OAL 1 -4-96 and
filed 2-13-96 (Register 96, No. 7).
Page 15
Register 2(X)4, No. 24; 6- 1 1 - 2004
§704
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
3. Amendment of subsection (b) filed 8-4-98; operative 8-4-98 pursuant to Gov-
ernment Code section 1 1343.4(d) (Register 98, No. 32).
4. Amendment filed 8-1-2001; operative 8-1-2001 pursuant to Government
Code Section 1 1 343.4 (Register 2001 , No. 3 1 ).
§ 704. Certification of Report.
Each school district or county office of education superintendent or
designee shall certify to the best of their knowledge and belief that the
information in each crime and hate motivated incident reporting form is
true, accurate, and complete prior to submission to the California Depart-
ment of Education.
NOTE: Authority cited: Section 33031. Education Code; and Section 628.1, Penal
Code. Reference: Sections 628-628.6, Penal Code.
History
1 . New section filed 9-13-95 as an emergency; operative 9-13-95 (Register 95,
No. 37). A Certificate of Compliance must be transmitted to OAL by 1-1 1-96
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 9-1 3-95 order transmitted to OAL 1^-96 and
filed 2-13-96 (Register 96, No. 7).
3. Amendment filed 8-1-2001; operative 8-1-2001 pursuant to Government
Code Section 1 1343.4 (Register 2001, No. 31).
§ 705. Failure to Submit or Intentionally Submitting
Misleading Data.
School districts or county offices of education failing to submit a re-
port or intentionally submitting misleading data may be sanctioned by
the Superintendent of Public Instmction. The sanction is withholding a
dollar aiTiount not to exceed one-half of the annual salary of the superin-
tendent of either the reporting school district or the county office of edu-
cation from the school district's or county office of education's next state
funding apportionment.
NOTE: Authority cited: Secfion 3303 1 , Education Code: and Section 628. 1 , Penal
Code. Reference: Section 14044, Education Code; and Sections 628-628.6, Penal
Code.
History
1. New section filed 9-13-95 as an emergency; operative 9-13-95 (Register 95,
No. 37). A Certificate of Compliance must be transmitted to OAL by 1-1 1-96
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 9-13-95 order transmitted to OAL 1-^-96 and
filed 2-13-96 (Register 96, No. 7).
Subchapter 3.5. Leroy Greene Assessment
of Academic Achievement
§ 800. General Testing Provisions.
To be eligible for incentive funding available under the voluntary Pu-
pil Testing Incentive Program pursuant to Education Code Section
60640(a), a school district must certify that it administered an approved
test to all pupils enrolled in grades two through ten or in as many of those
grades as are operated by the school district during the time specified by
the State Superintendent of Public Instruction.
(a) Each pupil enrolled in the school district during the school district's
testing period shall be given an achievement test of basic academic skills,
including pupils in subgroups that may have been exempt from testing
in the past.
(b) School districts shall make whatever arrangements are necessary
to ensure that pupils in alternative education programs or programs con-
ducted off-campus are tested including, but not limited to, pupils en-
rolled in the school district's continuation school, independent study, or
community day school.
(c) Make-up sessions shall be scheduled to permit pupils who were not
present during the initial test administration to complete the achievement
test of basic academic skills.
(d) A parent or guardian may submit to the school a written request to
excuse his or her child from any or all parts of the achievement test of ba-
sic academic skills. Such requests must be initiated by the parent or
guardian and no school official shall solicit such a written request on be-
half of any child.
(e) If a pupil would not be tested pursuant to Secfion 802(a), the school
in which the pupil is enrolled shall test the pupil upon the written request
of the pupil's parent or guardian that his or her pupil be tested with any
or all parts of the achievement test of basic academic skills. Such testing
must be conducted during the same tesfing window during which other
pupils in the same grade are tested.
(f) Achievement tests of basic academic skills are to be selected from
among those currently approved for use by the California State Board of
Educafion pursuant to EducaUon Code secfion 60604(d).
(g) School districts shall use more than one approved test, if necessary,
to produce scores for all pupils in the required curriculum areas of read-
ing, spelling, written expression, and mathematics.
(h) Pupils in special educafion programs may be tested with an
achieveinent test of basic academic skills with necessary adaptafions or
accommodations including, but not limited to, large print, braille, ex-
tended time or the use of a reader or scribe. Pupils tested with adaptations
or accommodations shall be counted for the $5 per-pupil tested appor-
fionment pursuant to Education Code secfion 60640(a).
(i) Oral language proficiency assessments do not qualify as achieve-
ment tests of basic academic skills.
(j) School districts may administer an achievement test of basic aca-
demic skills to pupils enrolled in grades other than two through ten, but
such pupils may not be counted for the $5 per-pupil tested apportionment
pursuant to Education Code section 60640(a).
(k) Pursuant to Educafion Code secfion 60641(a), the State Superin-
tendent of Public Instrucfion has designated that achievement tests shall
be administered during the fall, or beginning of the school year, between
5 and 25 percent of the school district's instrucfional days, or during the
spring, or end of the school year, between 70 and 90 percent of the school
district's instrucfional days.
NOTE: Authority: Sections 3303 1 and 60605(g), Education Code. Reference: Sec-
fions 60603(a) and (c), 60604(a)( 1 ), (c), and (d), 60605(b), 60640 and 6064 1 , Edu-
cation Code.
History
1. New subchapter 3.5 (section 800) and section filed 5-22-96 as an emergency;
operative 5-22-96 (Register 96, No. 21). A Certificate of Compliance must be
transmitted to OAL by 9-19-96 or emergency language will be repealed by op-
eration of law on the following day.
2. Editorial correction of subsection (b) (Register 96, No. 38).
3. New subchapter 3.5 (secfion 800) and secfion refiled 9-1 9-96 as an emergency;
operative 9-20-96 (Register 96, No. 38). A Certificate of Compliance must be
transmitted to OAL by 1-21-97 or emergency language will be repealed by op-
eration of law on the following day.
4. Repealed by operauon of Government Code secfion 1 1346.1(g) (Register 97,
No. 24).
5. New subchapter 3.5 (.sections 800-802) and secfion filed 6-11-97; operafive
6-1 1-97 pursuant to Government Code section 11343.4(d) (Register 97, No.
24).
§ 801 . Reporting Test Results.
For purposes of Education Code section 60641(b), school districts
shall give a written report of individual pupil results to the pupil's parent
or guardian no later than 40 school days following the date on which the
school district received the results of the achievement tesfing of basic
academic skills.
NOTE: Authority: Secfions 3303 1 and 60605(g), Educafion Code. Reference: Sec-
tion 60641(b), Educafion Code.
History
L New section filed 6-1 1-97; operative 6-1 1-97 pursuant to Government Code
section 11343.4(d) (Register 97, No. 24).
§ 802. Waiver Criteria.
(a) To establish compliance with Education Code secfions 60640 and
60641, school districts may request a waiver of the requirement under
Education Code section 60640(a) that all pupils be tested from the Cali-
fornia State Board of Education pursuant to Educafion Code sections
33050-33053. The California State Board of Education shall approve the
waiver for one or more of the following types of pupils:
•
Page 16
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§850
(1) Special Education pupils whose Individualized Education Pro-
grams (lEP) provide for, and the school district implements, an alterna-
tive means for determining the pupils" academic progress.
(2) Pupils who have not received at least thirty (30) months of instmc-
lion in the core curriculum, given primarily in the English language, and
the school district implements an alternative means for determining the
pupils" academic progress. This provision would only apply if an ap-
proved test in the pupils" primary language was not available for pur-
chase.
(3) Pupils who entered school with no reading skills in any language
and have been enrolled continuously in the .school district for fewer than
180 days.
(4) Pupils who were not present during the test administration or at any
required make-up sessions.
(5) Pupils in special programs other than continuation school, inde-
pendent study, community day school, or those programs identified in
( 1 ), (2). or (3) of this subsection, who were not tested due to extraordinary
circumstances such as home/hospital study or traveling outside the coun-
try.
(b) When the California State Board of Education approves a waiver
of testing all pupils, school districts shall report the numbers of pupils ex-
empted in each waiver category to the California Department of Educa-
tion.
(c) When the California State Board of Education approves a waiver
of testing all pupils, school districts shall assess the progress in basic aca-
demic skills of each pupil not tested using an alternative means appropri-
ate to the pupil" s level of language proficiency.
(d) When the California State Board of Education approves a waiver
of testing all pupils, school districts shall report the results of the pupil's
alternative assessment to the pupil's parent or guardian within 40 school
days of the date that the results of the alternative assessment are obtained.
(e) Should the California State Board of Education approve any waiver
of testing all pupils under this section, the $5.00 per pupil incentive funds
shall be apportioned solely with respect to each pupil actually tested in
compliance with Education Code sections 60640 and 60641.
(0 For the 1996-97 school year only, school districts may submit to
the California State Board of Education requests to use tests not approved
by the California State Board of Education.
NOTE: Authority: Sections 3303 1 and 6060.'i(g), Education Code. Reference: Sec-
tions 33050-33053, 60640 and 60641 . Education Code.
History
1 . New section filed 6-1 1-97; operative 6-1 1-97 pursuant to Government Code
section 1 1343.4(d) (Register 97, No. 24).
Subchapter 3.75. Standardized Testing and
Reporting Program
Article 1. General
§ 850. Definitions.
For the purposes of the Standardized Testing and Reporting (STAR)
Program, the following terms shall have the following meanings unless
the context indicates otherwise:
(a) "Accommodations" means any variation in the assessment envi-
ronment or process that does not fundamentally alter what the test mea-
sures or affect the comparability of scores. Accommodations may in-
clude variations in scheduling, setting, aids, equipment, and presentation
format.
(b) "Administration Period" means one of multiple test administration
periods used by school districts with schools or programs on non-tradi-
tional calendars that begin and complete the school year at various times
and have staggered vacation periods, in order to ensure that all pupils are
tested at approximately the same point in the instructional year.
(c) "Alternate Assessment" means an assessment as provided in
Education Code section 60640(e) developed to measure the degree to
which pupils with exceptional needs who are unable to take the stan-
dards-based achievement tests even with accommodations or modifica-
tions are achieving the state content standards. Alternate assessments in-
clude administration manuals, administrative materials, and documents
on which the test examiner records the pupils' responses.
(d) "California Standards Tests" means an assessment as provided in
Education Code section 60642. 'i that measures the degree to which pu-
pils are achieving the state content standards.
(e) "Department" means the California Department of Education.
(f) "Designated achievement test'" means an assessment as provided
in Education Code section 60640(b) and 60642 for grades 3 and 7. The
designated achievement test includes test booklets, test answer docu-
ments, administration manuals, and administrative materials.
(g) "Designated primary language test" means an assessment as pro-
vided in Education Code section 60640(f)( 1 ) and (2) in each primary lan-
guage for which a test is available for students with limited English profi-
ciency and includes the test booklets, test answer documents,
administration manuals, administrative materials and practice tests.
(h) "Eligible pupil" is any pupil in grades 2 to II. inclusive, who is not
otherwise exempted pursuant to Education Code section 60615.
(1) For the designated achievement test, an eligible pupil is any pupil
in grades 3 or 7.
(2) For the designated primary language test and the standards-based
test in Spanish, an eligible pupil is an English learner with a primary lan-
guage for which a test is required or optional pursuant to Education Code
section 60640.
(i) "Grade" means the grade assigned to the pupil by the school district
at the time of testing.
(j) "Modification" means any variation in the assessment environment
or process that fundamentally alters what the test measures or affects the
comparability of scores.
(k) "Nonpublic schools (NPS)" are nonpublic, nonsectarian schools as
set forth in California Education Code section 56034.
(/) "School districts" includes elementary, high school, and unified
school districts; county offices of education: and any charter school that
for assessment purposes does not elect to be part of the school district or
county office of education that granted the charter; and any charter
school chartered by the State Board of Education.
(m) "Scribe" is an employee of the school district, or a person assigned
by a nonpublic school to implement a pupil's lEP who has signed a STAR
Test Security Affidavit and is required to transcribe a pupil's responses
to the format required by the test. A student's parent or guardian is not
eligible to be a scribe.
(n) A "significant medical emergency" is a significant accident, trau-
ma, or illness (mental or physical) that precludes a pupil in grades 2 to
11. inclusive, from taking the standards-based achievement tests or des-
ignated achievement test. An accident, trauma, or illness is significant if
the pupil has been determined by a licensed physician to be unable to par-
ticipate in the tests.
(o) "Standards-based achievement tests" means an assessment that
measures the degree to which pupils are achieving the state content stan-
dards as provided in Education Code sections 60640(e) alternate assess-
ment, 60640(0(3) standards-based test in Spanish, and 60642.5 Califor-
nia Standards Tests. The standards-based achievement tests include test
booklets, test answer documents, administration manuals, administrative
materials, practice tests and other materials developed and provided by
the contractor of the tests.
(p) "Standards-based test in Spanish" means an assessment as pro-
vided in Education Code section 60640(0(3) in the dominant primary
language of limited-English proficient students enrolled in California
public schools that measures the degree to which pupils are achieving the
state content standards.
(q) "Test examiner" is an employee of a school district or an employee
of a non-public school who has been trained to administer the tests and
has signed a STAR Test Security Affidavit. For the alternate assessment,
the test examiner must be a certificated or licensed school staff member.
Page 17
Register 2006, No. 45; 1 1 - 10-2006
§ 850.5
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(r) "Test proctor" is an employee of a school district, or a person as-
signed by a nonpublic school to implement a pupil ' s lEP, who has signed
a STAR Test Security Affidavit and has received training designed to
prepare him or her to assist the test examiner in the administration of tests
within the STAR Program.
(s) "Variation" is a change in the manner in which a test is presented
or administered, or in how a test taker is allowed to respond, and includes,
but is not limited to, accommodations and modifications.
NOTE: Authority cited; Sections 33031 and 6060.'i, Education Code. Reference:
Sections 56034, 60613. 60640. 60642 and 60642.3, Education Code.
History
1 . New subchapter 3.75 (sections 850-874) and section adopted by the State Board
ofEducation and filed 1-2-98 as an emergency; operative 1-2-98 (Register 98.
No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-98 or
emergency language will be repealed by operation of law on the following day.
2. New subchapter 3.75 (sections 850-874) and section refiled 5-5-98 as an emer-
gency; operative 5-.5-98 (Register 98, No. 19). A Certificate of Compliance
must be transmitted to OAL by 9-2-98 or emergency language will be repealed
by operation of law on the following day.
3. Certificate of Compliance as to 5-5-98 order transmitted to OAL 9-2-98 and
filed 10-14-98 (Register 98, No. 42).
4. New article 1 heading, amendment of subsection (c), new subsections (g)-(h)
and amendment of Note filed 10-26-98 as an emergency; operative 10-26-98
(Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL
by 2-23-99 or emergency language will be repealed by operation of law on the
following day.
5. Certificate of Compliance as to 1 0-26-98 order, including amendment of Note,
transmitted to OAL 2-23-99 and filed 4-6-99 (Register 99, No. 15).
6. Amendment of subsections (a), (c) and (f), repealer of subsections (g)-(h) and
amendment of Note filed 12-16-99 as an emergency; operative 12-16-99
(Register 99, No. 51). A Certificate of Compliance must be transmitted to OAL
by 4—14-2000 or emergency language will be repealed by operation of law on
the following day.
7. Certificate of Compliance as to 12-16-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21).
8. Repealer of subsection (d), subsection relettering, new subsections (f)(l)-(g)
and amendment of Note filed 11-27-2000 as an emergency; operative
1-1-2001 (Register 2000, No. 48). A Certificate of Compliance must be trans-
mitted to OAL by 5-1-2001 or emergency language will be repealed by opera-
tion of law on the following day.
9. Certificate of Compliance as to 11-27-2000 order transmitted to OAL
3-28-2001 and filed 5-9-2001 (Register 2001, No. 19).
10. Amendment of subsections (a), (f)(1) and (g), new subsections (h)-(m) and
amendment of Note filed 2-3-2004; operative 2-3-2004 pursuant to Govern-
ment Code section 1 1343.4 (Register 2004, No. 6).
11. Amendment filed 8-22-2005; operative 9-21-2005 (Register 2005, No. 34).
12. Amendment of section and Note filed 11-8-2006; operative 12-8-2006
(Register 2006, No. 45).
§ 850.5. School District Liability.
NOTE: Authority cited: Sections 33031 and 60605, Education Code. Reference:
Sections 60603, 60604 and 60613, Education Code.
History
1 . New section filed 10-26-98 as an emergency; operative 10-26-98 (Register 98,
No. 44). A Certificate of Compliance must be transmitted to OAL by 2-23-99
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 10-26-98 order u-ansmitted to OAL 2-23-99
and filed 4-6-99 (Register 99, No. 15).
3. Amendment filed 12-16-99 as an emergency; operative 12-16-99 (Register
99, No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 1 2- 1 6-99 order transmitted to OAL 4- 1 4-2000
and filed 5-26-2000 (Register 2000, No. 21).
5. Repealer of section and amendment of Note filed 11-8-2006; operative
12-8-2006 (Register 2006, No. 45).
Article 2. Designated Achievement Test,
Standards-Based Achievement Tests,
Alternate Assessment, and Designated
Primary Language Test
§851. Pupil Testing.
(a) School districts shall administer the designated achievement test,
and standards-based achievement tests and the designated primary lan-
guage test to each eligible pupil, enrolled in a school district on the date
testing begins in the pupil's school or school district.
(b) School districts shall make whatever arrangements are necessary
to test all eligible pupils in alternative education programs or programs
conducted off campus, including, but not limited to, continuation
schools, independent study, community day schools, or county commu-
nity schools, or nonpublic schools.
(c) No test may be administered in a home or hospital except by a test
examiner. No test shall be administered to a pupil by the parent or guard-
ian of that pupil. This subdivision does not prevent classroom aides from
assisting in the administration of the test under the supervision of a test
examiner provided that the classroom aide does not assist his or her own
child and that the classroom aide signs a security affidavit.
NOTE: Authority cited: Sections 33031 and 60605, Education Code. Reference:
Section 60640, Education Code.
History
1. New section adopted by the State Board ofEducation and filed 1-2-98 as an
emergency; operative 1-2-98 (Register98, No. 1). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order, including amendment of subsec-
tions (a) and (d), transmitted to OAL 9-2-98 and filed 10-14-98 (Register 98,
No. 42).
4. Editorial correction of subsection (b) (Register 98, No. 44).
5. New article 2 heading and amendment of subsections (a) and (c) filed 10-26-98
as an emergency; operative 10-26-98 (Register 98, No. 44). A Certificate of
Compliance must be transmitted to OAL by 2-23-99 or emergency language
will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-26-98 order, including amendment of sub-
section (d), transmitted to OAL 2-23-99 and filed 4-6-99 (Register 99, No. 15).
7. Amendment of article heading filed 1 1-27-2000 as an emergency; operative
1-1-2001 (Register 2000, No. 48). A Certificate of Compliance must be trans-
mitted to OAL by 5-1-2001 or emergency language will be repealed by opera-
fion of law on the following day.
8. Certificate of Compliance as to 1 1-27-2000 order transmitted to OAL
3-28-2001 and filed 5-9-2001 (Register 2001, No. 19).
9. Amendment of article heading, secfion and Note filed 8-22-2005; operative
9-21-2005 (Register 2005, No. 34).
10. Amendment of article heading, secfion and Note filed 11-8-2006; operative
12-8-2006 (Register 2006, No. 45).
§ 852. Pupil Exemptions.
A parent or guardian may submit to the school a written request to ex-
cuse his or her child from any or all parts of any test provided pursuant
to Education Code section 60640. A school district and its employees
may discuss the Standardized Testing and Reporting Program with par-
ents and may inform parents of the availability of exemptions under
Education Code section 60615. However, the school district and its em-
ployees shall not solicit or encourage any written exemption request on
behalf of any child or group of children.
NOTE: Authority cited: Sections 33031 and 60605, Education Code. Reference:
Sections 60615 and 60640, Education Code.
History
1. New section adopted by the State Board of Educafion and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New secfion refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
•
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Register 2(X)6, No. 45; 11-10-2006
Title 5
California Department of Education
§ 853.5
•
•
or emeieencv languase will be repealed by operation of law on the following
day.
3. Cenificale of Compliance as to 5-5-98 order, includine amendment of section,
transmitted to OAL 9-2-98 and tiled 10-14-98 (Register 98. No. 42).
4. Amendment of subsection (b) tiled 10-26-98 as an emergency: operative
10-26-98 (Register 98. No. 44). A Certificate of Compliance must be trans-
mitted to OAL by 2-23-99 or emergency language will be repealed t>y opera-
tion of law on the following day.
5. Certificate of Compliance as to 10-26-98 order transmitted to OAL 2-2.3-99
and tiled 4-6-99 (Register 99, No. 15).
6. Amendment of subsection (b) filed 1 1-27-2000 as an emergency; operative
1-1-2001 (Register 2000, No. 48). A Certificate of Compliance must be trans-
mitted to OAL by 5-1-2001 or emergency language will be repealed by opera-
tion of law on the following day.
7. Certificate of Compliance as to 1 1-27-2000 order, including further amend-
ment of subsection (a), transmitted to OAL 3-28-2001 and" filed 5-9-2001
(Regi,ster2001.No, 19).
8. Amendinent of subsection (b) and amendment of Note tiled 2-3-2004; opera-
tive 2-3-2004 pursuant to Government Code section 1 1343.4 (Reeisler 2004,
No. 6).
9. Repealer of subsection (a) designator and subsection (b) filed 8-22-2005; op-
erative 9-21-2005 (Register 2005, No. 34).
10. Amendment filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 853. Administration.
The designated achievement test, standards-based achievement tests
and designated primary language test shall be administered and returned
by school districts in accordance with the manuals or other instructions
provided by the contractor for administering and returning the tests un-
less specifically provided otherwise in this subchapter including instruc-
tions for administering the test with variations, accommodations, and
modifications specified in section 853.5. The procedures shall include,
but are not liinited to, those designed to insure the uniform and standard
administration of the tests to pupils, the security and integrity of the test
content and test items, and the timely provision of all required student and
school level information.
NOTE: Authority cited: Sections 12001, 33031 and 60605, Education Code. Ref-
erence: Section 60640, Education Code; and 20 USC Section 631 L
History
1. New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. I ). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order, including new subsections (c) and
(d). transmitted to OAL 9-2-98 and filed 10-14-98 ("Register 98, No. 42).
4. Amendment of subsections (a) and (c) filed 10-26-98 as an emergency; opera-
tive 1 0-26-98 (Register 98, No. 44). A Certificate of Compliance must be trans-
mitted to OAL by 2-23-99 or emergency language will be repealed by opera-
tion of law on the following day.
5. Certificate of Compliance as to 10-26-98 order transmitted to OAL 2-23-99
and filed 4-6-99 (Register 99, No. 15).
6. Amendment filed 12-16-99 as an emergency; operative 12-16-99 (Register
99, No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
7. Certificate of Compliance as to 1 2-1 6-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21).
8. New subsection (d), subsection relettering and amendmentof newly designated
subsecnon (e) filed 1 1-8-2000; operative 1 2-8-2000 (Register 2000, No. 45).
9. Amendment of subsections (a) and (b) filed 1 1-27-2000 as an emergency; op-
erative 1-1-2001 (Register 2000, No. 48). A Certificate of Compliance must be
transmitted to OAL by 5-1-2001 or emergency language will be repealed by
operation of law on the following day.
10. Certificate of Compliance as to 11-27-2000 order transmitted to OAL
3-28-2001 and filed .5-9-2001 (Register 2001, No. 19).
1 1. Amendment of subsection (a), repealer of former subsections (b)-(e), new sub-
sections (b) and (c) and amendment of Note filed 2-3-2004; operafive
2-3-2004 pursuant to Government Code section II 343.4 (Register 2004, No.
6).
12. Amendment of subsections (bHc) filed 8-22-2005; operative 9-21-2005
(Register 2005, No. 34).
13. Amendment filed 1 1-8-2006; operative 12-8-2006 (Register 2006. No. 45).
§ 853.5. Use of Variations, Accommodations, and
Modifications.
(a) School districts may provide all pupils the following variations:
( 1 ) have test directions simplified or clarified.
(2) write in test booklets for grades 2 to 1 1, on the standard.s-based
achievement test inclusive, e.g., underlining, working math problems.
Any marks other than those in response circles for grades 2 and .3 must
be erased to ensure that the tests can be scored.
(3) have as much time as needed within a single sitting to complete a
test or test part on the standards-based achievetneni tests.
(b) School districts may provide all pupils the following testing varia-
tions if regularly used in the classrooin:
(1) special or adaptive furniture.
(2) special lighting, special acoustics, or visual magnifying or audio
amplification equipment.
(3) an individual carrel or study enclosure.
(4) test individually in a separate room provided that an employee of
the school, school district, or nonpublic school, who has signed the
STAR Test Security Affidavit, directly supervises the pupil.
(5) colored overlay, mask, or other means to maintain visual attention
to the test or test questions.
(6) Manually Coded English or American Sign Language to present
directions for administration.
(c) Eligible pupils with disabilities who have lEPs and pupils with Sec-
tion 504 plans shall be permitted the following presentation, response or
setting accommodations if specified in the lEP or Section 504 plan:
(1) large print versions.
(2) test items enlarged if font larger than that used on large print ver-
sions is required.
(3) Braille transcriptions provided by the test contractor.
(4) audio or oral presentation of the mathematics, science, or history-
social science tests.
(5) Manually Coded English or American Sign Language to present
test questions on the mathematics, science, or history-social science
tests.
(6) for grades 4 to 1 1 responses marked in test booklet and transferred
to the answer document by a school, school district, or nonpublic .school
employee who has signed the STAR Test Security Affidavit.
(7) responses dictated orally, in Manually Coded English or American
Sign Language to a scribe for selected-response items (e.g.. multiple-
choice test questions).
(8) responses dictated to a scribe, audio recorder, or speech to text con-
verter on the writing portion of the English-language arts tests, and the
pupil indicates all spelling and language conventions.
(9) use of word processing software with spell and grammar check
tools turned off on the writing portion of the English-language arts tests.
(10) use of an assistive device that does not interfere with the indepen-
dent work of the student on the multiple-choice or writing portion of the
test.
(11) supervised breaks within a section of the test.
(12) administration of the test at the most beneficial time of day to the
pupil.
( 1 3) administration of any test or test part to be given in a single sitting
over more than one day except for the writing portion of the English-lan-
guage arts tests.
(14) test administered by a test examiner to a pupil at home or in the
hospital.
(15) extra time within the testing day on the designated achievement
test.
(d) Eligible pupils with disabilities shall be permitted the following
modifications if specified in the eligible pupiTs lEP or Section 504 Plan:
(1) calculators, arithmetic tables, or mathematics manipulatives on the
mathematics or science tests.
(2) audio or oral presentation of the English-language arts tests.
(3) Manually Coded English or American Sign Language to present
test questions on the English-language arts tests.
Page 19
Register 2006, No. 45; 11-10-2006
§854
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(4) spellcheckers, grammar checkers, or word processing software
programs that check or correct spelling and/or grammar on the writing
portion of the English-language arts tests.
(5) mechanical or electronic devices or other assistive devices that are
not used solely to record the pupil's responses, including but not limited
to transcribers, scribes, voice recognition or voice to text software, and
that identify a potential error in the pupil's response or that correct spell-
ing, grammar or conventions on the writing portion of the English-lan-
guage arts tests.
(6) responses dictated orally, in Manually Coded English or American
Sign Language to provide an essay response to a scribe and the scribe
provides spelling, grammar, and language conventions.
(7) dictionary.
(e) If the school district, pupil's lEP team or Section 504 plan proposes
a variation for use on the designated achievement test, the standards-
based achievement tests, or the designated primary language test, that has
not been listed in this section, the school district may submit, to the De-
partment, for review of the proposed variation in administering the desig-
nated achievement test standards-based achievement tests or designated
primary language test.
(f) School districts shall provide identified English learner pupils the
following testing variations if regularly used in the classroom or for as-
sessment:
(1) Flexible setting. Tested in a separate room with other English
learners provided that an employee of the school, school district, or non-
public school, who has signed the Test Security Affidavit, directly super-
vises the pupil.
(2) Rexible schedule. Additional supervised breaks following each
section within a test part provided that the test section is completed within
a testing day. A test section is identified by a "STOP" at the end of it.
(3) Translated directions. Hear the test directions printed in the test ad-
ministration manual translated into their primary language. English
learners shall have the opportunity to ask clarifying questions about any
test directions presented orally in their primary language.
(4) Glossaries. Access to translation glossaries/word lists for the stan-
dards-based achievement tests in mathematics, science, and history-so-
cial science (English to primary language). The translation glossaries/
word lists are to include only the English word or phrase with the
corresponding primary language word or phrase. The glossaries/word
lists shall include no definitions or formulas.
NOTE: Authority cited: Sections 12001, 33031 and 60605, Education Code. Ref-
erence: Section 60640, Education Code; and 20 USC Section 631 1.
History
1. New section filed 2-3-2004; operative 2-3-2004 pursuant to Government
Code section 1 1343.4 (Register 2004, No. 6).
2. Amendment of section heading and section filed 8-22-2005; operative
9-21-2005 (Register 2005, No. 34).
3. Amendment filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 854. Advance Preparation for the Tests.
(a) Except for materials specifically provided by the Department or its
agents, no program or materials shall be used by any school district or
employee of a school district that are specifically formulated or intended
to prepare pupils for the designated achievement tests, standards-based
achievement tests, or the designated primary language test. No adminis-
tration or use of an alternate or parallel form of the designated achieve-
ment test or the designated primary language test shall be used as practice
for any pupils in grades 2 to 11. inclusive.
(b) Practice tests provided by the contractor as part of the standards-
based achievement tests and the designated primary language test for the
limited purpose of familiarizing pupils with the use of scannable test
booklets or answer sheets and the format of test items are not subject to
the prohibition of subdivision (a).
NOTE: Authority cited: Sections 33031 and 60605, Education Code. Reference:
Sections 6061 1 and 60640, Education Code.
History
1. New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operative 1 -2-98 (Register 98, No. 1 ). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order, including amendment of subsec-
tion (b), transmitted to OAL 9-2-98 and filed 10-14-98 (Register 98, No. 42).
4. Amendment filed 10-26-98 as an emergency; operative 10-26-98 (Register
98, No. 44). A Certificate of Compliance must be transmitted to OAL by
2-23-99 or emergency language will be repealed by operation of law on the fol-
lowing day.
5. Certificate of Compliance as to 10-26-98 order transmitted to OAL 2-23-99
and filed 4-6-99 (Register 99, No. 15).
6. Amendment of subsection (a) filed 12-16-99 as an emergency; operative
12-16-99 (Register 99, No. 51). A Certificate of Compliance must be trans-
mitted to OAL by 4- ! 4-2000 or emergency language will be repealed by opera-
tion of law on the following day.
7. Certificate of Compliance as to 1 2-1 6-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21).
8. Amendment of section heading, section and Note filed 8-22-2005; operative
9-21-2005 (Register 2005, No. 34).
9. Amendment filed 11-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 855. Testing Period.
(a)(1) The designated achievement test and the standards-based
achievement tests, except for the STAR writing assessment as specified
in subdivision (c), shall be administered to each pupil during a testing
window of 21 instructional days that includes 10 instructional days be-
fore and after completion of 85% of the school's, track's, or program's
instructional days. Testing for all pupils, including makeup testing, is to
be completed within this 21 instructional day window.
(2) Each school district shall provide for at least two makeup days of
testing for pupils who were absent during the period in which any school
administered the designated achievement test and the standards-based
achievement tests. All makeup testing shall occur within five instruction-
al days of the last date that the school district administered the tests but
not later than the end of the 2 1 instructional day period established in sub-
division (a)(1).
(b)(1) Any designated primary language test or tests, as applicable,
shall be administered between March 15 and May 14, inclusive, of each
school year.
(2) Each school district shall provide for at least two makeup days of
testing for pupils who were absent during the period that any school ad-
ministered any designated primary language test or tests. All makeup
testing shall occur within ten instructional days of the last date that the
school district administered any designated primary language test or
tests, but not later than May 25th of each school year, whichever is earli-
er.
(3) A school district with schools operating on a multitrack year round
schedule may submit a request to the contractor to begin testing no earlier
than the fourth Monday in February.
(c) The STAR writing assessment shall be administered to each eligi-
ble pupil only on the day(s) specified annually by the State Superinten-
dent of Public Instruction. An eligible pupil for purposes of the writing
assessment is a pupil taking the standards-based achievement tests for
a grade at which the writing test will be administered.
NOTE; Authority cited: Sections 33031 and 60605, Education Code. Reference:
Sections 60640 and 60642.5, Education Code.
History
1 . New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operafive 1-2-98 (Register98, No. 1 ). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order, including amendment of subsec-
tion (c), transmitted to OAL 9-2-98 and filed 10-14-98 (Register 98, No. 42).
•
•
Page 20
Register 2006, No. 45; 11-10-2006
Title 5
California Department of Education
S858
•
4. Amendment of subsection (c) filed 12-16-99 as an emergency: operative
12-16-99 (Regisler 99, No. 5\). A Certificate of Compliance must be trans-
milted to OAL by 4- 1 4-2000 or emergency language will be repealed by opera-
tion of law on the following day.
5. Certiticate of Compliance as to 1 2-16-99 order transmitted to OAL 4- 1 4-2000
and liled 5-26-2000 (Register 2000, No. 21).
6. Amendment filed 1 1-27-2000 as an emergency; operative 1-1-2001 (Register
2(J00, No. 48). A Certificate of Compliance must be transmitted to OAL by
3-1-2001 or emergency language will be repealed by operation of law on the
following day.
7. Certificate of Compliance as to 1 1-27-2000 order, including further amend-
ment of subsection (a) and Noxr,. transmitted to OAL 3-28-2001 and filed
.5-9-2001 (Register 2001. No. 19).
8. Amendment of section and N(m: filed 8-22-2005; operative 9-21-2005 (Res-
ister 2005. No. M).
9. Amendment filed 1 1-8-2006: operative I2-8--2006 (Register 2006. No. 45).
§ 856. Sales and Use Tax.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Secfion 60640, Educafion Code: and Sections 6051 et seq. and 6201
et seq.. Revenue and Tax Code..
History
1. New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98.
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operafion of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order transmitted to OAL 9-2-98 and
filed 10-14-98 (Register 98, No. 42).
4. Amendment filed 10-26-98 as an emergency; operafive 10-26-98 (Register
98, No. 44). A Certificate of Compliance must be transmitted to OAL by
2-23-99 or emergency language will be repealed by operation of law on the fol-
lowing day.
5. Certificate of Compliance as to 10-26-98 order transmitted to OAL 2-23-99
and filed 4-6-99 (Register 99, No. 15).
6. Repealer filed 12-16-99 as an emergency; operative 12-16-99 (Register 99,
No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
7. Certificate of Compliance as to 1 2-16-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21).
§ 857. District STAR Coordinator.
(a) On or before September 30 of each school year, the superintendent
of each school district shall designate from among the employees of the
school district a district STAR coordinator. The district STAR coordina-
tor, or the school district superintendent or his or her designee, shall be
available through August 15 of the following year to complete school dis-
trict testing. The school district shall notify the contractor(s) of the identi-
ty and contact information, including electronic mail address, if available
in the school district, for the district STAR coordinator and for the super-
intendent and his or her designee, if any. The district STAR coordinator
shall serve as the school district representative and the liaison between
the school district and the contractor(s) and the school district and the De-
partment for all matters related to the STAR Program. A school district
superintendent may designate a separate STAR program district coordi-
nator for any designated primary language test.
(b) The district STAR coordinator's responsibilities shall include, but
not be limited to, all of the following duties:
( 1 ) Responding to correspondence and inquiries from the contractor
and from the Department in a timely manner and as provided in the con-
tractor's instructions and these regulations.
(2) Determining school district and individual school test and test ma-
terial needs in conjunction with schools within the district and the con-
tractor, using current enrollment data and communicating school district
test material needs to the contractor on or before December 1.
(3) Ensuring delivery of tests and test materials to the test sites no more
than ten or fewer than five working days before the first day of testing
designated by the district.
(4) Coordinating the testing and makeup testing days for the school
district and for those pupils of the district who are enrolled in nonpublic
schools within any required time periods with the school test site coordi-
nators. Overseeing the collection of all pupil data as required (o comply
with section 86 1 .
(5) Maintaining security over the designated achievement test, the
standards-based achievement tests, the designated primary language
test, and test data using the procedure set forth in section 859. The district
STAR coordinator shall sign the security agreement set forth in section
859 and submit it to the contractor prior to receipt of the test materials
from the contractor.
(6) Overseeing the administration of the designated achievement test,
the standards-based achievement tests, and the designated primary lan-
guage test to eligible pupils.
(7) Overseeing the collection and return of all lest materials and tesl
data to the contractor within any required time periods.
(8) Assisting the contractor and the Department in the resolution of
any discrepancies in the test information and materials, including but not
limited to, pre-identification files and all pupil level data required to
comply with sections 861 and 862.
(9) Immediately notifying the Department of any security breaches or
testing irregularities in the district before, during, or after the test admin-
istration.
(10) Ensuring that an answer document is submitted for scoring for
each eligible pupil enrolled in the district on the first day of testing.
(11) After receiving summary reports and files from the contractor, the
district STAR coordinator shall review the files and reports for complete-
ness and accuracy, and shall notify the contractor and the Department of
any errors, discrepancies, or incomplete information.
(12) Training test site coordinators to oversee the test adininistration
at each school.
NOTE: Authority cited: Sections 33031 and 60605. Education Code. Reference:
Sections 52052, 60630 and 60640, Education Code; and 20 USC Section 631 1.
History
1. New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1 ). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency: operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Editorial correction of subsection (b)(5) (Register 98, No. 42).
4. Certificate of Compliance as to 5-5-98 order, including amendment of subsec-
tions (a) and (c), transmitted to OAL 9-2-98 and filed"lO-14-98 (Register 98,
No. 42).
5. Amendment filed 10-26-98 as an emergency; operative 10-26-98 (Register
98, No. 44). A Certificate of Compliance must be transmitted to OAL by
2-23-99 or emergency language will be repealed by operation of law on the fol-
lowing day.
6. Certificate of Compliance as to 10-26-98 order, including amendment of sub-
section (d), transmitted to OAL 2-23-99 and filed 4-6-99 (Register 99, No. 1 5 ).
7. Amendment filed 12-16-99 as an emergency; operafive 12-16-99 (Register
99, No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
8. Certificate of Compliance as to 12-16-99 order, including amendment of sub-
section (a), transmitted to OAL 4-14-2000 and filed 5-26-2000 (Register
2000, No. 21).
9. Amendment of subsections (a), (b)(2), (b)(5)-(6) and (c) filed 1 1-27-2000 as
an emergency; operative 1-1-2001 (Register 2000, No. 48). A Certificate of
Compliance must be transmitted to OAL by 5-1-2001 or emergency language
will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 11-27-2000 order transmitted to OAL
3-28-2001 and filed 5-9-2001 (Register 2001, No. 19).
11. Amendment of section heading, section and Note filed 8-22-2005; operative
9-21-2005 (Register 2005, No. 34).
12. Amendment of subsections (a), (b)(3) and (b)(5)-(6) filed 1 1-8-2006; opera-
tive 12-8-2006 (Register 2006, No. 45).
§ 858. STAR Test Site Coordinator.
(a) At each test site, including but not limited to, each elementary,
middle, and high school or other grade-span designated school, each
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BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
charter school, each court-school, each school or program operated by
a school district, and all other public programs serving pupils in any of
the grades 2 to 1 1 . inclusive, the superintendent of the school district or
the district STAR coordinator shall designate a STAR test site coordina-
tor from among the employees of the school district. The STAR test site
coordinator, or the site principal or his or her designee, shall be available
to the district STAR coordinator, and the district coordinator for the des-
ignated primary language test by telephone through August 15 for pur-
poses of resolving discrepancies or inconsistencies in materials or errors
in reports.
(b) The STAR test site coordinator's responsibilities shall include, but
are not limited to, all of the following duties:
( 1 ) Determining site test and test material needs and communicating
the site needs to the district STAR coordinator.
(2) Overseeing the acquisition and distribution of tests and test materi-
als at the test site, including but not hmited to, distributing test materials
to test examiners on each day of testing in accordance with the contrac-
tor's directions.
(3) Cooperating with the district STAR coordinator to provide the test-
ing and makeup testing days for the site within any required time periods.
(4) Maintaining security over the designated achievement test, the
standards-based achievement tests, and the designated primary language
test and test data. The STAR test site coordinator shall sign the security
agreement set forth in section 859 and submit it to the district STAR coor-
dinator prior to the receipt of the test materials.
(5) Arranging for and overseeing the administration of the designated
achievement test, the standards-based achievement tests, and the desig-
nated primary language test to eligible pupils at the test site.
(6) Overseeing the collection and return of all testing materials to the
district STAR coordinator.
(7) Assisting the district STAR coordinator, the contractor, and the
Department in the resolution of any discrepancies in the test information
and materials.
(8) Overseeing the collection of all pupil level and other data required
to comply with sections 861 and 862.
(9) Ensuring that an answer document is submitted for scoring for each
eligible pupil enrolled in the school on the first day of testing for the des-
ignated achievement test or the standards-based achievement tests.
( 1 0) Ensuring that for each pupil tested only one scannable answer
document is submitted for scoring, except that for each pupil tested at
grades for which the contractor has designated the use of more than one
answer document. An answer document for the STAR writing assess-
ment administered pursuant to section 855(c) shall be submitted in addi-
tion to the answer document for the multiple choice items.
(11) Immediately notifying the district STAR coordinator of any secu-
rity breaches or testing irregularities that occur in the administration of
the designated achievement test, the standards-based achievement tests,
or the designated primary language test, that violate the terms of the
STAR Security Affidavit in section 859.
(12) Training all test examiners, proctors, and scribes for administer-
ing the tests.
NOTE: Authority cited: Sections 33031 and 60605, Education Code. Reference:
Sections 60630 and 60640, Education Code; and 20 USC Section 6311 .
History
1. New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1 ). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operadon of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order transmitted to OAL 9-2-98 and
filed 10-14-98 (Register 98, No. 42).
4. Amendment of subsections (b)(4)-(5) filed 10-26-98 as an emergency; opera-
tive 1 0-26-98 (Register98, No. 44). A Certificate of Compliance must be trans-
mitted to OAL by 2-23-99 or emergency language will be repealed by opera-
tion of law on the following day.
5. Certificate of Compliance as to 10-26-98 order transmitted to OAL 2-23-99
and filed 4-6-99 (Register 99, No. 15).
6. Amendment of subsections (a), (b)( 1 ) and (b)(7) filed 12-16-99 as an emergen-
cy; operative 1 2-1 6-99 (Register 99, No. 5 1 ). A Certificate of Compliance must
be transmitted to OAL by 4-14-2000 or emergency language will be repealed
by operation of law on the following day.
7. Certificate of Compliance as to 12-16-99 order, including amendment of sub-
section (a), transmitted to OAL 4-14-2000 and filed 5-26-2000 (Register
2000, No, 21).
8. Amendment of subsecfions (a), (b) and (b)(4)-(5). new subsection (b)(9) and
amendment of subsection (c) filed 11-27-2000 as an emergency; operative
1-1-2001 (Register 2000, No. 48). A Certificate of Compliance must be trans-
mitted to OAL by 5-1-2001 or emergency language will be repealed by opera-
tion of law on the following day.
9. Certificate of Compliance as to 11-27-2000 order transmitted to OAL
3-28-2001 and filed 5-9-2001 (Register 2001, No. 19).
10. Amendment of section and Note filed 8-22-2005; operative 9-21-2005
(Register 2005. No. 34).
11. Amendment of subsections (a), (b)(4), (b)(5), (b)(9) and (b)(ll) filed
1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 859. STAR Test Security Agreement and Test Security
Affidavit.
(a) All STAR district and test site coordinators (coordinators) shall
sign the STAR Test Security Agreement set forth in subdivision (b) be-
fore receiving any designated achievement test, standards-based
achievement tests, or designated primary language tests or test materials.
(b) The STAR Test Security Agreement shall be as follows:
STAR TEST SECURITY AGREEMENT
I acknowledge by my signature on this form that the designated
achievement test, the standards-based achievement tests, and the desig-
nated primary language test are secure tests and agree to each of the fol-
lowing conditions to ensure test security:
(1)1 will take all necessary precautions to safeguard all tests and test
materials by limiting access to persons within the school district with a
responsible, professional interest in the tests' security.
(2) I will keep on file the names of all persons having access to tests
and test materials. All persons having access to the materials shall be re-
quired by the coordinator to sign the STAR Test Security Affidavit that
will be kept on file in the school district office.
(3) I will keep the designated achievement test, the standards-based
achievement tests, and the designated primary language test and test ma-
terials in a secure, locked location and will deliver tests and test materials
only to those persons who have executed STAR Test Security Affidavits,
on actual testing dates as provided in secdon 859(d).
(4) I will keep the alternate assessment materials in a secure locked
location when not being used by examiners to prepare for and to adminis-
ter the assessment. I will adhere to the contractor's directions for the dis-
tribution of the assessment materials to examiners.
(5) I will not copy any part of the tests or test materials without written
permission from the Department to do so.
(6) I will not disclose, or allow to be disclosed, the contents of. or the
test instrument. I will not review any test questions, passages, or other test
items with any other person before, during, or after the test administra-
tion.
(7) I will not review test questions, develop any scoring keys or review
or score any pupil responses except as required by the contractor's manu-
als.
By signing my name to this document, I am assuring that I will abide
by the above conditions.
By:
Title:
School District:
Date:
(c) All test examiners, proctors, scribes, and any other persons having
access to the designated achievement test and test materials, the stan-
dards-based achievement tests and test materials, and the designated pri-
mary language test and test materials shall acknowledge the limited pur-
pose of their access to the tests by signing the STAR Test Security
Affidavit set forth in subdivision (d).
Page 22
Register 2006, No. 45; 11-10-2006
Title 5
California Department of Education
§861
(d) The STAR Test Security AtTidavit shall be as follows:
STAR TEST SECURITY AFFIDAVIT
1 acknowledge that I will have access to the designated achievement
test, the standards-based achievement tests, and/or the designated prima-
ry language test tor the purpose of administering the test(s). I understand
that these materials are highly secure, and it is my professional responsi-
bility to protect their security as follows:
(1)1 will not divulge the contents of the tests to any other person
through verbal, written, or any other means of communication.
(2) I will not copy any part of the test(s) or test materials.
(3) I will keep the test(s) secure until the test(s) are actually distributed
to pupils.
(4) I will limit access to the test(s) and test materials by test examinees
to the actual testing periods when they are taking the test(s).
(5) I will collect and account for all materials following each period
of testing and will not permit pupils to remove test materials from the
room where testing takes place.
(6) 1 will not review any test questions, passages, or other test items
with pupils or any other person before, during, or following testing.
(7) 1 will not develop scoring keys or review or score any pupil re-
sponses except as required by the contractor's administration manual(s)
to prepare answer documents for machine or other scoring.
(8) I will return all test materials, except for alternate assessment mate-
rials, to the designated STAR lest site coordinator daily upon completion
of testing.
(9) I will keep all alternate assessment materials in secure locked stor-
age except when I am administering or observing the administration of
the assessment to pupils.
(10) I will administer the test(s) in accordance with the directions for
test administration set forth in the contractor's manual for test adminis-
tration.
(11)1 have been trained to administer the tests.
Signed:
Print Name:
Position:
School:
School District:
Date:
(e) To maintain the security of the program, all district STAR coordi-
nators and test site coordinators are responsible for inventory control and
shall use appropriate inventory control forms to monitor and track test in-
ventory.
NOTE: Authority cited: Sections 33031 and 60605, Education Code. Reference:
Section 60640. Education Code.
History
1. New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1 ). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order, including amendment of subsec-
tions (c) and (d). transmitted to OAL 9-2-98 and fiied"l0-14-98 (Register 98,
No. 42).
4. Amendment of subsections (b) and (c)-(e) filed 1 0-26-98 as an emergency; op-
erative 10-26-98 (Register 98, No. 44). A Certificate of Compliance must be
transmitted to OAL by 2-23-99 or emergency language will be repealed by op-
eration of law on the following day.
5. Certificate of Compliance as to 10-26-98 order transmitted to OAL 2-23-99
and filed 4-6-99 (Register 99, No. 15).
6. Amendment filed 1 1-27-2000 as an emergency; operative 1-1-2001 (Register
2000, No. 48). A Certificate of Compliance must be transmitted to OAL by
5-1-2001 or emergency language will be repealed by operation of law on the
following day.
7. Certificate of Compliance as to 1 1-27-2000 order transmitted to OAL
3-28-2001 and filed 5-9-2001 (Register 2001, No. 19).
8. New subsections (b)(4) and (b)(5) and amendment of NoTl. filed 2-3-2004; op-
erative 2-.3-2004 pursuant to Government Code section M.343.4 (Register
2004, No. 6).
9. Amendment filed 8-22-2005; operative 9-21-2005 (Register 2005. No. M).
10. Amendment filed li-8-2006; operative 12-8-2006 (Register 2006. No. 45).
§ 860. Standard Agreement Between School Districts and
Publisher.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h), Rdiicalion Code.
Reference: Sections 60640 and 60643, Education Code.
Hkstory
1. New section adopted by the Department of Education and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98. No. 1 ). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98.
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to .5-5-98 order, including amendment of NoTi:,
transmitted to OAL 9-2-98 and filed 10-14-98 (Register 98. No. 42).
4. Amendment filed 10-26-98 as an emergency; operative 10-26-98 (Regi.ster
98, No. 44). A Certificate of Compliance must be transmitted to OAL by
2-23-99 or emergency language will be repealed by operation of law on the fol-
lowing day.
5. Certificate of Compliance as to 10-26-98 order transmitted to OAL 2-23-99
and filed 4-6-99 (Register 99, No. 15).
6. Repealer filed 12-16-99 as an emergency; operative 12-16-99 (Register 99,
No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
7. Certificate of Compliance as to 1 2- 1 6-99 order transmitted to OAL 4- 1 4-2(K)0
and filed 5-26-2000 (Register 2000, No. 21 ).
§ 861. School-By-School Analysis.
(a) Each school district shall provide the contractor for the designated
achievement test and standards-based achievement tests, the following
information for each pupil enrolled on the first day the tests are adminis-
tered for purposes of the reporting required by the Academic Perfor-
mance Index of the Public Schools Accountability Act (chapter 6. 1 , com-
mencing with section 52050), section 60630, and chapter 5
(commencing with section 60640) of the Education Code:
(1) Pupil's full name.
(2) Date of birth.
(3) Grade level.
(4) Gender.
(5) English proficiency and primary language.
(6) Date of English proficiency reclassification.
(7) If R-FEP pupil scored proficient or above on the California Eng-
lish-Language Arts Standards Test three times since reclassification.
(8) Program participation.
(9) Use of accommodations or modificadons.
(10) Statewide Student Identifier.
(11) Parent educafion level.
(12) School and district California Basic Educational Data System
(CBEDS) enrollment.
(13) Grade last enrolled in school where being tested.
(14) For English learners, date first enrolled in school in the United
States and the length of time in U.S. schools.
(15) Participafion in the National School Lunch Program.
(16) Ethnicity.
(17) Primary disability code.
(18) County and District of residence for pupils with lEPs.
(19) Special testing conditions and/or reasons for not being tested.
(20) Student enrolled in NPS by district based on lEP.
(21) NPS school code.
(b) In addition to the demographic data required to be reported in sec-
tion 861(a), school districts may report if an eligible pupil is not tested
with the standards-based achievement tests due to a significant medical
emergency.
(c) Each school district shall provide the contractor for the designated
primary language test the information specified in subdivision (a) for
Page 23
Register 2006, No. 45; U-10-2006
§862
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
each pupil assessed with the designated primary language test pursuant
to Education Code section 60640.
(d) The information is for the purposes of aggregate analyses only and
shall be provided and collected as part of the testing materials for the des-
ignated achievement test, and the standards-based achievement tests.
(e) School districts shall provide the same information for each eligi-
ble pupil enrolled in an alternative or off campus program or for pupils
placed in nonpublic schools as is provided for all other eligible pupils in
grades 2 to 11, inclusive.
(0 If the information required by section 861 (a) is incorrect, the school
district may enter into a separate agreement with the contractor to have
the district's student data file corrected. The district STAR coordinator
shall provide the correct information to the contractor within the contrac-
tor's timeline. Any costs for correcting the student data shall be the dis-
trict's responsibility.
NOTE: Authority cited: Sections 33031 and 60605, Education Code. Reference:
Section 60630, Education Code.
History
1. New section adopted by the Department of Education and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1 ). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order, including amendment of subsec-
tion (a), repealer of subsections (a)(10) and (a)(ll), and amendment of Noth,
transmitted to OAL 9-2-98 and filed 10-14-98 (Register 98, No. 42).
4. Amendment of subsecfions (a) and (a)(8) and new subsection (a)(10) filed
12-16-99 as an emergency; operative 12-16-99 (Register 99, No. 51). ACer-
ti ficate of Compliance must be transmitted to OAL by 4- 1 4-2000 or emergency
language will be repealed by operafion of law on the following day.
5. Certificate of Compliance as to 12-16-99 order transmitted to OAL 4-1 4-2000
and filed 5-26-2000 (Register 2000, No. 21).
6. Amendment of section and Note filed 8-22-2005; operative 9-21-2005 (Reg-
ister 2005, No. 34).
7. Amendment filed 1 1-8-2006; operafive 12-8-2006 (Register 2006, No. 45).
§ 862. Apportionment Information Report.
(a) Annually, each school district shall receive an apportionment in-
formation report with the following information for the designated
achievement test and the standards-based achievement tests by grade
level for each of grades 2 to 11, inclusive:
( 1 ) The number of pupils enrolled in each school and in the school dis-
trict on the first day of testing as indicated by the number of answer docu-
ments submitted to the test contractor for scoring.
(2) The number of pupils in each school and in the school district tested
with the alternate assessment.
(3) The number of pupils in each school and in the school district ex-
empted from testing at the request of their parents or guardians pursuant
to Education Code section 60615.
(4) The number of pupils who were administered any portion of the
designated achievement test and standards-based achievement tests.
(5) The number of pupils with demographic information only who
were not tested for any reason other than a parent/guardian exemption.
(b) Annually, each school district shall receive an apportionment in-
formation report for the designated primary language test with the fol-
lowing information by grade level for each of grades 2 to 11, inclusive:
(1) The number of English language learners who were administered
each designated primary language test pursuant to Education Code sec-
tion 60640(f).
(2) The number of English language learners who were administered
each designated primary language test pursuant to Education Code sec-
tion 60640(g).
(c) To be eligible for apportionment payment for the designated
achievement test, the standards-based achievement tests and/or the des-
ignated primary language test, school districts must meet the following
conditions:
(1) The school district has returned all secure test materials, and
(2) the superintendent of each school district has certified the accuracy
of the apportionment information report for examinations administered
during the calendar year (January 1 through December 31), which is ei-
ther;
(A) postmarked by December 31, or
(B) if postmarked after December 31 , the apportionment information
report must be accompanied by a waiver request as provided by Educa-
tion Code section 33050. For those apportionment information reports
postmarked after December 31, apportionment payment is confingent
upon the availability of an appropriation for this purpose in the fiscal year
in which the testing window began.
NOTE: Authority cited: Sections 33031 and 60605, Education Code. Reference:
Sections 60615 and 60640, Education Code.
History
1. New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1 ). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order, including amendment of subsec-
tion (a), repealer of subsection (a)(5), subsection renumbering, and amendment
of subsections (b)(2) and (c), transmitted to OAL 9-2-98 and filed 10-14-98
(Register 98, No. 42).
4. Repealer of subsections (c)-(d) filed 10-26-98 as an emergency; operative
10-26-98 (Register 98, No. 44). A Certificate of Compliance must be trans-
mitted to OAL by 2-23-99 or emergency language will be repealed by opera-
tion of law on the following day.
5. Certificate of Compliance as to 10-26-98 order transmitted to OAL 2-23-99
and filed 4-6-99 (Register 99, No. 15).
6. Amendment of subsections (a) and (b)(2) filed 12-16-99 as an emergency; op-
erative 12-16-99 (Register 99, No. 51). A Certificate of Compliance must be
transmitted to OAL by 4-14-2000 or emergency language will be repealed by
operation of law on the following day.
7. Certificate of Compliance as to 1 2-1 6-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21).
8. Amendment of subsections (a)-(a)(3) and repealer of subsecfion (a)(5) filed
1 1-27-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 48). A
Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emer-
gency language will be repealed by operafion of law on the following day.
9. Certificate of Compliance as to 1 1-27-2000 order transmitted to OAL
3-28-2001 and filed 5-9-2001 (Register 2001, No. 19).
10. Amendment of section and Note filed 8-22-2005; operative 9-21-2005
(Register 2005, No. 34).
11. Amendment filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 863. STAR Student Reports and Cumulative Record
Labels.
(a) The school district shall forward the STAR Student Report for the
designated achievement test and standards-based achievement tests and
the designated primary language test provided by the contractor(s) to
each pupil's test to the pupil's parent or guardian, within no more than
20 working days from receipt of the report from the contractor.
(b) If the school district receives the reports for the designated achieve-
ment test and standards-based tests, or the designated primary language
test from the contractor after the last day of instruction for the school
year, the school district shall send the pupil results to the parent or guard-
ian by U.S. mail at the parent's or guardian's last known address. If the
report is non-deliverable, the school district shall make the report avail-
able to the parent or guardian during the next school year.
(c) Schools are responsible for affixing cumulative record labels re-
porting each pupil's scores to the pupil's permanent school records or for
entering the scores into electronic pupil records, and for forwarding the
results to schools to which pupils matriculate or transfer. Schools may
annotate the scores when the scores may not accurately reflect pupils'
achievement due to illness or testing irregularities.
NOTE: Authority cited: Sections 33031 and 60605, Education Code. Reference:
Sections 49068, 60641 and 60607, Education Code.
History
1. New section adopted by the Department of Educafion and filed 1-2-98 as an
emergency; operafive 1-2-98 (Register 98, No. 1). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
Page 24
Register 2006, No. 45; 11-10-2006
Title 5
California Department of Education
§866
2. New section retlled 5-5-98 as an emergency; operative 5-5-98 (Register 98.
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate ot Compliance as to 5-5-98 order, includins amendment of Noth.
transmitted to OAL 9-2-98 and filed 10-14-98 (Register 98, No. 42).
4. Amendment of subsection (b) filed 10-26-98 as an emergency; operative
10-26-98 (Register 98. No. 44). A Certificate of Compliance must be trans-
mitted to OAL by 2-23-99 or emergency language will be repealed by opera-
tion of law on the following day.
5. Certificate of Compliance as to 10-26-98 order transmitted to OAL 2-23-99
and filed 4-6-99 (Register 99. No. 15).
6. Amendment of section headine, section and Note filed 8-22-2005; operative
9-21-2005 (Register 2005. No. 34).
7. Amendment of subsections (a) and (b) filed 1 1-8-2006; operative 12-8-2006
(Register 2006, No. 45).
§ 864. Reporting Test Scores.
No aggregate or group scores or reports that are compiled pursuant to
Education Code section 60641 or 60643 shall be reported electronically,
in hard copy, or in other media, to any audience other than the school or
.school district where the pupils were tested, if the aggregate or group
scores or reports are composed of ten or fewer individual pupil scores.
In each instance in which no score is reported for this reason, the notation
shall appear "Tlie number of pupils in this category is too small for statis-
tical accuracy or privacy protection." In no case shall any group score be
reported that would deliberately or inadvertently make public the score
or performance of any individual pupil.
NOTE: Authority cited: Sections 33031 and 60605, Education Code. Reference:
Sections 60640 and 60643, Education Code.
History
1. New section adopted by the Department of Education and filed 1-2-98 as an
emergency; operative 1 -2-98 (Register 98, No. 1 ). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order, including amendment of Note,
transmitted to OAL 9-2-98 and filed 10-14-98 (Register 98, No. 42).
4. Amendment of section and Note filed 8-22-2005; operative 9-21-2005 (Reg-
ister 2005, No. 34).
5. Amendment filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 864.5. Test Order Information.
(a) The school district shall provide to the contractor(s), for the desig-
nated achievement test and the standards-based achievement tests no lat-
er than December 1 of the year immediately prior to the year of test ad-
ministration, the following data for each test site of the school district, by
grade level:
(1) Valid county district school (CDS) codes.
(2) Number of tests.
(3) Numbers of special version tests including, but not limited to,
Braille and large print.
(4) Number of Directions for Administration needed, by grade level.
(5) Number of pupils to be tested with the alternate assessment.
(6) Number of test examiners for the alternate assessment.
(7) The first and last date of instruction and all non-instructional days
during the school year for each school in the district and all non-working
days for the school district.
(b) the school district shall provide to the contractor for the designated
primary language test, the following data:
(1) Whether or not the district has eligible pupils for the tests.
(2) For all tests sites in the district with eligible pupils, by grade level,
the information in subdivision (a)(1), (2), (3), and (4).
(c) Each school district that elects pre-identification of answer docu-
ments shall submit an electronic file that includes all of the information
required in section 861. The file must be submitted in accordance with
the timeline, format, and instructions provided by the contractor(s).
(d) If the testing materials are lost or destroyed while in the possession
of the school district, and the contractor provides the school district with
replacement materials, the school district is responsible for the cost of all
replacement inaterials.
(e) If the school district places an order for tests for any .school thai is
excessive, the school district is responsible for the cost of materials for
the difference between the sum of the nuinber of pupil tests submitted for
scoring including tests for non-tested pupils and 90 percent of the materi-
als ordered. In no event shall the cost to the school district for replace-
ment or excessive materials exceed the amount per test booklel and ac-
companying material that is paid to the contractor by the Department as
part of the contract for the current year.
NOTE: Authority cited: Sections 33031 and 60605, Education Code. Reference:
Sections 60640 and 60643, Education Code.
History
1 . New section filed 1 0-26-98 as an emergency; operative 1 0-26-98 (Register 98.
No. 44). A Certificate of Compliance must be transmitted to OAL by 2-2.3-99
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to li3-26-98 order transmitted to OAL 2-23-99
and filed 4-6-99 (Register 99. No. 1 5).
3. Amendment filed 12-16-99 as an emergency; operative 12-16-99 (Register
99, No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 1 2-1 6-99 order transmitted to OAL 4- 1 4-2000
and filed 5-26-2000 (Register 2000, No. 21 ).
5. Amendment of subsections (a), (a)(7) and (d) filed 1 1-27-2000 as an emergen-
cy; operative 1-1-2001 (Register 2000. No. 48). A Certificate of Compliance
must be transmitted to OAL by 5-1-2001 or emergency language will be re-
pealed by operanon of law on the following day.
6. Certificate of Compliance as to 11-27-2000 order transmitted to OAL
3-28-2001 and filed 5-9-2001 (Register 2001. No. 19).
7. Amendment of section and Note filed 8-22-2005; operative 9-2 1-2005 (Reg-
ister 2005, No. 34).
8. Amendment filed 1 1-8-2006; operafive 12-8-2006 (Register 2006. No. 45).
§ 865. Transportation.
(a) Upon arrival of the test materials at a single location designated by
each school district, the district STAR coordinator shall provide the con-
tractor with a signed receipt certifying that all cartons were received.
(b) The security of the test materials that have been duly delivered to
the school district is the sole responsibility of the school district until all
test materials have been inventoried, accounted for, and delivered to the
common or private carrier designated by the contractor for return to the
contractor.
(c) Secure transportation within a school district is the responsibility
of the school district once materials have been duly delivered to the
school district. The school district is responsible for secure delivery of
test materials to non-public schools.
NOTE: Authority cited: Sections 33031 and 60605, Education Code. Reference:
Section 60640, Education Code.
History
1. New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1 ). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order transmitted to OAL 9-2-98 and
filed 10-14-98 (Register 98, No. 42).
4. Amendment of subsection (a) filed 12-16-99 as an emergency; operative
12-16-99 (Register 99, No. 51). A Certificate of Compliance must be trans-
mitted to OAL by 4-1 4-2000 or emergency language will be repealed by opera-
tion of law on the following day.
5. Certificate of Compliance as to 12-16-99 order transmitted to OAL 4- 1 4-2000
and filed 5-26-2000 (Register 2O0O. No. 21 ).
6. Amendment of section and Note filed 8-22-2005; operative 9-21-2005 (Reg-
ister 2005, No. 34).
7. Amendment of subsections (a) and (c) filed 1 1-8-2006; operative 12-8-2006
(Register 2006, No. 45).
§ 866. School District Delivery.
(a) No school district shall receive its designated achievement test,
standards-based achievement test, or designated primary language test
Page 25
Register 2006, No. 45; 1 1 - 10-2006
§867
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
materials more than twenty or fewer than ten working days prior to the
first day of testing in the school district. A school district that has not re-
ceived test materials from the test contractor at least ten working days be-
fore the first date of testing in the school district shall notify the contractor
and the Department on the tenth working day before testing is scheduled
to begin that the school district has not received its materials. Deliveries
of test materials to single school districts shall use the schedule in section
867.
(b) A school district and the contractor shall establish a periodic deliv-
ery schedule to accommodate all test administration periods within the
school district. Any schedule established must conform to sections
866(a) and (b) for each test administration period.
(c) No school district shall receive its writing test materials more than
ten or fewer than five working days before the day on which the writing
tests are to be administered.
NOTE: Authority cited: Sections 33031 and 60605. Education Code. Reference:
Sections 60640, 60642.5 and 60643. Education Code.
History
1. New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order, including amendment of subsec-
fion (a), transmitted to OAL 9-2-98 and filed 10-14-98 (Register 98, No. 42).
4. Amendment of subsection (a), repealer of subsecUon (b) and subsection reletter-
ing filed 10-26-98 as an emergency; operative 10-26-98 (Register 98, No. 44).
A Certificate of Compliance must be transmitted to OAL by 2-23-99 or emer-
gency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-26-98 order transmitted to OAL 2-23-99
and filed 4-6-99 (Register 99, No. 15).
6. Amendment of section and Note filed 12-16-99 as an emergency; operative
12-16-99 (Register 99, No. 51). A Certificate of Compliance must be trans-
mitted to OAL by 4-14-2000 or emergency language will be repealed by opera-
fion of law on the following day.
7. Certificate of Compliance as to 1 2-1 6-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21).
8. Amendment filed 1 1-27-2000 as an emergency; operafive 1-1-2001 (Register
2000, No. 48). A Certificate of Compliance must be transmitted to OAL by
5-1-2001 or emergency language will be repealed by operation of law on the
following day.
9. Certificate of Compliance as to 1 1-27-2000 order, including further amend-
ment of subsection (b), transmitted to OAL 3-28-2001 and filed 5-9-2001
(Register 2001, No. 19).
10. Amendment of section and Note filed 8-22-2005; operative 9-21-2005
(Register 2005, No. 34).
12. Amendment filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 867. Test Site Delivery and Return.
(a) No school or other test site shall receive any designated achieve-
ment test, standards-based tests, or designated primary language test or
related test materials more than ten or fewer than five working days prior
to the first day of testing scheduled at the school or test site.
(b) All testing materials shall be relumed to the school district location
designated by the district STAR coordinator no more than two working
days after testing is completed for each test administration period.
(c) No school or other test site shall receive any writing test materials
more than six or fewer than two working days before the test administra-
tion date.
(d) Writing test materials shall be returned to the district STAR coordi-
nator no more than one day after the day scheduled for makeup testing.
NOTE: Authority cited: Secfions 33031 and 60605, Education Code. Reference:
Sections 60640 and 60642.5, Education Code.
History
1. New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transrrvitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order transmitted to OAL 9-2-98 and
filed 10-14-98 (Register 98, No. 42).
4. Amendment of subsections (b)-(c) filed 11-27-2000 as an emergency; opera-
tive 1-1-2001 (Register 2000, No. 48). A Certificate of Compliance must be
transmitted to OAL by 5-1-2001 or emergency language will be repealed by
operation of law on the following day.
5. Certificate of Compliance as to 1 1-27-2000 order, including further amend-
ment of subsection (c), transmitted to OAL .3-28-2001 and filed 5-9-2001
(Register 2001, No. 19).
6. Amendment of section heading, secfion and Note filed 8-22-2005; operative
9-21-2005 (Register 2005, No. 34).
7. Amendment filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 867.5. Retrieval of Materials by Contractor.
(a) The school district shall ensure that designated achievement test,
standards-based tests, or designated primary language testing materials
are inventoried, packaged, and labeled in accordance with instructions
from the contractor, and returned to a single school district location for
pickup by the contractor within five working days following completion
of testing in the school district and in no event later than five working
days after each test administration period.
(b) School districts shall return all writing tests and test materials to the
contractor no more than two working days after the makeup day specified
for the writing test.
NOTE: Authority cited: Sections 33031 and 60605, Education Code. Reference:
Sections 60640, 60642.5 and 60643, Educauon Code.
History
1 . New section filed 1 0-26-98 as an emergency; operative 10-26-98 (Register 98,
No. 44). A Certificate of Compliance must be transmitted to OAL by 2-23-99
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 10-26-98 order transmitted to OAL 2-23-99
and filed 4-6-99 (Register 99, No. 15).
3. Repealer of subsection (a) designator, repealer of subsection (b) and amendment
of Note filed 12-1 6-99 as an emergency; operafive 12-16-99 (Register 99, No.
51). A Certificate of Compliance must be transmitted to OAL by 4-14-2000 or
emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1 2-16-99 order transnutted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21 ).
5. Amendment filed 1 1-27-2000 as an emergency; operafive 1-1-2001 (Register
2000, No. 48). A Certificate of Comphance must be transmitted to OAL by
5-1-2001 or emergency language will be repealed by operation of law on the
following day.
6. Certificate of Compliance as to 11-27-2000 order, including further amend-
ment of section, transmitted to OAL 3-28-2001 and filed 5-9-2001 (Register
2001, No. 19).
7. Amendment of section heading, secfion and Note filed 8-22-2005; operative
9-21-2005 (Register 2005, No. 34).
8. Amendment filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 868. Discrepancy Resolution for Designated
Achievement Test, Standards-Based
Achievement Tests, and Designated Primary
Language Test.
(a) School districts shall process discrepancies determined by the con-
tractor(s) upon receipt of returned tests and test materials pursuant to this
subdivision:
(1) Receipt of a discrepancy notice in writing, via telephone, or via
electronic mail by the district STAR coordinator for one or more of the
following shall require a response from the district STAR coordinator to
the contractor within 24 hours.
(A) A discrepancy between the quantity of tests and test materials
shipped to the school district and the number of tests and test materials
returned to the contractor from the school district.
(B) Information on scannable documents or test support materials that
is inconsistent, incomplete, or missing, according to criteria established
with the Department.
(2) The district STAR coordinator shall acknowledge the discrepancy
notice via electronic mail, if available in the school district, to the con-
tractor and to the Department within 24 hours of its receipt via electronic
mail.
Page 26
Register 2006, No. 45; 11-10-2006
Title 5
California Department of Education
§870
(b) The districl STAR coordinator shall report any discrepancy in the
total amount of the shipment from the contractor within two working
days of the receipt of the shipment. If the contractor does not remedy the
discrepancy within two working days of the school district report, the
school district shall notify the Department within 24 hours.
ic) Any discrepancy in a shipment of designated achievement tests or
test materials, standards-based achievement tests or test materials, or
designated primary language test or test materials received by a test site
from the district STAR coordinator shall be reported to the district STAR
coordinator immediately but no later than two working days of the receipt
of the shipment at the testing site. The district STAR coordinator shall
remedy the discrepancy within two working days.
(d) The district STAR coordinator shall report to the contractor any
discrepancy reported by a STAR test site coordinator within three work-
ing days of receipt of materials at the lest site. If the district STAR coordi-
nator does not have a sufficient supply of tests or test materials to remedy
any shortage, the contractor shall remedy the shortage by providing suffi-
cient materials directly to the test site within two working days of the no-
tification by the district STAR coordinator.
(e) The notices required by this section shall be made by telephone
with simultaneous confirmation in writing and by electronic mail.
NOTE: Authority cited: Sections 33031 and 60605, Education Code. Reference:
Sections 60640 and 60643. Education Code.
History
1 . New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1). A Certificate of Compliance
must be transinitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order, including amendment of subsec-
tions (c) and (d). transmitted to OAL 9-2-98 and filed 10-14-98 (Register 98,
No. 42).
4. Amendment of section and NoTEl filed 12-16-99 as an emergency; operative
12-16-99 (Register 99, No. 51). A Certificate of Compliance must be trans-
mitted to OAL by 4- 1 4-2000 oremergency language will be repealed by opera-
tion of law on the following day.
5. Certificate of Compliance as to 12-1 6-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21).
6. Amendment of subsecfion (c) filed 1 1-27-2000 as an emergency; operative
1-1-2001 (Register 2000, No. 48). A Certificate of Compliance must be trans-
mitted to OAL by 5-1-2001 or emergency language will be repealed by opera-
tion of law on the following day.
7. Certificate of Compliance as to 11-27-2000 order transmitted to OAL
3-28-2001 and filed 5-9-2001 (Register 2001, No. 19).
8. Amendment of section heading, section and Note filed 8-22-2005; operative
9-21-2005 (Register 2005, No. 34).
9. Amendment of section heading and section filed 1 1-8-2006; operative
12-8-2006 (Register 2006, No. 45).
§ 869. Performance of Designated Achievement Test
Publisher.
NOTIi: Authority cited: Sections 33031 and 60605(g) and (h), Educafion Code.
Reference: Section 60643, Education Code.
History
1. New section adopted by the State Board of Educafion and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1 ). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 oremergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order transmitted to OAL 9-2-98 and
filed 10-14-98 (Register 98, No. 42).
4. Amendment of secfion heading and section filed 10-26-98 as an emergency;
operafive 10-26-98 (Register 98, No. 44). A Certificate of Compliance must be
transmitted to OAL by 2-23-99 or emergency language will be repealed by op-
eration of law on the following day.
5. Certificate of Compliance as to 10-26-98 order, including further amendment
of section, transmitted to OAL 2-23-99 and filed 4-6-99 (Register 99. No. 15).
6. Repealer filed 12-16-99 as an emergency; operative 12-16-99 (Register 99,
No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
7. Certificate of Compliance as to 1 2-1 6-99 order transmitted to OAL 4- 1 4-2000
and filed 5-26-2000 (Register 2000, No. 21 ).
§ 870. Apportionment to School Districts.
(a) The amount of funding to be apportioned to the school district for
the cosls of administering the designated achievement test, the stan-
dards-based achievement tests, and the designated primary language test
shall be the amount established by the State Board of Education to enable
school districts to meet the requirements of administering the designated
achievement test, the standards-based achievement tests, and the desig-
nated primary language test per the number of tests administered to eligi-
ble pupils in grades 2 to 11, inclusive, and the number of answer docu-
ments returned with only demographic information for the designated
achievement test and the standards-based achievement tests for pupils
enrolled on the first day of testing who were not tested in the school dis-
trict. The number of tests administered and the number of demographic
answer documents shall be determined by the certification of the school
district superintendent pursuant to section 862. For purposes of this por-
tion of the apportionment, administration of the designated achievement
test, the standards-based achievement tests, and the designated primary
language test includes the following items:
( 1 ) All staffing costs, including the district STAR coordinator and the
STAR test site coordinators, staff training and other staff expenses re-
lated to testing.
(2) All expenses incurred at the school district and test site level related
to testing.
(3) All transportation costs of delivering and retrieving tests and test
materials within the school district and to nonpublic schools.
(4) All costs associated with mailing the STAR Student Reports to par-
ents/guardians.
(5) All costs associated with pre-identification of answer sheets and
consumable test booklets, and other activities intended to provide the
complete and accurate data required in section 861 of these regulations.
(b) This amount does not include any funding for the purposes of:
(1) reimbursing the costs incurred by any school district pursuant to
section 864.5(d) or (e);
(2) reimbursing any school district for designated primary language
tests for non-eligible pupils; and
(3) reimbursing any school district for designated achievement tests
for non-eligible pupils.
(c) If at the time a school district's scannable documents are processed
by the contractor a student data record is missing any of the data elements
required in section 861 of these regulations for the designated achieve-
ment test or the standards-based achievement tests, the school district
shall provide the missing data elements within the time required by the
contractor to process the documents and meet the contractor's schedule
of deliverables under its contract with the Department. The additional
costs incurred by the school district to have the contractor reprocess the
student information to acquire the data required by section 861 of these
regulations shall be withheld from the school district's apportionment.
NOTE: Authority cited: Sections 33031 and 60605. Education Code. Reference:
Secfions 60640 and 60643. Education Code.
History
1. New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operafive 1-2-98 (Register 98, No. 1 ). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operafion of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98.
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order, including amendment of sub.sec-
tion (a)(2)(A). transmitted to OAL 9-2-98 and filed 1 0-1 4-98 (Register 98. No.
42).
4. Repealer of subsections (b)-(b)(2)(E) and subsection reletlering filed
10-26-98 as an emergency; operative 10-26-98 (Register 98. No. 44). A Cer-
fificate of Compliance must be transmitted to OAL by 2-23-99 or emergency
language will be repealed by operafion of law on the following day.
Page 27
Register 2006, No. 45; 11-10-2(X)6
§871
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
5. Certificate of Compliance as to 10-26-98 order transmitted to OAL 2-23-99
and filed 4-6-99 (Register 99, No. 15).
6. Amendment of section heading and section filed 12-16-99 as an emergency;
operative 12-16-99 (Register 99, No. 51). A Certificate of Compliance must be
transmitted to OAL by 4-14-2000 or emergency language will be repealed by
operation of law on the following day.
7. Certi ficate of Compliance as to 1 2- 1 6-99 order transmitted to OAL 4- 1 4-2000
and filed 5-26-2000 (Register 2000, No. 21).
8. Amendment of subsection (a), redesignation and amendment of former subsec-
tion (b)( 1) as subsection (b) and repealer of subsection (b)(2) filed 1 1-27-2000
as an emergency; operative 1-1-2001 (Register 2000, No. 48). A Certificate of
Compliance must be transmitted to OAL by 5-1-2001 or emergency language
will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 1 1-27-2000 order transmitted to OAL
3-28-2001 and filed 5-9-2001 (Register 2001, No. 19).
10. Amendment of section and Note filed 8-22-2005; operative 9-21-2005
(Register 2005, No. 34).
1 1 . Amendment filed 1 1-8-2006; operative 1 2-8-2006 (Register 2006. No. 45).
§ 871 . Payment of Publisher.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Sections 60640 and 60643, Education Code.
History
1. New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1 ). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order, including amendment of section,
transmitted to OAL 9-2-98 and filed 10-14-98 (Register 98, No. 42).
4. Amendment filed 10-26-98 as an emergency; operative 10-26-98 (Register
98, No. 44). A Certificate of Compliance must be transmitted to OAL by
2-23-99 or emergency language will be repealed by operation of law on the fol-
lowing day.
5. Certificate of Compliance as to 10-26-98 order, including firther amendment
of section, transmitted to OAL 2-23-99 and filed 4-6-99 (Register 99, No. 1 5).
6. Repealer filed 12-16-99 as an emergency; operative 12-16-99 (Register 99,
No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14—2000 or emergency language will be repealed by operation of law on the
following day.
7. Certificate of Compliance as to 12-16-99 order transmitted to OAL 4- 14-2000
and filed 5-26-2000 (Register 2000, No. 21).
§ 872. Performance Bond.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Sections 60640-60643 and 60646, Education Code.
History
1. New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order, including amendment of subsec-
tion (b), transmitted to OAL 9-2-98 and filed 10-14-98 (Register 98, No. 42).
4. Repealer filed 12-16-99 as an emergency; operative 12-16-99 (Register 99,
No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
5. Certificate of Compliance as to 1 2-16-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21).
§ 873. Standard Agreement Form for the Designated
Achievement Test.
Note: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Section 60643, Education Code.
History
1. New section adopted by the Department of EducaUon and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operaUon of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 5-5-98 order, including amendment of subsec-
tions II.. 111.. VL, X-Xll., XIV. and XIX. and amendment of Note, transmitted
to OAL 9-2-98 and filed 10-14-98 (Register 98. No. 42).
4. Amendment filed 10-26-98 as an emergency; operative 10-26-98 (Register
98, No. 44). A Certificate of Compliance must be transmitted to OAL by
2-23-99 or emergency language will be repealed by operation of law on the fol-
lowing day.
5. Certificate of Compliance as to 10-26-98 order, including further amendment
of section, transmitted to OAL 2-23-99 and filed 4-6-99 (Register 99, No. 15).
6. Repealer filed 12-16-99 as an emergency; operative 12-16-99 (Register 99,
No. 51). A Certificate of Compliance must be transmitted to OAL by
4-1 4-2000 or emergency language will be repealed by operation of law on the
following day.
7. Certificate of Compliance as to 1 2-1 6-99 order transmitted to OAL 4- 1 4-2000
and filed 5-26-2000 (Register 2000, No. 21 ).
§ 874. Delivery Schedule and Order Form.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Section 60643, Education Code.
History
1 . New section adopted by the State Board of Education and filed 1-2-98 as an
emergency; operative 1-2-98 (Register 98, No. 1). A Certificate of Compliance
must be transmitted to OAL by 5-2-98 or emergency language will be repealed
by operation of law on the following day.
2. New section refiled 5-5-98 as an emergency; operative 5-5-98 (Register 98,
No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-98
or emergency language will be repealed by operation of law on the following
day.
3. Editorial cortection of subsection 3. (Register 98, No. 42).
4. Certificate of Compliance as to 5-5-98 order, including amendment of section,
transmitted to OAL 9-2-98 and filed 10-14-98 (Register 98, No. 42).
5. Repealer filed 10-26-98 as an emergency; operative 10-26-98 (Register 98,
No. 44). A Certificate of Compliance must be transmitted to OAL by 2-23-99
or emergency language will be repealed by operation of law on the following
day.
6. Certificate of Compliance as to 10-26-98 order transmitted to OAL 2-23-99
and filed 4-6-99 (Register 99, No. 15).
§ 875. School District Liability.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Sections 60603(j), 60604(a) and 60613, Education Code.
History
L New section filed 10-14-98; operative 10-14-98 (Register 98, No. 42).
2. Repealer filed 10-26-98 as an emergency; operative 10-26-98 (Register 98,
No. 44). A Certificate of Compliance must be transmitted to OAL by 2-23-99
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 10-26-98 order transmitted to OAL 2-23-99
and filed 4-6-99 (Register 99, No. 15).
Article 2.5.
Golden State Seal Merit
Diploma
§ 876. Golden State Seal Merit Diploma.
For the purposes of the Golden State Seal Meiit Diploma:
(a) "Demonstration of mastery" or "demonstrate mastery" means
earning a scaled score of 370 or above on a California Standards Test
(CST), as set forth in Education Code Section 60642.5, or a performance
level of recognition, honors, or high honors on a Golden State Examina-
tion (GSE).
(b) Mastery must be demonstrated on six separate GSEs or high school
level CSTs, not including the Algebra I CST, General Mathematics CST,
and Integrated Mathematics 1 CST.
(c) Students may not use both a CST and the GSE in the same course
of study to demonstrate mastery of the curriculum under Education Code
Section 51452.
NOTE: Authority cited: Secfions 33031, 51450 and 51451, Education Code. Ref-
erence: Sections 51450, 51451 and 51452, EducaUon Code.
History
1. New section filed 4-22-2004; operative 4-22-2004 pursuant to Government
Code section 1 1343.4(c) (Register 2004, No. 17).
Page 28
Register 2006, No. 45; 11-10-2006
Title 5
California Department of Education
§889
Article 3. Designated Primary Language
Test
§ 880. Pupil Testing.
NOTt: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Section 60640, Education Code.
History
1 . New anicie 3 (sections 880-904) and section filed 1-4-99 as an emergency; op-
erative 1-4-99 (Register 99. No. 2). A Certificate of Compliance must be trans-
mitted to OAL by 5^^99 or emergency language will be repealed by operation
of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5-4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Amendment of subsection (c) filed 12-16-99 as an emergency; operative
12-16-99 (Register 99. No. 51). A Certificate of Compliance must be trans-
mitted to OAL by 4- 1 4-2000 or emergency language will be repealed by opera-
tion of law on the following day.
4. Certificate of Compliance as to 12-16-99 order transmitted to OAL 4- 14-2000
and filed 5-26-2000 (Register 2000, No. 21).
5. Amendment of subsection (a) filed 1 1-27-2000 as an emergency; operative
1-1-2001 (Register 2000. No. 48). A Certificate of Compliance must be trans-
mitted to OAL by 5-1 -2001 or emergency language will be repealed by opera-
tion of law on the following day.
6. Certificate of Compliance as to 1 1-27-2000 order transmitted to OAL
3-28-2001 and filed 5-9-2001 (Register 2001, No. 19).
7. Repealer filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§881. Pupil Exemptions.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Sections 60615 and 60640, Education Code.
History
1. New section filed 1-4-99 as an emergency; operative 1^-99 (Register 99, No.
2). A Certificate of Compliance must be transmitted to OAL by 5^4-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5^-99 and
filed 6-14-99 (Register 99, No. 25).
3. Repealer filed 1 1-8-2006; operaUve 12-8-2006 (Register 2006, No. 45).
§ 882. Administration.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Secfion 60640. Education Code.
History
1 . New section filed 1-4-99 as an emergency; operative 1^-99 (Register 99, No.
2 ). A Certificate of Compliance must be transmitted to OAL by 5^4-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5-4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Amendment filed 12-16-99 as an emergency; operative 12-16^99 (Register
99, No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 12-1 6-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21).
5. Repealer filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 883. Advance Preparation for Test.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Sections 6061 1 and 60640, Education Code.
History
1 . New section filed 1-4-99 as an emergency; operative 1-4-99 (Register 99, No.
2). A Certificate of Compliance must be transmitted to OAL by 5-4-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5-4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Amendment of subsection (a) filed 12-16-99 as an emergency; operative
12-16-99 (Register 99, No. 51). A Certificate of Compliance must be trans-
mitted to OAL by 4-14-2000 or emergency language will be repealed by opera-
tion of law on the following day.
4. Certificate of Compliance as to 1 2-1 6-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21).
5. Repealer filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 884. Testing Period.
NOTE: Authority cited: SecUons 33031 and 60605(g) and (h). Education Code.
Reference: Section 60640, Education Code.
History
l.New section filed 1-4-99 as an emergency; operative I -4-99 (Register 99. No.
2). A Certificate of Compliance must be transmitted to OAL by 5-4-99 oremer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1—4-99 order transmitted to OAL 5^-99 and
filed 6-14-99 (Register 99, No. 25).
3. Amendment of subsecfion (c) filed 12-16-99 as an emergency; operative
12-16-99 (Register 99, No. 51 ). A Certificate of Compliance must be trans-
mitted to OAL by 4-1 4-2000 or emergency language will be repealed by opera-
non of law on the following day.
4. Certificate of Compliance as to 12 -16-99 order transmitted to OAL 4- 14-2()()()
and filed 5-26-2000 (Register 2000. No. 21 ).
5. Amendment of subsecfion (a) filed 1 1-27-2000 as an emergency; operative
1-1-2001 (Register 2000, No. 48 1. A Certificate of Compliance must be trans-
mitted to OAL by 5-1-2001 or emergency language will be repealed by opera-
tion of law on the following day.
6. Certificate of Compliance as to 11-27-2000 order transmitted to OAL
3-28-2001 and filed 5-9-2001 (Register 2001, No. 19).
7. Repealer filed 1 1-8-2006; operative 12-8-2006 (Register 2006. No. 45).
§ 885. Sales and Use Tax.
NOTE: Authority cited: Secfions 33031 and 60605(g) and (h). Education Code.
Reference: Section 60640, Education Code; and Sections 6051 et seq. and 6201
et seq.. Revenue and Tax Code.
History
1. New secfion filed 1-4-99 as an emergency; operative I ^^99 (Register 99. No.
2). A Certificate of Compliance must be transmitted to OAL by 5-4-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-^-99 order transmitted to OAL 5-4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Repealer filed 12-16-99 as an emergency; operative 12-16-99 (Register 99,
No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 1 2~l(j-99 order transmitted to OAL 4-14-2000
and filed 3-26-2000 (Register 2000. No. 21 ).
§ 886. STAR Program District Coordinator.
NOTE: Authority cited: Secfions 33031 and 60605, Education Code. Reference:
Sections 60630 and 60640, Education Code.
History
1 . New secfion filed 1-4-99 as an emergency; operative 1 -4-99 (Register 99, No.
2). A Certificate of Compliance must be transmitted to OAL by 5-4-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5-4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Repealer of section and amendment of Note filed 1 1-8-2006; operative
12-8-2006 (Register 2006, No. 45).
§ 887. STAR Test Site Coordinator.
NOTE: Authority cited: Secfions 33031 and 60605(g) and (h). Education Code.
Reference: Sections 60630 and 60640, Education Code.
History
1. New secfion filed 1^4—99 as an emergency; operafive 1^1-99 (Register 99, No.
2). A Certificate of Compliance must be transinitted to OAL by 5-4-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-^-99 order transmitted to OAL 5^1-99 and
filed 6-14-99 (Register 99, No. 25).
3. Repealer filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 888. STAR Test Security Agreement and Test Security
Affidavit.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference; Secfion 60640, Education Code.
History
1. New secfion filed 1-4-99 as an emergency; operafive 1-4-99 (Register 99, No.
2). A Certificate of Compliance must be transmitted to OAL by 5-4-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5^^99 and
filed 6-14-99 (Register 99, No. 25).
3. Repealer filed 11-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 889. Standard Agreements Between School Districts and
Publisher(s).
NOTE: Authority cited: Sections 33031 and 60605(g) and (h), Education Code.
Reference: Sections 60640 and 60643, Education Code.
Page 29
Register 2006, No. 45; 11-10-2006
§890
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
HrSTORY
1 . New section filed 1-4-99 as an emergency; operative 1-4-99 (Register 99. No.
2). A Certificate of Compliance must be transmitted to OAL by 5^1-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5^-99 and
filed 6-14-99 (Register 99, No. 25).
3. Repealer filed 12-16-99 as an emergency; operative 12-16-99 (Register 99,
No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 1 2- 1 6-99 order transmitted to OAL 4- 1 4-2000
and filed 5-26-2000 (Register 2000, No. 21).
§ 890. School-By-School Analysis.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Section 60630, Education Code.
History
1. New section filed 1^-99 as an emergency; operative 1^-99 (Register 99, No.
2). A Certificate of Compliance must be transmitted to OAL by 5-4-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5^4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Amendment of subsecfions (a) and (a)(8) and new subsection (a)(10) filed
12-16-99 as an emergency; operafive 12-16-99 (Register 99, No. 51). A Cer-
tificate of Compliance must be transmitted to OAL by 4-14-2000 or emergency
language will be repealed by operafion of law on the following day.
4. Certi ficate of Compliance as to 1 2- 1 6-99 order transmitted to OAL 4- 1 4-2000
and filed 5-26-2000 (Register 2000, No. 21).
5. Repealer filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 891. Apportionment Information Report.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Sections 60615 and 60640, Education Code.
History
1. New section filed 1-4-99 as an emergency; operative 1^-99 (Register 99. No.
2). A Certificate of Compliance must be transmitted to OAL by 5-4-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5^1-99 and
filed 6-14-99 (Register 99, No. 25).
3. Amendment of subsections (a)(6) and (b)(2) filed 12-16-99 as an emergency;
operative 12-16-99 (Register 99, No. 51 ). A Certificate of Compliance must be
transmitted to OAL by 4-14-2000 or emergency language will be repealed by
operation of law on the following day.
4. Certificate of Compliance as to 1 2-1 6-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21).
5. Amendment of subsections (a)(l)-(5) filed 1 1-27-2000 as an emergency; op-
erative 1-1-2001 (Register 2000, No. 48). A Certificate of Compliance must be
transmitted to OAL by 5-1-2001 or emergency language will be repealed by
operation of law on the following day.
6. Certificate of Compliance as to 11-27-2000 order transmitted to OAL
3-28-2001 and filed 5-9-2001 (Register 2001, No. 19).
7. Repealer filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 892. Parent Reports.
NOTE: Authority cited: Sections 33031 and 60605, Education Code. Reference:
Section 60641, Education Code.
History
1 . New section filed 1-4-99 as an emergency; operative 1-4-99 (Register 99, No.
2). A Certificate of Compliance must be transmitted to OAL by 5^4-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5-4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Amendment filed 12-16-99 as an emergency; operative 12-16-99 (Register
99, No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 12-16-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21).
5. Repealer of secfion and amendment of Note filed 11-8-2006; operative
12-8-2006 (Register 2006, No. 45).
§ 893. Reporting Test Scores.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h), Education Code.
Reference: Sections 60640 and 60643, Education Code.
History
1. New section filed 1-4-99 as an emergency; operative 1^-99 (Register 99, No.
2). A Certificate of Compliance must be transmitted to OAL by 5^^-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5-4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Repealer filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 894. Test Order Information.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Sections 60640 and 60643, Education Code.
History
1 . New section filed 1-4-99 as an emergency; operative 1 -4-99 (Register 99, No.
2). A Certificate of Compliance must be transmitted to OAL by 5-4-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5^^99 and
filed 6-14-99 (Register 99, No. 25).
3. Amendment filed 12-16-99 as an emergency; operative 12-16-99 (Register
99. No. 51). A Certificate of Compliance mu,st be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 1 2-1 6-99 order transmitted to OAL 4-14-2000
and filed .5-26-2000 (Register 2000, No. 21 ).
5. Amendment of subsections (b)(6) and (c)(2) filed 1 1-27-2000 as an emergen-
cy; operative 1-1-2001 (Register 2000, No. 48). A Certificate of Compliance
must be transmitted to OAL by 5-1-2001 or emergency language will be re-
pealed by operafion of law on the following day.
6. Certificate of Compliance as to 11-27-2000 order transmitted to OAL
3-28-2001 and filed 5-9-2001 (Register 2001, No. 19).
7. Repealer filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 895. Transportation.
Note: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Section 60640, Education Code.
History
1. New section filed 1^4-99 as an emergency; operative 1-4-99 (Register 99, No.
2). A Certificate of Compliance must be transmitted to OAL by 5-4—99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5-4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Amendment of subsection (a) filed 12-16-99 as an emergency; operative
12-16-99 (Register 99, No. 51). A Certificate of Compliance must be trans-
mitted to OAL by 4-1 4-2000 or emergency language will be repealed by opera-
tion of law on the following day.
4. Certificate of Compliance as to 12-1 6-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21).
5. Repealer filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 896. School District Delivery.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Sections 60640 and 60643, Education Code.
History
1 . New section filed 1-4-99 as an emergency; operative 1-4-99 (Register 99, No.
2). A Certificate of Compliance must be transmitted to OAL by 5-4-99 or emer-
gency language will be repealed by operafion of law on the following day.
2. Certificate of Compliance as to 1^-99 order transmitted to OAL 5-4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Amendment of section and Note filed 12-16-99 as an emergency; operafive
12-16-99 (Register 99, No. 51). A Certificate of Compliance must be trans-
mitted to OAL by 4-1 4-2000 or emergency language will be repealed by opera-
tion of law on the following day.
4. Certificate of Compliance as to 1 2-1 6-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21).
5. Repealer filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 897. Test Site Delivery.
Note: Authority cited: Secfions 33031 and 60605(g) and (h). Education Code.
Reference: Section 60640, Educafion Code.
History
1 . New section filed 1-4-99 as an emergency; operafive 1^1-99 (Register 99, No.
2). A Certificate of Compliance must be transmitted to OAL by 5-4-99 or emer-
gency language will be repealed by ojjeration of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5-4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Repealer filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 898. Retrieval of Materials by Publisher.
NOTE: Authority cited: Secfions 33031 and 60605(g) and (h). Education Code.
Reference: Section 60643, Educafion Code.
History
1. New section filed 1-4-99 as an emergency; operative 1^1-99 (Register 99, No.
2). A Certificate of Compliance must be transmitted to OAL by 5-4-99 or emer-
gency language will be repealed by operation of law on the following day.
Page 30
Register 2006, No. 45; 11-10-2006
Title 5
California Department of Education
§ 1000.3
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5-4-99 and
tiled 6-14-99 (Register 99. No. 23).
3. Repealer tiled 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 899. Discrepancy Resolution for Designated Primary
Language Test(s).
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference; Sections 60640 and 60643, Education Code.
History
1. New.section filed 1-4-99 as an emergency; operative 1-4-99 (Register 99. No.
2). A Certificate of Compliance must be transmitted to OAL by 5-4-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5-4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Amendment of section and NoTi-: filed 12-16-99 as an emergency; operative
12-16-99 (Register 99, No. 51). A Ceitificate of Compliance must be trans-
mitted to OAL by 4- 14-2000 or emergency language will be repealed by opera-
tion of law on the following day.
4. Certificate of Compliance as to 1 2-1 6-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000, No. 21 ).
5. Repealer filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45),
§ 900. Performance of Designated Primary Language Test
Publisher(s).
NOTE: Authointy cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Section 60643, Education Code,
History
1. New section filed 1-4-99 as an emergency; operative 1-4-99 (Register 99, No.
2 ). A Certi ficate of Compliance must be transmitted to OAL by 5-4-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5^4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Repealer filed 12-16-99 as an emergency; operative 12-16-99 (Register 99,
No. 51). A Certificate of Compliance must be transmitted to OAL by
4-1 4-2000 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 12- 1 6-99 order transmitted to OAL 4- 14-2000
and filed .5-26-2000 (Register 2000, No. 21).
§901. Apportionment.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Sections 60640 and 60643, Education Code.
History
1. New section filed 1-4-99 as an emergency; operative 1-4-99 (Register 99, No.
2). A Certificate of Compliance must be transmitted to OAL by 5^1-99 or emer-
gency language will be repealed by operafion of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5-4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Amendment filed 12-16-99 as an emergency; operaUve 12-16-99 (Register
99. No. 51). A Certificate of Comphance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 12-16-99 order transmitted to OAL 4-14-2000
and filed 5-26-2000 (Register 2000. No. 21).
5. Repealer filed 1 1-8-2006; operative 12-8-2006 (Register 2006, No. 45).
§ 902. Payment of Publisher.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h), Educafion Code.
Reference: Sections 60640 and 60643, Education Code.
History
1 . New section filed 1-4-99 as an emergency; operative 1-4-99 (Register 99. No.
2). A Certificate of Compliance must be transmitted to OAL by 5^4-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5^4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Repealer filed 12-16-99 as an emergency; operative 12-16-99 (Register 99,
No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 1 2-16-99 order transmitted to OAL 4-1 4-2000
and filed 5-26-2000 (Register 2000, No. 21).
§ 903. Performance Bond.
NOTE: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Sections 60640-60643 and 60646, Education Code.
History
1 . New section filed 1-4-99 as an emergency; operative 1-4-99 (Register 99, No.
2 ). A Certificate of Compliance must be transmitted to OAL by 5-4-99 or emer-
gency language will be repealed by operafion of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5^4-99 and
filed 6-14-99 (Register 99. No. 25),
3. Repealer filed 12-16-99 as an emergency; operative 12-16-99 (Register 99.
No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 1 2-1 6-99 order triuismitted to OAL 4- 14-2(X)0
and filed .5-26-2000 (Register 2000, No. 21).
§ 904. Standard Agreement Form for Any Designated
Primary Language Test.
Note: Authority cited: Sections 33031 and 60605(g) and (h). Education Code.
Reference: Secfion 60643, Education Code.
History
1. New secfion filed 1-4-99 as an emergency; operative 1-4-99 (Register 99. No.
2). A Certificate of Compliance must be transmitted to OAL by 5-4-99 oremer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-4-99 order transmitted to OAL 5-4-99 and
filed 6-14-99 (Register 99, No. 25).
3. Repealer filed 12-16-99 as an emergency; operative 12-16-99 (Register 99,
No. 51). A Certificate of Compliance must be transmitted to OAL by
4-14-2000 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 1 2-1 6-99 order transmitted to OAL 4- 1 4-2000
and filed 5-26-2000 (Register 2000, No. 21 ).
Subchapter 3.8,. Quality Education
Investment Act of 2006
§ 1000. Eligibility, Assignment of Random Order, and
Determination of Program Option. [Repealed]
NotE: Authority cited: Section 33031, Eulucafion Code. Reference: Sections
52052, 52055.720, 52055.740 and 52055.760, Education Code.
History
1. New subchapter 3.8 (sections 1000-1000.7) and section filed 2-8-2007 as an
emergency; operative 2-8-2007 (Register 2007, No. 6). A Certificate of Com-
pliance must be transmitted to OAL by 6-8-2007 or emergency language will
be repealed by operation of law on the following day.
2. Repealer of subchapter 3.8 (secnons 1000-1000.7) and section by operation of
Government Code section 1 1346.1(g) (Register 2007, No. 39).
§ 1 000.1 . Submission of Applications Under Education
Code Section 52055.740. [Repealed]
Note: Authority cited: Secfion 33031, Eiducation Code. Reference: Sections
52055.740 and 52055.750, Education Code.
History
1. New section filed 2-8-2007 as an emergency; operative 2-8-2007 (Register
2007. No. 6). A Certificate of Compliance must be transmitted to OAL by
6-8-2007 or emergency language will be repealed by operation of law on the
following day.
2. Repealed by operation of Government Code secfion 1 1 346.1 (g) (Register 2007,
No. 39).
§ 1000.2. Submission of Applications Under Education
Code Section 52055.760. [Repealed]
NotE: Authority cited: Secfion 3.3031, Education Code. Reference: Sections
44757.5, 52055.740, 52055.750 and 52055.760, Educafion Code.
History
1. New section filed 2-8-2007 as an emergency; operative 2-8-2(X)7 (Register
2007, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-8-2007 or emergency language will be repealed by operation of law on the
following day.
2. Repealed by operation of Government Code section 1 1 346. 1 (g) (Register 2007,
No. 39).
§ 1000.3. Submission of Applications for Priority Approval.
[Repealed]
NotE: Authority cited: Section 33031, Educafion Code. Reference: Sections
52055.740 and 52055.760, Education Code.
History
1. New section filed 2-8-2007 as an emergency; operative 2-8-2007 (Register
2007, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-8-2007 or emergency language will be repealed by operation of law on the
following day.
Page 31
Register 2007, No. 39; 9-28-2007
§ 1000.4
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
2. Repealed by operation ofGovemment Code section 1 1346. Kg) (Register 2007.
No. 39).
§ 1000.4. Review of Applications. [Repealed]
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
447.'S7..S, 52053.720, 52055.730. 52055.740, 52055.7.50 and 52055.760. Educa-
tion Code.
History
1. New section filed 2-8-2007 as an emergency; operative 2-8-2007 (Register
2007. No. 6). A Certificate of Compliance must be transmitted to OAL by
6-8-2007 or emergency language will be repealed by operation of law on the
following day.
2. Repealed by operafion of Government Code section 1 1 346. 1 (g) ( Reaister 2007,
No. 39).
§ 1000.5. Selection of Schools for Funding. [Repealed]
NOTE: Authority cited: Secfion 33031, Education Code. Reference: Section
52055.730. 52055.740, 52055.760 and 52055.770, Educafion Code.
History
1. New section filed 2-8-2007 as an emergency; operative 2-8-2007 (Register
2007, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-8-2007 or emergency language will be repealed by operation of law on the
following day.
2. Repealed by operation of Government Code section 1 1 346. 1 (g) (Register 2007,
No. 39).
§ 1000.6. Geographic Distribution by County and
Distribution by Grade Span. [Repealed]
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
52055.730, Education Code.
History
1. New section filed 2-8-2007 as an emergency; operative 2-8-2007 (Register
2007, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-8-2007 or emergency language will be repealed by operation of law on the
following day.
2. Repealed by operation of Government Code section 11346.Ug) (Register 2007,
No. 39).
§1000.7. Definitions. [Repealed]
NOTE: Authority cited: Section 33031, Educafion Code. Reference: Secfions
52055.650, 52500.720, 52055.740 and 52055.760, Education Code.
History
\. New section filed 2-8-2007 as an emergency; operative 2-8-2007 (Register
2007, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-8-2007 or emergency language will be repealed by operation of law on the
following day.
2. Repealed by operation of Government Code section 1 1 346. 1 (g) (Register 2007,
No. 39).
Subchapter 4. Statewide Testing of Pupils
and Evaluation Procedures*
*For "vision screening" testing for pupils, see Sections 590-596.
Article 1. Achievement Testing Programs
§1020. Definitions.
History
1 . Repealer filed 7-20-73; effective thirtieth day thereafter (Register 73, No. 29).
For prior history, see Register 71, No. 30.
2. Repealer of NOTE filed 9-23-77; effecfi ve thirtieth day thereafter (Register 77,
No. .39).
§ 1021. Tests and Procedures.
(a) Each pupil in grade 1 shall be given the entry level test adopted or
developed by the State Board of Education at a time specified by the State
Department of Education, but not later than the third month of attendance
in the first grade.
(b) Each pupil in grades 3, 6, and 12 shall be given the achievement
test adopted or developed for the respective grade by the State Board of
Education at the times designated for each grade by the State Department
of Education.
(c) The adopted tests shall be administered to pupils by school districts
in accordance with procedures established by the State Department of
Education for the tests. Test answer sheets shall be submitted to the State
Department of Education for scoring on dates specified and according to
procedures established by the Department for each grade.
(d) After the tests have been given, the school principal shall certify
that the tests were given in accordance with the procedures established
for the test, and that all answer sheets have been returned to the State De-
partment of Education for scoring.
(e) In nongraded primary sections, pupils shall be certified as first or
third grade pupils for purposes of official enrollment, and are deemed, for
purposes of this article, to be enrolled in the respective grade for which
they are so certified.
(f) Pupils enrolled in grades 1 . 3 and 6 in a school maintaining a year-
round program shall be tested when they have completed approximately
the same number of weeks of school as pupils who are in regular pro-
grams.
NOTE: Authority cited: Sections 33031, 54103. 60602, 60603, 60607 and 60640,
EducationCode. Reference: Sections 60600-6061 4 and 60640-60644, Education
Code.
History
1. New NOTE filed 9-23-77; effecfive thirtieth day thereafter (Register 77, No.
39). For prior history see Register 74, No. 52.
2. Repealer and new section filed 11-29-79; effecfive thirtieth day thereafter
(Register 79, No. 48).
§ 1022. Recording Test Scores.
Scores for individual pupils on these tests shall not be used by school
districts or teachers for individual diagnosis or placement, or as a basis
for any other decisions which would affect the pupil's school experience.
Scores from these tests shall not in any manner be included on a pupil's
cumulafive school record.
History
1 . Amendment filed 1 2-26-74; effective thirtieth day thereafter (Register 74, No.
52).
§ 1 023. Security of Test l\/laterial.
In order to afford protection to the security and reliability of the tests
given pursuant to this article, all officers and employees of the district and
other persons concerned with the state testing program shall take all rea-
sonable precaufions to prevent pupils from learning in advance of the
specific content of the tests.
History
1 . Amendment filed 1 2-26-74; effective thirtieth day thereafter (Register 74, No.
52).
§ 1 023.1 . Practice Exercises.
No practice exercises other than those specifically designated or ap-
proved by the State Department of Education shall be given to pupils in
preparation for the testing program or in the particular test used.
NOTE: Authority cited: Sections 33031, 60603, 60640, Educafion Code. Refer-
ence: Secnons 60600-60614 and 60640-60644, Education Code.
History
1 . New section filed 1 1-29-79; effective thirtieth day thereafter (Register 79, No.
48).
§ 1 024. Responsibility of the County Superintendent of
Schools.
The county superintendent is requested to cooperate with and give as-
sistance to each school district under his jurisdiction which seeks such
assistance from him in carrying out duties imposed on it by Chapter 5 of
Part 33 of Division 4 of Title 2 of the Education Code. In addition for any
district which does not have a district superintendent, the county superin-
tendent shall make certain that the tests are administered in accordance
with these regulations and with the instructions and testing procedures
developed for the tests.
NOTE: Authority cited: Sections 33031, 60603, 60640, Education Code. Refer-
ence: Secfions 60600-60614 and 60640-60644, Education Code.
History
1. Amendment filed 9-25-69; effecfive thirtieth day thereafter (Register 69, No.
39).
2. Amendment filed 1 2-26-74; effecfive thirtieth day thereafter (Register 74, No.
52).
3. Amendment filed 9-23-77; effecfive thirtieth day thereafter (Register 77, No.
39).
4. Amendment filed 1 1-29-79; effective thirtieth day thereafter (Register 79, No.
48).
Page 32
Register 2007, No. 39; 9-28-2007
Title 5
California Department of Education
§ 1030.7
•
•
§1025. Relatedlnformation.
Each school district superintendent shall furnish to the State Depart-
ment of Education such other pupil and school information that is re-
quested by the Department in order to carry out the provisions of Chapter
5 of Part 33 of Division 4 of Title 2 of the Education Code and to properly
analyze and evaluate the lest results as required by Sections 60604.5 and
60660 of the Education Code.
NOTE; Authority cited: Sections 33031. 60603. 60640, Education Code. Refer-
ence: Sections 60600-606 1 4 and 60640-60644. Education Code.
History
1. New section filed 12-26-74; effective thirtieth dav thereafter (Register 74, No.
52).
2. Amendment of section and repealer of NOTE filed 9-23-77; effective thirtieth
day thereafter (Register 77, No. 39).
3. Amendment filed 1 1 -29-79; effective thirtieth dav thereafter (Register 79, No.
48).
§1026. Reporting Test Results.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
60607 and 60640, Education Code.
History
1 . New section filed 1 2-26-74; effective thirtieth day thereafter (Register 74, No.
52).
2. Amendment filed 9-27-76; effective thirtieth day thereafter (Register 76, No.
40).
3. Repealer of NOTE filed 9-23-77; effective thirtieth day thereafter (Register 77,
No. 39).
4. Repealer filed 1 1-29-84; effective thirtieth day thereafter (Register 84, No. 48).
NOTE: Authority cited: Sections 33031 and 54653.6, Education Code. Reference:
Section 54653.6, Education.
History
1. New section filed 5-1-87; operative 5-31-87 (Regi.ster 87, No. 20).
Article 1.5. Education Improvement
Incentive Program
§ 1030. Computation of Change in a School's
Performance.
(a) The formula in subsection (b) shall be applied by the State Depart-
ment of Education to all secondary schools eligible to compete in the
Education Improvement Incentive Program and whose performance in
the prior fiscal year has decreased from that in the next preceding fiscal
year. All schools with a 1 2th grade enrollment of 50 students or fewer and
all continuation education schools are excluded from the computation.
(b) The formula:
(1) Subtract the school's prior year composite score on the Cahfomia
Assessment Program (CAP) from the current year score to compute a
change score.
(2) Regress the number of students tested in CAP and the square of the
number of students tested onto the change score using a standard multiple
regression procedure.
(3) Using the results of the multiple regression, compute a predicted
change score.
(4) Subtract the actual change score obtained by the school from the
predicted change score to obtain a residual.
(5) Studentize the residual to have a mean of zero and a standard devi-
ation of 1 .
(6) Identify those schools which have a studentized residual equal to
or less than minus 1.5. A studentized residual is the ratio of the residual
to its standard error after the model has been fit and predicted change
scores and residuals calculated. Tlie predicted change scores are calcu-
lated from the eslitnated regression equation. The residuals are calcu-
lated as actual minus predicted.
(7) For those schools identified in paragraph (6) of this subsection, the
incentive award for the current year shall be based on the improvement
in performance between the current year and the 1983-84 fiscal year or
the fiscal year in which the school first participated in the incentive pro-
gram.
(c) Any school whose incentive award is adversely affected by a calcu-
lation pursuant to subdivision (b) may appeal to the Superintendent of
Public Instruction.
Article 1.6. Immediate
Intervention/Underperforming Schools
Program (ll/USP) and High Priority Schools
Grant Program (HPSGP): Definition of
Significant Growth and Criteria to Determine
Academic Growth for ll/USP and HPSGP
Schools Without Valid API's
§ 1030.5. Definition of Significant Growth for ll/USP
Schools.
A school participating in the Immediate Intervention/Underperform-
ing Schools Program (II/USP) of Education Code sections 52053
through 52055.55 achieves "significant growth" as that term is used in
Education Code secUons 52055.5 and 52055.55 when its schoolwide
Academic Performance Index (API) growth is greater than zero and the
school does not achieve its API growth target pursuant to Education Code
section 52052(c).
NOTE: Authority cited: Secfion 33031, Education Code. Reference: Sections
52052, 52053, 52054, 52055.5 and 52055.55, Education Code.
History
1. New article 1.6 (sections 1030.5-1030.8) and section filed 7-28-2005; opera-
tive 8-27-2005 (Register 2005, No. 30).
§ 1030.6. Criteria to Demonstrate Significant Growth for
ll/USP Schools Without Valid APIs.
Schools participating in the II/USP without a valid API score pursuant
to Education Code section 52052(f) demonstrate academic growth
equivalent to significant growth for purposes of Education Code sections
52055.5 and 52055.55 when the weighted average percent proficient
across all California Standards Tests in (a) English/language arts and (b)
mathematics increased by at least one percentage point from the prior
year to the year in which they have an invalid score. For purposes of this
calculafion, there shall be no rounding (e.g., 0.99 does not round up to
1.00).
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
52052, 52053, 52054, 52055.5 and 52055.55, Education Code.
History
1. New section filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
§ 1 030.7. Definition of Significant Growth for HPSGP
Schools.
(a) A school participating in the High Priority Schools Grant Program
(HPSGP) of Educafion Code secdons 52055.600 through 52055.662
achieves "significant growth" as that term is used in Education Code sec-
tions 52055.650 when its combined growth is equal to or greater than ten
Academic Performance Index (API) points on the API over the last three
years it participates in the program and also achieves positive API growth
in two of the last three years.
(b) A school without a valid API score pursuant to Education Code
section 52052(f) in any year of participafion in the program demonstrates
positive API growth for that year when the school's weighted average
percent proficient increases by at least one percentage point from the
prior year across all California Standards Tests in (a) English/language
arts, and (b) mathematics. For purposes of this calculation, there shall be
no rounding (e.g. 0.99 does not round up to 1.00).
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
52052, 52055.600, 50255.640, 52055.645 and 52055.650, Education Code.
History
1. New section filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
2. Designation of existing section as subsection (a) and new subsection (b) filed
8-15-2006; operative 9-14-2006 (Register 2006, No. 33).
Page 33
Register 2007, No. 39; 9-28-2007
§ 1030.8
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 1030.8. Criteria to Demonstrate Academic Growth
Equivalent to Significant Growth for HPSGP
Schools Without Valid APIs.
A school without a valid API in at least one year that does not demon-
strate significant growth as defined in section 1030.7, demonstrates aca-
demic growth equivalent to significant growth for purposes of Education
Code section 52055.650 when the school's weighted average percent
proficient across all California Standards Tests in (a) English/language
arts and (b) mathematics increased by at least two percentage points over
the prior three year period. For purposes of this calculation, there shall
be no rounding (e.g., 0.99 does not round up to 1.00).
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
52052, 52055.600, 50255.640, 52055.645 and 52055.650. Education Code.
History
1. New section filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
2. Amendment of section heading and section filed 8-15-2006; operative
9-14-2006 (Register 2006. No. 33).
Article 1.7. Award Programs Linked to the
Academic Performance Index (API)
§ 1 031 . Intent of the Regulations.
(a) The Academic Performance Index (API) measures the perfor-
mance of California public schools, especially the academic perfor-
mance of pupils, and demonstrates comparable improvement in academ-
ic achievement by all numerically significant ethnic and
socioeconomically disadvantaged subgroups within schools pursuant to
Education Code section 52052 and the Framework for The Academic
Performance Index, July 1999 and The 1999 Base Year Academic Per-
formance Index, December 15, 1999, which are incorporated herein.
(b) The purpose of Article 1.7 is to implement the programs estab-
lished by two statutes relating to the API:
(1) The Governor's Performance Award Program of the Public
Schools Accountability Act of 1 999 (Education Code sections 52050 et
seq.).
(2) The Certificated Staff Performance Incentive Act (Education Code
sections 44650 et seq.).
NOTE: Authority cited: Sections 3303 1 . 44650(b) and 52057(a). Education Code.
Reference: Sections 44650-44652, 44654(b), 52052 and 52057, Education Code.
History
1 . New article 1 .7 (sections 1031-1038) and section filed 1 2-28-2000 as an emer-
gency; operative 12-28-2000 (Register 2000, No. 52). A Certificate of Com-
pliance must be transmitted to OAL by 4-27-2001 or emergency language will
be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-28-2000 order, including amendment of
subsection (b), transmitted to OAL 4-27-2001 and filed 6-1 1-2001 (Register
2001, No. 24).
3. Amendment of subsection (b), repealer of subsection (b)(3) and amendment of
Note filed 1-8-2002; operative 1-8-2002 (Register 2002, No. 2).
§ 1032. General Eligibility Criteria for Award Programs
Related to API Growth.
(a) For purposes of this Article, "schools" shall be defined as all
schools, including charter schools, that receive a ranking on the API in-
cluding schools participating in the Immediate Intervention/Underper-
forming Schools Program. These schools are eligible to participate in the
award programs identified in Section 1031.
(b) For the purposes of these award programs, the API shall be the
measure of accountability for all schools, except those that fall under the
alternative accountability system, once such a system is adopted by the
State Board of Education as required by Education Code section
52052(g). The Superintendent of Public InstRiction will develop an alter-
native accountability system for schools with fewer than 100 valid test
scores, schools that fall under the jurisdiction of a county board of educa-
tion or a county superintendent of schools, community day schools, and
alternative schools, including continuation high schools and independent
study schools.
Alternafive schools may elect to be part of the API accountability sys-
tem for the purposes of awards and interventions pursuant to the API. If
the school elects to be part of the API accountability system, the school
shall remain in the system for at least the three subsequent years.
(c) For the purposes of these award programs, growth API means the
API in the second year of two consecufive years for which the API is cal-
culated.
(d) In 2001 and subsequent years, a school's API shall be considered
invahd under any of the following circumstances:
( 1 ) The local educational agency nofifies the California Department of
Education (department) that there were adult testing irregularifies at the
school affecting 5% or more of the pupils tested.
(2) The local educational agency notifies the department that the API
is not representative of the pupil population at the school.
(3) The local educational agency notifies the department that the
school has experienced a significant demographic change in pupil popu-
lation between the base year and growth year, and that the API between
years is not comparable.
(4) The school's proportion of parental waivers compared to its Stan-
dardized Testing and Reporting Program (STAR) enrollment, pursuant
to Education Code section 60640 et seq., is equal to or greater than 1 5 per-
cent for the 2000 STAR. For the 2001 STAR and each subsequent STAR,
the school's proportion of parental waivers compared to its STAR enroll-
ment is equal to or greater than 10 percent, except when the school's pro-
portion of parental waivers compared to its STAR enrollment is equal to
or greater than 10 percent but less than 20 percent. In this case, the depart-
ment will conduct standard statisfical tests to determine whether the pu-
pils tested at the school represent the school's pupils by grade level. If the
standard statistical tests demonstrate that the pupils tested represent the
school's pupils, then the school's API shall be considered valid. If the
standard statistical tests demonstrate that the pupils tested do not repre-
sent the school's pupils, then the school's API shall be considered inval-
id. There shall be no rounding in determining this minimum parental
waiver proportion (i.e., 9.99 percent is not 10 percent).
(5) In any content area tested pursuant to Education Code sections
60642 and 60642.5 and included in the API, the school's proportion of
the number of test-takers in that content area compared with the total
number of test-takers is less than 85 percent. There shall be no rounding
in determining the proportion of test-takers in each content area (i.e.,
84.99 percent is not 85 percent).
(6) If, at any time, information is made available to or obtained by the
department that would lead a reasonable person to conclude that one or
more of the preceding circumstances occurred. If after reviewing the in-
formation, the department determines that further invesfigation is war-
ranted, the department may conduct an invesfigation to determine if the
integrity of the API has been jeopardized.
The department may invalidate or withhold the school' s API unfil such
time that the department has safisfied itself that the integrity of the API
has not been jeopardized.
•
•
•
Page 34
Register 2007, No. 39; 9-28-2007
Title 5
California Department of Education
§ 1033
(e) If a school's API is considered invalid pursuant to subdivisions
{d)(l), (d)(2). (d)(4), or (d)(5). the school is ineligible for participation
in any of the award programs for the current and subsequent year. If a
school does not receive an API pursuant to subdivision (d)(3), the school
is ineligible for participation in any of the award programs for the current
year only.
(f) If fewer than 5% of the pupils tested are affected by adult testing
irregularities, the school will receive a valid API, however, the school is
not eligible for participation in any of the award programs for the current
year.
(g) All schools that have an API score increase of at least 5% of the
difference between the school's prior year score and 800 or an API score
increase of five points, whichever is greater, and have comparable im-
provement as defined in subdivision (h), and meet the minimum partici-
pation rate in subdivision (i), shall be recognized through the Governor's
Performance Award Program.
(h) Comparable improvement for numerically significant ethnic or so-
cioeconomically disadvantaged subgroups pursuant to Education Code
section 52052(a) shall be defined as an API score increase of at least 80%
of the school's API growth target as established pursuant to Education
Code section 52052 except when the sum of a subgroup's growth target
and the subgroup's API is greater or equal to 800. In these cases, compa-
rable improvement shall be defined as the distance from the subgroup's
API to 800. In no case shall comparable improvement be less than 4
points.
(i) For elementary and middle schools, the minimum participation rate
for the awards programs shall be 95 percent; for high schools, it shall be
90 percent, with the intention of increasing this rate to 95 percent in the
future.
( 1 ) If the test publisher determines, for grades 2 to 1 1 , that a pupil did
attempt to take any content area tested pursuant to Education Code sec-
tions 60642 and 60642.5 and included in the API, the pupil shall be
counted as a test-taker.
(2) No pupil shall be counted more than once as a test-taker.
(3) The participation rate shall be calculated as follows:
(A) Divide the total number of test-takers in grades 2-11 at the school
site by
(B) The total enrollment in grades 2-1 1 minus the number of pupils
exempted from taking the test either by their Individualized Education
Program (lEP) pursuant to Education Code section 60640(e) or parental
waivers pursuant to Education Code section 60615.
(4) For purposes of subdivision (3)(B) above, enrollment shall be de-
termined by the enrollment information collected by the department as
part of the Standardized Testing and Reporting Program (STAR), pur-
suant to Education Code sections 60640 et seq.
(5) In the case of pupil testing irregularities, the scores of affected pu-
pils shall be ehminated from the calculations of the school's growth API,
although the pupils are counted as tested and shall contribute to the
school's participation rate.
(6) There shall be no rounding in determining this minimum participa-
tion rate (i.e., 94.9 percent does not equal 95 percent).
(j ) The department will publish on its web site a report of STAR testing
and demographic data used in the calculation and reporting of the API.
Prior to publishing the report on its web site, the department will an-
nounce the report in writing and/or by electronic communication to each
local educational agency that appears in the API report. The local educa-
tional agency must notify the department and the test publisher via e-
mail or in writing whether there are errors in the STAR testing or demo-
graphic data. The local education agency's notification must be received
by the department and the test publisher within thirty (30) calendar days
of the initial date of publication of the STAR testing and demographic
data on the department's web-site. The local educational agency must
submit all data corrections to the test publisher in writing or e-mail. The
test publisher shall specify a deadline for submittal of the data corrections
that is no less than forty-five (45) calendar days after the date of publica-
tion of the STAR testing and demographic data.
(k) The criteria for awards eligibility based on the 2001 growth API
for a school that had its 2000 API invalidated solely because of excessive
parental waivers pursuant to subdivision (d)(4) or for a school whose
school district obtained a State Board of Education waiver of Section
1032(c) on their behalf will be (1) twice the school's 1999 growth target
or 10 points, whichever is greater, and (2) comparable improvement for
numerically significant ethnic or socioeconomically disadvantaged sub-
groups pursuant to Education Code section 52052(a), and the school has
met all other 2001 eligibility criteria. Comparable improvement shall be
defined as twice the 1999 subgroup target for each subgroup, except
when the sum of a subgroup's 1999 growth target and the subgroup's
1999 API is greater than or equal to 800. In these cases, comparable im-
provement shall be defined as two times the distance from the subgroup's
J 999 API to 800. In no case shall comparable improvement be less than
8 points. While being eligible for the Governor's Performance Awards,
such a school would not be eligible for awards under the Certificated
Staff Performance Incentive Act (Education Code sections 44650 et
seq.).
NOTE: Authority cited: Sections 33031, 44650(b) and 52057(a). Education Code.
Reference: Sections 44650-44652. 44654(b), 52052 and 52057, Education Code.
History
1 . New section filed 1 2-28-2000 as an emergency; operative i 2-28-2000 ( Regis-
ter 2D00, No. 52). A Certificate of Compliance must be transmitted to OAL by
4-27-2001 or emergency language will be repealed by operation of law on the
following day.
2. New subsection (d)(4) and subsection renumbering filed 1 -30-2001 as an emer-
gency; operative 1-30-2001 (Register 2001, No. 5). A Certificate of Com-
pliance must be transmitted to OAL by 5-30-2001 or emergency language will
be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-28-2(XX) and 1-30-2001 orders, including
further amendments, transmitted to OAL 4-27-2001 and filed 6-11-2001
(Register 2001, No. 24).
4. Amendment of subsections (d)(4). (d)(6) and (h)( 1) and new subsection (j) filed
8-2-2001 as an emergency; operative 8-2-2001 (Register 2001. No. 31). A
Certificate of Compliance must be transmitted to OAL by 1 1-30-2001 or emer-
gency language will be repealed by operation of law on the following day.
5. Amendment of section heading and new subsection (i) filed 1 1-15-2001; op-
erative 1 1-15-2001 pursuant to Government Code section 1 1343.4 (Register
2001, No. 46).
6. Certificate of Compliance as to 8-2-2001 order, including further amendment
ofsection and Note, transmitted to OAL 11-21-2001 and filed 1-8-2002 (Reg-
ister 2002, No. 2).
§ 1033. Award Funding Criteria for Governor's
Performance Award Program.
(a) Schools that meet the eligibility requirements in 20{X)-0I for the
Governor's Performance Award Program (GPA) shall receive a per pupil
award amount for each of their eligible pupils. Eligible pupils are those
who received a score on any subject matter area test (Total Reading, Total
Math. Language, Spelling, Science, or Social Science) of the nationally
normed test pursuant to Education Code section 60642 and a score on any
standards-based achievement test pursuant to Education Code section
60642.5. A score on the nationally normed test pursuant to Education
Code section 60642 can be a percentile, the number correct, a scale score,
or a normal curve equivalent. A score on the standards-based achieve-
ment test pursuant to Education Code section 60642.5 is defined as the
performance level.
(b) The amount allocated for this award shall be determined on a prora-
ta basis from the total amount of funding available in the annual State
Budget.
Note: Authority cited: Sections 33031 and 52057(a), Education Code. Refer-
ence: Section 52057, Education Code.
History
1 . New secfion filed 1 2-28-2000 as an emergency; operative 1 2-28-2000 (Regis-
ter 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by
4-27-2001 or emergency language will be repealed by operation of law on the
following day.
2. Amendment of subsections (a)(3) and (b) and new subsections (b)(l)-(5) filed
1-30-2001 as an emergency; operative 1-30-2001 (Register 2001, No. 5). A
Page 35
Register 2004, No. 24; 6- 1 1-2004
§1034
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Certificate of Compliance must be transmitted to OAL by 5-30-2001 or emer-
gency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-28-2000 and 1-30-2001 orders, including
new subsection (b)(6), transmitted to OAL 4-27-2001 and filed 6-1 1-2001
(Register 2001, No. 24).
4. Amendment of section heading and subsection (a), repealer of subsections
(a)( 1 )-(3), redesignation and amendment of former subsection (a)(4) as sub.sec-
tion (b), renumbering of former subsections (b)-(b)(6) to section 1034, subsec-
tions (b)-(c) and new Notf. filed 1-8-2002; operative 1-8-2002 (Reeister
2002, No. 2).
§ 1 034. Specific Eligibility Criteria for the Certified Staff
Performance Incentive Act.
(a) To be eligible to receive awards under the Certified Staff Perfor-
mance Incentive Act, school sites must have attained a statewide decile
rank of 1-5 in the base year of the current growth API and must meet all
of the relevant statutory requirements and each of the following require-
ments:
(1) Each school site must have improved by a minimum of two times
its annual growth target on its API between the base year and the current
growth year.
(2) All numerically significant ethnic or socioeconomically disadvan-
taged subgroups pursuant to Education Code section 52052(a) at a school
must have improved by a minimum of two times their annual growth tar-
gets, except when the sum of a subgroup's growth target and the sub-
group's API is greater than or equal to 800. In these cases, comparable
improvement shall be defined as two times the distance from the sub-
group's API to 800. In no case shall comparable improvement be less
than 8 points.
(3) Each school site shall have the required participation rate for the
current growth API, pursuant to Section 1032(i), as calculated by the
California Department of Education. Each school must have been eligi-
ble for API awards in the year preceding the current API growth year.
(4) The local educational agency must complete an application on be-
half of its eligible schools, which shall include:
(A) Certification that the data used in the API calculations from the
schools is accurate, and
(B) The number of certificated positions on an FTE basis at each of the
eligible schools pursuant to subdivision (b) below.
(b) To participate in the Certificated Staff Performance Incentive Act
(CSPIA) awards, school districts and charter schools shall certify, as ap-
propriate, the number of full-time equivalent (FTE) certificated em-
ployees employed by the school district or charter school, whether still
resident in the school district or not, as of the second principal apportion-
ment for the year in which the award was earned at each school site under
their jurisdiction that is eligible for awards in accordance with Education
Code section 4465 1 .
(1 ) The "number of full-time equivalent (FTE) certificated employees
employed by the school district or charter school, whether still resident
in the school district or not, as of the second principal apportionment"
shall be defined as the number of funded certificated FTE positions at the
school site as of the date established annually by the department pursuant
to Education Code sections 41335 and 41601 for the submission by
school districts of the attendance documents necessary for the depart-
ment to prepare the second principal apportionment.
(2) "Employees at the school site" shall be defined as positions filled
by individuals employed by the school district or charter school at least
50 percent of the school year in which the award was earned, and who
spent at least 50 percent of his/her total annual work hours at school sites,
and who spent at least 20 percent of his/her total annual work hours at the
eligible school site working with pupils in any of grades K-12. County
office of education and state employees are not eligible to participate.
(3) "Full-time equivalent (FTE) positions" may include "full-time"
and "part-time" positions. A "full-time" certificated position shall be
defined as a position filled by a person that is required to work a minimum
of a six hour work day. Workdays longer than six hours, if in accordance
with local collective bargaining agreements, should be used as the basis
for "fuU-Ume" and "part-time" FTE calculation. One person cannot gen-
erate more than one FTE position. Part-time positions shall generate a
partial FTE on a proportional basis.
(4) "Certificated employee" shall be defined as an employee in a posi-
tion requiring certification and who holds a document issued by the
California Commission on Teacher Credentialing authorizing service in
the public schools of California.
(5) "Document" shall be defined as a credential, emergency permit, or
waiver issued by the California Commission on Teacher Credentialing.
(c) Starting in 2001-02, the deadline for submitting the application, in-
cluding the certification of FTEs to the department shall be within the
close of business on the 45th calendar day after the department's posting
on its website of the certified list of schools eligible to receive the Certifi-
cated Staff Performance IncenUve Act award. If a school's application
is not received by the department by the deadline, the school will not re-
ceive the award.
NOTE: Authority cited: Sections 33031, 44650(b) and 52057(a), Education Code.
Reference: Sections 44650-44652 and 44654(b), Education Code.
History
1 . New section filed 1 2-28-2000 as an emergency; operafive 12-28-2000 (Regis-
ter 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by
4-27-2001 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 12-28-2000 order, including amendment of
subsection (d)(3), transmitted to OAL 4-27-2001 and filed 6-1 1-2001 (Regis-
ter 2001, No. 24).
3. Repealerof former section 1034, new subsections (a)-(a)(4)(B), and renumber-
ing and amendment of former section 1033, subsections (b)-(b)(6) to section
1034, subsections (b)-(c) filed 1-8-2002; operative 1-8-2002 (Register 2002,
No. 2).
§ 1035. Award Funding Criteria for Certificated Staff
Performance Incentive Act.
Distribution of Cerfificated Staff Performance Incentive Act awards
pursuant to the 2000 growth API shall be as follows, with at least one
thousand (1,000) $25,000 awards, three thousand seven hundred fifty
(3,750) $10,000 awards and up to seven thousand five hundred (7,500)
$5,000 awards being distributed in the process. The total amount of fund-
ing for this Act provided in the annual State Budget shall be distributed
proportionally across each of elementary, middle, and high schools state-
wide by the number of certificated staff as reported in the most current
CBEDS report.
(a) Schools will be declared eligible or ineligible according to the rank
of schools pursuant to EducaUon Code section 52052. An "eligible list"
will be determined for each type of school (elementary, middle, and high)
for the awards distribufion.
(b) Beginning with the school on each of the three "eligible lists" with
the greatest raw score API improvement over two times its annual target,
the Superintendent of Public Instruction shall apportion $25,000 per cer-
tificated school site staff FTE position to be distributed to the certificated
school site staff in certificated positions at that school. The number of
FTE positions counted shall be subtracted from the awards pool of 1 ,(X)0
FTE posiUons.
(c) Beginning with the school on each of the three "eligible lists" with
the next greatest raw score API improvement over two rimes its annual
target, the Superintendent of Public InstrucUon shall apportion $25,000
per certificated school site staff FTE position to be distributed to the cer-
tificated school site staff at that school. The number of FTE positions
counted shall be subtracted from the awards pool remainder.
(d) This process shall continue until all 1,000 $25,000/FTE awards
have been allocated to the eligible school sites. If, before all 1 ,000 awards
have been allocated, an eligible school site has more eligible FTE posi-
tions than remain in the 1 ,000 FTE awards pool, all of that school site's
FTE positions shall receive $25,000 awards. If more than one school site
has an idenfical score in this circumstance, the school with the greatest
improvement over it's API growth target in the prior year shall receive
$25,000 awards.
(e) Beginning with the school on each of the three "eligible lists" with
the greatest raw score API improvement over two fimes its annual target
that did not receive $25,000 rewards, the Superintendent of Public
•
•
Page 36
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 1040
Instruction shall apportion $10,000 per certificated school site staff FTE
position to be distributed to the certificated school site staff at that school.
The number of FTE positions counted shall be subtracted from the
awards pool of 3,750 $10,000 awards.
(f) Beginning with the school on each of the three "eligible lists" with
the next greatest raw score API improvement over two times its annual
target, the Superintendent of Public Instruction shall apportion $10,000
per certificated school site staff FTE position to be distributed to the cer-
tificated school site staff at that school. The number of FTE positions
counted shall be subtracted from the awards pool remainder.
(g) This process shall continue in consecutive order until all 3.750
$10.000/FTE awards have been allocated to the school sites. If. before
all 3,750 awards have been allocated, an eligible school site has more eli-
gible FTE positions than remain in the 3,750 FTE pool, all of that school
site's FTE positions shall receive $10,000 awards. If more than one
school site has an identical score in this circumstance, the school with the
greatest improvement over its API growth target in the prior year shall
receive $10,000 awards.
(h) The sum of the awards distributed under subdivisions (b) through
(g) shall be subtracted from $100 million, and the remainder shall be di-
vided by $5,000 to determine the maximum number of $5,000 awards to
be distributed. The $5,000 awards shall be distributed in the same manner
as the $25,000 and the $10,000 awards, with the exception that the dis-
tribution process will end when the pool of available $5,000 awards is not
sufficient to fully fund the eligible FTE positions of the next school or
schools in line for the awards.
NOTE: Authority cited: Sections 33031 , 44630(b) and 52057(a), Education Code.
Reference: Sections 44650-44652, 44654(b), 52052 and 52057, Education Code.
History
1 . New section filed 1 2-28-2000 as an emergency; operative 12-28-2000 (Regis-
ter 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by
4-27-2001 or emergency language will be repealed by operation of law on the
following day.
2. Editorial correcfion of Note (Register 2001, No. 4).
3. Amendment of subsections (d) and (g) filed 1-30-2001 as an emergency; opera-
tive 1-30-2001 (Register 2001, No. 5). A Certificate of Compliance must be
transmitted to OAL by 5-30-2001 or emergency language will be repealed by
operation of law on the following day.
4. Certificate of Compliance as to 12-28-2000 and 1-30-2001 orders, including
further amendments, transmitted to OAL 4-27-2001 and filed 6-11-2001
(Register 2001, No. 24).
5. Amendment of subsections (d) and (g) filed 1-8-2002; operative 1-8-2002
(Register 2002, No. 2).
§1036. Waiver Deadline.
Starting in 2000-01, the deadline for submitting to the department a
waiver of any of Sections 1031 through 1039 shall be no later than the
close of business on the 60th calendar day after the department's posting
on its website of the certified hst of schools eligible to receive the Gover-
nor's Performance Award.
NOTE: Authority cited: Sections 33031 and 52057(a), Education Code. Refer-
ence: Sections 52052 and 52057, Education Code.
History
1 . New section filed 1 2-28-2000 as an emergency ; operative 1 2-28-2000 (Regis-
ter 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by
4-27-2001 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 12-28-2000 order, including amendment of
subsection (a), transmitted to OAL 4-27-2001 and filed 6-1 1-2001 (Register
2001. No. 24).
3. Amendment of section heading, repealer and new section and amendment of
NOTE filed 1-8-2002; operative 1-8-2002 (Register 2002, No. 2).
§ 1037. Exemption from Statutory Benefits Calculations.
Certificated Staff Performance Incentive Act awards shall not be con-
sidered compensation for the purposes of calculating retirement benefits
or contributions, or for any other benefit that an employee is eligible to
receive where the benefit or contribution amount is calculated based on
compensation.
NOTE: Authority cited: Sections 33031 , 44650(b) and 52057(a), Educafion Code.
Reference: Section 44654(b), Education Code.
History
1. New section filed 12-28-2000 as an emergency; operative 12-28-2000 (Regis-
ter 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by
4-27-2001 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 12-28-2000 order transmitted to OAL
4-27-2001 and filed 6-1 1-2001 (Register 2001, No. 24).
3. Amendment filed 1-8-2002; operative 1-8-2002 (Register 2002. No. 2).
§ 1038. Exemption from Indirect Costs.
Governor's Perforinance Awards and Certificated Staff Performance
Incentive Act awards shall not be subject to school district, county, or
school indirect charges or other administrative charges.
Note: Authority cited: Sections 3303 1 . 44650(b) and 52057(a). Education Code.
Reference: Sections 44650-44652. 44654(b). 52052 and 52057. Education Code.
History
l.Newsecnon filed 12-28-2000 as an emergency; operative 12-28-2000 (Regis-
ter 2000. No. 52). A Certificate of Compliance must be transmitted to OAL by
4-27-2001 or emergency language will be repealed by operation of law on the
following day.
2. Renumbering of former section 1038 to section 1039 and new section 1038filed
1-30-2001 as an emergency; operative 1-30-2001 (Register 2001, No. 5). A
Certificate of Compliance must be transmitted to OAL by 5-30-2(X)l or emer-
gency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-28-2000 and 1-30-2001 orders, including
amendment of Note, transmitted to OAL 4-27-2001 and filed 6-1 1-2001
(Register2001.No. 24).
4. Amendment of section and Note filed 1 -8-2002; operative 1 -8-2002 ( Register
2002, No. 2).
§ 1039. Use of Award Funds Allocated to School Sites.
Use of funds at the school site for the Governor's Performance Award
Program shall be decided by the existing school site governance team/
school site council representing major stakeholders and then ratified by
the governing board of each local educational agency.
Note: Authority cited: Sections 33031 and 52057(a), Education Code. Refer-
ence: Sections 52052 and 52057. Education Code.
History
1. Renumbering of former section 1038 to section 1039 filed 1-30-2001 as an
emergency; operative 1-30-2001 (Register 2001, No. 5). A Certificate of Com-
pliance must be transmitted to OAL by 5-30-2001 or emergency language will
be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-30-2001 order transmitted to OAL
4-27-2001 and filed 6-11-2001 (Register 2001, No. 24).
3. Amendment of section and Note filed 1-8-2002; operative 1 -8-2002 (Register
2002, No. 2).
Article 2.
Physical Performance Testing
Programs
§1040. Definitions.
For the purpose of the physical performance test required by Educa-
tion Code section 60800, and also referred to as the Physical Fitness Test
(PFT), the following definiUons shall apply:
(a) "Accommodations" means any variation in the assessment envi-
ronment or process that does not fundamentally alter what the test mea-
sures or affect the comparability of scores.
(b) "Annual assessment window" begins on February 1 and ends on
May 31 of each school year.
(c) "Block schedule" is a restructuring of the school day whereby pu-
pils attend half as many classes, for twice as long.
(d) "District Physical Fitness Test Coordinator" is an employee of the
school district designated by the :superintendent of the district to oversee
the administration of the PFT within the district.
(e) ''FITNESSGRAM®'' November, 2005, is the California Physical
Fitness Test designated by the State Board of Education (SBE), a docu-
ment incorporated by reference.
(f) "Grade" for the purpose of the PFT means the grade assigned to the
pupil by the school district at the time of testing.
(g) "Modification" means any variation in the assessment environ-
ment or process that fundamentally alters what the test measures or af-
fects the comparability of scores.
Page 37
Register 2006, No. 31; 8-4-2006
§1041
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(h) "Pupil" is a person in grades 5. 7 or 9, enrolled in a California public
school or placed in a non-public school through the individualized
education program (lEP) process pursuant to Education Code section
58365.
(i) "School district" includes elementary, high school, and unified
school districts, county offices or education, any charter school that for
assessment purposes does not elect to be part of the school district or
county office of education that granted the charter, and any charter school
chartered by the SBE.
(i) "Test administration manual" is the Updated Third Edition
HTNESSGRAM/ACTIVITYGRAM, a document incorporated by
reference. A copy is available for review from CDE staff in the Standards
and Assessment Division.
(k) "Test examiner" is an employee of the school district who adminis-
ters the PFT.
(/) "Variation" is a change in the manner in which a test is presented
or administered, or in how a test taker is allowed to respond, and includes,
but is not limited to accommodations and modifications.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
60603 and 60608, Education Code.
History
1. Repealer filed 9-25-69; effective thirtieth day thereafter (Register 69, No. 39).
2. New Note filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
3. Amendment of section heading, new section and amendment of Note filed
7-31-2006; operative 8-30-2006 (Register 2006, No. 3r).
§1041. Required Program.
(a) During the annual assessment window, the governing board of
each school district maintaining grades 5, 7, and 9, or any one or more
of such grades, shall administer to each pupil in those grades the physical
performance test, FITNESSGRAM®, designated by the State Board of
Education. This includes pupils who attend schools that are on a block
schedule and whose pupils may not be enrolled in physical education
classes during the annual assessment window.
(b) All pupils in grades 5. 7 and 9 shall only take the test once during
the annual assessment window.
(c) School districts shall test all pupils in alternative education pro-
grams conducted off the regular school campus, including, but not lim-
ited to continuation schools, independent study, community day schools,
and county community schools.
(d) No test shall be administered in a home or hospital except by a test
examiner. No test shall be administered to a pupil by the parent or guard-
ian of that pupil.
(e) Pupils shall be tested in each fitness component included in the PFT
unless exempt by the pupil's lEP or Section 504 plan.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
60615 and 60800, Education Code.
History
1. Amendment filed 9-25-69; effective thirtieth day thereafter (Register 69, No.
39).
2. Amendment filed 5-18-72; effective thirtieth day thereafter (Register 72. No.
21).
3. Amendment filed 5-1 1-89 and 5-15-89; operative 5-15-89 (Register 89, No.
20).
4. Amendment of section and Note filed 7-31-2006; operative 8-30-2006 (Reg-
ister 2006, No. 31).
§ 1042. Recommended Program.
NOTE: Authority cited: Section 33031, Education Code. Reference: Secfion
60605, Educafion Code.
History
1. Repealer of section and new Note filed 7-31-2006; operaUve 8-30-2006 (Reg-
ister 2006, No. 31).
§1043. Methods of Administration.
(a) The tests shall be administered and scored by employees of the dis-
trict or the employees of the county superintendent of schools. The scor-
ing thereof shall be in compliance with the instructions of the publisher
or developer for scoring, and the scores shall be submitted to the govern-
ing board of the school district on the dates required by, and on forms pre-
scribed or approved by, such governing board.
(b) Districts may provide an alternative date for make-up based on ab-
sence or temporary physical restriction or limitations (e.g., recovering
from illness or injury).
NOTE: Authority cited: Section 33031. Educafion Code. Reference: Secfion
60800, Education Code.
History
1. Amendment of section and new Note filed 7-31-2006; operative 8-30-2006
(Register2006, No. 31).
§ 1043.2. Test Administration Training.
(a) For valid results, districts shall use the test administration manual
provided for the test designated by the SBE.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
60800, Education Code.
History
1. New section filed 7-31-2006; operative 8-30-2006 (Register 2006, No. 31).
§ 1043.4. District Physical Fitness Test Coordinator.
(a) On or before November 1 of each school year, the superintendent
of each school district, county office of education, and independent char-
ter school may designate from among its employees a District Physical
Fitness Test Coordinator. If a District Physical Fitness Test Coordinator
is designated, the superintendent shall notify the contractor for the PFT
of the identity and contact information of the District Physical Fitness
Test Coordinator. The District Physical Fitness Test Coordinator shall be
available throughout the year and shall serve as the liaison between the
school district and the CDE for all matters related to the PFT.
(b) The District Physical Fitness Test Coordinator responsibilities in-
clude, but are not limited to, the following:
( 1 ) Responding to correspondence and inquiries from the contractor
in a timely manner and as provided in the contractor's instructions.
(2) Determining school district and individual school test and test ma-
terial needs.
(3) Overseeing the administration of the PFT to pupils.
(4) Overseeing the collection and return of all test data to the contrac-
tor.
(5) Ensuring that all test data are received from school test sites within
the school district in sufficient time to satisfy the reporting requirements.
(6) Ensuring that all test data are sent to the test contractor by June 30
of each year.
NOTE; Authority cited: Secfion 33031, Educafion Code. Reference: Section
60800, Education Code.
History
1 . New section filed 7-31-2006; operative 8-30-2006 (Register 2006, No. 31).
§ 1043.6. Data for Analysis of Pupil Proficiency.
(a) Each school district shall provide the contractor of the PFT the
California School Information Services (CSIS) student identification
number and demographic information for each pupil tested for purposes
of the analyses and reporting.
(b) The demographic information required by subdivision (a) is for the
purpose of aggregate analyses and reporting only.
(c) School districts shall provide the same information for each pupil
enrolled in an alternative or off-campus program, or for pupils placed in
nonpublic schools, as provided for all other pupils.
NOTE: Authority cited: Secfion 33031, Educafion Code. Reference: Section
49061, 60605 and 60800, Education Code; and 20 USC Secfion 1232g.
History
1. New secfion filed 7-31-2006; operafive 8-30-2006 (Register 2006, No. 31).
§ 1 043.8. Reporting Test Scores.
No aggregate or group scores or reports that are compiled pursuant to
Education Code section 60800 shall be reported electronically, in hard
copy, or in other media, to any audience other than the school or school
district where the pupils were tested, if the aggregate of group scores or
reports are composed of ten (10) or fewer individual pupil scores. In each
instance in which no score is reported for this reason, the notation shall
appear: "The number of pupils in this category is loo small for statistical
Page 38
Register 2006, No. 31; 8-4-2006
Title 5
California Department of Education
§ 1063
•
accuracy or privacy protection." In no case shall any group score be re-
ported that would deliberately or inadvertently make public the score or
performance of any individual pupil.
Noi'E; Authority cited: Section .13031 and 60605. Education Code. Reference:
Section 49061, 60605 and 60800, Education Code: 20 USC Section 12322; 34
CFR part 99: and 20 USC Section 631 l(bK3)(C)xiii.
History
1. New section filed 7-31-2006; operative 8-30-2006 (Register 2006, No. 31).
§ 1 043.1 0. Reports of Results.
Results shall be provided to each pupil after completing the test. The
results may be provided orally or in writing.
NoiE: Authority cited: Section 33031, Education Code. Reference: Section
60800, Education Code.
History
1. New section Hied 7-31-2006; operative 8-30-2006 (Register 2006, No. 31 ).
§ 1044. Recording Test Scores.
The district superintendent or the county superintendent of schools, as
the case may be, shall require that the pupil's scores on each of the tests
given him or her in the physical performance testing program be included
in the pupil's cumulative record. This requirement may be met by main-
taining the regular physical performance testing program card with the
cumulative record form.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
60800. Education Code.
History
1. Amendment of section and new Note filed 7-31-2006; operative 8-30-2006
(Register2006, No. 31).
§ 1 045. Responsibility of County Superintendent of
Schools.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
60610, Education Code.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2 . Repealer of section and new Note filed 7-3 1 -2006; operative 8-30-2006 (Reg-
ister 2006, No. 31).
§ 1 046. Use of Reports.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
60800, Education Code.
History
1 . Repealer of section and new Note filed 7-31-2006; operative 8-30-2006 (Reg-
ister 2006, No, 31).
Article 2.5. Testing
Variations/Accommodations
§ 1047. Testing Variations and Accommodations Available
to Pupils.
(a) Each pupil with an lEP or Section 504 plan shall be given as much
of the test as his or her condition will permit.
(b) School districts may provide all pupils the following test varia-
tions:
(1 ) extra time within a testing day.
(2) test directions that are simplified or clarified.
(c) All pupils may have the following testing variations if regularly
used in the classroom:
(1) audio amplification equipment.
(2) test individual student separately provided that the pupil is directly
supervised by the test examiner.
(3) Manually Coded English or American Sign Language to present
directions for test administration.
(d) School districts may provide pupils with disabilities the following
accommodations when administering the PFT if specified in the pupil's
lEP or Section 504 plan:
(1) Administration of the PFT at the most beneficial time of day to the
pupil after consultation with the test contractor.
(2) Administration of the PR" by a test examiner to the pupil at home
or in the hospital.
(3) Any other accommodation specified in the pupil's lEP or Section
504 plan for the PFT.
Note: Authority cited: Section 3303 1 , Education Code. Reference: 20 USC Sec-
tion 1400, e( see].; 29 USC Section 794; and 42 USC Section 12132 and 12133.
History
1. New section filed 7-31-2006; operative 8-30-2006 (Register 2006, No. 31 ).
§ 1 048. Testing Variations Available to English Learners.
School districts may provide identified English learner pupils the fol-
lowing additional testing variations if regulariy used in the classroom or
for assessment:
(1) English learners may have the opportunity to be tested separately
with other English learners provided that the pupil is directly supervised
by the test examiner.
(2) English learners may have the opportunity to hear the test direc-
tions printed in the test contractor's manual translated into their primary
language. English learners may have the opportunity to ask clarifying
questions about the test directions in their primary language.
NOTE: Authority cited: Section 33031. Education Code. Reference: Section
60800, Education Code.
History
1. New section filed 7-31-2006; operative 8-30-2006 (Register 2006. No. 31).
Article 3. Reading Testing Programs in
Grades 1, 2, and 3
NOTE: Authority cited: Sections 33031, .54103, 60602, 60603, 60607. 60640.
Education Code. Reference: Sections 60640-60644, Education Code.
History
1. Repealer of Article 3 (Sections 1050-1060) filed 1 1-29-79; effective thirtieth
day thereafter (Register 79, No. 48). For prior history, see Registers 77. No. 39,
76, No. 40, 74, No. 52, 72, No. 1 8, 72, No. 8, 7 1 , No. 25, 69, No. 39 and 67. No.
51.
Article 4.
Alternative Assessment Pilot
Project
§1061. Eligibility.
NOTE: Authority cited: Sections 3.3031 and 60731, Education Code. Reference:
Sections 60730, 60731 and 60731.5, Education Code.
History
1. New section filed 5-20-91 as an emergency; operative 5-20-91 (Regisler91,
No. 26). A Certificate of Compliance must be transmitted toOAL by 9-17-91
or emergency language will be repealed by operation of law on the following
day.
2. Repealed by operation of Government Code section 1 1346.1(g) (Register 92.
No. 39).
§1062. Application Process.
NOTE; Authority cited: Sections 33031 and 60730, Education Code. Reference:
Sections 60730, 60731 and 60731.5, Education Code.
History
1. New section filed 5-20-91 as an emergency; operative 5-20-91 (Register 91.
No. 26). A Certificate of Compliance rnust be transmitted to OAL by 9-17-9 1
or emergency language will be repealed by operation of law on the following
day.
2. Repealed by operation of Government Code section 1 1346.1(g) (Register 92,
No. 39).
§ 1063. Mandatory Application Requirements and Review
Process.
NOTE: Authority cited: Sections 33031 and 60730, Education Code. Reference:
Sections 60731, 60731.5 and 60731 6, EducaUon Code; and Statutes of 1990,
Chapter 12, Section 1.
History
1. New section filed 5-20-91 as an emergency; operative 5-20-91 (Register 91,
No. 26). A Certificate of Compliance must be transmitted to OAL by 9- 1 7-9 1
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 92,
No. 39).
Page 38.1
Register 2006, No. 31; 8-4-2006
§1064
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
3. Editorial correction of Authority cite (Register 95, No. 9).
§ 1064. Quality Requirements and Review Process.
NOTE: Authority cited: Sections 33031 and 60730, Education Code. Reference:
Sections 60731, 60731.5 and 60731.6, Education Code; and Statutes of 1990,
Chapter 12, Section 1.
History
1. New section filed 5-20-91 as an emergency; operative 5-20-91 (Register 91,
No. 26). A Certificate of Compliance must be transmitted to OAL by 9-17-91
or emergency language will be repealed by operation of law on the following
day.
2. Repealed by operation of Government Code section 1 1346.1(e) (Register 92,
No. 39).
§ 1 065. Eligibility of Agency Providing Independent
Evaluation.
NOTE: Authority cited: Sections 33031 and 60731, Education Code. Reference:
Sections 60730 and 60731.5, Education Code; and Statutes of 1990. Chapter 12,
Section 1.
History
1 . New section filed 5-20-9 1 as an emergency; operative 5-20-91 (Register 91 ,
No. 26). A Certificate of Compliance must be transmitted to OAL by 9-17-91
or emergency language will be repealed by operation of law on the following
day.
2. Repealed by operation of Government Code section 1 1346.1(g) (Register 92,
No. 39).
§ 1066. Evaluation of Proposals to Conduct Independent
Evaluation.
NOTE: Authority cited: Sections 33031 and 60730, Education Code. Reference:
Sections 60730 and 60731.5, Education Code.
History
1 . New section filed 5-20-91 as an emergency; operative 5-20-91 (Register 91,
No. 26). A Certificate of Compliance must be transmitted to OAL by 9-17-9 1
or emergency language will be repealed by operation of law on the following
day.
2. Repealed by operation of Government Code section 1 1346.1(e) (Register 92,
No. 39).
§ 1067. Rating Criteria for Selecting Independent
Evaluation Agency.
NOTE: Authority cited: Sections 33031 and 60730, Education Code. Reference:
Sections 60730, 60731.5 and 60731.6, Education Code; and Statutes of 1990,
Chapter 12, Section 1.
History
1 . New section filed 5-20-91 as an emergency; operative 5-20-91 (Register 91,
No. 26). A Certificate of Compliance must be transmitted to OAL by 9-17-91
or emergency language will be repealed by operation of law on the following
day.
2. Repealed by operation of Government Code section 1 1346.1(g) (Register 92,
No. 39).
•
[The next page is 39.]
Page 38.2
Register 2006, No. 31; 8-4-2006
Title 5
California Department of Education
§ 1072
Article 5. Alternative Schools
Accountability Model Pre^Post
Assessments
§ 1068. Application of this Article.
This article shall only apply to schools that are registered in the Alter-
native Schools Accountability Model ( ASAM) and have chosen to adopt
a pre-post assessment instrument as an indicator for use in the ASAM.
Note: Authority cited: Section 33031, Education Code. Reference: Section
52052. Education Code.
History
1 . New article 5 (sections 1 068-1074) and section fded 7-2 1 -2003 as an emergen-
cy; operative 7-21-2003 (Register 2003, No. 30). A Certificate of Compliance
must be transmitted to OAL by 1 1-1 8-2003 or emergency language will be re-
pealed by operation of law on the following day.
2. Certificate of Compliance as to 7-21-2003 order transmitted to OAL
9-25-2003 and filed 1 1-6-2003 (Register 2003, No. 45).
§1069. Definitions.
For the purposes of this article, the following definitions apply:
(a) "Pre-post assessment instrument" is an assessment instrument
available for adoption as an indicator of achievement by schools in the
ASAM.
(b) "Pre-tesi" is an initial assessment given no later than 20 instruc-
tional days following the pupil's first day of enrollment in the ASAM
school.
(c) "Post-test" is an assessment given after a minimum of 30 days of
instruction following the administration of the pre-test.
(d) "ASAM test site coordinator" means the ASAM school principal
or other district employee designated by the district superintendent to
oversee the acquisition, and the secure distribution, administration, scor-
ing, and reporting of a pre-post assessment instrument at the school site.
(e) "Test Administrator" means a certificated employee or paraprofes-
sional employee of a school district trained in the administration of a pre-
post assessment instrument by the ASAM test site coordinator.
(f) "Long-term student" is a student who has been confinuously en-
rolled in the ASAM school for a minimum of 90 consecutive school days
during the school year.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
52052. Education Code.
History
1 . New section filed 7-21-2003 as an emergency; operative 7-21-2003 (Register
2003, No. 30). A Certificate of Compliance must be transmitted to OAL by
1 1-18-2003 or emergency language will berepealedby operation of law on the
following day.
2. Certificate of Compliance as to 7-21-2003 order transmitted to OAL
9-25-2003 and filed 1 1-6-2003 (Register 2003. No. 45).
§ 1070. Administration of Pre-Post Assessment
Instrument.
(a) In order to yield reliable and valid results, each pre-post assess-
inent instrument shall be administered in accordance with directions pro-
vided in the publisher's assessment administrafion manual.
(b) The school's ASAM test site coordinator shall oversee the admin-
istration of all pre-post assessment instruments to ensure adherence to
the directions provided in the publisher's assessment administration
manual.
NotE: Authority cited: Section 33031, Education Code. Reference: Section
52052, Education Code.
History
1 . New section filed 7-21-2003 as an emergency; operative 7-21-2003 (Register
2003, No. 30). A Certificate of Compliance must be transmitted to OAL by
1 1-18-2003 or emergency language will be repealed by operation oflaw on the
following day.
2. Certificate of Compliance as to 7-21-2003 order transmitted to OAL
9-25-2003 and filed 1 1-6-2003 (Register 2003, No. 45).
§ 1 071 . Test Administrator Eligibility.
Any certificated employee of a school district trained in the adminis-
tration of the pre-post assessment instruinent may administer the as,sess-
ment. Trained paraprofessional employees of the district may administer
the pre-post assessment instrument under the direct supervision of a
trained cerdficated employee.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
52052, Education Code.
History
1. New section filed 7-21-2003 as an emergency; operative 7-21-2003 (Register
2003. No. 30). A Certificate of Compliance must be transmitted to OAL by
1 1-18-2003 oremergency language will be repealed by operation oflaw on the
following day.
2. CerUficate of Compliance as to 7-21-2003 order transmitted to OAL
9-25-2003 and filed 1 1-6-2003 (Register 2003, No. 45).
§ 1072. Security and Storage Requirements.
(a) To ensure security of the pre-post assessment instruinents, all
ASAM assessment test site coordinators (coordinators) shall sign the
ASAM Pre-Post Assessment Security Agreement as set forth in subdivi-
sion (b).
(b) The ASAM Pre-Post Assessment Security Agreement shall be as
follows:
ASAM PRE-POST ASSESSMENT SECURITY AGREEMENT
The coordinator acknowledges by his or her signature on this form that
the ASAM pre-post assessment instalments are secure assessments and
agrees to each of the following condifions to ensure test security:
(1 ) The coordinator will take all necessary precautions to safeguard all
pre-post assessment instruments and assessment materials by limiting
access to persons within the school district with a responsible, profes-
sional interest in the assessment instruments' security.
(2) The coordinator will keep on file the names of persons having ac-
cess to pre-post assessment instruments and assessment materials. All
persons having access to the materials shall be required by the coordina-
tor to sign the ASAM Pre-Post Assessment Security Affidavit that will
be kept on file in the school and school district office.
(3) The coordinator will keep the pre-post assessment instruments and
assessment materials in a secure, locked location at the school site, limit-
ing access to only those persons responsible for assessment security, ex-
cept on actual administration dates.
(4) The coordinator will be responsible for ensuring the security of all
scoring activifies whether done at the school site, the district office, or by
an external contractor.
By signing my name to this document, I am assuring that I and anyone
having access to the pre-post assessment instruments will sign a security
affidavit.
By:
Title:
School:
School District:
Date:
(c) All persons having access to the ASAM pre-post assessment
instruments, including but not limited to the coordinator and test admin-
istrators, shall acknowledge the limited purpose of their access to the as-
sessment instruments by signing the ASAM Pre-Post Assessment Secu-
rity Affidavit set forth in subdivision (d).
(d) The ASAM Pre-Post Test Security Affidavit shall be as follows:
ASAM PRE-POST ASSESSMENT SECURITY AFFIDAVIT
I acknowledge that I will have access to the ASAM pre-post assess-
ment instruments for the purpose of administering or scoring the assess-
ments. I understand that these materials are highly secure, and it is my
professional responsibility to protect their security as follows:
(1)1 will not divulge the contents of the pre-post assessment instru-
ments to any other person.
(2) I will not copy any part of the pre-post assessment instruments or
assessment materials.
(3) I will keep the pre-post assessment instruments secure until the as-
sessments are actually distributed to pupils or, in the case of computer-
Page 39
Register 2007, No. 51; 12-21-2007
§1073
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
administered assessments, the pupils actually log on to begin the assess-
ments.
(4) I will limit pupils' access to the pre-post assessment instalments
and assessment to the actual testing periods.
(5) I will not permit pupils to remove pre-post assessment instruments
and assessment materials from the room where testing takes place.
(6) I will not disclose, or allow to be disclosed, the contents of, or the
scoring keys to, the pre-post assessment instruments.
(7) I will return all pre-post assessment instruments and assessment
materials to the designated coordinator upon completion of the assess-
ment administration.
(8) I will not interfere with the independent work of any pupil taking
a pre-post assessment and 1 will not compromise the security of the as-
sessment instrument by means including, but not limited to:
(A) Providing pupils with access to pre-post assessment questions
prior to administration of the assessment instrument.
(B) Copying, reproducing, transmitting, distributing or using in any
manner inconsistent with test security all or any portion of any secure
pre-post assessment instrument.
(C) Coaching pupils during administration of the assessment instru-
ment or altering or interfering with the pupils' responses in any way.
(D) Making answer keys available to pupils.
(E) Failing to follow security rules for distribution and return of secure
pre-post assessment instruments as directed, or failing to account for all
secure pre-post assessment instruments and assessment materials be-
fore, during, and after their administration.
(F) Failing to follow administration directions specified in the publish-
er's assessment administration manual.
(G) Participating in, directing, aiding, counseling, assisting in, or en-
couraging any of the acts prohibited in this section.
Signed:
Print Name:
Position: ^____^_______
School:
School District:
Date:
NOTE; Authority cited: Section 33031, Education Code. Reference: Section
52052, Education Code.
History
1 . New section filed 7-21-2003 as an emergency; operative 7-21-2003 (Register
2003, No. 30). A Certificate of Compliance must be transmitted to OAL by
1 1 -1 8-2003 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 7-21-2003 order transmitted to OAL
9-25-2003 and filed 11-6-2003 (Register 2003, No. 45).
§1073. Scoring.
All pre-post assessment instruments scored at the school site or dis-
trict office shall be scored under the supervision of the coordinator. The
coordinator will monitor the contract for any scoring activities carried
out by an external contractor. All scoring shall be done following the
instructions and using the answer keys provided by the publisher of the
specific pre-post assessment instrument.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
52052, Education Code.
History
1 . New section filed 7-21-2003 as an emergency; operative 7-21-2003 (Register
2003, No. 30). A Certificate of Compliance must be transmitted to OAL by
1 1-18-2003 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 7-21-2003 order transmitted to OAL
9-25-2003 and filed 1 1-6-2003 (Register 2003, No. 45).
§1074. Reporting.
School districts that have adopted a pre-post assessment instrument
as an indicator of achievement for an AS AM school shall submit the fol-
lowing information for each long-term student enrolled in the school.
(a) Local student Identification number (as available).
(b) Test name and form.
(c) Dates pre-post assessment instruments were administered.
(d) Scores on each assessment instrument.
(e) Student demographics:
( 1 ) Date of birth.
(2) Grade level.
(3) Gender.
(4) Language lluency and home language.
(5) Special program participation.
(6) Testing adaptations or accommodations.
(7) Amount of time in school district and in California public schools.
(8) Ethnicity.
(9) Parent education level.
(10) Handicapping condition or disability.
This information is for the purpose of aggregate analyses only.
Districts shall submit the ASAM pre-post assessment instrument re-
sults to CDE or its designee by October 28 each year.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
52052, Education Code.
History
1. New section filed 7-21-2003 as an emergency; operative 7-21-2003 (Register
2003, No. 30). A Certificate of Compliance must be transmitted to OAL by
11-1 8-2003 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 7-21-2003 order transmitted to OAL
9-25-2003 and filed 11-6-2003 (Register 2003, No. 45).
3. Amendment of final paragraph filed 5-25-2006; operative 6-24-2006 (Regis-
ter 2006, No. 21).
Subchapter 6. California High School Exit
Examination
Article 1. General
§1200. Definitions.
For the purposes of the high school exit examination, the following
definitions shall apply:
(a) "CDE" is the Cahfomia Department of Education.
(b) "District coordinator" is an employee of the school district desig-
nated by the superintendent of the district to oversee the administration
of the high school exit examination within the district.
(c) "Eligible adult student" is a person enrolled in an adult school oper-
ated by a school district who is working to attain a high school diploma
and has not passed both the English-language arts section and the mathe-
matics section of the high school exit examination. This term does not in-
clude pupils who are concurrently enrolled in high school and adult
school.
(d) "Eligible pupil" is a person enrolled in a California public school
in grade 1 0, 1 1 , or 1 2, including those pupils placed in a nonpublic school
through the individualized education program (lEP) process pursuant to
Education Code section 56365, who has not passed both the English-lan-
guage arts section and the mathematics section of the high school exit ex-
amination.
(e) "Examination" is the high school exit examination.
(0 "Excessive materials" is the difference between the sum of the
number of tests scored and 80 percent of the tests ordered by the school
district for the entire school year. The difference must be greater than 1 00
to be "excessive materials."
(g) "Grade" for the purposes of the high school exit examination
means the grade assigned to the pupil by the school district at the time of
testing.
(h) "Grade 10 census administration" is the administration of the high
school exit examination during which all eligible pupils in grade 10 are
to take the examination.
(i) "Opportunity" shall refer to a chance an eligible pupil or eligible
adult student is provided to take the section(s) of the examination not yet
passed.
(j) "School district" includes unified and high school districts, county
offices of education, any charter school that for assessment purposes
Page 40
Register 2007, No. 51; 12-21-2007
Title 5
California Department of Education
§ 1204.5
does not elect to be part of the school district or county office of education
that granted the charter, and any charter school chartered by the State
Board of Education (SBE).
(k) "Scribe" is an employee of the school district, or a person assigned
by a nonpublic school to implement a pupil's lEP and is required to tran-
scribe an eligible pupil's or eligible adult student's responses to the for-
mat required by the examination. No parent or guardian is eligible to be
a scribe for their own pupil or student.
(/) "Section," "portion." and "part(s)" of the examination shall refer to
either the English-language arts section of the high school exit examina-
tion or the mathematics section of the high school exit examination.
(m) "Significant medical emergency" is a significant accident, trauma,
or illness (mental or physical) that precludes a pupil in grade 10 from tak-
ing the examination. An accident, trauma or illness is significant if the
pupil has been determined by a licensed physician to be unable lo partici-
pate in the examination.
(n) "Test administration" is the period of time starting with the deliv-
ery of the secure testing materials to the district and ending with the return
shipment of materials to the test contractor, and includes the period of
time during which eligible pupils or eligible adult students take one or
both sections of the examination.
(o) "Test examiner" is an employee of a school district, or a person as-
signed by a nonpublic school to implement a student's lEP, who has re-
ceived training specifically designed to prepare him or her to administer
the high school exit examination.
(p) "Test materials" are materials necessary to administer the ex-
amination, including but not limited to test manuals, pupil test booklets,
answer documents, special test versions, and other materials developed
and provided by the test contractor.
(q) "Test proctor" is an employee of a school district, or a person as-
signed by a nonpublic school to implement a pupil's lEP, who has re-
ceived training specifically designed to prepare him or her to assist the
test examiner in administration of the high school exit examination.
(r) "Test site coordinator" is an employee of the school district desig-
nated by the district coordinator or the superintendent or a person as-
signed by a nonpublic school to implement a student's lEP. who oversees
the administration of the high school exit examination at each test site at
which the examination is given.
(s) "Variation" is a change in the manner in which a test is presented
or administered, or in how a test taker is allowed to respond, and includes,
but is not limited to. accommodations and modifications as defined in
Education Code section 60850.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
52504. 56365, 60850 and 60851, Education Code; and 20 USC Section 631 1 .
History
1 . Amendment of subchapter 6 heading and new subchapter 6 (articles 1-5, sec-
tions 12(X)-1225), article 1 (section 1200) and section filed 6-20-2001 ; opera-
live 7-20-2001 (Register 2001, No. 25). For prior history of subchapter 6, see
Register 76, No. 3.
2. Amendment of subsections (e) and (g) and amendment of Note filed 5-1 -2003;
operative 5-1-2003 pursuant to Government Code section 11343.4 (Register
2003, No. 18).
3. Amendment of section and Note filed 5-19-2004; operative 5-19-2004 pur-
suant to Government Code section 1 1343.4(c) (Register 2004, No. 21).
4. Amendment of section and Note filed 8-16-2005; operative 8-16-2005 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 33).
5. Amendment filed 12-20-2007; operative 12-20-2007 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 51).
Article 2.
High Scliooi Exit Examination
Administration
§1202. Excessive Materials Costs.
The school district is responsible for the cost of excessive materials or-
dered by the school district. In no case shall the cost to the school district
for excessive materials exceed the amount per test booklet and accompa-
nying material that is paid to the contractor by the CDE as part of the con-
tract with the test contractor for the current year billed.
NOTE: Authority cited: Section 3303 1 . Edcation Code. Reference: Section 6085 1 .
Education Code.
History
1. New section filed 12-20-2007; operative 12-20-2007 pursuant toGovemmenl
Code section 1 1343.4 (Register 2007, No. 51 ).
§ 1 203. Pupil or Adult Student Identification.
Test examiners at the test site shall be responsible for the accurate
identification of eligible pupils or eligible adult students who are to be
administered the examination through the use of photo-identification or
positive recognition by an employee of the school district.
NOTE: Authority cited: Section 33031. Education Code. Reference: Section
60851, Education Code.
History
1. New article 2 (sections 120.3-1212) and section filed 6-20-2001: operative
7-20-2001 (Register 2001. No. 25).
2. Amendment of article heading and section filed 5-19-2004: operative
5-19-2004 pursuant to Government Code section 1 1.343.4(c) (Register 2004.
No. 21).
3. Amendment filed 8-16-2005; operative 8-16-2005 pursuant lo Government
Code .section 1 1343.4 (Register 2005. No. 33).
§ 1 204. Grade 1 0 Testing.
All eligible grade 10 pupils shall only take each section of the ex-
amination once per school year v/hile in grade 1 0 during either the grade
10 census administration or the district-designated grade 10 make up ad-
ministration.
NOTE: Authority cited: Section 33031. Education Code. Reference: Section
60851, Education Code.
History
1 . New section filed 6-20-2001; operative 7-20-2001 (Register 2001 . No. 25).
2. Repealer and new section and amendment of Note filed 5-1-2003; operative
5-1-2003 pursuant to Government Code section 1 1343.4 (Register 2003. No.
18).
3. Amendment of section heading and repealer and new section filed 5-19-2004;
operative 5-19-2004 pursuant to Government Code section 1 1343.4(c) (Regis-
ter 2004, No, 21).
4. Amendment filed 12-20-2007; operative 12-20-2007 pursuant to Government
Code section 1 1 343.4 (Register 2007. No. 51).
§ 1 204.5. Grades 1 1 and 1 2 and Adult Student Testing
Dates.
(a) School districts shall provide eligible pupils in grade 1 1 at least two
opportunities per school year to take the section(s) of the examination not
yet passed. Eligible pupils in grade 1 1 may take the section(s) of the ex-
amination not yet passed up to two times per school year and may take
examination in successive administrations.
(b) School districts shall provide eligible pupils in grade 12 at least
three opportunities per school year to take the section(s) of the examina-
tion not yet passed. Eligible pupils in grade 1 2 may take the section(s) of
the examination not yet passed up to three times per school year and may
take the examination in successive administrations.
(c) School districts shall provide eligible adult students at least three
opportunities per school year to tcike the section(s) of the examination not
yet passed. Eligible adult students may take the section(s) of the ex-
amination not yet passed up to three times per school year and may take
the examination in successive administrations.
(d) Eligible pupils in grades 11 and 12 and eligible adult students
should be offered appropriate remediation or supplemental instruction
before being retested.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
37252, 37254 and 60851, Education Code.
History
1. New section filed 5-19-2004; operative 5-19-2004 pursuant to Government
Code secnon 11343.4(c) (Register 2004, No. 21).
2. Amendment of section heading, section and Note filed 8-16-2005; operative
8-16-2005 pursuant to Government Code section 1 1343.4 (Register 2()05, No.
33).
3. Amendment of section heading and section filed 3-16-2006 as an emergency;
operative 3-16-2006 (Register 2006, No. 11). A Certificate of Compliance
must be transmitted to OAL by 7-14-2006 or emergency language will be re-
pealed by operation of law on the following day.
Page 41
Register 2(X)7, No. 51; 12-21-2007
§ 1205
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
4. Certificate of Compliance as to 3-16-2006 order transmitted to OAL
6-12-2006 and filed 7-25-2006 (Register 2006. No. 30).
5. Amendment of section and Note filed 1 2-20-2007; operative 1 2-20-2007 pur-
suant to Government Code section 1 1343.4 (Register 2007, No. 51 ).
§ 1205. School District Information.
School districts shall maintain a summary data file, as set forth below,
of all pupils who participate in each test administration of the examina-
tion. This summary data file shall include the following information for
( 1 ) the English-language arts section, and (2) the mathematics section,
for each test administration:
(a) The date on which each section of the examination was taken.
( b) The full name of each pupil who took each section of the examina-
tion.
(c) The grade leveJ of each pupil at the lime each section of the ex-
amination was taken.
(d) Whether each pupil has satisfied the requirement to successfully
pass the examination for each section or sections of the examination tak-
en.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
60851, Education Code.
History
1 . New section filed 6-20-2001 ; operative 7-20-2001 (Register 2001. No. 25).
2. Amendment of section heading, section and Note filed 5-19-2004; operative
5-19-2004 pursuant to Government Code section 1 1343.4(c) (Register 2004,
No. 21).
3. Amendment of first paragraph filed 12-20-2007; operative 12-20-2007 pur-
suant to Government Code section 1 1.343.4 (Register 2007, No. 51).
§ 1206. Permanent Record Information.
(a) School districts shall maintain in each pupil's permanent record the
following information:
(1) The date on which the pupil took each section of the examination.
(2) Whether the pupil has satisfied the requirement to successfully
pass the examination for each section or sections of the examination tak-
en.
(b) The information required by subdivision (a) of this section shall be
entered in each pupil's permanent record within 60 days of receiving the
electronic data files from the test contractor.
(c) Whenever a pupil transfers from one school district to another, the
new district may request the pupil' s examination results as part of the per-
manent record, pursuant to subdivision (a), in compliance with Educa-
tion Code section 49068.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
49068 and 60851, Education Code.
History
1. New section filed 6-20-2001; operative 7-20-2001 (Register 2001, No. 25).
2. Amendment of section heading, section and Note filed 5-19-2004; operative
5-19-2004 pursuant to Government Code section 1 1343.4(c) (Register 2004,
No. 21).
3. Amendment of subsection (b) filed 8-16-2005; operative 8-16-2005 pursuant
to Government Code section 1 1343.4 (Register 2005, No. 33).
§ 1207. Data for Analysis of Pupil Performance.
(a) Each school district shall provide the test contractor with an answer
document with complete demographic information for each grade 1 0 pu-
pil enrolled at the time of the grade 10 census administration.
(b) Each school district shall provide the following demographic in-
formation for each grade 10, 11, and 12 pupil tested:
(1) Pupil's full name
(2) Date of birth
(3) Grade level
(4) Gender
(5) English proficiency
(6) Primary language
(7) Date of English proficiency reclassification
(8) English leaner enrollment date
(9) Use of English learner test variations
( 1 0) If R-FEP pupil scored proficient or above on the California Eng-
lish-Language Arts Standards Test three times since reclassification
(11) Program participation
(12) National School Lunch Program (NSLP) participation
(13) Use of accommodations or modifications during the examination
(14) Primary disability code
(15) Special Education Exit Date
(16) Participation in California Alternate Performance Assessment
(CAPA)
(17) Ethnicity
(18) School and di.strict CBEDS enrollment
(19) Parent or guardian education level
(20) District and county of residence for students with disabilities
(21) Statewide Student Identifier (SSID)
(22) For Alternative Schools Accountability Model (ASAM) schools,
whether the student has been enrolled in the school less than 90 school
days prior to testing.
(23) Nonpublic nonsectarian school (NPS) code
(24) Independent evaluator survey response data
(c) In addition to the demographic data required to be reported in sec-
tion 1207(b), school districts may report if a grade 10 pupil is not tested
due to a significant medical emergency.
(d) Each school district shall provide the following demographic in-
formation for each adult student tested:
(1) Student's full name
(2) Date of birth
(3) Adult student status
(4) Gender
(5) Use of accommodations or modifications during the examination
(6) Use of English learner test variations
(7) Primary disability code
(8) Ethnicity
(9) District and county of residence for students with disabilities
(e) The demographic information is for the purposes of aggregate anal-
yses only and shall be provided to the test contractor and collected as part
of the testing materials for the examination.
(0 School districts shall provide the same information for each eligible
pupil enrolled in an alternative or off-campus program, or for pupils
placed in nonpublic schools, as is provided for all other eligible pupils.
(g) If the information required by section 1207(b) or 1207(d) is incor-
rect, the school district shall provide corrected information within the
time schedule specified by the test contractor or may enter into a separate
agreement with the contractor to have the district's data file corrected.
Any costs for correcting the student data pursuant to a separate agreement
between the school district and the test contractor shall be the school dis-
trict's responsibility.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
52052, 60855 and 60900, Education Code; and 20 USC Section 631 1.
History
1. New section filed 6-20-2001; operative 7-20-2001 (Register 2001, No. 25).
2. Amendment of section heading, secfion and Note filed 5-19-2004; operative
5-19-2004 pursuant to Government Code section 1 1343.4(c) (Register 2004,
No. 21).
3. Amendment of section and Note filed 8-16-2005; operative 8-16-2005 pur-
suant to Government Code section 11 343.4 (Register 2005, No. 33).
4. Amendment filed 12-20-2007; operafive 12-20-2007 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 51).
§ 1207.1. Data for Analysis of Local Waiver Process for
Pupils with Disabilities.
By December 31 of each year, each school district shall provide to the
CDE the following information from the prior school year pursuant to
Education Code section 60851:
(a) Provide the following information by grade and by school for those
pupils and adult students who have taken one or both parts of the ex-
amination with one or more modificafions and have received the equiva-
lent of a passing score:
•
Page 42
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Title 5
California Department of Education
ij 1209
•
•
( 1 ) The number of pupils or adull students who received the equivalent
of a passing score on the mathematics portion of the examination only.
(2) The number of pupils or adult students who received the equivalent
of a passing score on the English-language arts portion of the examina-
tion only.
(3) The number of pupils or adult students who received the equivalent
of a passing score on both portions of the examination.
(b) Provide the following information by grade, by school, by primary
disability, and by the percent of time in general education for each pupil
and adult student who has taken one or both parts of the examination with
one or more modifications and has received the equivalent of a passing
score and for whom a waiver pursuant to Education Code section
6085 1(c) has been requested:
( 1 ) The number of pupils or adult students for whom a waiver of the
mathematics portion of the examination only has been requested.
(2) The number of pupils or adult students for whom a waiver of the
English-language arts portion of the examination only has been re-
quested.
(3) The number of pupils or adult students for whom a waiver of both
portions of the examination has been requested.
(c) Provide the following information by grade, by school, by primary
disability, and by the percent of time in general education for each pupil
and adull student who has taken one or both parts of the examination with
one or more modifications and has received the equivalent of a passing
score and for whom a waiver pursuant to Education Code section
60851(c) has been granted:
( 1 ) The number of pupils or adult students for whom a waiver of the
mathematics portion of the examination only has been granted.
(2) The number of pupils or adult students for whom a waiver of the
English-language arts portion of the examination only has been granted.
(3) The number of pupils or adult students for whom a waiver of both
portions of the examination has been granted.
(d) Provide the following information by grade, by school, by primary
disability, and by the percent of time in general education for each pupil
and adult student who has taken one or both parts of the examination with
one or more modifications and has received the equivalent of a passing
score and for whom a waiver pursuant to Education Code section
6085 i(c) has been denied:
( 1 ) The number of pupils or adult students for whom a waiver of the
mathematics portion of the examination only has been denied.
(2) The number of pupils or adult students for whom a waiver of the
English-language arts portion of the examination only has been denied.
(3) The number of pupils or adult students for whom a waiver of both
portions of the examination has been denied.
(e) The number of pupils or aduU students that graduated as a result of
having been granted a waiver on one or both portions of the examination.
NOTIZ: Authority cited: Section 33031, Education Code. Reference: Section
60851, Education Code.
History
1 . New section filed 3-16-2006 as an emergency; operative 3-16-2006 (Register
2006. No. 11 ). A Certificate of Compliance must be transmitted to OAL by
7-14-2006 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-16-2006 order transmitted to OAL
6-12-2006 and filed 7-25-2006 (Register 2006, No. 30).
3. Amendment of first paragraph and subsection (e) filed 12-20-2007; operative
12-20-2007 pursuant to Government Code section 11343.4 (Register 2007,
No. 51).
§ 1207.2. Data for Analysis of Exemption for Pupils with
Disabilities in the Class of 2007.
(a) By February 1 . 2008. each school district and state special school
shall provide the following information to the CDE for each pupil in the
class of 2007 who has an lEP or Section 504 plan dated on or before July
1 . 2006. that indicates that the pupil is scheduled to graduate in 2007. but
who has not yet passed both sections of the examination:
(1) Primary disability code.
(2) Percent of time spent in general education.
(3) Anticipated graduation date as specified in the lEP or Section 504
plan.
(4) Whether the pupil satisfied all other stale and local graduation re-
quirements.
(5) The month and year of each attempt to pass the examination with
the accommodations and modifications, if any. specified in the lEP or
Section 504 plan.
(6) Type of remedial or supplemental instruction program completed.
(7) Tine month and year of each attempt to pass the examination after
completing a remedial or supplemental instruction program.
(8) The date on which the pupil, or the parent or legal guardian if the
student is a minor, was notified in writing that the pupil is entitled to re-
ceive free appropriate public education up to and including the academic
year in which the pupil reaches 22 years of age. or until the pupil receives
a high school diploma, whichever occurs first.
(9) Whether the pupil received a waiver from the requirement to pass
the examination pursuant to Education Code section 60851(c).
( 1 0) Whether the pupil satisfied the criteria set forth in Education Code
section 60852.4.
(11) Whether the pupil received a diploma pursuant to Education Code
section 60852.4.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
60852.4, Education Code.
History
1. New section filed 3-16-2006 as an emergency; operative 3-16-2006 (Register
2006, No. 1 1). A Certificate of Compliance must be transmitted to OAL by
7-1 4-2006 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-16-2006 order transmitted to OAL
6-12-2006 and filed 7-25-2006 (Register 2006, No. 30).
3. Amendment of section heading and subsections (a), (a)(8) and (a)( lOH ' ' ) and
amendment of Note filed 12-20-2007; operative 12-20-2007 pursuant to
Government Code section 1 1343.4 (Register 2007. No. 51).
§ 1 207.5. Reporting Test Scores.
No aggregate or group scores or reports that are compiled pursuant to
Education Code section 60851 shall be reported electronically, in hard
copy, or in other media, to any audience other than the school or school
district where the pupils were tested, except the independent evaluator as
set' forth in Education Code section 60855. if the aggregate or group
scores or reports are composed often or fewer individual pupil .scores.
In each instance in which no score is reported for this reason, the notation
shall appear: "The number of pupils in this category is too small for statis-
tical accuracy or privacy protection." In no case shall any group score be
reported that would deliberately or inadvertently make public the score
or performance of any individual student.
NOTE: Authoiity cited: Secfion 33031, Education Code. Reference: Sections
60851 and 60855. Education Code; and 20 USC Section 1232g.
History
1. New section filed 8-16-2005; operative 8-16-2005 pursuant to Government
Code section 1 1343.4 (Register 2005. No. 33).
2. Amendment filed 12-20-2007; operative 12-20-2007 pursuant to Government
Code section 1 1 343.4 (Register 2007. No. 5 1 ).
§ 1208. Notice of the High School Exit Examination.
A school district shall maintain documentation that the parent or
guardian of each pupil has been sent written notification as required by
Education Code sections 48980 and 60850.
Note: Authority cited: Section 33031, Education Code. Reference: Sections
48980 and 60850. Education Code.
History
1. New section filed 6-20-2001; operative 7-20-2001 (Regi.ster 2001. No. 25).
2. Amendment of section heading, section and Note filed 5-19-2004; operative
5-19-2004 pursuant to Govemment Code section 1 1343.4(c) (Register 2004.
No. 21).
§ 1209. High School Exit Examination District Coordinator.
(a) On or before July 1 of each school year, the superintendent of each
school district shall designate from among the employees of the school
district a district coordinator. The superintendent shall notify the test con-
tractor of the identity and contact information for the district coordinator,
including the district coordinator's phone number and email address.
Page 43
Itegister 2(X)7, No. 51; 12-21 -2007
§1210
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(b) The district coordinator or tiie school district superintendent or his
or her designee, shall be available throughout the year and shall serve as
the liaison between the school district and the test contractor and the
school district and the CDE for all matters related to the examination.
(c) The district coordinator or the school district superintendent or his
or her designee shall oversee the administration of the examination to eli-
gible pupils or eligible adult students, in accordance with the manuals or
other instructions provided by the test contractor for administering and
returning all test materials including, but not limited to, the following re-
sponsibilities:
( 1 ) Responding to correspondence and inquiries from the test contrac-
tor and the CDE in a timely manner and as provided in the test contrac-
tor's instructions and these regulations.
(2) Advising the test contractor of the selected administration dates for
the coming school year by March 1 of the prior school year.
(3) For charter schools, advising the test contractor for the coming
school year by March 1 of the prior school year of whether the school,
for assessment purposes, does not elect to be part of the school district
or county office of education that granted the charter. If the charter school
does not advise the test contractor by March 1 , the charter school will be
designated as part of the school district or county office of education that
granted the charter.
(4) Determining school district and individual school examination and
test material needs in conjunction with the test contractor using current
enrollment data.
(5) Completing, filing, and adhering to the Test Security Agreement
as set forth in section 1211.5 with the test contractor prior to the receipt
of test materials. A copy of the Test Security Agreement shall be main-
tained at the district office for 1 2 months from the date signed.
(6) Identifying and training a test site coordinator for each test site and
securing a signed Test Security Agreement from each test site coordina-
tor in the district and from any test examiner at a nonpublic school in
which a pupil has been placed by the district.
(7) Ordering sufficient test materials for eligible pupils and eligible
adult students, including completing an electronic data file containing
the data set forth in section 1207 if the district chooses to have the test
contractor pre-identify answer documents.
(8) Overseeing the collection of all pupil data as required to comply
with sections 1205, 1206, and 1207.
(9) Ensuring that the test materials are retained in a secure, locked
location, in the sealed boxes in which they were received from the test
contractor, from the time they are received in the school district until the
time they are opened for inventory and delivery to test sites.
(10) Ensuring delivery of test materials to the test sites no more than
five working days before the examination is to be administered.
(11) Ensuring that all test materials are received from test sites no later
than the second day following the administration of the examination.
( 1 2) Ensuring that all test materials received from test sites have been
placed in a secure school district location upon receipt.
(13) Ensuring that all test materials are inventoried, packaged, and la-
beled in accordance with instructions from the test contractor. The test
materials shall be ready for pick-up by the test contractor at a designated
location in the school district no more than five working days following
administration of the examination in the school district.
(14) Ensuring that an answer document is submitted for scoring for
each eligible pupil in grade 10 enrolled in the district at the time of the
grade 10 census administration.
(15) Assisting the test contractor and the CDE in the resolution of any
discrepancies in the test information and materials, including but not lim-
ited to, pre-identification files and the number of examinations received
from the test contractor and the number of examinations collected for re-
turn to the test contractor.
( 1 6) Immediately notifying the test contractor of any testing irregulari-
ties, security breaches, or suspected security breaches in the district be-
fore, during, or after the administration of the examination.
NOTE: Authority cited: Section 330.11, Education Code. Reference: Section
608.S1, Education Code; and 20 USC Section 63 11.
History
1. New section filed 6-20-2001; operative 7-20-2001 (Register 2001, No. 25).
2. Ainendinent of subsection (b)(5) and amendment of Note- filed 5-1-2003; op-
erative 5-1-2003 pursuant to Government Code section 11343.4 (Register
2003. No. 18).
3. Amendment of section heading and section filed 5-19-2004; operative
5-19-2004 pursuant to Government Code section 1 1343.4(c) (Register 2004,
No. 21).
4. Amendment of section heading, section and Note filed 8-16-2005: operative
8-16-2005 pursuant loGovemment Code section 1 1343.4 (Register 2005, No.
33).
5. Amendment filed 1 2-20-2007; operative 1 2-20-2007 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 51).
§ 1210. High School Exit Examination Test Site
Coordinator.
(a) Annually, the district coordinator or the superintendent of the
school district shall designate a test site coordinator for each test site. The
designee shall be an employee of the school district, or the person as-
signed by a nonpublic school to implement a student's lEP.
(b) The test site coordinator shall be available to the district coordina-
tor for the purpose of resolving issues that arise as a result of the adminis-
tration of the examination.
(c) The test site coordinator shall oversee the administration of the ex-
amination to eligible pupils or eligible adult students at the test site in ac-
cordance with the manuals or other instructions provided by the test con-
tractor for administering the examination including, but not limited to,
the following responsibilities:
(1) Determining test site and test material needs.
(2) Arranging for test administration at the test site.
(3 ) Training the test examiner(s), test proctors, and scribes as provided
in the test contractor's manual.
(4) Completing a Test Security Agreement and Test Security Affidavit
as set forth in section 121 1.5 prior to the receipt of test materials.
(5) Overseeing test security requirements, including collecting and de-
livering all completed Test Security Affidavit forms to the school district
office from the test examiners and other site personnel involved with test-
ing. All Test Security Affidavits shall be maintained for 12 months from
the date signed.
(6) Overseeing the acquisition and inventory of test materials from the
school district and the distribuUon of test materials to the test examin-
er(s).
(7) Maintaining security over the examination and test data as follows:
(A) Delivering the test materials only to those persons who have
signed the Test Security Affidavit and who are administering the ex-
amination on the date of testing.
(B) Ensuring that strict supervision is maintained over each eligible
pupil or eligible adult student who is being administered the examination
both while the eligible pupil or eligible adult student is in the room in
which the examination is being administered and during any period in
which the eligible pupil or eligible adult student is, for any purpose,
granted a break during testing.
(8) Overseeing the collection of all pupil data as required to comply
with secUons 1205, 1206, and 1207.
(9) Overseeing the collection, inventory, and return of all test materials
to the district coordinator no later than the day following administration
of the examination.
(10) Ensuring that an answer document is submitted for scoring for
each eligible pupil in grade 1 0 enrolled in the test site on the testing dates.
(11) Assisdng the district coordinator and the test contractor in the res-
olution of any discrepancies between the number of examinations re-
ceived from the district coordinator and the number of examinations col-
lected for return to the district coordinator.
(12) Immediately notifying the district coordinator of any tesfing
irregularities, security breaches, or suspected security breaches at the test
site before, during, or after the administraUon of the examination.
•
•
Page 44
Register 2007, No. 51; 12-21-2007
Title 5
California Department of Education
§ 1211.5
•
•
NOTE: Aiilhoiily cited: Section 33031. Education Code. Reference: Section
60851. Hducation Code: and 20 USC Section 631 1.
History
1 . New section filed 6-20-2001 : operative 7-20-2001 (Register 2001, No. 25).
2. Amendmeni of section heading, .section and Nori- filed 3-19-2004; operative
5-19-2004 pursuant to Government Code section 1 1343.4(c) (Reaister 2004.
No. 21).
3. Amendment of section heading, section and Note tiled 8-16-2005; operative
8-16-2005 pursuant to Government Code section 1 1343.4 (Register 2005. No.
33).
4. Amendmeni filed 12-20-2007; operaUve 12-20-2007 pursuant to Government
Code section 1 1 M3.4 (Register 2007. No. 51).
§1211. High School Exit Examination Test Security.
(a) Access to the exatnination materials is limited to eligible pupils
and eligible adult students taking the examination for the purpose of ob-
taining a public high school diploma of graduation, and those who have
signed the security affidavit or agreements, including employees of a
school district directly responsible for administration of the examination,
and persons assigned by a nonpublic school to implement students' lEPs.
(b) To maintain the security of the examination, all school district and
test site coordinators are responsible for inventory control and shall use
appropriate inventory control forms to monitor and track test inventory.
(c) The security of the test rnaterials that have been delivered to the
.school district is the sole responsibility of the school district until all test
materials have been inventoried, accounted for. and delivered to the com-
mon or private carrier designated by the test contractor.
(d) Once test materials have been delivered to the school district, se-
cure transportation of the test materials within a school district including
to nonpublic schools (for students placed through the lEP process), court
and community schools, and home and hospital care, is the responsibility
of the school district.
(e) No examination may be administered in a home or hospital except
by a test examiner. No examination shall be administered to an eligible
pupil by the parent or guardian of that pupil. This subdivision does not
prevent classroom aides frorn being a test proctor and assisting in the ad-
ministration of the examination under the supervision of a test examiner
provided that the classroom aide does not assist his or her own child and
that the classroom aide signs the Test Security Affidavit as set forth in
section 121 1.5.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
60850 and 60851. Education Code.
History
1. New section filed 6-20-2001; operative 7-20-2001 (Register 2001, No. 25).
2. Amendment of subsections (b), (f). (g) and (j), new subsection (k) and amend-
ment of NoTi: filed 5-1-2003; operative 5-1-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 18).
3. Amendment of section heading and section filed 5-19-2004; operative
5-19-2004 pursuant to Government Code section 1 1343.4(c) (Register 2004,
No. 21).
4. Amendment filed 8-16-2005; operative 8-16-2005 pursuant to Government
Code section 11 343.4 (Register 2005, No. 33).
5. Amendment of subsections (a), (c) and (d) filed 12-20-2007; operative
12-20-2007 pursuant to Government Code section 11343.4 (Register 2007,
No. 5 1 ).
§ 1 21 1 .5. High School Exit Examination Test Security
Forms.
(a) All district and test site coordinators shall sign the California High
School Exit Examination Test Security Agreement set forth in subdivi-
sion (b).
(b) The California High School Exit Examination Test Security
Agreement shall be as follows:
CALIFORNIA HIGH SCHOOL EXIT EXAMINATION TEST
SECURITY AGREEMENT
(1)1 will ensure that all test examiners are trained to administer the ex-
amination in compliance with the test administration manuals.
(2) I will take all necessary precautions to safeguard all test materials
by limiting access to persons within the school district with a responsible,
professional interest in the examination's security.
(3) I will not disclose, or allow to be disclosed, the contents of the ex-
amination.
(4) I will keep on file the names of persons having access to test materi-
als. All persons having access to the materials shall be required to sign
the California High School Exit Examination Test Security Affidavit that
will be kept on file in the school district office.
(5) I will keep the test materials in a secure, locked location, limiting
access to only those persons responsible for test security, except on actual
testing dates as provided in California Code of Regulations, title 5, divi-
sion 1 , chapter 2, subchapter 6.
(6) I will not copy any part of the examination or test materials unless
necessary to administer the examination pursuant to section 1215.5 or
1216.
(7) I will not review test questions, develop any scoring keys, or review
or score any pupil responses except as required by the test contractor's
manuals.
By signing my name to this document, I am assuring that I will abide
by the above conditions.
Signed:
Print name:
Title:
School District/Affiliation:
Date:
(c) All persons having access to the California High School Exit Ex-
amination, including but not limited to the test site coordinator, test ex-
aminers, test proctors, scribes, and persons assigned by a nonpublic
school to implement students' IlEPs shall acknowledge the limited pur-
pose of their access to the examination by signing the California High
School Exit Examination Test Security Affidavit set forth in subdivision
(d).
(d) The California High School Exit Examination Test Security Affi-
davit shall be as follows:
CALIFORNIA HIGH SCHOOL EXIT EXAMINATION TEST
SECURITY AFFIDAVIT
I acknowledge that I will have access to test materials for the purpose
of administering the examination. I understand that the.se materials are
highly secure, and it is my professional responsibility to protect their se-
curity as follows:
(1)1 will not divulge the contents of the examination to any other per-
son through verbal, written, or any other means of communication.
(2) I will not copy any part of the test materials.
(3) I will keep the examination secure until the examination is actually
distributed to eligible pupils or eligible adult students.
(4) I will limit access to the test materials by test examinees to the actu-
al testing periods when they are taking the examination.
(5) I will collect and account for all materials following each examina-
tion and will not permit eligible pupils or eligible adult students to re-
move test materials from the room where testing takes place.
(6) I will not review any test questions, passages, or other test items
with eligible pupils or eligible adult students before, during, or after the
examination.
(7) I will return all test materials to the designated test site coordinator
upon completion of the examination.
(8) I will not interfere with the independent work of any eligible pupil
or eligible adult student taking the examination and I will not compro-
mise the security of the examination by any means including, but not lim-
ited to:
(A) Providing eligible pupils or eligible adult students with access to
examination questions prior to testing.
(B) Copying, reproducing, transmitting, distributing or using in any
manner inconsistent with test security all or any section of any secure test
materials.
Page 45
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§1212
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(C) Coaching eligible pupils or eligible adult students during testing
or altering or interfering with the eligible pupil's or eligible adult stu-
dent's responses in any way.
(D) Making answer keys available to eligible pupils or eligible adult
students.
(E) Failing to follow security rules for distribution and return of secure
test materials as directed, or failing to account for all secure test materials
before, during, and after testing.
(F) Failing to follow test administration directions specified in test ad-
ministration manuals.
(G) Participating in, directing, aiding, counseling, assisting in, or en-
couraging any of the acts prohibited in this section.
(9) I will administer the examination in accordance with the directions
for administration set forth in the test contractor's manuals for adminis-
tration of the examination.
(10) I have been trained to administer the examination.
Signed:
Print name:
Title:
School District/Affiliation:
Date:
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
60850 and 60851, Education Code.
History
1. New section filed 5-19-2004; operative 5-19-2004 pursuant to Government
Code section 1 1343.4(c) (Register 2004, No. 21).
2. Amendment filed 8-16-2005; operative 8-16-2005 pursuant to Government
Code section 1 1343.4 (Register 2005, No. 33).
3. Amendment filed 12-20-2007; operative 12-20-2007 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 51).
§ 1 21 2. Test Site Delivery.
NOTE: Authority cited; Section 33031, Education Code. Reference: Section
60851, Education Code.
History
1. New section filed 6-20-2001; operative 7-20-2001 (Register 2001, No. 25).
2. Amendment of section and Note filed 5-1-2003; operative 5-1-2003 pursuant
to Government Code section 1 1343.4 (Register 2003, No. 18).
3. Repealer filed 5-19-2004; operative 5-19-2004 pursuant to Government Code
section 1 1343.4(c) (Register 2004, No. 21).
Article 3. High School Exit Examination
Testing Variations/Accommodations/
Modifications/Waivers
§1215. Testing Variations.
(a) School districts may provide all eligible pupils and eligible adult
students the following testing variations:
(1) extra time within a testing day.
(2) test directions that are simplified or clarified.
(3) student marks in test booklets (other than responses), including
highlighting.
(b) All eligible pupils and eligible adult students may have the follow-
ing testing variations if regularly used in the classroom:
( 1 ) special or adaptive furniture.
(2) special lighting, special acoustics, or visual magnifying or audio
amplification equipment.
(3) an individual carrel or study enclosure.
(4) test individual student in a separate room provided that the eligible
pupil or eligible adult student is directly supervised by an employee of
the school, school district, or nonpublic school, who has signed the Test
Security Affidavit.
(5) colored overlay, mask, or other means to maintain visual attention
to the examination or test items.
(6) Manually Coded English or American Sign Language to present
directions for test administration.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
60851, Education Code.
History
1. New article 3 (.sections 1215-1219.5) and section filed 12-21-2001; operative
1-20-2002 (Register 2001, No. 51).
2. Amendment of article heading and amendment of Note filed 5-1-2003; opera-
tive 5-1-2003 pursuant to Government Code section 1 1343.4 (Register 2003,
No. 18).
3. Amendment of article heading, section heading and section filed 5-19-2004;
operative 5- 1 9-2004 pursuant to Government Code section 1 1 343.4(c) (Regis-
ter 2004. No. 21).
4. Amendment of section heading and section filed 8-16-2005; operative
8- 1 6-2005 pursuant to Government Code section 1 1343.4 (Register 2005. No.
33).
5. Amendment of suhsection (a)(3) and repealer of subsection (c) filed
12-20-2007; operative 12-20-2007 pursuant to Government Code section
1 1343.4 (Register 2007. No. 51).
§ 1215.5. Accommodations for Pupils or Adult Students
with Disabilities.
(a) Eligible pupils or eligible adult students with disabilities shall be
permitted to take the examination with the following accommodations if
specified in the eligible pupil's or eligible adult student's lEP or Section
504 plan for use on the examination, standardized testing, or for use dur-
ing classroom instruction and assessments.
(b) Presentation accommodations include:
(1 ) large print versions in 20-point font.
(2) examination enlarged if larger than 20-point font is required.
(3) Braille transcriptions provided by the test contractor.
(4) audio or oral presentation of the mathematics section of the ex-
amination.
(5) Manually Coded English or American Sign Language to present
test questions on the mathematics section of the examination.
(c) Response accommodations include:
( 1 ) responses marked in test booklet and transferred to the answer doc-
ument by a school, school district, or nonpublic school employee who
has signed the Test Security Affidavit.
(2) responses dictated orally, or in Manually Coded English or in
American Sign Language to a scribe for selected-response items (e.g.,
multiple-choice test questions).
(3) responses dictated orally or in Manually Coded English to a scribe,
audio recorder or speech-to-text converter on the writing portion of the
examination, and the eligible pupil or eligible adult student indicates all
spelling and language conventions.
(4) word processing software with spell and grammar check tools
turned off on the writing portion of the examination.
(5) an assistive device that does not interfere with the independent
work of the eligible pupil or eligible adult student on the multiple choice
or writing portion of the examination.
(d) Scheduling/timing accommodations include:
( 1 ) testing over more than one day after consultation with the test con-
tractor.
(2) supervised breaks within a section of the examination.
(3) administration of the examination at the most beneficial time of
day to the eligible pupil or eligible adult student after consultation with
the test contractor.
(e) Setting accommodations include tests administered by a test ex-
aminer to an eligible pupil or eligible adult student at home or in the hos-
pital.
(f) The use of accommodations on the examination will not invalidate
an eligible pupil's or eligible adult student's test score or scores.
NOTE: Authority cited: Section 33031, Education Code. Reference: Secfion
60850, Education Code.
History
1. Renumbering of former section 1217 to new section 1215.5, including amend-
ment of section heading and section, filed 5-19-2004; operative 5-19-2004
pursuant to Government Code section 1 1343.4(c) (Register 2004, No. 21 ).
2. Amendment filed 8-16-2005; operative 8-16-2005 pursuant to Government
Code secnon 11343.4 (Register 2005, No. 33).
3. Amendment of subsection (a)(2) and repealer of subsection (g) filed
12-20-2007; operative 12-20-2(X)7 pursuant to Government Code section
11343.4 (Register 2007, No. 51).
•
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Title 5
California Department of Education
§ 1218.5
§ 1 21 6. Modifications for Pupils or Adult Students with
Disabilities.
(a) Eligible pupils or eligible adult students with disabilities shall be
permitted to take the examination with the following modifications if
specified in the eligible pupil's or eligible adult student's lEP or Section
504 plan for use on the examination, standardized testing, or for use dur-
ing classroom instruction and assessments.
(b) The following are modifications as defined by Education Code sec-
tion 60850 because tiiey fundamentally alter what the examination mea-
sures or affect the comparability of scores:
( 1 ) arithmetic table, calculators, or math manipulalives on the mathe-
matics section of the examination.
(2) audio or oral presentation of the English-language arts section of
the examination.
(3) Manually Coded English or American Sign Language to present
test questions on the English-language arts section of the examination.
(4) spellcheckers, grammar checkers, or word processing software
programs that check or correct spelling and/or grammar on the writing
portion of the examination.
(5) mechanical or electronic devices or other assistive devices that are
not u.sed solely to record the eligible pupil's or eligible adult student's re-
sponses, including but not limited to transcribers, scribes, voice recogni-
tion or voice-to-text software, and that identify a potential error in the
eligible pupil's or eligible adult student's response or that correct spell-
ing, grammar or conventions on the writing portion of the examination.
(6) responses dictated orally, in Manually Coded English, or in Ameri-
can Sign Language to provide an essay response to a scribe and the scribe
provides spelling, grammar, and language conventions.
(7) dictionary on any section of the examination.
(c ) For the purposes of receiving a high school diploma, an eligible pu-
pil or eligible adult student who takes the examination with one or more
modifications shall receive a score that is not valid for the sections of the
examination on which the modifications were used. If the score is equiva-
lent to a passing score, the eligible pupil or eligible adult student may be
eligible for a waiver pursuant to Education Code section 60851.
NOTE: Authority cited: Section .^3031, Education Code. Reference: Section
60850, Education Code; and 20 USC Section 631 1.
History
1. New section filed 12-21-2001; operative 1-20-2002 (Register 2001, No. 51).
2. Amendment of Norn filed 5-1-2003; operative 5-1-2003 pursuant to Govern-
ment Code section 1 1343.4 (Register 2003, No. 18).
3. Amendment of section heading and repealer and new section filed 5-19-2004;
operative 5-1 9-2004 pursuant to Government Code section 1 1 343.4(c) (Resis-
ter2004. No. 21).
4. Amendment of section and Note filed 8-16-2005; operative 8-16-2005 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 33).
5. Amendment of subsections (b)(2)-(3) and (c) and repealer of subsection (d)
filed 12-20-2007; operative 12-20-2007 pursuant to Government Code sec-
lion 11343.4 (Register 2007, No, 51).
§1217. English Learners.
School districts shall provide identified English learner pupils or adult
English learner students the following additional testing variations if reg-
ularly used in the classroom or for assessment:
(a) Flexible setting. English learners may have the opportunity to be
tested in a separate room with other English learners provided that the eli-
gible pupil or eligible adult student is directly supervised by an employee
of the school, district, or nonpublic school, who has signed the Test Secu-
rity Affidavit.
(b) Flexible schedule. English learners may have additional super-
vised breaks within a testing day.
(c) Flexible time. English learners may have extra time on the ex-
amination within a testing day.
(d) Translated directions. English learners may have the opportunity
to hear the test directions printed in the test contractor's manual trans-
lated into their primary language. English learners may have the opportu-
nity to ask clarifying questions about the test directions in their primary
language.
(e) Glossaries. English learners may have access to translation glossa-
ries (English to primary language and/or primary language to English).
The glossaries are to include only the English word or phrase with the
corresponding primary language word or phrase. The glossaries shall in-
clude no definitions, formulas, or parts of speech.
NOTE: Authority cited: Sections 12001 and 33031. Education Code. Ret'crcnce:
Sections 6081 0(7)(d)( I ). 60850 and 60852. Education Code; and 20 USC Section
63 1 1 .
History
1. New section filed 12-21-2001; operafive 1-20-2002 (Register 2001. No. 51 ).
2. Amendment of section heading, subsection (c)and Noti; filed 5-1-2003; opera-
tive 5-1-2003 pursuant to Government Code section 1 1 343.4 (Register 2003.
No. 18).
3. Renumbering of former section 1217 to section 1215.5 and renumbering of for-
mer section 1217.5 to section 1217, including amendment of section heading,
section and Note, filed .5-19-2004; operative 5-19-2004 pursuant to Govern-
ment Code section 1 1343.4(c) (Register 2004, No, 21 ).
4. Amendment of section and Note filed 8-16-2005; operative 8-16-2005 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 33),
5. Redesignafion of former subsections ( 1 )-(5) as new subsections (a)-(e) and
amendment of newly designated subsection (e) filed 12-20-2007; operative
12-20-2007 pursuant to Government Code section 11343.4 (Register 2007,
No. 51).
§ 1217.5. English Language Learners.
NOTE: Authority cited: Section 33031. Education Code. Reference: Section
60850, Education Code.
History
1. New section filed 12-21-2001; operative 1-20-2002 (Register 2001. No. 51).
2. Amendment of Note filed 5-1-2003; operative 5-1-2003 pursuant to Govern-
ment Code section 1 1343.4 (Register 2003. No. 18).
3. Renumbering of former section 1 2 1 7.5 to section 1217 filed 5- 1 9-2004; opera-
five 5-19-2004 pursuant to Government Code section 1 1343.4(c) (Register
2004, No. 21).
§ 1218. Review Process for Variations Not Specified in
Sections 1215, 1215.5, or 1216 in Administering
the Examination.
(a) The school district must file a request with the CDE for review and
approval of proposed examination variations that are not specified in sec-
tions 1215, 1215.5, or 1216. Requests must be received by the CDE at
least 30 working days in advance of the proposed administration of the
examination.
(b) The request for review of proposed variations in administering the
examination must include:
(1) A description of the requested variation(s).
(2) If applicable, a certification that the pupil's or adult student's lEP
or Section 504 plan specifies that the requested variation is appropriate
and necessary to access the examination due to the pupil's or adult stu-
dent's identified disability(ies) and that such variation is currently listed
in the pupil's or adult student's lEP or Section 504 plan.
(c) The CDE determinaUon shall be a final administrative decision for
purposes of review under the Administrative Procedure Act.
(d) The CDE shall issue its decision within 1 5 working days of receipt
of the request for review of proposed variation.
NOTE: Authority cited: Section 33031, Education Code, Reference: Section
60850, Educafion Code.
History
1. New section filed 12-21-2001; operative 1-20-2002 (Register 2001. No. 51).
2. Amendment of section heading and section filed 5-19-2004; operative
5-19-2004 pursuant to Government Code section 1 1343.4(c) (Register 2004,
No. 21).
3. Amendment of section heading and subsections (a), (c) and (d) filed
12-20-2007; operafive 12-20-2Ci07 pursuant to Government Code section
1 1343.4 (Register 2007, No. 51).
§ 1 21 8.5. Use of Modifications.
NOTE: Authority cited; Section 33031, Education Code. Reference: Sections
60850 and 60851, Educafion Code; and 34 CFTi Section .300.138(a).
History
1. New section filed 5-1-2003; operative 5-1-2003 pursuant to Government
Code section 1 1 343.4 (Register 2003. No. 18).
2. Repealer filed 5-19-2004; operafive 5-19-2004 pursuant to Government Code
secUon 1 1343.4(c) (Register 2004, No. 21).
Page 46.1
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§ 1218.6
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 1 21 8.6. Waiver Requests on Behalf of Pupils in a State
Special School.
(a) For a pupil in a state special school who is eligible for a waiver, at
the parent or guardian's request, the state special school principal shall
submit a waiver request to the local governing board of the school district
that placed the pupil in the state special school.
NOTE; Authority cited: Sections 33031 and 48200, Education Code. Reference:
Sections 56\0l and 60850, Education Code; and 34 CFR Section 300.!38(a).
History
1. New section filed 5-19-2004; operative 5-19-2004 pursuant to Government
Code section 1 1343.4(c) (Register 2004, No. 21).
§ 1 21 9. Independent Work of the Pupil or Adult Student
In administering the examination with accommodations or modifica-
tions pursuant to Section 1 2 1 5.5 or 1 2 1 6, school districts shall ensure thai
all examination responses are the independent work of the pupil or adult
student. School districts, school district personnel, including scribes and
nonpublic school personnel are prohibited from assisting any pupil or
adult student in determining how the pupil or adult student will respond
to each question, and are prohibited from leading or directing the pupil
or adult student to a particular response, and from correcting, prompting
or otherwise influencing a response.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
60850, Education Code.
History
1. New section filed 12-21-2001; operative 1-20-2002 (Register 2001, No. 51).
2. Amendment of Note filed 5-1-2003; operative 5-1-2003 pursuant to Govern-
ment Code section 11343.4 (Register 2003, No. 18).
3. Amendment filed 5-19-2004; operative 5-19-2004 pursuant to Government
Code section 11343.4(c) (Register 2004, No. 21).
4. Amendment filed 12-20-2007; operative 12-20-2007 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 51).
§ 1 21 9.5. Invalidation of Test Scores.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
60850, Education Code.
History
1. New section filed 12-21-2001; operative 1-20-2002 (Register 2001, No. 51 ).
2. Amendment of Note filed 5-1-2003; operative 5-1-2003 pursuant to Govern-
ment Code section 1 1343.4 (Register 2003, No. 18).
3. Repealer filed 5-19-2004; operative 5-1 9-2004 pursuant to Government Code
section 1 1343.4(c) (Register 2004, No. 21).
Article 4. Cheating
§1220. Cheating.
(a) Any pupil or adult student found by the school district or its agents
to have cheated or assisted others in cheating, or to have compromised
the security of the examination shall not receive a score from that test ad-
ministration.
(b) The school district shall notify each eligible pupil or adult student
prior to each administration of the examination of the provisions of sub-
division (a).
NOTE: Authority cited: Secfion 33031, Education Code. Reference: Section
6085 1 , Education Code.
History
1 . New article 4 (section 1 220) and section fi led 6-20-200 1 ; operati ve 7-20-200 1
(Register 2001, No. 25).
2. Amendment of Note filed 5-1-2003; operative 5-1-2003 pursuant to Govern-
ment Code section 1 1343.4 (Register 2003, No. 18).
3. Amendment filed 5-19-2004; operative 5-19-2004 pursuant to Government
Code secnon 1 1343.4(c) (Register 2004, No. 21).
Article 5. Apportionment
§1225. Apportionment.
(a) Annually, each school district shall receive an apportionment in-
formation report with the following information for those examinations
administered during the previous fiscal year (July 1 through June 30).
( 1 ) The number of eligible pupil s by grade level and eligible adult stu-
dents enrolled in each school and in the school district on the day of test-
ing as indicated by the number of answer documents submitted to the test
contractor for scoring for each administration.
(2) The number of eligible pupils by grade level and eligible adult stu-
dents who were administered any portion of the examination.
(3) The number of eligible pupils by grade level with demographic in-
formation only who were not tested for any reason other than because
they were taking the CAPA.
(b) To be eligible for apportionment payment, school districts must
meet the following conditions:
(1 ) The school district has returned all secure test materials;
(2) The superintendent of the school district has certified that all ex-
aminations during the prior fiscal year were administered in compliance
with California Code of Regulations, title 5, division 1, chapter 2, sub-
chapter 6; and
(3) The superintendent of the school district has certified the accuracy
of the apportionment information report for examinations administered
during the prior fiscal year (July 1 through June 30), which certification
is either:
(A) postmarked by December 3 1 , or
(B) if postmarked after December 31, the apportionment information
report must be accompanied by a waiver request as provided by Educa-
tion Code section 33050. For those apportionment information reports
postmarked after December 31, apportionment payment is contingent
upon the availabiUty of an appropriation for this purpose in the fiscal year
in which the tests were administered.
(c) The amount of funding to be apportioned to the school district for
the examination shall be calculated by multiplying the amount per ad-
ministration established by the SBE to enable school districts to meet the
requirements of Education Code section 60851 by the number of eligible
pupils and eligible adult students in the school district tested for one or
both portions of the examination during the previous fiscal year as deter-
mined by the apportionment information report certified by the school
district superintendent pursuant to subdivision (b).
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
60851. Education Code.
History
1. New article 5 (section 1225) and section filed 6-20-2001; operative 7-20-2001
(Register 2001, No. 25).
2. Amendment of Note filed 5-1-2003; operafive 5-1-2003 pursuant to Govern-
ment Code section 11343.4 (Register 2003, No. 18).
3. Amendment of subsection (c) and new subsection (d) filed 5-19-2004; opera-
tive 5-19-2004 pursuant to Government Code section 11343.4(c) (Register
2004, No. 21).
4. Repealer and new subsections (a) and (b), amendment of subsection (c) and re-
pealer of subsection (d) filed 8-16-2005; operative 8-16-2(X)5 pursuant to
Government Code section 11343.4 (Register 2005, No. 33).
5. Amendment of subsection (b)(1), new subsection (b)(2), subsection renumber-
ing and amendment of newly designated subsection (b)(3) and subsection (c)
filed 12-20-2007; operative 12-20-2007 pursuant to Govemmenl Code sec-
tion 1 1343.4 (Register 2007, No. 51).
Subchapter 7. Graduation of Pupils from
Grade 12 and Credit Toward Graduation
Article 1 . Measurement of Credit Toward
Graduation from Grade 12
§1600. Definitions.
For the purposes of this chapter:
(a) "Semester period" and the "time equivalent to a semester period"
mean:
(1) One period of 40 to 60 minutes of instructional time per week
throughout one semester of no less than 1 7 weeks.
(2) A minimum of 1 2 clock hours of instructional time provided during
the academic year or in a summer school.
(b) "Semester period" and the "content equivalent to a semester peri-
od" mean:
Page 46.2
Register 2007, No. 51; 12-21-2007
Title 5
California Department of Education
4} 1630
( 1 ) While the content to be covered is planned within the time frames
referred to in (a), a student may be granted one semester period of credit
even though the student spends less than the aforementioned amount of
time in completing the necessary work.
NOTE: Authority cited: Section 33031, Education Code.
History
1. Repealer of Article 1 (Sections 1600 through 1602) filed 4-17-73: effective
thirtieih dav ihereafler (Reeisler 73, No. 16). For prior history, see Retrisler 69.
No. .39.
2. New Article 1 (§ 1600) filed 3-7-74: effective thirtieth day thereafter (Register
74, No. 10).
3. Amendment of NOTE filed 9-23-77: effective thirtieth dav thereafter (Register
77, No. .39).
Article 2. Credit Toward High School
Graduation
§ 1 630. Credit for College Courses.
NOTE: Authority cited: Sections 51740 and 51760, Education Code.
History
1. New Article 2 (§§ 16.30 through 1635) filed 7-22-69: effective thirtieth day
thereafter (Register 69, No. 30).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day ihereal -
ter(Register77, No. .39).
3. Change without regulatory effect repealing section filed 9-1-2005 pursuant to
section 100, title 1. California Code of Regulations (Register 2005. No. 35).
[The next page is 47.
Page 46.3
Register 2007, No. 51; 12-21-2007
Title 5
California Department of Education
§1650
§ 1631. Credit for Private Instruction.
The governing board may gram to a pupil regularly enrolled and in at-
tendance in a high school, credit toward graduation from Grade 12 for
private instruction in fields and subject included in the courses of study
and curricula of the school. The pupil shall demonstrate, by examinations
given under the direction and supervision of the school, his capabilities
at the beginning and at the end of his period of private instruction and evi-
dence that he has made progress in learning satisfactory to the school.
§ 1632. Credit for Private School Foreign Language
Instruction.
if all of the following conditions and standards are met, credit for for-
eign language studies successfully completed in a private school shall be
granted and apply toward meeting any foreign language requirement pre-
scribed for grades 9-12.
(a) The pupil seeking credit is regularly enrolled and in attendance in
grade 9-12 of the district or is applying for admission thereto.
(b) The pupil, or his parent or guardian, on behalf of the pupil, makes
written application for the credit, specifying the private school attended
and the amount and level of credit requested; and submits a transcript or
other documents from the private school evidencing the pupil's succes-
sful completion of the course. The amount of credit sought shall not be
less than one semester's work or the equivalent.
(c) The pupil demonstrates to the satisfaction of the principal of the
public school in which he is enrolled that his achievement in the foreign
language is equivalent to that expected of a pupil of comparable ability
taking the same or similar instruction at the specified level in the schools
of the district. The principal's determination shall be based upon the pri-
vate school's report of the results of a test given the pupil by the private
school; the test shall have been developed by the private school in coop-
eration with the district of the pupil's attendance. If the institution was
a school located outside the district, the determination may be based upon
a test given the student by a public school or such other evidence as the
principal deems appropriate.
NOTE: Specific authority cited: Section 8705, Education Code.
§ 1633. Credit for Correspondence Instruction.
Credit toward graduation may be granted for correspondence instruc-
tion that meets the requirements of (a) and (b), is in a subject included in
the pupil's course of study, and is given by an institution described in
Education Code Section 51740.
Payment of the cost of correspondence instruction may be made by the
district, only if the requirements of Education Code Section 51740 or
5 1 74 1 , as applicable, are met and all of the following conditions are ful-
filled:
(a) The governing board determined the number of semester periods
to be credited for successful completion of a particular correspondence
course.
(b) No more than 40 semester periods of instaiction by correspon-
dence is credited to a pupil toward his graduation from grade 12.
(c) The district applied, on a form furnished by the State Department
of Education and in accordance with the directions thereon, for authori-
zation to provide the correspondence instruction; and the Superintendent
of Public Instruction authorized it.
History
1 . Amendment of section and repealer of NOTE filed 9-23-77; effective thirtieth
day thereafter (Register 77, No. 39).
§ 1634. Credit to Present or Past Members of the Armed
Services.
The governing board maintaining a four-year high school or a senior
high school may award a diploma of graduation from Grade 12 to a per-
son described in Education Code Section 51440 who meets the gradua-
tion requirements adopted by the governing board pursuant to Education
Code Section 51225, or their equivalent. The governing board shall keep
a permanent record of the credit allowed pursuant to this section. Credit
toward graduation may be allowed to such a person in accordance with
the following table:
Muxiiiiiiiii
Scnu'slcr
Work Successfully Periods of
Completed Credit Mhwcible
(a) Basic or recruit training program wiih the
Armed Forces of the United Slates 30
(b) Specialist or technical training program in the
United States military services evidenced by
certification of the U.S. Armed Forces histitute,
provided the training is in subjects thai parallel
courses usually taught in high school 20 lor each course
(c) A training course, as a member of the
Armed Forces, in a vocation that is
found in civilian life 20 lor each course
(d) General Educational Development Tests
(high school level) prepared by the
American Council on Education with both: No limit
( 1 ) A standard score of 40, or above, on each of
the tests in the battery.
(2) An average standard score of 43. or above.
(e) Work experience in the Armed Forces that
parallels a course or courses (usually taught
in high schools, evidenced by a statement
upon the serviceman's record 20
(f) Classes completed in either:
( 1 ) A pubUc high school in the United States .5 lor each semesier
course completed
(2) A private high school of equivalent status in
the United States.
(g) Classes in subjects included in the high school
course of study completed in a junior college
or college in the United States accredited by
a regional accrediting association. 3 1/3 (or each
one credit hour
allowed by the
junior ct)llege
or college in
which the class
was taken.
NOTE: Authority cited: Section 31440, Education Code. Reference: Sections
31420 and 51440, Education Code.
History
1 . Amendment of section and repealer of NOTE filed 9-23-77; effective thirtieth
day thereafter (Register 77, No. 39).
2. Amendment of subsection (d)(1) filed 7-28-86; effective upon filing (Reeisier
86, No. 31).
§ 1635. Credit for Work Experience Education.
The governing board shall grant to a pupil for the satisfactory comple-
tion of work experience education established under Education Code
Section 51760 credit in an amount not to exceed a total of 40 semesier
periods made up of one or a combination of two or more of the following
types:
(a) For Exploratory Work Experience Education: Ten (10) semester
periods for each semester, with a maximum of twenty (20) semester peri-
ods earned in two semesters.
(b) For General Work Experience Education: Ten (JO) semester peri-
ods for each semester with a maximum of forty (40) semester periods.
(c) For Vocational Work Experience Education: Ten ( 1 0) semester pe-
riods for each semester with a maximum of forty (40) semester periods.
History
1. Amendment of section and repealer of NOTE filed 9-23-77; effective thirtieth
day thereafter (Register 77, No. 39).
Article 3. Diploma of Graduation
§ 1650. Time of Granting Diploma.
Except as provided in Section 1651, the governing board shall award
the diploma of graduation from grade 12 at the end of the semesier or
summer school session during which the student completed the course
of study prescribed by the governing board.
History
1. New Article 3 (Sections 1630 and 1631) filed 7-22-69; effective thirtieth day
thereafter (Register 69, No. 30).
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Title 5
§ 1651. Time of Granting Diploma upon Evaluation
(Veterans).
If the governing board evaluates preparation of a person described in
Education Code Section 51440 as provided in Section 1634, and finds
that he meets the graduation requirements or their equivalent specified
in that section, it may award him a diploma of graduation immediately.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Resister 77, No.
39).
Chapter 3. Handicapped Children
Subchapter 1 . Special Education
Article 1. General Provisions
§ 3000. Scope.
(a) This chapter applies to those special education programs which are
administered under a local plan as defined in Section 56027 and Part 30
of the Education Code. Provisions of this chapter shall be construed as
supplemental to, and in the context of. Federal laws and regulations relat-
ing to individuals with exceptional needs in effect on January 1, 1981,
and state laws and regulations relating to individuals with exceptional
needs. The intent of this chapter is to assure conformity with the Educa-
tion for All Handicapped Children Act. Public Law 94-142 (20 USC
1401, et seq.) and Section 504 of the Rehabilitation Act of 1973, Public
Law 93-1 12 (29 USC 794), and their implementing regulations includ-
ing Title 34, Code of Federal Regulations, Sections 300.1 et seq,; Sec-
tions 104.1 et seq.; and Sections 76.1 et seq.
(b) A school district, special education local plan area, or county office
shall use federal, state, local, and private sources of support which are
available to provide services as specified in an individualized education
program.
(c) Nothing in this chapter relieves any other agency from an otherwise
valid obligation to provide or pay for services for individuals with excep-
tional needs. Clarification and specificity of responsibilities shall be in-
cluded in but not limited to interagency agreements.
NOTE: Authority cited: Section 56100(a), (i) and (j). Education Code. Reference:
sections 56000-56001, Education Code; and 34 CFR 300.301.
History
1. Repealer of Division 3, Chapters 1-5 (sections 3100-3797, not consecutive)
and new Division 3, Chapter 1, Articles 1-7, (sections 300-3080. not consecu-
tive) filed 2-3-82; effective thirtieth day thereafter (Register 82. No. 6). For
prior history of former Division 3, see Registers 80, No. 23; 80, No. 12; 79, No.
38; and 79; and 79, No. 16.
2. Amendment of subsection (b) filed 3-21-88; operative 4-20-88 (Register 88,
No. 15).
§3001. Definitions.
In addition to those found in Education Code sections 56020-56033,
Public Law 94-142 as amended (20 USC 1401 et seq.), and Title 34,
Code of Federal Regulations, Part 300 and 301 , the following definitions
are provided:
(a) "Applicant" means an individual, firm, partnership, association, or
corporation who has made application for certification as a nonpublic,
nonsectarian school, or agency.
(b) "Assessment and development of the individualized education
program" (lEP) means services described in Education Code sections
56320 et seq. and 56340 et seq.
(c) "Behavioral emergency" is the demonstration of a serious behavior
problem: (1) which has not previously been observed and for which a be-
havioral intervention plan has not been developed; or (2) for which a pre-
viously designed behavioral intervention is not effective. Approved be-
havioral emergency procedures must be outlined in the special education
local planning area (SELPA) local plan.
(d) "Behavioral intervention" means the systematic implementation
of procedures that result in lasting positive changes in the individual's be-
havior. "Behavioral intervention" means the design, implementation,
and evaluation of individual or group instructional and environmental
modifications, including programs of behavioral instruction, to produce
significant improvements in human behavior through skill acquisition
and the reduction of problematic behavior. "Behavioral interventions"
are designed to provide the individual with greater access to a variety of
community settings, social contacts and public events; and ensure the in-
dividual's right to placement in the least restrictive educational environ-
ment as outlined in the individual's lEP. "Behavioral interventions" do
not include procedures which cause pain or trauma. "Behavioral inter-
ventions" respect the individual's human dignity and personal privacy.
Such interventions shall assure the individual's physical freedom, social
interaction, and individual choice.
(e) "Behavioral intervention case manager" means a designated certif-
icated school/district/county/nonpublic school or agency staff mem-
ber(s) or other qualified personnel pursuant to subsection (ac) contracted
by the school district or county office or nonpublic school or agency who
has been trained in behavior analysis with an emphasis on positive be-
havioral interventions. The "behavioral intervention case manager" is
not intended to be a new staffing requirement and does not create any new
credentialing or degree requirements. The duties of the "behavioral inter-
vention case manager" may be performed by any existing staff member
trained in behavior analysis with an emphasis on positive behavioral in-
terventions, including, but not hmited to, a teacher, resource specialist,
school psychologist, or program specialist.
(f) "Behavioral intervention plan" is a written document which is de-
veloped when the individual exhibits a serious behavior problem that sig-
nificantly interferes with the implementation of the goals and objectives
of the individual's lEP. The "behavioral intervention plan" shall become
part of the lEP. The plan shall describe the frequency of the consultation
to be provided by the behavioral intervention case manager to the staff
members and parents who are responsible for implementing the plan. A
copy of the plan shall be provided to the person or agency responsible for
implementation in noneducational settings. The plan shall include the
following:
(1) a summary of relevant and determinative information gathered
from a functional analysis assessment;
(2) an objective and measurable description of the targeted maladap-
tive behavior(s) and replacement positive behavior(s);
(3) the individual's goals and objectives specific to the behavioral in-
tervention plan;
(4) adetailed description of the behavioral interventions to be used and
the circumstances for their use;
(5) specific schedules for recording the frequency of the use of the in-
terventions and the frequency of the targeted and replacement behaviors;
including specific criteria for discontinuing the use of the intervention for
lack of effectiveness or replacing it with an identified and specified alter-
native;
(6) criteria by which the procedure will be faded or phased-out, or less
intense/frequent restrictive behavioral intervention schedules or tech-
niques will be used;
(7) those behavioral interventions which will be used in the home, resi-
dential facility, work site or other noneducational settings; and
(8) specific dates for periodic review by the lEP team of the efficacy
of the program.
(g) "Board" means the State Board of Education.
(h) "Certification" means authorization by the State Superintendent of
F*ublic Instruction (Superintendent) for a nonpublic school or nonpublic
agency to service individuals with exceptional needs under a contract
pursuant to the provisions of Education Code section 56366(c).
(i) "Contracting education agency," means school district, special
education local plan area, or county office of education.
(j) "Credential" means any valid credential, Ufe diploma, permit, or
document in special education or pupil personnel services issued by, or
Page 48
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Title 5
California Department of Education
§ 3001
under ihe jurisdiction of. liie State board of Education prior to 1 970 or the
Calit'omia Commission on Teacher Credentialing, which entitles the
holder thereof to perform services for which certification qualifications
are required.
(k) "'Department" means the California Department of Education.
(/) "Department of Consumer Affairs" means the California Depart-
ment of Consumer Affairs.
(m) "Dual enrollment" means the concurrent attendance of the indi-
vidual in a public education agency and a nonpublic school and/or a non-
public agency.
(n) "Feasible" as used in Education Code section 56363(a) means the
individualized education program team:
( 1 ) has determined the regular class teacher, special class teacher, and/
or resource specialist possesses the necessary competencies and creden-
tials/certificates to provide the designated instruction and service speci-
fied in the individualized education program, and
(2) has considered the time and activities required to prepare for and
provide the designated instruction and service by the regular class teach-
er, special class teacher, and/or resource specialist.
(0) "Free appropriate public education" means special education and
related services that:
(1) have been provided at public expense, under public supervision
and direction and without charge:
(2) meets any of the standards established by state or federal law;
(3) include an appropriate preschool, elementary, or secondary school
education in California; and
(4) are provided in conformity with the individualized education pro-
gram required under state and federal law.
(p) "Individual Services Agreement" means a document, prepared by
the local education agency, that specifies the length of time for which
special education and de.signated instruction and services are to be pro-
vided, by nonpublic schools and/or nonpublic agencies, to individuals
with exceptional needs.
(q) "Instructional day" shall be the same period of time as regular
school day for that chronological peer group unless otherwise specified
in the individualized education program.
(r) "License" means a valid nonexpired document issued by a licens-
ing agency within the Department of Consumer Affairs or other state li-
censing office authorized to grant licenses and authorizing the bearer of
the document to provide certain professional services or refer to them-
selves using a specified professional title. If a license is not available
through an appropriate state licensing agency, a certificate of registration
with the appropriate professional organization at the national or state lev-
el which has standards established for the certificate that are equivalent
to a license shall be deemed to be a license.
(s) Linguistically appropriate goals, objectives, and programs means:
(1)(A) Those activities which lead to the development of English lan-
guage proficiency; and
(B) Those instructional systems either at the elementary or secondary
level which meet the language development needs of the English lan-
guage learner.
(2) For individuals whose primary language is other than English, and
whose potential for learning a second language, as determined by the in-
dividualized education program teain, is severely limited, nothing in this
section shall preclude the individualized education program team from
determining that instruction may be provided through an alternative pro-
gram pursuant to a waiver under Education Code section 3 1 1 (c), includ-
ing a program provided in the individual's primary language, provided
that the lEP team periodically, but not less than annually, reconsiders the
individual's ability to receive instruction in the English language.
(t) "Local education agency" means a public board of education or oth-
er public authority legally constituted in California for either administra-
tive control or direction of, or to perform a service function for, public
elementary or secondary schools in a city, county, township, school dis-
trict, or other political subdivision of California, or such combination of
school districts or counties as are recognized in California as an adminis-
trative agency for its public elementary or secondary schools.
(u) "Local governing board," means either district or county board of
education.
(v) "Master contract" means the legal document that binds the public
education agency and the nonpublic school or nonpublic agency.
(w) "Nonsectarian" means a private, nonpublic school or agency that
is not owned, operated, controlled by, or formally affiliated with a reli-
gious group or sect, whatever might be the actual character of the educa-
tion program or the primary purpose of the facility and whose articles of
incorporation and/or by-laws stipulate that the assets of such agency or
corporation will not inure to the benefit of a religious group.
(x) "Primary language" means the language other than English, or oth-
er mode of communication, the person first learned, or the language
which is spoken in the person's home.
(y) "Qualified" means that a person has met federal and state certifica-
tion, licensing, registration, or other comparable requirements which ap-
ply to the area in which he or she is providing special education or related
services, or. in the absence of such requirements, the state-education-
agency-approved or recognized requirements, and adheres to the stan-
dards of professional practice established in federal and state law or regu-
lation, including the standards contained in the California Business and
Professions Code. Nothing in this definition shall be construed as re-
stricting the activities in services of a graduate needing direct hours lead-
ing to licensure, or of a student teacher or intern leading to a graduate de-
gree at an accredited or approved college or university, as authorized by
state laws or regulations.
(z) "Related services" means transportation, and such developmental,
corrective, and other supportive services (including speech pathology
and audiology, psychological services, physical and occupational thera-
py, recreation, including therapeutic recreation, social work services,
counseling services, including rehabilitation counseling, and medical
services, except that such medical services shall be for diagnostic and
evaluation purposes only) as required to assist an individual with excep-
tional needs to benefit from special education, and includes the early
identification and assessment of disabling conditions in children. Related
services include, but are not limited to. Designated Instruction and Ser-
vices. The list of related services is not exhaustive and may include other
developmental, corrective, or supportive services if they are required to
assist a child with a disability to benefit from special education. Each re-
lated service defined under this part may include appropriate administra-
tive and supervisory activities that are necessary for program planning,
management, and evaluation.
(aa) "Serious behavior problems" means the individual's behaviors
which are self-injurious, assaultive, or cause serious properly damage
and other severe behavior problems that are pervasive and maladaptive
for which instructional/behavioral approaches specified in the student's
lEP are found to be ineffective.
(ab) "Specified education placement" means that unique combination
of facilities, personnel, location or equipment necessary to provide
instructional services to an individual with exceptional needs, as speci-
fied in the lEP, in any one or a combination of public, private, home and
hospital, or residential setting. The lEP team shall document its rationale
forplacement in other than the pupil's school and classroom in which the
pupil would otherwise attend if the pupil were not disabled. The docu-
mentation shall indicate why the pupil's disability prevents his or her
needs from being met in a less restrictive environment even with the use
of supplementary aids and services.
(ac) "Special education" means specially designed instruction, at no
cost to the parents, to meet the unique needs of individuals with excep-
tional needs whose educational needs cannot be met with modification
of the regular instruction program, and related services, at no cost to the
parent, thai may be needed to assisl these individuals to benefit from spe-
cially designed instruction.
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§3010
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(ad) "Specialized physical health care services" means those health
services prescribed by the individual's licensed physician and surgeon
requiring medically related training for the individual who performs the
services and which are necessary during the school day to enable the indi-
vidual to attend school.
(ae) "Superintendent" means the State Superintendent of Public
Instruction.
(af) "Temporary physical disability" means a disability incurred while
an individual was in a regular education class and which at the termina-
tion of the temporary physical disability, the individual can. without spe-
cial intervention, reasonably be expected to return to his or her regular
education class.
NOTE: Authority cited: Sections 56100 and 56523(a), Education Code. Refer-
ence: Sections 33000, 33300, 49423.5. 56026, 56034, 56320, 56361. 56366,
56520 and 56523. Education Code; Section 2, Article IX, Constitution of the State
of California; Sections 1401(8) and (17), United States Code, Title 20; and Sec-
tions 300.4 and 300.12, Code of Federal Regulations. Title 34.
History
1. Amendment filed 3-21-88; operative 4-20-88 (Register 88, No. 15).
2. New subsections (c)-(f)(8) and (y) and subsection relettering, amendment of
newly designated subsections (j), (k), (p)( 1 )(B)-(p)(3), (r), (s), (v), (z) and (aa),
and amendment of opening paragraph and Note filed 4-20-93; operative
5-20-93 (Register 93, No. I?).
3. Editorial correction of subsection (b) (Register 96, No. 8).
4. Amendment of subsections (f), (f)(7), (j) and (y) filed 2-23-96 as an emergency;
operative 2-23-96 (Register 96, No. 8). A Certificate of Compliance must be
transmitted to OAL by 6-22-96 or emergency language will be repealed by op-
eration of law on the following day.
5. Editorial correction of subsection (j) (Register 96, No. 32).
6. Certificate of Compliance as to 2-23-96 order transmitted to OAL 6-2 1 -96 and
filed 8-5-96 (Register 96, No. 32).
7. Amendment of section and Note filed 7-18-97 as an emergency; operative
7-1 8-97 (Register 97, No. 29). A Certificate of Compliance must be transmitted
to OAL by 1 1-17-97 or emergency amendments will be repealed by operation
of law on the following day.
8. Amendment of section and Note refiled 1 1-14-97 as an emergency; operative
11-14-97 (Register 97, No. 46). A Certificate of Compliance must be trans-
mitted to OAL by 3-16-98 or emergency language will be repealed by opera-
tion of law on the following day.
9. Reinstatement of secfion and Note as they existed prior to 7-1 8-97 emergency
amendment by operation of Government Code secfion 1 1346.1(f) (Register 98,
No. 16).
10. Amendment of section and Note filed 4—16-98 as an emergency; operative
4-16-98 (Register 98, No. 16). A Certificate of Compliance must be transmitted
to OAL by 8-14-98 or emergency language will be repealed by operation of law
on the following day.
1 1 . Reinstatement of section and Note as they existed prior to 4- 1 6-98 emergency
amendment by operation of Government Code section 1 1346.1(f) (Register 98,
No. 34).
12. Amendment of first paragraph, new subsections (c), (d), (n), (v), (w), (z), (aa),
(ae), (ag) and (a)(k), subsection relettering, amendment of newly designated
subsections (0, (g), (i), (o), (q), (r), (s)(2), (x), (y), (ab), (ac) and (ad), and
amendment of Note filed 8-19-98 as an emergency; operafive 8-19-98 (Reg-
ister 98, No. 34). A Certificate of Compliance must be transmitted to OAL by
12-17-98 or emergency language will be repealed by operation of law on the
following day.
13. Reinstatement of section and Note as they existed prior to 8-19-98 emergency
amendment by operation of Government Code section 1 1346.1(f) (Register 98,
No. 52).
14. Amendment of first paragraph, new subsections (c), (d), (n), (v), (w), (z), (aa),
(ae), (ag) and (ak), subsection relettering, amendment of newly designated sub-
sections (f), (g), (i), (o), (q), (r) and (s)(l)(A)-(B), repealer of subsection (s)(2),
subsection renumbering, amendment of newly designated subsecfions (s)(2),
(x), (y), (ab), (ac), (ad) and amendment of Note filed 12-21-98 as an emergen-
cy; operative 12-21-98 (Register 98, No. 52). A Certificate of Compliance must
be transmitted to OAL by 4-20-99 or emergency language will be repealed by
operation of law on the following day.
15. Repealer and new section filed 3-25-99 as an emergency; operative 3-25-99
(Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL
by 7-23-99 or emergency language will be repealed by operation of law on the
following day.
16. Certificate of Compliance as to 3-25-99 order, including amendment of sec-
tion and Note, transmitted to OAL 7-23-99 and filed 9-1-99 (Register 99, No.
36).
Article 2. Administration
§3010. Other Public Agencies.
Educational programs and services administered by other public agen-
cies which provide educational programs and services to individuals with
exceptional needs shall adhere to the provisions of federal and state laws
and regulations relating to individuals with exceptional needs.
NOTE: Authority cited: Section 56100(a) and (i). Education Code; 20 U.S.C.
1414(c)(2)(B); and 34 CFR .300.600. Reference: Sections 56000. 56]00(i) and
56500. Education Code; and 34 CFR 300.2. 30.1 1, 300.60.
Article 3. Identification, Referral, and
Assessment
§3021. Referral.
(a) All referrals for special education and related services shall initiate
the assessment process and shall be documented. When a verbal referral
is made, staff of the school district, special education local plan area, or
county office shall offer assistance to the individual in making a request
in writing, and hall assist the individual if the individual requests such as-
sistance.
(b) All school staff referrals shall be written and include:
(1) A brief reason for the referral.
(2) Documentation of the resources of the regular education program
that have been considered, modified, and when appropriate, the results
of intervention. This documentation shall not delay the time-lines for
completing the assessment plan or assessment.
NOTE: Authority cited: Section 56100(a). (i) and (j). Education Code; Reference:
Secuons 56300-56303, Educafion Code; and 34 CFR 300.128 and 300.220.
History
1. Amendment filed 3-21-88; operative 4-20-88 (Register 88, No. 15).
§ 3021 .1 . Referral of Pupils Having a Diagnosed Chronic
Illness.
(a) When a pupil has been medically diagnosed as having a chronic il-
lness or acute health problem, the pupil may be referred to the school dis-
trict or county office for an assessment to determine the need for special
education.
(b) The following information shall be reviewed by the individualized
education program team:
(1) The type of chronic illness;
(2) The possible medical side effects and complications of treatment
that could affect school functioning:
(3) The educational and social implications of the disease and treat-
ment to include but not limited to the likelihood of fatigue, absences,
changes in physical appearance, amputations, or problems with fine and
gross motor control, and
(4) Special considerations necessitated by outbreaks of infectious dis-
eases, if applicable.
(c) The individualized education program team shall designate the
school's liaison with the pupil's primary health provider.
NOTE: Authority cited: Section 56100(a), (i) and (j). Education Code. Reference:
Sections 56300-56303, Education Code; and 34 CFR 300.128 and 300.220.
History
1. New secfion filed 3-21-88; operative 4-20-88 (Register 88, No. 15).
§ 3022. Assessment Plan.
In addition to the assessment plan requirements of Education Code
Section 56321, the proposed written assessment plan shall include a de-
scription of any recent assessments conducted, including any available
independent assessments and any assessment information the parent re-
quests to be considered, and information indicating the pupil's primary
language and the pupil's language proficiency in the primary language
as determined by Education Code SecUon 52164.1.
NOTE: Authority cited: Secfion 56100(a), (i), (j). Education Code; and 20 U.S.C.
1414(c)(2)(B). Reference: Secfions 56321, 56329, Educafion Code; and 34 CFR
300.500-502, and 300.515-541.
•
•
Page 50
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Title 5
California Department of Education
§ 3030
§ 3023. Assessment.
(a) In addition to provisions of Education Code Section 56320, asses-
sments shall be administered by qualified personnel who are competent
in both the oral or sign language skills and written skills of the individu-
al's primary language or mode of communication and have a knowledge
and understanding of the cultural and ethnic background of the pupil. If
it clearly is not feasible to do so. an interpreter must be used, and the
assessment report shall document this condition and note that the validity
of the assessment may have been affected.
(b) The normal process of second-language acquisition, as well as
manifestations of dialect and sociolinguistic variance shall not be diag-
nosed as a handicapping condition.
NOTE: Aiithoritv cited: Section 56100(a), (i) and (j). Education Code. Reference:
Sections 56001 . 56320. 56324 and 56327, Education Code; and 34 CFR 300.530,
300.532 and 300..^43.
History
] . Amendment of subsection (a) Hied 3-21-88; operative 4-20-88 (Register 88,
No. 15).
§ 3024. Transfer.
In addition to the requirements specified in Education Code Section
.5632.5 and all applicable sections in this chapter, the following shall ap-
ply:
(a) Transfer of Records. Upon receipt of a request from an educational
agency where an individual with exceptional needs has enrolled, a former
educational agency shall send the pupil's special education records, or a
copy thereof, within five working days.
(b) Transition from Elementary School District to High School Dis-
trict.
When a pupil is to enroll in a high school district from an elementary
district, the elementary district shall invite the high school district to the
individualized education program team meeting prior to the last sched-
uled review. If the authorized high school personnel participate with the
elementary district personnel in the individualized education program
team meeting, the individualized education program shall specify the ap-
propriate high school placement.
If the authorized representative of the high school district has not par-
ticipated in the individualized education program development prior to
transfer from the elementary program, the elementary school district
shall notify the high school district of those individuals with exceptional
needs who require special education and related services. For each pupil
listed who enrolls in the high school district, the administrator shall make
an interim placement in accordance with Education Code 56325 or shall
immediately convene an individualized education program team meet-
ing.
NOTE: Authority cited: Sections 49068 and 56100(a), Education Code. Refer-
ence: Sections 49068 and .56325, Education Code.
§ 3025. Assessment Option: Referral to State Schools for
Further Assessment.
(a) Prior to referring a pupil for further assessment to California
Schools for the Deaf or Blind or the Diagnostic Schools, districts, special
education local plan areas, counties, or other agencies providing educa-
tion services, shall first conduct assessments at the local level within the
capabilities of that agency. Results of local assessments shall be provided
to parent(s) and shall state the reasons for referral to the State School. Re-
sults of local assessments shall accompany the referral request.
(b) The Schools for the Deaf and Blind and the Diagnostic Schools
shall conduct assessments pursuant to the provisions of Education Code
Section 56320 et seq.
(c) A representative of the district, special education local plan areas,
or county individualized education program team shall participate in the
staffing meeting and shall receive the final report and recommendations.
Conference calls are acceptable forms of participation, provided that
written reports and recommendations have been received by the repre-
sentative prior to the meeting.
NOTE: Authority cited: Section 56100(a). Education Code. Reference: Section
56326, Education Code.
History
1. Amendment filed 3-21-88; operative 4-20-88 (Register 88, No. 15).
§ 3027. Hearing and Vision Screening.
All pupils being assessed for initial and three-year review for special
education services shall have had a hearing and vision screening, unless
parental permission was denied.
NOTE: Authority cited: Section 56100(a), Education Code. Reference: Sections
56320. 56321 and 56327, Education Code; and 34 CFR 300.532.
§ 3028. Audiological Assessment.
All pupils continuing to fail a threshold hearing test shall be assessed
by a licensed or credentialed audiologist and such assessinent shall be a
part of the assessment plan.
NOTE: Authority cited: Section 56100(a), Education Code. Reference: Sections
56320 and 56327, Education Code; and 34 CFR 300.532.
§ 3029. Contracting for Individually Administered Tests of
Psychological Functioning Due to the
Unavailability of School Psychologists.
(a) School districts, county offices, and special education local plan
areas shall ensure that credentialed school psychologists are available to
perform individually administered tests of intellectual or emotional func-
tioning pursuant to Section 56320(b)(3) of the Education Code.
(b) Due to the temporary unavailability of a credentialed school psy-
chologist, a school district or county office may contract with qualified
personnel to perform individually administered tests of intellectual or
emotional functioning including necessary reports pursuant to Section
56327 of the Education Code.
(c) The district or county office shall seek appropriately credentialed
school psychologists for employment. These efforts, which include but
are not hmited to contacting institutions of higher education having ap-
proved school psychology programs and utilizing established personnel
recruitment pracuces, shall be documented and available for review.
(d) The only persons qualified to provide assessment services under
this section shall be educafional psychologists licensed by the Board of
Behavioral Science Examiners.
NOTE: Authority cited: Sections 56100(a) and 56320(0. Education Code. Refer-
ence: Sections 56320(b) and 56327, Education Code.
History
1. New section filed 3-21-88; operative 4-20-88 (Register 88, No. 15).
Article 3.1.
Individuals with Exceptional
Needs
§ 3030. Eligibility Criteria.
A pupil shall qualify as an individual with exceptional needs, pursuant
to SecUon 56026 of the Education Code, if the results of the assessment
as required by Section 56320 demonstrate that the degree of the pupil's
impairment as described in Section 3030 (a through j) requires special
education in one or more of the program options authorized by Section
56361 of the Educafion Code. The decision as to the whether or not the
assessment results demonstrate that the degree of the pupil's impairment
requires special education shall be made by the individualized education
program team, including personnel in accordance with Section 56341 (d)
of the Education Code. The individualized education program team shall
take into account all the relevant material which is available on the pupil.
No single score or product of scores shall be used as the sole criterion for
the decision of the individualized education program team as to the pu-
pil's eligibility for special education. The specific processes and proce-
dures for implementation of these criteria shall be developed by each
Special Educafion Local Plan Area and be included in the local plan pur-
suant to Secfion 56220(a) of the Education Code.
(a) A pupil has a hearing impairment, whether permanent or fiuctuat-
ing, which impairs the processing of linguisfic informafion through hear-
ing, even with amplification, and which adversely affects educational
performance. Processing linguistic information includes speech and lan-
guage reception and speech and language discrimination.
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BARCLAYS CALIFORNIA CODE OF REGULATIONS
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(b) A pupil has concomitant hearing and visual impairments, the com-
bination of which causes severe communication, developmental, and
educational problems.
(c) A pupil has a language or speech disorder as defined in Section
56333 of the Education Code, and it is determined that the pupil's disor-
der meets one or more of the following criteria:
(1) Articulation disorder.
(A) The pupil displays reduced intelligibility or an inability to use the
speech mechanism which significantly interferes with communication
and attracts adverse attention. Significant interference in communication
occurs when the pupil's production of single or multiple speech sounds
on a developmental scale of articulation competency is below that ex-
pected for his or her chronological age or developmental level, and which
adversely affects educational performance.
(B) A pupil does not meet the criteria for an articulation disorder if the
sole assessed disability is an abnormal swallowing pattern.
(2) Abnormal Voice. A pupil has an abnormal voice which is charac-
terized by persistent, defective voice quality, pitch, or loudness.
(3) Fluency Disorders. A pupil has a fluency disorder when the flow
of verbal expression including rate and rhythm adversely affects commu-
nication between the pupil and listener.
(4) Language Disorder. The pupil has an expressive or receptive lan-
guage disorder when he or she meets one of the following criteria:
(A) The pupil scores at least 1.5 standard deviations below the mean,
or below the 7th percentile, for his or her chronological age or develop-
mental level on two or more standardized tests in one or more of the fol-
lowing areas of language development: morphology, syntax, semantics,
or pragmatics. When standardized tests are considered to be invalid for
the specific pupil, the expected language performance level shall be de-
termined by alternative means as specified on the assessment plan, or
(B) The pupil scores at least L5 standard deviations below the mean
or the score is below the 7th percentile for his or her chronological age
or developmental level on one or more standardized tests in one of the
areas listed in subsection (A) and displays inappropriate or inadequate
usage of expressive or receptive language as measured by a representa-
tive spontaneous or elicited language sample of a minimum of fifty utter-
ances. The language sample must be recorded or transcribed and ana-
lyzed, and the results included in the assessment report. If the pupil is
unable to produce this sample, the language, speech, and hearing special-
ist shall document why a fifty utterance sample was not obtainable and
the contexts in which attempts were made to elicit the sample. When stan-
dardized tests are considered to be invalid for the specific pupil, the ex-
pected language performance level shall be determined by alternative
means as specified in the assessment plan.
(d) A pupil has a visual impairment which, even with correction, ad-
versely affects a pupil's educational performance.
(e) A pupil has a severe orthopedic impairment which adversely af-
fects the pupil's educational performance. Such orthopedic impairments
include impairments caused by congenital anomaly, impairments caused
by disease, and impairments from other causes.
(f) A pupil has limited strength, vitality or alertness, due to chronic or
acute health problems, including but not limited to a heart condition, can-
cer, leukemia, rheumatic fever, chronic kidney disease, cystic fibrosis,
severe asthma, epilepsy, lead poising, diabetes, tuberculosis and other
communicable infectious diseases, and hematological disorders such as
sickle cell anemia and hemophilia which adversely affects a pupil's edu-
cational performance. In accordance with Section 5626(e) of the Educa-
tion Code, such physical disabilities shall not be temporary in nature as
defined by Section 300 l(v).
(g) A pupil exhibits any combination of the following autistic-like be-
haviors, to include but not limited to:
(1) An inability to use oral language for appropriate communication.
(2) A history of extreme withdrawal or relating to people inappropri-
ately and continued impairment in social interaction from infancy
through early childhood.
(3) An obsession to maintain sameness.
(4) Extreme preoccupation with objects or inappropriate use of objects
or both.
(5) Extreme resistance to controls.
(6) Displays peculiar motoric mannerisms and motility patterns.
(7) Self-stimulating, ritualistic behavior.
(h) A pupil has significantly below average general intellectual func-
tioning existing concurrently with deficits in adaptive behavior and man-
i tested during the developmental period, which adversely affect a pupil's
educational performance.
(i) Because of a serious emotional disturbance, a pupil exhibits one or
more of the following characteristics over a long period of time and to a
marked degree, which adversely affect educational performance:
( 1 ) An inability to learn which cannot be explained by intellectual, sen-
sory, or health factors.
(2) An inability to build or maintain satisfactory interpersonal rela-
tionships with peers and teachers.
(3) Inappropriate types of behavior or feelings under normal circum-
stances exhibited in several situations.
(4) A general pervasive mood of unhappiness or depression.
(5) A tendency to develop physical symptoms or fears associated with
personal or school problems.
(j) A pupil has a disorder in one or more of the basic psychological pro-
cesses involved in understanding or in using language, spoken or written,
which may manifest itself in an impaired ability to listen, think, speak,
read, write, spell, or do mathematical calculafions, and has a severe dis-
crepancy between intellectual ability and achievement in one or more of
the academic areas specified in Section 56337(a) of the Education Code.
For the purpose of Section 3030(j):
(1) Basic psychological processes include attention, visual process-
ing, auditory processing, sensory-motor skills, cognitive abilities in-
cluding association, conceptualization and expression.
(2) Intellectual ability includes both acquired learning and learning
potential and shall be determined by a systematic assessment of intellec-
tual functioning.
(3) The level of achievement includes the pupil's level of competence
in materials and subject matter explicitly taught in school and shall be
measured by standardized achievement tests.
(4) The decision as to whether or not a severe discrepancy exists shall
be made by the individualized education program team, including asses-
sment personnel in accordance with Section 56341(d), which takes into
account all relevant material which is available on the pupil. No single
score or product of scores, test or procedure shall be used as the sole crite-
rion for the decisions of the individualized education program team as to
the pupil's eligibility for special education. In determining the existence
of a severe discrepancy, the individualized educafion program team shall
use the following procedures:
(A) When standardized tests are considered to be valid for a specific
pupil, a severe discrepancy is demonstrated by: first, converting into
common standard scores, using a mean of 100 and standard deviation of
15, the achievement test score and the ability test score to be compared;
second, computing the difference between these common standard
scores; and third, comparing this computed difference to the standard cri-
terion which is the product of 1.5 multiplied by the standard deviation of
the distribution of computed differences of students taking these achieve-
ment and ability tests. A computed difference which equals or exceeds
this standard criterion, adjusted by one standard error of measurement,
the adjustment not to exceed 4 common standard score points, indicates
a severe discrepancy when such discrepancy is corroborated by other
assessment data which may include other tests, scales, instruments, ob-
servations and work samples, as appropriate.
(B) When standardized tests are considered to be invalid for a specific
pupil, the discrepancy shall be measured by alternative means as speci-
fied on the assessment plan.
(C) If the standardized tests do not reveal a severe discrepancy as de-
fined in subparagraphs (A) or (B) above, the individualized education
program team may find that a severe discrepancy does exist, provided
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Title 5
California Department of Education
§ 3043
th:ii the learn documents in j written report tiiat the severe discrepancy
between ability and achievement exists as a result of a disorder in one or
more of the basic psychological processes. The report shall include a
statement of the area, the degree, and the basis and method use.d in deter-
mining the discrepancy. The report shall contain information considered
by the team which shall include, but not be limited to:
1. Data obtained from standardized assessment instruments;
2. hiformation provided by the parent;
3. Information provided by the pupil's present teacher;
4. Evidence of the pupil's performance in the regular and/or special
education classroom obtained from observations, work samples, and
group test scores;
.^. Consideration of the pupil's age, particularly for young children;
and
6. Any additional relevant information.
(5) The discrepancy shall not be primarily the result of limited school
experience or poor school attendance.
NOTI.: Authority cited: Statutes of 1 98 1 . Chapter 1 094, Section 25(a); and Section
.56100(a). (g) and (i). Education Code. Reference: 20 USC 1401(a)(15) and
1412(5): 34 CFR 300.5(b)(7) and (9). 300.532(a)(2). (d) and (e), 300.533,
300.540. 300.541-43: and Sections 56026, 56320, 56333 and 56337, Education
Code.
History
1 . New Article 3.1 (Sections 3030 and 3031) filed 1-31-83: effective thirtieth day
thereafter (Register 83, No. 6).
2. Amendment filed 2-11 -86; effecfive thirtieth day thereafter (Register 86, No.
7).
3. Amendment filed 3-21-88: operative 4-20-88 (Register 88. No. 15).
§ 3031 . Additional Eligibility Criteria for Individuals with
Exceptional Needs — Age Birth to Four Years
and Nine Months.
(a) A child, age birth to four years and nine months, shall qualify as an
individual with exceptional needs pursuant to Education Code Section
.'i6026(c)( 1 ) and (2) if the Individualized Education Program Team deter-
mines that the child meets the following criteria:
(1) Is identified as an individual with exceptional needs pursuant to
Section 3030, and
(2) Is identified as requiring intensive special education and services
by meeting one of the following:
(A) The child is functioning at or below 50% of his or her chronolog-
ical age level in any one of the following skill areas:
1 . gross or fine motor development;
2. receptive or expressive language development;
3. social or emotional development;
4. cognitive development; and
5. visual development.
(B) The child is functioning between 5 1 % and 75% of his or her chro-
nological age level in any two of the skill areas identified in Section
303r(2)(A).
(C) The child has a disabling medical condition or congenital syn-
drome which the Individualized Education Program Team determines
has a high predictability of requiring intensive special education and ser-
vices.
(b) Programs for individuals with exceptional needs younger than
three years of age are permissive in accordance with Section 56001(c) of
the Education Code except for those programs mandated pursuant to Sec-
tion 56425 of the Education Code.
Note: Authority cited: Statutes of 1 98 1 , Chapter 1 094, Section 25(a); and Section
.56100(a), (g) and (i). Education Code. Reference: 20 USC 1401(a)(15); 34 CFR
300.5: Statutes of 1981, Chapter 1094, Secfion 25(a); and Sections 56026,
56030.5, 56333, and 56337, Education Code.
History
1. Amendment of subsection (a)(2) filed 3-21-88; operative 4 — 20-88 (Register
88, No. 15).
Article 4. Instructional Planning and
individualized Education Program
§ 3040. Individualized Education Program Implementation.
(a) Upon completion of the individualized education program, that in-
dividualized education program shall be implemented as soon as possible
following the individualized education program team meeting.
(b) A copy of the individualized education program shall be provided
to the parents at no cost, and a copy of the individualized education pro-
gram shall be provided in the primary language at the request of the par-
ent.
(c) The individualized education program shall show a direct relation-
ship between the present levels of performance, the goals and objectives,
and the specific educational services to be provide.
NOTE; Authority cited: Section 56100(a), (i) and (j). Education Code. Reference:
Section 56341, Education Code: and 34 CFR 300.342-300.345.
History
1. Repealer and new subsection (c) filed 3-21-88; operative 4-20-88 (Rciiister
88, No. 15).
§ 3042. Placement.
(a) Specific educational placement means that unique combination of
facilities, personnel, location or equipment necessary to provide instruc-
tional services to an individual with exceptional needs, as specified in the
individualized education program, in any one or a coinbination of public,
private, home and hospital, or residential settings.
(b) The individualized education program team shall document its ra-
tionale for placement in other than the pupil's school and classroom i
which the pupil would otherwise attend if the pupil were not handi-
capped. The documentation shall indicate why the pupil's handicap pre-
vents his or her needs from being met in a less restrictive environment
even with the use of suppleinentary aids and services.
History
1. New .section filed 3-21-88; operative 4-20-88 (Register 88, No. 15).
§ 3043. Extended School Year.
Extended school year services shall be provided for each individual
with exceptional needs who has unique needs and requires special educa-
tion and related services in excess of the regular academic year. Such in-
dividuals shall have handicaps vi/hich are likely to continue indefinitely
or for a prolonged period, and intemjption of the pupil's educational pro-
gramming may cause regression., when coupled with limited recoupment
capacity, rendering it impossible or unlikely that the pupil will attain the
level of self-sufficiency and independence that would otherwise be ex-
pected in view of his or her handicapping condition. The lack of clear evi-
dence of such factors may not be used to deny an individual an extended
school year program if the individualized education program team deter-
mines the need for such a program and includes extended school year in
the individualized education program pursuant to subsection (0.
(a) Extended year special education and related services shall be pro-
vided by a school district, special education local plan area, or county of-
fice offering programs during the regular academic year.
(b) Individuals with exceptional needs who may require an extended
school year are those who:
(1) Are placed in special clasises or centers; or
(2) Are individuals with exceptional needs whose individualized edu-
cation programs specify an extended year program as determined by the
Individualized Education Program Team.
(c) The term "extended year" as used in this section means the period
of time between the close of one academic year and the beginning of the
succeeding academic year. The term "academic year" as used in this sec-
tion means that portion of the school year during which the regular day
school is maintained, which period must include not less than the number
of days required to entitle the district, special education services region,
or county office to apportionments of state funds.
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BARCLAYS CALIFORNIA CODE OF REGULATIONS
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(d) An extended year program shall be provided for a inininium of 20
instruclional days, including holidays. For reimbursement purposes:
(1) A maximum of 55 instructional days excluding holidays shall be
allowed for individuals in special classes or centers for the severely han-
dicapped; and
(2) A maximum of 30 instaictional days excluding holidays shall be
allowed for all other eligible pupils needing extended year.
(e) A local governing board may increase the number of instructional
days during the extended year period, but shall not claim revenue for av-
erage daily attendance generated beyond the maximum instructional
days allowed in subsection (d)(1) and (2).
(f) An extended year program, when needed, as determined by the In-
dividualized Education Program team, shall be included in the pupil's in-
dividualized education program.
(g) In order to qualify for average daily attendance revenue for ex-
tended year pupils, all of the following conditions must be met:
(1) Extended year special education shall be the same length of time
as the school day for pupils of the same age level attending summer
school in the district in which the extended year program is provided, but
not less than the minimum school day for that age unless otherwise speci-
fied in the individualized education program to meet a pupil's unique
needs.
(2) The special education and related services offered during the ex-
tended year period are comparable in standards, scope and quality to the
special education program offered during the regular academic year.
(h) If during the regular academic year an individual's individualized
education program specifies integration in the regular classroom, a pub-
lic education agency is not required to meet that component of the indi-
vidualized education program if no regular summer school programs are
being offered by that agency.
(i) This section shall not apply to schools which are operating a contin-
uous school program pursuant to Chapter 5 (commencing with Section
37600) of Part 22, Division 3, Title 2, of the Education Code.
NOTE: Authority cited: Section 561(X)(a) and (j). Education Code. Reference: Sec-
tions 37600, 41976.5 and 56345, Education Code; and34 C.F.R. 300.346.
History
]. Amendment filed 3-21-88; operative 4-20-88 (Register 88, No. 15).
Article 5.
Implementation (Program
Components)
§ 3051. Standards for Designated Instruction and Services
(DIS).
(a) General Provisions.
( 1 ) Designated instruction and services may be provided to individuals
or to small groups in a specialized area of educational need, and through-
out the full continuum of educational settings.
(2) Designated instruction and services, when needed as determined
by the individualized education program, shall including the frequency
and duration of services.
(3) All entities and individuals providing designated instruction and
services shall be qualified.
(4) All entities and individuals providing designated instruction and
services shall be:
(A) Employees of the school district or county office, or
(B) Employed under contract pursuant to Education Code sections
56365-56366.7. Such persons shall be certified by the Department pur-
suant to Sections 3060-3064 of this Title, or
(C) Employees, vendors or contractors of the State Departments of
Health Services or Mental Health, or any designated local public health
or mental agency.
NOTE: Authority cited: Sections 33031, 56100(a) and (i) and 56366. ](/)(5), Edu-
cation Code. Reference: Sections 56363 and 56365-56366.7, Education Code;
and Section 300.12, Code of Federal Regulations, Title 34.
History
1. Amendment filed 3-21-88; operative 4-20-88 (Register 88, No. 15).
2. Amendment of subsections (a)(2) and (a)(3)(B) and NOTE^ filed 7-18-97 as an
emergency; operative 7-18-97 (Register 97, No. 29). A Certificate of Com-
pliance must be transmitted to OAL by 1 1-17-97 or emergency amendments
will be repealed by operation of law on the following day.
3. Amendment of subsections (a)(2) and (a)(3)(B) and amendment of NOTi-;refiled
1 1-14-97 as an emergency; operative 1 1-14-97 (Register 97, No. 46). A Cer-
tificate of Compliance must be transmitted to OAL by 3-16-98 or emergency
language will be repealed by operation of law on the following day.
4. Reinstatement of section and Note- as they existed prior to 7-1 8-97 emergency
amendment by operation of Government Code section 1 1346.1(f) (Re2ister98,
No. 16).
5. Amendment of subsections (a)(2) and (a)(3)(B) and amendment of Note filed
4-16-98 as an emergency; operaUve 4-16-98 (Register 98, No. 16). A Certifi-
cate of Compliance inusl be transmitted to OAL by 8-14-98 or emergency lan-
guage will be repealed by operation of law on the following day.
6. Reinstatement of section and Note as they existed prior to 4- 1 6-98 emergency
amendment by operafion of Government Code secfion 1 1346.1(f) (Register 98,
No. 34).
7. Amendment of subsections (a)(2) and (aK3)(B) and amendment of Note; filed
8-19-98 as an emergency; operafive 8-19-98 (Register 98, No. 34). A Certifi-
cate of Compliance must be transmitted to OAL by 12-17-98 or emergency lan-
guage will be repealed by operation of law on the following day.
8. Reinstatement of section and Note as they existed prior to 8-19-98 emergency
amendment by operafion of Government Code secfion 1 1346.1(0 (Register 98,
No. 52),
9. Amendment of subsections (a)(2) and (a)(3)(B)-(C) and amendment of Note
filed 12-21-98 as an emergency; operafive 12-21-98 (Register 98, No. 52). A
Certificate of Compliance must be transmitted to OAL by 4-20-99 or emergen-
cy language will be repealed by operation of law on the following day.
10. Repealer and new section filed 3-25-99 as an emergency; operative 3-25-99
(Register 99. No. 1 3). A Certificate of Compliance must be transmitted to OAL
by 7-23-99 or emergency language will be repealed by operation of law on the
following day.
1 1. Certificate of Compliance as to 3-25-99 order transmitted to OAL 7-23-99
and filed 9-1-99 (Register 99, No. 36).
§ 3051 .1 . Language, Speech and Hearing Development
and Remediation.
(a) An individual holding an appropriate credential with specialization
in language, speech and hearing may provide services which include:
( 1 ) Referral and assessment of individuals suspected of having a disor-
der of language, speech, or hearing. Such individuals are not considered
as part of the caseload pursuant to Section 56363.3 of the Education Code
unless an individualized education program is developed and services
are provided pursuant to Section 3051.1(a)(2) and (3).
(2) Specialized instruction and services for individuals with disorders
of language, speech, and hearing, including monitoring of pupil progress
on a regular basis, providing informafion for the review, and when neces-
sary participating in the review and revision of individualized education-
al programs of pupils.
(3) Consultative services to pupils, parents, teachers, or other school
personnel.
(4) Coordination of speech and language services with an individual's
regular and special education program.
(b) Caseloads of full-time equivalent language, speech and hearing
specialists providing instruction and services within the district, special
education local plan area, or county office shall not exceed a district-
wide, special education local plan area-wide, or county-wide average of
fifty-five (55) individuals unless prior written approval has been granted
by the State Superintendent of Public Instruction.
(c) Services may be provided by an aside working under the direct su-
pervision of a credentialed language, speech, and hearing specialist if
specified in the individualized educafion program. No more than two
aides may be supervised b one credentialed language, speech, and hear-
ing specialist. The case loads of persons in subsection (b) shall not be in-
creased by the use of noncertificated personnel.
NOTE; Authority cited: Section 56100(a) and (i). Education Code. Reference: Sec-
tions 56363(b)(1) and Education Code; and 34 CFR 300.13(b)(12).
History
1. Repealer and new section filed 3-21-88; operative 4-20-88 (Register 88, No.
15).
Page 54
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Title 5
California Department of Education
§3051.7
§3051.2. AudJological Services.
(a) In addition to provisions of Title 34. Code of Federal Regulations,
Section 300. 13(b)(i), designated audiological instruction and services
may include:
(1) Aural rehabilitation (auditory training, speech reading, language
habilitation, and speech conservation) and habilitation with individual
pupils or groups and support for the hearing-impaired pupils in the regu-
lar classroom.
(2) Monitoring hearing levels, auditory behavior, and amplification
for all pupils requiring personal or group amplification in the instruction-
al setting.
(3) Planning, organizing, and implementing an audiology program for
individuals with auditory dysfunctions, as specified in the individuahzed
education program.
(4) Consultative services regarding test findings, amplification needs
and equipment, otological referrals, home training programs, acoustic
treatment of rooms, and coordination of educational services to hearing-
impaired individuals.
(b) TTie person providing audiological services shall hold a valid cre-
dential with a specialization in clinical or rehabilitative services in au-
diology.
NOTE: Authority cited: Section 56100(a) and (i), Education Code; 20 U.S.C.
1414(c)(2)(B): and .^4 C.F.R. 300.600. Reference: Section 56363(b)(2), Educa-
tion Code: and 34 C.E.R. 300.13(b)(l ).
§3051.3. Mobility Instruction.
(a) Mobility instruction may include:
( 1 ) Specialized instruction for individuals in orientation and mobility
techniques.
(2) Consultative services to other educators and parents regarding in-
structional planning and implementation of the individualized education
program relative to the development of orientation and mobility skills
and independent living skills.
(b) The person providing mobility instruction and services shall hold
a credential as an orientation and mobility specialist.
NOTE: Authority cited: Section 56100 (a) and (i). Education Code: 20 U.S.C.
1414(c)(2)(B): and 34 C.F.R. 300.600. Reference: Section 56363, Education
Code.
§ 3051 .4. Instruction in the Home or Hospital.
(a) Special education and related services provided in the home or hos-
pital for school age pupils is limited to those pupils who have been identi-
fied as individuals with exceptional needs in accordance with Section
3030 and for whom the individualized education program team recom-
mends such instructions or services.
(b) Instructions may be delivered individually, in small groups or by
teleclass.
(c) For those individuals with exceptional needs with a medical condi-
tion such as those related to surgery, accidents, short-term illness or med-
ical treatment for a chronic illness, the individualized education program
team shall review, and revise, if appropriate, the individualized educa-
tion program whenever there is a significant change in the pupil's current
medical condition.
(d) When recommending placement for home instruction, the individ-
ualized education program team shall have in the assessment information
a medical report from the attending physician and surgeon or the report
of the psychologist, as appropriate, stating the diagnosed condition and
certifying that the severity of the condition prevents the pupil from at-
tending a less restrictive placement. The report shall include a projected
calendar date for the pupil's return to school. The individualized educa-
tion program team shall meet to reconsider the individuahzed education
program prior to the projected calendar date for the pupil's return to
school.
(e) Instruction in the home or hospital shall be provided by a regular
class teacher, the special class teacher or the resource specialist teacher,
if the teacher or specialist is competent to provide such instruction and
services and if the provision of such instruction and services by the teach-
er or specialist is feasible. If not, the appropriate designated instruction
and services specialist shall provide such instruction.
(0 The teacher providing the home instruction shall contact the pupil's
previous school and teacher to determine:
( 1 ) The course work to be covered;
(2) The books and materials to be used:
(3) Who is responsible for issuing grades and promoting the pupil
when appropriate;
(4) For pupils in grades 7 to 12, the teacher shall confer with the school
guidance counselor to determine:
(A) For the hours the pupil has earned toward semester course credit
in each subject included in the individualized education prograin and the
grade as of the last day of attendance;
(B) Who is responsible for issuing credits when the course work is
completed:
(C) Who will issue the diploma if the pupil is to graduate.
NOTE: Section 56100(a) and (i). Education Code. Reference: Sections 56001 and
56363(b)(4), Education Code.
History
] . New section filed and 3-21-88; operalive 4-20-88 (Register 88, No. 15).
§ 3051 .5. Adapted Physical Education for Individuals with
Exceptional Needs.
(a) Adapted physical education is for individuals with exceptional
needs who require developmental or corrective instruction and who are
precluded from participation in the activities of the general physical edu-
cation prograin, modified general physical education program, or in a
specially designed physical educ:ation program in a special class. Consul-
tative services may be provided to pupils, parents, teachers, or other
school personnel for the purpose of identifying supplementary aids and
services or modifications necessary for successful participation in the
regular "D" Physical education program or specially designed physical
education programs.
(b) The person providing instruction and services shall have a creden-
tial authorizing the teaching of adapted physical education as established
by the Commission on Teacher Credentialing.
NOTE: Authority cited: Section 561()0(a) and (i). Education Code. Reference: 34
CFR 300.307.
History
1. Amendment filed 3-21-88; operafive 4-20-88 (Register 88, No. 15).
§ 3051 .6. Physical and Occupational Therapy.
(a) When the district, special education local plan area, or county of-
fice contracts for the services of a physical therapist or an occupational
therapist, the following standards shall apply:
(1) Occupational or physical therapists shall provide services based
upon recommendation of the individual education program team. Physi-
cal therapy and occupational therapy services for infants are limited by
Education Code 5642.6. Physical therapy services may not exceed the
services specified in the Business and Professions Code at Section 2620.
(2) The district, special education local plan area, or county office shall
assure that the therapist has available safe and appropriate equipment.
(b) Qualifications of therapists:
(1) The therapists shall have graduated from an accredited school.
(2) A physical therapist shall be currently licensed by the Board of
Medical Quahty Assurance of the State of California and meet the educa-
tional standards of the Physical Therapy Examining Committee.
(3) An occupational therapist shall be currently registered with the
American Occupational Therapy Association.
NOTE: Authority cited: Section 56100(a) and (i). Education Code. Reference: Sec-
tion 56363(b)(6^, Education Code; and 34 CFR 300. 1 3(b)(5) and (7) and 300.600.
History
1. Amendment filed 3-21-88; operative 4-20-88 (Register 88, No. 15).
§ 3051.7. Vision Services.
(a) Vision services shall be provided by a Credentialed teacher of the
visually handicapped and may include:
( 1 ) Adaptations in curriculum, media, and the environment, as well as
instruction in special skills.
Page 55
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§ 3051.75
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(2) Consultative services to pupils, parents, teachers, and other school
personnel.
(b) An assessment of and provision for services to visually impaired
pupils may be conducted by an eye specialist who has training and exper-
tise in low vision disabilities and has available the appropriate low vision
aids for the purpose of assessment. The eye specialist may provide con-
sultation to the pupil, parents, teacher and other school personnel as may
be requested by the individualized education program team.
(c) Procedures which may be utilized by qualified personnel are those
procedures authorized by federal and state laws and regulations and per-
formed in accordance with these laws and regulations and standards of
the profession.
(d) For the purposes of this section, and eye specialist shall mean a li-
censed optometrist, ophthalmologist, or other licensed physician and
surgeon who has training and expertise in low vision disabilities.
NOTE; Authority cited: Section 56 1 00(a) and (i). Education Code. Reference: Sec-
lions 44265.5 and 56363(b)(7). Education Code.
History
1. Amendment of subsection (a) and new subsections (b)-(d) filed 3-21-88; op-
erative 4-20-88 (Register 88, No. 15).
§ 3051 .75. Vision Therapy.
(a) Vision therapy may include: Remedial and/or developmental in-
struction provided directly by or in consultation with the optometrist,
ophthalmologist, or other qualified licensed physician and surgeon pro-
vided ongoing care to the individual.
(b) Vision therapy shall be provided by an optometrist, ophthalmolo-
gist, or by appropriate qualified school personnel when prescribed by a
licensed optometrist, ophthalmologist, or other qualified licensed physi-
cian and surgeon.
(c) Procedures which may be utilized by qualified personnel are those
procedures authorized by federal and state laws and regulations and per-
formed in accordance with these laws and regulations and standards of
the profession.
NOTE: Authority cited: Section 56100(a) and (i). Education Code; 20 U.S.C.
1414(c)(2)(B); and 34 C.F.R. 300.600. Reference: Section 56363(b)(7), Educa-
tion Code.
§ 3051.8. Specialized Driver Training Instruction.
(a) Specialized driver training instruction may include instruction to
an individual with exceptional needs to supplement the regular driver
training program. The individualized education program team shall de-
termine the need for supplementary specialized driver training instruc-
tion. The need to supplement the regular program shall be based on an
assessment of the pupil's health, physical, and/or educational needs
which require modifications which cannot be met through a regular driv-
er training program.
(b) Driver training for individuals herein described must be provided
by qualified teachers, as defined by Education Code Sections 41906 and
41907.
NOTE: Authority cited: Section 56100(a) and (i). Education Code; 20 U.S.C.
1414(c)(2)(B); and 34 C.F.R. 300.600. Reference: Sections 41305-41306,
41906-41907 and 56363(b)(8), Education Code.
§ 3051.9. Counseling and Guidance Services.
(a) Counseling and guidance services may be provided to an individu-
al with exceptional needs who requires additional counseling and guid-
ance services to supplement the regular guidance and counseling pro-
gram. The individualized education program team shall determine the
need for additional guidance and counseling services.
(b) Counseling and guidance services necessary to implement the indi-
vidualized education program may include:
(1) Educational counseling in which the pupil is assisted in planning
and implementing his or her immediate and long-range educational pro-
gram.
(2) Career counseling in which the pupil is assisted in assessing his or
her aptitudes, abilities, and interests in order to make realistic career deci-
sions.
(3) Personal counseling in which the pupil is helped to develop his or
her ability to function with social and personal responsibility.
(4) Counseling and consultation with parents and staff members on
learning problems and guidance programs for pupils.
(c) The individual performing counseling services to pupils shall be
qualified.
NOTE: Authority cited: Section 56100(a) and (i). Education Code; 20 U.S.C.
1414(c)(2)(B); and 34 C.F.R. 300.600. Reference: Sections 35300 and
56363(b)( 1 1 ), Education Code; and 34 C.F.R. 300. 1 3(b)(2), (b)(6), and (b)(8).
§ 3051 .1 0. Psychological Services Other Than Assessment
and Development of the Individualized
Education Program.
Psychological services may include:
(a) Counseling provided to an individual with exceptional needs by a
credentialed or licensed psychologist or other qualified personnel.
(b) Consultative services to parents, pupils, teachers, and other school
personnel.
(c) Planning and implementing a program of psychological counseling
for individuals with excepfional needs and parents.
NOTE: Authority cited: Section 56100(a) and (i). Education Code; 20 U.S.C.
1414(c)(2)(B); and 34 C.F.R. 300.600. Reference: Section 56363(b)(10), Educa-
tion Code; and 34 C.F.R. 300.13 (b)(8).
§ 3051 .1 1 . Parent Counseling and Training.
Parent counseling and training may include:
(a) Assisfing parents in understanding the special needs of their child,
and
(b) Providing parents with information about child development.
NOTE: Authority cited: Education Code Section 56100(a) and (i); 20 U.S.C.
1414(c)(2)(B); and 34 C.F.R. 300.600. Reference: Section 56363(b)(l 1), Educa-
tion Code; and 34 C.F.R. 300.13(b)(6).
§ 3051 .1 2. Health and Nursing Services.
(a) Health and nursing services may include:
( 1 ) Providing services by qualified personnel.
(2) Managing the individual's health problems on the school site.
(3) Consulting with pupils, parents, teachers, and other personnel.
(4) Group and individual counseling with parents and pupils regarding
health problems.
(5) Maintaining communication with health agencies providing care
to individuals.
(b) Specialized physical health care may be provided as described in
Education Code Section 49423.5.
(1) Definifions.
(A) Specialized physical health care services means those health ser-
vices prescribed by the child's licensed physician and surgeon requiring
medically related training for the individual who performs the services
and which are necessary during the school day to enable the child to at-
tend school.
(B) Standardized procedures means protocols and procedures devel-
oped through collaboration among school or hospital administrators and
health professionals, including licensed physicians and surgeons and
nurses, to be utilized in the provision of the specialized physical health
care services.
(C) Qualified means ability to demonstrate competence in Cardio-
pulmonary Resuscitafion, current knowledge of community emergency
medical resources, and skill in the use of equipment and performance of
techniques necessary to provide specialized physical health care services
for individuals with exceptional needs. In addiuon:
1 . "Qualified" for the professional school or public health nurse or li-
censed physician and surgeon shall mean trained in the procedures to a
level of competence and safety which meets the objectives of the train-
ing.
2. "Qualified" for the designated school personnel shall mean trained
in the procedures to a level of competence and safety which meets the ob-
jecfives of the training as provided by the school nurse, public health
nurse, licensed physician and surgeon, or other programs which provide
the training.
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Title 5
California Department of Education
§3051.14
(D) Supervision means review, observation, and/or instaiction ot^ a
designated school person's performance and of physical health care ser-
vices, but does not necessarily require the immediate presence of the su-
pervisor at all times.
1 . Immediate supervision means that the supervisor shall be physically
present while a procedure is being administered.
2. Direct supervision means that the supervisor shall be present in the
same building as the person being supervised and available for consulta-
tion and/or assistance.
3. Indirect supervision means that the supervisor shall be available to
the qualified designated school person either in person or through elec-
tronic means to provide necessary instruction, consultation, and referral
to appropriate care and services as needed. Supervision of designated
school persons shall include review on-site by a qualified school nurse,
qualified public health nurse, or qualified licensed physician and sur-
geon. Supervision shall also include review of the competence of that in-
dividual in performing the specialized health care service, maintenance
of appropriate records, physical environment, and equipment.
(E) Training means preparation in the appropriate delivery and skillful
performance of specialized physical health care services. In addition:
1. Medically related training of credentialed school nurses or public
health nurses shall be that training in an approved program which may
be necessary to update or make current the nurse's professional skills and
knowledge related to meeting pupils' needs for specialized physical
health care services.
2. Medically related training of employed designated school personnel
is that training in an approved program in standardized procedures pro-
vided by a qualified school nurse, qualified public health nurse, qualified
licensed physician and surgeon, or other approved programs to enable
the person to provide the specialized physical health care services neces-
sary to enable the child to attend school.
(F) Competence in Cardio-Pulmonary Resuscitation means posses-
sion of a current valid certificate from an approved program.
(2) Standards and Staffing.
(A) AllocaUon of qualified designated school personnel shall be deter-
mined by the amount and type of supervision necessary to this regulation,
and also the type and frequency of services needed by students in special
classes and centers, and regular instructional settings.
(B) Approved training for qualified personnel shall be provided in one
or more of the following ways:
1. By a qualified school nurse, qualified public health nurse, or quali-
fied licensed physician and surgeon, as defined in these reguladons.
2. By career and continuing education programs, approved by the ap-
propriate licensing board.
3. By training programs through public or private medical instituUons,
i.e., hospitals, public health agencies, Visiung Nurses AssociaUons, and
Red Cross.
(3) Organization and Administrafion.
(A) Specific conUnuing specialized physical health care services re-
quired in order for the individual to benefit from special educafion will
be included in the individualized education program. If the parent elects
to perform the service during the school day, a waiver shall be signed re-
lieving the school of the responsibility.
(B) Appropriate accommodations for safety and necessary physical
care services for the individual with exceptional needs in the school set-
Ung shall be provided by the school. Personal privacy and dignity of an
individual with excepfional needs shall be assured.
(C) The school district shall not be required to purchase medical equip-
ment for an individual pupil. However, the school district, special educa-
tion local plan area, or county office is responsible for providing other
specialized equipment for use at school that is needed to implement the
individualized education program.
(D) In accordance with Education Code Section 49423.5(a)(2), a qual-
ified school nurse, qualified public health nurse, or qualified licensed
physician and surgeon responsible for supervising the physical health
care of an individual with excepfional needs in the school setting shall:
I. Coordinate the health care services to the individuals with excep-
tional needs on the school site.
2. Consult with appropriate personnel regarding management o\'
health care services for individuals with exceptional needs.
3. Make appropriate referrals and maintain communication with
health agencies providing care to individuals with exceptional needs.
4. Maintain or review licensed physician and surgeon and parent re-
quests and daily documentation records.
(E) Written licensed physician and surgeon and parent requests, as
well as the specific standardized procedures to be used if physical health
care services are provided, shall be maintained for each individual with
exceptional needs. Daily documentation of specific services which are
provided shall be maintained on a district-approved form which shall in-
clude the signatures of the qualified designated school person(s) who
performs the procedure.
1 . Any pupil who is required to have specialized physical health care
services during the school day, prescribed for him or her by a licensed
physician and surgeon, may be assisted by a qualified school nurse, qual-
ified public health nurse, or other qualified school personnel, if the school
district receives:
a. A written statement from the licensed physician and surgeon stating
the procedure and time schedules by which such procedures are to be giv-
en; and
b. A written statement from the parent or guardian of the pupil, indicat-
ing the desire that the school district assist the pupil in the matters set
forth in the Hcensed physician and surgeon's statement, and granting
consent for the delivery of such services.
2. This written statement of a licensed physician and surgeon and par-
ent requests and daily documentation shall be maintained in accordance
with the requirements of confidenfiality of pupil records, and are consid-
ered mandatory interim pupil records.
NOTE: Authority cited; Section 361 00(a) and (i). Education Code. Reference: Sec-
tions 49423.5 and 56363(b)(12), Education Code; and 34 CFR 300.13(b)( 10).
History
1. Amendment of subsection (b)(3)(C) filed 3-21-88; operative 4-20-88 (Regis-
ter 88. No. 15).
§ 3051 .13. Social Worker Services.
(a) Personnel providing social worker services shall be qualified.
(b) Social work services may include:
( 1 ) Individual and group counseling with the individual and his or her
immediate family.
(2) Consultafion with pupils, parents, teachers, and other personnel re-
garding the effects of family and other social factors on the learning and
developmental requirements of individual pupils with excepfional needs.
(3) Developing a network of community resources, making appropri-
ate refenal and maintaining liaison relationships among the school, the
pupil with exceptional needs, the family, and the various agencies pro-
viding social, income maintenance, employment development, mental
health, or other developmental services.
NOTE: Authority cited; Section 56i00(a) and (i). Education Code; 20 U.S.C.
1414(c)(2)(B); and 34 C.F.R. 300.600. References; Section 56363(b)( 1 3), Educa-
tion Code; and 34 C.F.R. 300. 13(b)( 1 1).
§ 3051.14. Specially Designed Vocational Education and
Career Development.
Specially designed vocational education and career development for
individuals with excepfional needs regardless of severity of disability
may include:
(a) Providing prevocafional programs and assessing work-related
skills, interests, apfitudes, and atfitudes.
(b) Coordinafing and modifying the regular vocafional education pro-
gram.
(c) Assisfing individuals in developing attitudes, self-confidence, and
vocafional competencies to locate, secure, and retain employment in the
community or sheltered environment, and to enable such individuals to
become participaung members of the community.
(d) Establishing work training programs within the school and com-
munity.
(e) Assisfing in job placement.
Page 57
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§ 3051.15
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(f) Instructing Job trainers and employers as to the unique needs of the
individuals.
(g) Maintaining regularly scheduled contact with all work stations and
job-site trainers.
(h) Coordinating services with the Department of Rehabilitation and
other agencies as designated in the individualized education program.
NOTE: Authority cited: Section 561(X)(a) and (i). Education Code. Reference: Sec-
tion 56363(b)(14), Education Code; 34 CFR 300.14(b)(3).
§ 3051 .15. Recreation Services.
Recreation services include but are not limited to:
(a) Therapeutic recreation services which are those specialized in-
structional programs designed to assist pupils in becoming as indepen-
dent as possible in leisure activities, and when possible and appropriate,
facilitate the pupil's integration into regular recreation programs.
(b) Recreation programs in schools and the community which are
those programs that emphasize the use of leisure activity in the teaching
of academic, social, and daily hving skills; and, the provision of nonaca-
demic and extracurricular leisure activities and the utilization of commu-
nity recreation programs and facilities.
(c) Leisure education programs which are those specific programs de-
signed to prepare the pupil for optimum independent participation in ap-
propriate leisure activities, including teaching social skills necessary to
engage in leisure activities, and developing awareness of personal and
community leisure resources.
NOTE: Authority cited: Section 56 100(a) and (1), Education Code. Reference: Sec-
tion 56363(b)(]5), Education Code; and CFR 300.13(b)(9).
History
1. New section filed 3-21-88; operative 4-20-88 (Register 88, No. 15).
2. Editorial correction of Note (Register 98, No. 33).
§ 3051 .1 6. Specialized Services for Low-Incidence
Disabilities.
(a) Specialized Services for low-incidence disabilities may include:
( 1 ) Specially designed instruction related to the unique needs of pupils
with low-incidence disabilities provided by teachers credentialed pur-
suant to Education Code section 44265.
(2) Specialized services related to the unique needs of pupils with low-
incidence disabihties provided by qualified individuals such as interpret-
ers, notetakers, readers, transcribers, and other individuals who provide
specialized materials and equipment.
(b) Certification requirements for educational interpreters for deaf and
hard of hearing pupils.
(1 ) By July 1 , 2(X)8, an educational interpreter shall be certified by the
national Registry of Interpreters for the Deaf (RID), or equivalent; in lieu
of RID certification or equivalent, an educational interpreter shall have
achieved a score of 3.0 or above on the Educational Interpreter Perfor-
mance Assessment (EIPA), the Educational Sign Skills Evaluation-In-
terpreter and Receptive (ESSE-I/R), or the National Association of the
Deaf/American Consortium of Certified Interpreters (NAD/ACCI) as-
sessment. If providing Cued Language transliteration, a transl iterator
shall possess Testing/Evaluation and Certification Unit (TECUnit) certi-
fication, or have achieved a score of 3.0 or above on the EIPA — Cued
Speech.
(2) By July 1 , 2008, an educational interpreter shall be certified by the
national RID, or equivalent; in lieu of RID certification or equivalent, an
educational interpreter must have achieved a score of 3.5 or above on the
EIPA, the ESSE-I/R, or the NAD/ACCI assessment. If providing Cued
Language transliteration, a transl iterator shall possess TECUnit certifi-
cation, or have achieved a score of 3.5 or above on the EIPA — Cued
Speech.
(3) By July 1, 2009, and thereafter, an educational interpreter shall be
certified by the national RID, or equivalent; in lieu of RID certification
or equivalent, an educational interpreter must have achieved a score of
4.0 or above on the EIPA, the ESSE-I/R, or the NAD/ACCI assessment.
If providing Cued Language transliteration, a transliterator shall possess
TECUnit certification, or have achieved a score of 4.0 or above on the
EIPA — Cued Speech.
(c) An '"educational interpreter" provides communication facilitation
between students who are deaf or hard of hearing, and others, in the gen-
eral education classroom and for other school related activities, including
extracurricular activities, as designated in a student's Individualized
Educational Program (lEP).
NOTE: Authority cited: Section 561 00(a) and (i). Education Code. Reference: Sec-
tion 56363. Education Code; and Sections 300..34 and 300.156(b)(1), Title 34,
Code of Federal Regulations.
History
1. New section filed .3-21-88; operative 4-20-88 (Register 88, No. 15).
2. Editorial correction of first sentence (Register 98, No. 33).
3. Amendment of section and Note filed 7-29-2002; operative 8-28-2002 (Reg-
ister 2002, No. 31).
4. Repealer and new subsection (b)( 1 ), new subsections (b)(2)-(c) and amendment
of Note filed 2-22-2008; operative 3-23-2008 (Register 2008, No. 8).
§ 3051 .1 7. Services for Pupils with Chronic Illnesses or
Acute Health Problems.
(a) Specialized services may be provided to pupils determined eligible
pursuant to Section 3030(f). Such services include but are not limited to:
(1) Individual consultation;
(2) Home or hospital instruction; and
(3) Other instructional methods using advanced communication tech-
nology.
(b) For pupils whose medical condition is in remission or in a passive
state, the individualized education program team shall specify the fre-
quency for monitoring the pupil's educational progress to assure that the
illness does not interfere with the pupil's educational progress.
(c) When a pupil identified pursuant to Section 3030(f) experiences an
acute health problem which results in his or her non — attendance at
school for more than five consecutive days, upon notification of the clas-
sroom teacher or the parent, the school principal or designee shall assure
that an individualized education program team is convened to determine
the appropriate educational services.
(d) If there is a pattern of sporadic illness, the individualized education
program team shall convene to consider alternative means for the pupil
to demonstrate competencies in the required course of study so that the
cumulative number of absences do not prevent educational progress.
NOTE: Authority cited: Section 56100(a) and (i). Education Code. Reference: Sec-
tion 56363(a), Education Code; and 34 CFR 300.14(a)(1).
History
1. New section filed 3-21-88; operative 4-20-88 (Register 88, No. 13).
§ 3051 .1 8. Designated Instruction and Services for the
Deaf and Hard of Hearing.
(a) Instruction and services for deaf and hard of hearing pupils shall
be provided by an individual holding an appropriate Credential, who has
competencies to provide services to the hearing impaired and who has
training, experience and proficient communication skills for educating
pupils with hearing impairments. Such services may include but need not
to be limited to:
(1) Speech, speech reading and auditory training.
(2) Instruction in oral, sign, and written language development.
(3) Rehabilitative and educational services for hearing impaired indi-
viduals to include monitoring amplification, coordinating information
for the annual review, and recommending additional services.
(4) Adapting curricula, methods, media, and the environment to facili-
tate the learning process.
(5) Consultation to pupils, parents, teachers, and other school person-
nel as necessary to maximize the pupil's experience in the regular educa-
tion program.
(b) A specially trained instructional aide, working with and under the
direct supervision of the credentialed teacher of the deaf and hard-of-
hearing, may assist in the implementation of the pupil's educational pro-
gram.
NOTE: Authority cited: Section 561 00(a) and (i). Education Code. Reference: Sec-
tion 56363 (b)(16), Educafion Code; and 34 CFR 300, 13(a).
Page 58
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Title 5
California Department of Education
§ 3052
History
1. New .section (lied 3-21-88; operative 4-20-88 (Register 88, No. l.S).
§ 3052. Designated Positive Behavioral Interventions.
(a) General Provision.s.
( 1 ) An lEP team shall facilitate and supervise all assessment, interven-
tion, and evaluation activities related to a individual's behavioral inter-
vention plan. When the behavioral intervention plan is being developed,
the lEP team shall be expanded to include the behavioral intervention
case manager with documented training in behavior analysis including
positive behavioral intervention(s). qualified personnel knowledgeable
of the student's health needs, and others as described in Education Code
Section 5634 1 (c)(2). The behavioral intervention case manager is not in-
tended to be a new staff person and may be an existing staff member
trained in behavior analysis with an emphasis on positive behavioral in-
terventions.
(2) Behavioral intervention plans shall only be implemented by, or be
under the supervision of, staff with documented training in behavior
analysis, including the use of positive behavioral interventions. Such in-
terventions shall only be used to replace specified maladaptive behav-
ior(s) with alternative acceptable behavior(s) and shall never be used
solely to eliminate maladaptive behavior(s).
(3) Behavioral intervention plans shall be based upon a functional
analysis assessment, shall be specified in the individualized education
program, and shall be used only in a systematic manner in accordance
with the provisions of this section.
(4) Behavioral emergency interventions shall not be used as a substi-
tute for behavioral intervention plans.
(5) The elimination of any maladaptive behavior does not require the
use of intrusive behavioral interventions that cause pain or trauma.
(6) To the extent possible, behavioral intervention plans shall be de-
veloped and implemented in a consistent manner appropriate to each of
the individual's life settings.
(b) Functional Analysis Assessments. A functional analysis asses-
sment must be conducted by, or be under the supervision of a person who
has documented training in behavior analysis with an emphasis on posi-
tive behavioral interventions. A functional analysis assessment shall oc-
cur after the individualized education program team finds that instruc-
tional/behavioral approaches specified in the student's IE? have been
ineffective. Nothing in this section shall preclude a parent or legal guard-
ian from requesting a functional analysis assessment pursuant to the pro-
visions of Education Code sections 56320 et seq.
Functional analysis assessment personnel shall gather information
from three sources: direct observation, interviews with significant others,
and review of available data such as assessment reports prepared by other
professionals and other individual records. Prior to conducting the asses-
sment, parent notice and consent shall be given and obtained pursuant to
Education Code Section 56321.
( 1 ) A functional analysis assessment procedure shall include all of the
following:
(A) Systematic observation of the occurrence of the targeted behavior
for an accurate definition and description of the frequency, duration, and
intensity;
(B) Systematic observation of the immediate antecedent events asso-
ciated with each instance of the display of the targeted inappropriate be-
havior:
(C) Systematic observation and analysis of the consequences follow-
ing the display of the behavior to determine the function the behavior
serves for the individual, i.e., to identify the specific environmental or
physiological outcomes produced by the behavior. The communicative
intent of the behavior is identified in terms of what the individual is either
requesting or protesting through the display of the behavior;
(D) Ecological analysis of the settings in which the behavior occurs
most frequently. Factors to consider should include the physical setting,
the social setting, the activities and the nature of instruction, scheduling,
the quality of communication between the individual and staff and other
students, the degree of independence, the degree of participation, the
amount and quality of social interaction, the degree of choice, and the va-
riety of activities;
(E) Review of records for health and medical factors which may inl1u-
ence behaviors (e.g. medication levels, sleep cycles, health, diet); and
(F) Review of the history of the behavior to include the effectiveness
of previously used behavioral interventions.
(2) Functional Analysis Assessment Reports. Following the asses-
sment, a written report of the assessment results shall be prepared and a
copy shall be provided to the parent. The report shall include all of the
following:
(A) A description of the nature and severity of the targeted behavior(s)
in objective and measurable terms:
(B) A description of the targeted behavior(s) that includes baseline
data and an analysis of the antecedents and consequences that maintain
the targeted behavior, and a functional analysis of the behavior across all
appropriate settings in which it occurs;
(C) A description of the rate of alternative behaviors, their antecedents
and consequences; and
(D) Recommendations for consideration by the lEP team which may
include a proposed plan as specified in Section 3001(0.
(c) lEP Team Meeting. Upon completion of the functional analysis
assessment, an lEP team meeting shall be held to review results and. if
necessary, to develop a behavioral intervention plan, as defined in Article
1, SecUon 3001(f) of these regulations. The lEP team shall include the
behavioral intervention case manager. The behavioral intervention plan
shall become a part of the lEP and shall be written with sufficient detail
so as to direct the implementafion of the plan.
(d) Intervenfion. Based upon the results of the functional analysis
assessment, posifive programming for behavioral intervention tnay in-
clude the following:
(1 ) Altering the idenfified antecedent event to prevent the occurrence
of the behavior (e.g., providing choice, changing the setting, offering va-
riety and a meaningful curriculum, removing environmental pollutants
such as excessive noise or crowding, establishing a predictable routine
for the individual);
(2) Teaching the individual alternative behaviors that produce the
same consequences as the inappropriate behavior (e.g., teaching the indi-
vidual to make requests or protests using socially acceptable behaviors,
teaching the individual to participate with alternative communication
modes as a substitute for socially unacceptable attention-getting behav-
iors, providing the individual with acfivities that are physically stimulat-
ing as alternatives for stereotypic, self-stimulatory behaviors):
(3) Teaching the individual adapUve behaviors (e.g.. choice-making,
self-management, relaxafion techniques, and general skill development)
which ameliorate negative conditions that promote the display of inap-
propriate behaviors; and
(4) Manipulating the consequences for the display of targeted inappro-
priate behaviors and alternafive, acceptable behaviors so that it is the al-
ternative behaviors that more effectively produce desired outcomes (i.e.,
positively reinforcing alternative and other acceptable behaviors and ig-
noring or redirecfing unacceptable behaviors).
(e) Acceptable Responses. When the targeted behavior(s) occurs, pos-
itive response opfions shall include, but are not limited to one or more oi'
the following:
(1) the behavior is ignored, but not the individual;
(2) the individual is verbally or verbally and physically redirected to
an acfivity;
(3) the individual is provided with feedback (e.g., "You are talking too
loudly");
(4) the message of the behavior is acknowledged (e.g., "You are hav-
ing a hard rime with your work"); or
(5) a brief, physical prompt is provided to interrupt or prevent aggres-
sion, self-abuse, or property destruction.
(f) Evaluadonof the Behavioral Intervenfion Plan Effectiveness. Eval-
uation of the effecfiveness of the behavioral intervention plan shall be de-
termined through the following procedures:
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(1 ) Baseline measure of the frequency, duration, and intensity of the
targeted behavior, taken during the functional analysis assessment. Base-
line data shall be taken across activities, settings, people, and times of the
day. The baseline data shall be used as a standard against which to evalu-
ate intervention effectiveness;
(2) Measures of the frequency, duration, and intensity of the targeted
behavior shall be taken after the behavioral intervention plan is implem-
ented at scheduled intervals determined by the lEP team. These measures
shall also be taken across activities, settings, people, and times of the day,
and may record the data in terms of time spent acting appropriately rather
than time spent engaging in the inappropriate behavior;
(3) Documentation of program implementation as specified in the be-
havioral intervention plan (e.g.. written instructional programs and data,
descriptions of environmental changes); and
(4) Measures of program effectiveness will be reviewed by the teach-
er, the behavioral intervention case manager, parent or care provider, and
others as appropriate at scheduled intervals determined by the lEP team.
This review may be conducted in meetings, by telephone conference, or
by other means, as agreed upon by the lEP team.
(5) If the lEP team determines that changes are necessary to increase
program effectiveness, the teacher and behavioral intervention case man-
ager shall conduct additional functional analysis assessments and. based
on the outcomes, shall propose changes to the behavioral intervention
plan.
(g) Modifications without lEP Team Meeting. Minor modifications to
the behavioral intervention plan can be made by the behavioral interven-
tion case manager and the parent or parent representative. If the case
manager is unavailable, a qualified designee who meets the training re-
quirements of subsection (a)(J) shall participate in such modifications.
Each modification or change shall be addressed in the behavioral inter-
vention plan provided that the parent, or parent representative, is notified
of the need and is able to review the existing program evaluation data
prior to implementing the modification or change. Parents shall be in-
formed of their right to question any modification to the plan through the
lEP procedures.
(h) Contingency Behavioral Intervention Plans. Nothing in this sec-
tion is intended to preclude the lEP team from initially developing the be-
havioral intervention plan in sufficient detail to include schedules for al-
tering specified procedures, or the frequency or duration of the
procedures, without the necessity for reconvening the lEP team. Where
the intervention is to be used in multiple settings, such as the classroom,
home and job sites, those personnel responsible for implementation in the
other sites must also be notified and consulted prior to the change.
(i) Emergency Interventions. Emergency interventions may only be
used to control unpredictable, spontaneous behavior which poses clear
and present danger of serious physical harm to the individual or others
and which cannot be immediately prevented by a response less restrictive
than the temporary application of a technique used to contain the behav-
ior.
(1) Emergency interventions shall not be used as a substitute for the
systematic behavioral intervention plan that is designed to change, re-
place, modify, or eliminate a targeted behavior.
(2) Whenever a behavioral emergency occurs, only behavioral emer-
gency interventions approved by the special education local planning
area (SELPA) may be used.
(3) No emergency intervention shall be employed for longer than is
necessary to contain the behavior. Any situation which requires pro-
longed use of an emergency intervention shall require staff to seek assis-
tance of the school site administrator or law enforcement agency, as
applicable to the situation.
(4) Emergency interventions may not include:
(A) Locked seclusion, unless it is in a facility otherwise licensed or
permitted by state law to use a locked room;
(B) Employment of a device or material or objects which simulta-
neously immobilize all four extremities, except that techniques such as
prone containment may be used as an emergency intervention by staff
trained in such procedures; and
(C) An amount of force that exceeds that which is reasonable and nec-
essary under the circumstances.
(5) To prevent emergency interventions from being used in lieu of
planned, systematic behavioral interventions, the parent and residential
care provider, if appropriate, shall be notified within one school day
whenever an emergency intervention is used or serious property damage
occurs. A "Behavioral Emergency Report" shall immediately be com-
pleted and maintained in the individual's file. The report shall include all
of the following:
(A) The name and age of the individual;
(B) The setting and location of the incident;
(C) The name of the staff or other persons involved;
(D) A description of the incident and the emergency intervention used,
and whether the individual is currently engaged in any systematic behav-
ioral intervention plan; and
(E) Details of any injuries sustained by the individual or others, includ-
ing staff, as a result of the incident.
(6) All "Behavioral Emergency Reports" shall immediately be for-
warded to. and reviewed by. a designated responsible administrator.
(7) Anytime a "Behavioral Emergency Reporf ' is written regarding
an individual who does not have a behavioral intervention plan, the des-
ignated responsible administrator shall, within two days, schedule an lEP
team meeting to review the emergency report, to determine the necessity
for a functional analysis assessment, and to determine the necessity for
an interim behavioral intervention plan. The lEP team shall document the
reasons for not conducting an assessment and/or not developing an inter-
im plan.
(8) Anytime a "Behavioral Emergency Report" is written regarding an
individual who has a behavioral intervention plan, any incident involving
a previously unseen serious behavior problem or where a previously de-
signed intervention is not effective should be referred to the lEP team to
review and determine if the incident constitutes a need to modify the plan.
(9) "Behavioral Emergency Report" data shall be collected by SEL-
PAs which shall report annually the number of Behavioral Emergency
Reports to the California Department of Education and the Advisory
Committee on Special Education.
(j) SELPA Plan. The local plan of each SELPA shall include proce-
dures governing the systematic use of behavioral interventions and emer-
gency interventions. These procedures shall be part of the SELPA local
plan.
(1) Upon adoption, these procedures shall be available to all staff
members and parents whenever a behavioral intervention plan is pro-
posed.
(2) At a mirumum, the plan shall include:
(A) The qualifications and training of personnel to be designated as be-
havioral intervention case managers, which shall include training in be-
havior analysis with an emphasis on positive behavioral interventions,
who will coordinate and assist in conducting the functional analysis
assessments and the development of the behavioral intervention plans;
(B) The qualifications and training required of personnel who will par-
ticipate in the implementation of the behavioral intervention plans;
which shall include training in positive behavioral interventions;
(C) Special training that will be required for the use of emergency be-
havioral interventions and the types of interventions requiring such train-
ing; and
(D) Approved behavioral emergency procedures.
(k) Nonpublic School Policy. Nonpublic schools and agencies, serv-
ing individuals pursuant to Education Code Section 56365 et seq., shall
develop policies consistent with those specified in subsection (i) of this
section.
(/) Prohibitions. No public education agency, or nonpublic school or
agency serving individuals pursuant to Education Code Section 56365 et
seq., may authorize, order, consent to, or pay for any of the following in-
terventions, or any other interventions similar to or like the following:
(1) Any intervention that is designed to, or likely to, cause physical
pain;
(2) Releasing noxious, toxic or otherwise unpleasant sprays, mists, or
substances in proximity to the individual's face;
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§ 3060
(3) Any inierveniion which denies adequate sleep, food, water, sheker.
bedding, physical comt'ort, or access to bathroom facilities:
(4) Any intervention which is designed to subject, used to subject, or
likely to subject the individual to verbal abuse, ridicule or humiliation,
or which can be expected to cause excessive emotional trauma;
(5) Restrictive interventions which employ a device or material or ob-
jects that simultaneously immobilize all four extremeties, including the
procedure known as prone containment, except that prone containment
or similar techniques may be used by trained personnel as a limited emer-
gency intervention pursuant to subsection (i);
(6) Locked seclusion, except pursuant to subsection (i)(4)(A);
(7) Any intervention that precludes adequate supervision of the indi-
vidual; and
(8) Any intervention which deprives the individual of one or more of
his or her senses.
(m) Due Process Hearings. The provisions of this chapter related to
functional analysis assessments and the development and implementa-
tion of behavioral intervention plans are subject to the due process hear-
ing procedures specified in Education Code Section 56501 et seq. No
hearing officer may order the implementation of a behavioral interven-
tion that is otherwise prohibited by this section, by SELPA policy, or by
any other applicable statute or regulation.
NoTE; Authority cited: Section 56523(a), Education Code. Reference: Sections
56520 and 56523. Education Code.
History
1. New section filed 4-20-93; operative 5-20-93 (Register 93, No. 17).
2. Amendment of subsections (b). (b)(2)(D), (c), (i), (i )(5) and (i)(7) filed 2-2.3-96
as an emergency; operative 2-23-96 (Register 96, No. 8). A Certificate of Com-
pliance must be transmitted to OAL by 6-22-96 or emergency language will be
repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-96 order including further amendment of
subsection (b) transmitted to OAL 6-21-96 and filed 8-5-96 (Resister 96. No.
§ 3053. Special Classes.
(a) Placement in a special day class shall not limit or restrict the consid-
eration of other options, including services provided in a vocational edu-
cation program or any combination of programs and placements as may
be required to provide the services specified in a pupil's individualized
education program.
(b) The following standards for special classes shall be met:
(1) A special class shall be composed of individuals whose needs as
specified in the individualized education programs can be appropriately
met within the class.
(2) Pupils in a special class shall be provided with an educational pro-
gram in accordance with their individualized education programs for at
least the same length of time as the regular school day for that chronolog-
ical peer group:
(A) When an individual can benefit by attending a regular program for
part of the day, the amount of time shall be written in the individualized
education program.
(B) When the individualized education program team determines that
an individual cannot function for the period of time of a regular school
day, and when it is so specified in the individualized education program,
an individual may be permitted to attend a special class for less time than
the regular school day for that chronological peer group.
(3) The procedure for allocation of aides for special classes shall be
specified in the local plan. Additional aide time may be provided when
the severity of the handicapping conditions of the pupils or the age of the
pupils justifies it, based on the individualized education programs.
(4) Special class(es) shall be located to promote maximum appropriate
interaction with regular educational programs.
(c) The special class shall be taught by a full-time-equivalent teacher
whose responsibility is the instruction, supervision, and coordination of
the educational program for those individuals enrolled in the special
class.
The special class shall be taught by a teacher who holds an appropriate
special education credential authorized by the Commission on Teacher
Credentialing and who pos.sesses the necessary competencies to teach in-
dividuals assigned to the class. Special class teachers with a Special Edu-
cation Credential employed as of September 1 , 1 975, as teachers in spe-
cial classes for pupils in severe language disorder aphasia programs and
who possess the necessary competencies to teach individuals assigned to
the class, shall be authorized to continue to teach.
NOTE: Authority cited: Section 561 ()0(a) and (i). Education Code. Reference: Sec-
tions 56001 and 56364, Education Code; and 34 CFR 300.55(K554.
History
1. Amendment filed 3-21-88; operative 4-20-88 (Register 88. No. 15).
§ 3054. Special Center.
(a) Standards. Special centers of)erating under this section shall:
(1) Provide pupils in a special center with an educational program in
accordance with their individualized education programs for at least the
same length of time as the regular school day for that chronological peer
group:
(A) When an individual can benefit by attending a regular class(es) or
other program part of the day, the amount of time shall be written in the
individualized education prograin.
(B) When the individualized education program team determines than
an individual cannot function for the period ol' time of a regular school
day, and when it is so specified in the individualized education program,
an individual may be permitted to attend a special center for less time than
the regular school day for that chronological peer group.
(2) Be staffed by qualified personnel at a pupil/adult ratio to enable im-
plementation of the pupils' individualized education programs.
(3) Provide an emergency communication system for the health and
safety of individuals with exceptional needs, such as fire, earthquake, and
smog alerts.
(4) Have specialized equipment and facilities to meet the needs of indi-
viduals served in the special centers.
(b) Special centers should be located to promote maximum, appropri-
ate interaction with regular educational programs.
Note; Authority cited: Section 5610()(a) and (i). Education Code; 20 U.S.C.
1414(c)(2)(B); and 34 C.F.R. 300.600. References: Sections 56001 and 56364.
Education Code; and 34 C.F.R. 300.550-554.
Article 6. Nonpublic, Nonsectarian School
and Agency Services
§ 3060. Application for Certification.
(a) Any school, person or agency desiring to obtain certification as a
nonpublic school or nonpublic agency shall file an application with the
Superintendent on forms developed and provided by the Department.
(b) Applications to be certified as a nonpublic school or a nonpublic
agency shall be filed at the time allowed by Education Code section
56366.1(b) and (h).
(c) Each nonpublic school or nonpublic agency application shall in-
clude information pursuant to Education Code section 56366. 1(a) and:
( 1 ) the name and address of the nonpublic school or nonpublic agency;
(2) the name of the administrator and contact person;
(3) the telephone and FAX numbers;
(4) for nonpublic schools, the name of the teacher(s) with a credential
authorizing service in special education;
(5) the types of disabling conditions served;
(6) the age, gender and grade levels served;
(7) the total capacity of the program;
(8) a brief description of the program;
(9) per hour, per day or montlily fees for services provided:
(10) written directions and a street map describing the location of the
nonpublic school from the major freeways, roads, streets, thoroughfares
and closest major airport;
(11) tuberculosis expiration dales for all staff;
(12) criminal record summary or criminal history clearance dates for
all staff who may have contact with pupils;
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(13) a list of school districts, county offices of education and special
education local plan areas for whom the applicant has a contract to pro-
vide school and/or related services;
(14) for out-of-state applicants, a copy of the current certification or
license by the state education agency to provide education services to in-
dividuals with exceptional needs under the Individuals with Disabilities
Education Act;
(15) for in-state private schools currently providing educational ser-
vices to six (6) or more students, a copy of the Private School Affidavit
which has been filed with their county superintendent of schools;
( 16) a copy of the current school year calendar; and
(17) a fire inspection clearance completed within the past twelve
months.
(d) In addition to the requirements set forth section 3060.2, each non-
public school with a residential component shall include, as part of the
application for certification:
( 1 ) the name of the residential program attached to the nonpublic
school;
(2) a copy of the current residential care license;
(3) the proprietary status of the residential program;
(4) alist of all residential facilities affiliated with the nonpublic school;
(5) the total capacity of all the residential facilities affiliated with the
nonpublic school;
(6) the per day or monthly fee for the residential component; and
(7) the rate of care level for each residential facility affiliated with the
nonpublic school.
(e) The applicant shall file affidavits, assurances and clearances that
verify compliance with:
(1) Fair Employment Act;
(2) Drug Free Workplace Act of 1988;
(3) Section 504 of the Rehabilitation Act of 1973;
(4) Individuals with Disabilities Education Act;
(5) Civil Rights Act of 1964, as amended;
(6) Education Code Section 33190 (Private School Affidavit);
(7) Nonsectarian status;
(8) OSHA Bloodbome Pathogens Standards;
(9) all local, county, or state ordinances and/or statutes relating to fire,
health, sanitation, and building safety;
(10) use permit, conditional permit or zoning; and
(11) other assurances as required by state or federal law set forth in the
Assurance Statement in the nonpublic school or nonpublic agency ap-
plication for certification.
(f) The applicant shall submit, with the application, a fee in accordance
with Education Code Section 56366. l(k).
(g) No fee shall be refunded to the applicant if the application is with-
drawn or if the Superintendent denies the application.
(h) Applicants shall submit a separate application for each nonpublic
school or nonpublic agency site.
(i) A nonpublic school or agency shall be certified for a period of two
years, terminating on December 3 1 of the second year. An annual renew-
al application shall be required. The renewal application shall require the
nonpublic school or agency to update information that has changed since
the submission of its previous application including, but not limited to,
a copy of the current school year calendar and if the nonpublic school has
a residential component, a copy of the current residential care license.
(j) To allow transition of separate cycles between nonpublic schools
and nonpublic agencies, beginning January 2000, nonpublic schools
shall receive a one-time three-year certification that requires annual up-
dates. Beginning January 2000, nonpublic agencies shall begin a two-
year period of certification that requires annual updates. When nonpublic
school certifications expire on December 31, 2003, the two-year period
of certification shall become effective thereafter.
Note. Authority cited: Sections 33031, 56100 and 56366(e), Education Code.
Reference: Section 56366.1, Education Code.
History
1 . New seclion Hied 7-1 8-97 as an emergency: operative 7-1 8-97 (Register 97,
No. 29). A Certificate of Compliance must be transmitted to OAL by 1 1-17-97
oremergency amendments will be repealed by operation of law on the following
day.
2. New section retiled 1 1-14-97 as an emergency; operative 11-1 4-97 (Register
97, No. 46). A Certificate of Compliance must be transmitted to OAL by
3-16-98 or emergency language will be repealed by operation of law on the
following day.
3. Repealed by operation of Government Code section 11346.1(g) (Register 98,
No. 16).
4. New seclion filed 4-16-98 as an emergency; operative 4-16-98 (Register 98,
No. 16). A Certificate of Compliance must be transmitted to OAL by 8-14-98
or emergency language will be repealed by operation of law on the following
day.
5. Repealed by operation of Government Code section 1 1346.1(g) (Resister 98,
No. 34).
6. New section tiled 8-19-98 as an emergency; operative 8-19-98 (Register 98,
No. 34). A Certificate of Compliance must be transmitted to OAL by 12-1 7-98
or emergency language will be repealed by operation of law on the following
day.
7. Repealed by operation of Government Code section 11346.1(c) (Register 98,
No. 52).
8. New section tiled 12-21-98 as an emergency; operative 12-2 1-98 (Register 98,
No. 52). A Certificate of Compliance must be transmitted to OAL by 4-20-99
or emergency language will be repealed by operation of law on the following
day.
9. Repealer and new section filed 3-25-99 as an emergency; operative 3-25-99
(Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL
by 7-23-99 or emergency language will be repealed by operation of law on the
following day.
10. Certificate of Compliance as to 3-25-99 order, including repealer and new sec-
tion, transmitted to OAL 7-23-99 and filed 9-1-99 (Register 99, No. 36).
§ 3061 . Service Fees, Finance and Maintenance of
Records.
All certified nonpublic schools and agencies shall:
(a) provide the Superintendent with specified cost data, pursuant to
Education Code Section 56366.7 for providing education and designated
instruction and services to individuals with exceptional needs;
(b) maintain cost data in sufficient detail to verify the annual operating
budget in providing education and designated instruction and services to
individuals with disabilities. Fiscal records shall be maintained for a
minimum of five years from the date or origination or until audit findings
have been resolved, which is longer;
(c) make available any books and records associated with the delivery
of education and designated instruction and services to individuals with
exceptional needs for audit inspection or reproduction by the Superinten-
dent or the Superintendent's authorized representatives. These records
shall include those management records associated with the delivery of
education and designated instruction and services, costs of providing ser-
vices and personnel records necessary to ensure that staff qualifications
comply with the requirements contained in Article 6 of these regulations;
and
(d) not charge parents for services covered in the master contract with
the public educafion agency.
NOTE: Authority cited: Sections 33031, 56100 and 56366(e), Education Code.
Reference: Section 56366.7, Education Code.
History
1 . New section filed 7-1 8-97 as an emergency; operative 7-1 8-97 (Register 97,
No. 29). A Certificate of Compliance must be transmitted to OAL by 11-1 7-97
oremergency amendments will be repealed by operation of law on the following
day. For prior history, see Register 95, No. 49.
2. New section refiled 1 1-14-97 as an emergency; operative 1 1-14-97 (Register
97, No. 46). A Certificate of Compliance must be transmitted to OAL by
3-16-98 or emergency language will be repealed by operation of law on the
following day.
3. Repealed by operation of Government Code section 1 1346.1(g) (Register 98,
No. 16).
4. New section filed 4-16-98 as an emergency; operative 4-16-98 (Register 98,
No. 16). A Certificate of Compliance must be transnutted to OAL by 8-14-98
or emergency language will be repealed by operation of law on the following
day.
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Title 5
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•
5. Repealed by opcralion of Government Code section 1 1346.1(2) (Resistor 98.
No. ^4).
(1. New section tiled 8-19-98 as an emergency: operative 8-19-98 (Register 98,
No. 34). A Certificate of Compliance must be transmitted to OAL by iVl 7-98
or emergency language will be repealed by operation of law on the following
day.
7. Repealed by operation of Government Code section 1 1346.1(2) (Register 98,
No. 32).
8. New section filed 1 2-2 1 -98 as an emergency; operative 1 2-2 1 -98 ( Register 98,
No. 52). A Certificate of Compliance must be transmitted to OAL by 4-20-99
or emergency language will be repealed by operation of law on the following
day.
9. Repealer and new section filed 3-25-99 as an emergency; operative 3-25-99
( Register 99. No. 1 3). A Certificate of Compliance must be transmitted to OAL
by 7-23-99 or emergency language will be repealed by operation of law on the
following day.
1 0. Certificate of Compliance as to 3-25-99 order, ineludine repealer and new sec-
tion, transinitled to OAL 7-23-99 and filed 9-1-99 (Register 99, No. 36).
§ 3062. Contracts and Agreements.
(a) A master contract shall be used by a local education agency for en-
tering into formal agreements with certified nonpublic schools or non-
public agencies. The term of the contract shall not exceed one year. The
contract shall specify the administrative and financial agreements be-
tween the local education agency and the nonpublic school or nonpublic
agency.
(b) No master contract with the local education agency shall be contin-
gent upon nonpublic school or nonpublic agency individual contracts or
agreements with parents.
(c) The master contract shall, at a minimum, include:
( 1 ) general provisions relating to modifications and amendments, no-
tices, waivers, disputes, contractor's status, conflicts of interest, termina-
tion, inspection and audits, compliance with applicable state and federal
laws and regulations, attendance, record-keeping, and reporting require-
ments;
(2) payment schedules to include, but not limited to payment amounts,
payment demand, right to withhold and audit exceptions;
(.3) indemniflcation and reasonable insurance requirements; and
(4) procedures and responsibilities for attendance and unexcused ab-
sences.
(d) All master contracts shall be re-negotiated prior to June 30.
(e) Services may be provided through dual enrollment in public and
nonpublic school or nonpublic agency programs to meet the educational
requirements specified in the individualized education program. The
master contract or individual service agreement shall specify the provid-
er of each service. The individual with exceptional needs shall be formal-
ly enrolled in both nonpublic and public school programs. The nonpublic
school or nonpublic agency shall be reimbursed by the local education
agency for services as agreed upon in the contract.
(f) Substitute teachers shall be used consistent with the provisions of
Education Code Section 56061.
(g) Nonpublic schools and nonpublic agencies shall provide contract-
ing local education agencies with copies of current valid California cre-
dentials and licenses for staff providing services to individuals with ex-
ceptional needs.
(h) Nonpublic schools and agencies shall notify the Superintendent
and contracting local education agencies in writing within forty-five (45)
days of any credential or licensed personnel changes. Failure to provide
properly qualified personnel to provide services as specified in the indi-
vidualized education program shall be cause for the termination of all
contracts between the local education agency and the nonpublic school
or nonpublic agency.
NOTE: Authority cited: Sections 33031, 56100 and 56366(e), Education Code.
Reference: Sections 56366 and 56366.1, Education Code.
Hlstory
I. New section filed 7-18-97 as an emergency; operafive 7-18-97 (Register 97,
No. 29). A Certificate of Compliance must be transmitted to OAL by 1 1-17-97
or emergency amendments will be repealed by operation of law on the following
day. For prior history, see Register 95, No. 49.
2. New section refiled 1 1-14-97 as an emergency; operative 1 1-14-97 (Register
97, No. 46). A Certificate of Compliance mu.st be transmitted to OAL by
3-16-98 or emergency language will be repealed by operation of law on the
following day.
3. Repealed by operation of Government Code section 1 1.346.1(2) (Register 98.
No. 16).
4. New section filed 4-16-98 as an emergency; operative 4-16-98 (Register 98.
No. 16). A Certificate of Compliance must be transmitted to OAL by 8-14-98
or emergency language will be repealed by operation of law on the following
day.
5. Repealed by operation of Government Code section 1 1.346.1(g) (Rceister 98.
No. 34).
6. New section filed 8-19-98 as an emergency; operative 8-19-98 (Register 98.
No. 34). A Certificate of Compliance must be transmitted to OAL by 12-1 7-98
or emergency language will be repealed by operation of law on the following
day.
7. Repealed by operafion of Government Code section 1 1.346.1(2) (Re2isler 98.
No. 52).
8. New section filed 1 2-2 1 -98 as an emergency; operative 1 2-2 1 -98 ( Register 98.
No. 52). A Certificate of Compliance must be transmitted to OAL by 4-20-99
or emergency language will be repealed by operation of law on the following
day.
9. Repealer and new section filed 3-25-99 as an emergency; operative 3-25-99
(Register99, No. 13). A Certificate of Compliance must be transmitted to OAL
by 7-23-99 or emergency language will be repealed by operation of law on the
following day.
1 0. Certificate of Compliance as to 3-25-99 order, including repealer and new sec-
tion, transmitted to OAL 7-23-99 and filed 9-1-99 (Register 99, No. .36).
§ 3063. Program Reviews,,
(a) The Superintendent shall conduct a validation review of the non-
public school prior to an initial conditional certification. An on-site re-
view shall be conducted within 90 days of the initial conditional certifica-
tion and student enrollment. On-site reviews shall be scheduled at least
once every four years thereafter.
(b) The nonpublic school, the contracting education agency and the
special education local plan area shall be given a minimum of thirty (30)
days prior notice before an on-site review.
(c) The person serving as the lead of the review team shall confer with
the school administrator at least 48 hours prior to the on-site review to
discuss the procedures and the number of days required for the review.
The lead of the review team shall identify those persons who are to partic-
ipate in the on-site review.
(d) Nonpublic schools and nonpublic agencies may be visited at any
time without prior notice when there is substantial reason to believe that
there is an immediate danger to the health, safety, or welfare of a child
or group of children. The Superintendent shall document the concern and
submit it to the nonpublic school or nonpublic agency at the time of the
on-site monitoring.
(e) On-site reviews shall include the following procedures:
(1) an entrance meeting to acquaint the on-site review team with the
nonpublic school or nonpublic agency staff and site to discuss the pur-
pose and objectives of the review;
(2) a review and examination of files and documents, classroom ob-
servations and interviews with the site administrator, teachers, students,
volunteers and parents to determine compliance with all applicable state
and federal laws and regulations; and
(3) an exit meeting to provide the nonpublic school or nonpublic
agency with a preliminary preview of the on-site review findings, verify
compliance and offer technical assistance including how to resolve is-
sues of noncompliance.
(f) The Superintendent shall provide the nonpublic school or nonpub-
lic agency, the contracting educational agency and the special education
local plan area with a written report within 60 days of the on-site review.
(g) The Superintendent shall request a written response, within a time-
frame to be determined by the Superintendent, but in no case to exceed
180 days, to any noncompliance finding that resulted from the on-site re-
view.
(h) The Superintendent shall provide a written notification, within 30
days of receipt, to the nonpublic school or nonpublic agency regarding
their response to each noncompliance finding.
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§3064
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(i) On-site reviews shall be conducted only by personnel who have
been trained by Department staff to perform such administrative and pro-
gram examinations.
NOTE: Authority cited: Sections 33031, 56100 and 56366(e), Education Code.
Reference: Sections 56366.1 and 56366.8, Education Code.
History
1. New section filed 7-18-97 as an emergency; operative 7-18-97 (Register 97,
No. 29). A Certificate of Compliance must be transmitted to OAL by 1 1 -1 7-97
or emergency amendments will be repealed by operation of law on the following
day. For prior history, see Register 95, No. 49.
2. New section refiled 1 1-14-97 as an emergency; operative 1 1-14-97 (Register
97, No. 46). A Certificate of Compliance must be transmitted to OAL by
3-16-98 or emergency language will be repealed by operation of law on the
following day.
3. Repealed by operation of Government Code secfion 11346.1(g) (Resister 98.
No. 16).
4. New section filed 4-16-98 as an emergency; operative 4-16-98 (Register 98,
No. 16). A Certificate of Compliance must be transmitted lo OAL by 8-14-98
or emergency language will be repealed by operation of law on the following
day.
5. Repealed by operation of Government Code section 1 1346.1(g) (Register 98,
No. 34).
6. New section filed 8-19-98 as an emergency; operafive 8-19-98 (Register 98,
No. 34). A Certificate ofCompliance must be transmitted to OAL by 12-17-98
or emergency language will be repealed by operation of law on the following
day.
7. Repealed by operation of Government Code section 1 1346.1(g) (Register 98,
No. 52).
8. New section filed 12-2 1-98 as an emergency; operative 1 2-2 1 -98 (Register 98,
No. 52). A Certificate ofCompliance must be transmitted to OAL by 4-20-99
or emergency language will be repealed by operation of law on the following
day.
9. Repealer and new section filed 3-25-99 as an emergency; operative 3-25-99
(Register 99, No. 1 3). A Certificate ofCompliance must be transmitted to OAL
by 7-23-99 or emergency language will be repealed by operation of law on the
following day.
10. Certificate ofCompliance as to 3-25-99 order, including repealer and new sec-
tion, transmitted to OAL 7-23-99 and filed 9-1-99 (Register 99, No. 36).
§ 3064. Staff Qualifications — Special Education
Instruction.
(a) The nonpublic school or nonpublic agency shall deliver instruction
utilizing personnel who possess a credential authorizing the holder to de-
liver special education instruction according to the age range and disab-
ling conditions of individuals with exceptional needs enrolled in the non-
public school.
(b) Instruction shall be directed and delivered pursuant to the master
contract and the individual service agreement.
(c) To provide special education instruction for individuals with ex-
ceptional needs younger than three years of age, as described in Educa-
tion Code. Part 30, Chapter 4.4, the nonpublic school shall comply with
the provisions of Education Code Section 56425 et seq., and Education
Code Section 56426.2(e) regarding adult to child ratios.
(d) To provide special education instruction for individuals with ex-
ceptional needs between the ages of three and five years, inclusive, as de-
scribed in Education Code, Part 30, Chapter 4.45, the nonpublic school
shall comply with the provisions of Education Code Section 56440 et
seq., and Education Code Section 56441.5 regarding appropriate instruc-
tional adult to child ratios.
(e) Nonpublic schools and nonpublic agencies shall comply with the
personnel standards and qualifications pursuant to Education Code Sec-
tion 45340 et seq., and Education Code Section 45350 et seq., regarding
instructional aids and teacher assistants, respectively.
(f) Nonpublic schools and nonpublic agencies shall comply with all of
the laws and regulations governing the licensed professions, in particular
the provisions with respect to supervision. Nonpublic schools and non-
public agencies may use assistants to the extent authorized by state and
federal law.
NOTE: Authority cited: Sections 33031, 56100 and 56366(e), Education Code.
Reference: Sections 45340, 45350, 56366.1 and 56425. Education Code.
History
1. New section filed 7-18-97 as an emergency; operative 7-18-97 (Register 97,
No. 29). A Certificate ofCompliance must be transmitted to OAL by 1 1-17-97
oremergency amendments will be repealed by operation of law on the following
day. For prior history, see Register 95, No. 49.
2. New section refiled 1 1-14-97 as an emergency; operative 1 1-14-97 (Register
97, No. 46). A Certificate of Compliance must be transmitted to OAL by
3-16-98 or emergency language will be repealed by operation of law on the
following day.
3. Repealed by operation of Government Code section 1 1346.1(g) (Recister 98,
No. 16).
4. New section filed 4-16-98 as an emergency; operative 4-16-98 (Register 98,
No. 16). A Certificate ofCompliance must be transmitted to OAL by 8-14-98
or emergency language will be repealed by operafion of law on the following
day.
5. Repealed by operation of Government Code secfion 1 1346.1(g) (Register 98,
No. 34).
6. New section filed 8-19-98 as an emergency; operative 8-19-98 (Register 98.
No. 34). A Certificate ofCompliance must be transmitted to OAL by 12-17-98
oremergency language will be repealed by operation of law on the following
day.
7. Repealed by operafion of Government Code section 1 1346.1(g) (Register 98,
No. 52).
8. New section filed 12-21-98 as anemergency; operative 12-21-98 (Register 98,
No. 52). A Certificate ofCompliance must be transmitted to OAL by 4-20-99
or emergency language will be repealed by operation of law on the following
day.
9. Repealer and new section filed 3-25-99 as an emergency; operative 3-25-99
(Register 99, No. 13). A Certificate ofCompliance must be transmitted to OAL
by 7-23-99 or emergency language will be repealed by operation of law on the
following day.
1 0. Certificate ofCompliance as to 3-25-99 order, including repealer and new sec-
tion, transmitted to OAL 7-23-99 and filed 9-1-99 (Register 99, No. 36).
§ 3065. Staff Qualifications — Related Services including
Designated Instruction and Services.
To be eligible for certification to provide designated instruction and
services for individuals with exceptional needs, nonpublic schools and
agencies shall meet the following requirements:
(a)(1) "Adapted physical education" means:
(A) a modified general physical education program, or a specially de-
signed physical education program in a special class; or
(B) consultative services provided to pupils, parents, teachers, or other
school personnel for the purpose of identifying supplementary aids and
services or modifications necessary for successful participation in the
general physical education program or specially designed physical
education programs.
(2) Adapted physical education shall be provided only by personnel
who possess a credential that authorizes service in adapted physical
education.
(b)(1) "Assistive technology service" means any service that directly
assists an individual with exceptional needs in the selection or use of an
assistive technology device that is educationally necessary. The term in-
cludes the evaluation of the needs of an individual with exceptional needs
including a functional evaluation of the individual in the individual's
customary environment; coordinating and using other therapies, inter-
ventions, or services with assistive technology devices, such as those
associated with existing education programs and rehabilitation plans and
programs; training or technical assistance for an individual with excep-
tional needs or. where appropriate, the family of an individual with ex-
ceptional needs or, if appropriate, that individual's family; and training
or technical assistance for professionals (including individuals providing
education and rehabilitation services), employers or other individuals
who provide services to, employ, or are otherwise substantially involved
in the major life functions of individuals with exceptional needs.
(2) Assistive technology services shall be provided only by personnel
who possess a:
(A) license in Physical Therapy issued by a licensing agency within
the Department of Consumer Affairs, where the utilization of assistive
technology services falls within the scope of practice of physical therapy
as defined in Business and Professions Code section 2620 and imple-
menting regulations; or
(B) certificate of registration as an Occupational Therapist pursuant to
Business and Professions Code section 2570 et seq., where the utilization
of assistive technology services falls within the scope of practice of oc-
cupational therapy; or
•
•
•
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Title 5
California Department of Education
§ 3()65
•
•
(C) license in Speech-Language Pathology issued hy a licensing
agency within the Department ot" Consumer Affairs or a valid document,
issued by the Commission on Teacher Credentialing. where the function
of the assistive technology service is augmentative communication; or
(D) baccalaureate degree in engineering with emphasis in assistive
technology; or
(E) baccalaureate degree in a related field of engineering with a gradu-
ate certificate in rehabilitation technology or assistive technology; or
(F) certification from the Rehabilitation Engineering and Assistive
Technology Society of North America and Assistive Technology Pro-
vider (RESNA/ATP); or
(G) a certificate in assistive technology applications issued by a re-
gionally accredited post-secondary institution; or
(H) a credential that authorizes special education of physically handi-
capped, orthopedically handicapped, or severely handicapped pupils.
(c)(1) "Audiological services" means aural rehabilitation (auditory
training, speech reading, language habilitation. and speech conservation)
and habilitation with individual pupils in the general classroom; monitor-
ing hearing levels, auditory behavior, and amplification for all pupils re-
quiring personal or group amplification in the instaictional setting; plan-
ning, organizing, and implementing an audiology program for
individuals with auditory dysfunctions, as specified in the individualized
education program; or consultative services regarding test finding, am-
plification needs and equipment, otological referrals, home training pro-
grams, acoustic treatment of rooms, and coordination of educational ser-
vices to hearing-impaired individuals.
(2) Audiological services shall be provided only by personnel who
possess:
(A) a license in Audiology issued by a licensing agency within the De-
partment of Consumer Affairs; or
(B) a credential authorizing audiology services.
(d) Behavior intervention shall be designed or planned only by person-
nel who have:
(1) pupil personnel services credential that authorizes school counsel-
ing or school psychology; or
(2) credential authorizing the holder to deliver special education
instruction; or
(3) license as a Marriage, Family, and Child Counselor issued by a li-
censing agency within the Department of Consumer Affairs; or
(4) license as a Clinical Social Worker issued by a licensing agency
within the Department of Consumer Affairs; or
(5) license as an Educational Psychologist issued by a licensing
agency within the Department of Consumer Affairs; or
(6) license as a Psychologist issued by a licensing agency within the
Department of Consumer Affairs; or
(7) master's degree issued by a regionally accredited post-secondary
institution in education, psychology, counseling, behavior analysis, be-
havior science, human development, social work, rehabilitation, or in a
related field.
(e) To be eligible for certification to provide behavior intervention, in-
cluding implementation of behavior modification plans, but not includ-
ing development or modification of behavior intervention plans, a non-
public school or agency shall deliver those services utilizing personnel
who:
(1) possess the qualifications under subdivision (d); or
(2)( A) are under the supervision of personnel qualified under subdivi-
sion (d);
(B) possess a high school diploma or its equivalent; and
(C) receive the specific level of supervision required in the pupil's
lEP.
(0(1) "Counseling and guidance" means educational counseling in
which the pupil is assisted in planning and implementing his or her im-
mediate and long-range educational program; career counseling in
which the pupil is assisted Jn assessing his or her aptitudes, abilities, and
interests in order to make realistic career decisions; personal counsehng
in which the pupil is helped to develop his or her ability to function with
social and personal responsibility: or counseling with parents and staff
members on learning problems and guidance programs for pupils.
(2) Counseling and guidance shall be provided only by personnel who
possess a:
(A) license as a Marriage, Family, and Child Counselor issued by a li-
censing agency within the Department of Consumer Affairs: or
(B) license in Clinical Social Work issued by a licensing agency within
the Department of Consumer Affairs; or
(C) license as an Educational Psychologist issued by a licensing
agency within the Department of Consumer Affairs; or
(D) license as a Psychologist issued by a licensing agency within the
Department of Consumer Affairs; or
(E) pupil personnel services credential, which authorizes school coun-
seling or school psychology.
(g)(1) "Early education programs for children with disabilities" means
the program and services specified by Education Code Part .^0 Section
56425 et seq.
(2) Early education programs for children with disabilities shall be
provided only by personnel who meet the appropriate per.sonnel qualifi-
cations set forth in this Article and comply with all other requirements of
Education Code Chapter 4.4 commencing with Section 56425.
(h) An "educational interpreter" provides communication facilitation
between students who are deaf or hard of hearing, and others, in the gen-
eral education classroom and for other school related activities, including
extracurricular activities, as designated in a student's lEP.
( 1 ) Interpreters for deaf and hard of hearing pupils shall meet the fol-
lowing qualification standards:
(A) By July 1 , 2008, an educational interpreter shall be certified by the
national RID, or equivalent; in lieu of RID certification or equivalent, an
educational interpreter shall have achieved a score of 3.0 or above on the
EIPA, the ESSE-I/R, or the NAD/ACCI assessment. If providing Cued
Language transliteration, a transliterator shall possess TECUnit certifi-
cation, or have achieved a score of 3.0 or above on the EIPA — Cued
Speech.
(B) By July 1 , 2008. an educational interpreter shall be certified by the
national RID, or equivalent; in lieu of RID certification or equivalent, an
educational interpreter shall have achieved a score of 3.5 or above on the
EIPA, the ESSE-I/R, or the NAD/ACCI assessment. If providing Cued
Language transliteration, a transliterator shall possess TECUnit certifi-
cation, or have achieved a score of 3.5 or above on the EIPA — Cued
Speech.
(C) By July 1 , 2009, and thereafter, an educational interpreter shall be
certified by the national RID, or equivalent; in lieu of RID certification
or equivalent, an educational interj^reter shall have achieved a score of
4.0 or above on the EIPA. the ESSE-I/R, or the NAD/ACCI assessment.
If providing Cued Language transliteration, a transliterator shall possess
TECUnit certification, or have achieved a score of 4.0 or above on the
EIPA — Cued Speech;
(i)(l) "Health and nursing services" means:
(A) managing the child's health problems on the school site;
(B) consulting with pupils, parents, teachers, and other personnel;
(C) group and individual counsehng with parents and pupils regarding
health problems;
(D) maintaining communication with health agencies providing care
to individuals with disabilities; or
(E) providing services by qualified personnel.
(2) Health and nursing services shall be provided only by personnel
who possess:
(A) a license as a Registered Nurse, issued by a licensing agency with-
in the Department of Consumer Affairs; or
(B) a license as a Vocational Nurse, issued by a licensing agency with-
in the Department of Consumer Affairs, under the supervision of a li-
censed registered nurse; or
(C) a school nurse credential; or
(D) demonstrated competence in cardio-pulmonary resuscitation,
current knowledge of community emergency medical resources, and
Page 65
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§3065
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
skill in the use of equipment and performance of techniques necessary to
provide specialized physical health care services for individuals with ex-
ceptional needs. In addition, possession of training in these procedures
to a level of competence and safety that meet the objectives of the training
as provided by the school nurse, public health nurse, licensed physician
and surgeon, or other training programs. "Demonstrated competence in
cardio-pulmonary resuscitation" means possession of a current valid
certificate from an approved program; or
(E) a valid license, certificate, or registration appropriate to the health
service to be designated, issued by the California agency authorized by
law to license, certificate, or register persons to practice health service in
California.
(j)(l) "Home and hospital services'" means instruction delivered to
children with disabilities, individually, in small groups, or by teleclass.
whose medical condition such as those related to surgery, accidents,
short-term illness or medical treatment for a chronic illness prevents the
individual from attending school.
(2) Home or hospital instruction shall be provided only by personnel
who possess a valid teaching credential.
(k)(l) "Language and speech development and remediation" means
screening, assessment, individualized education program development
and direct speech and language services delivered to children with dis-
abilities who demonstrate difficulty understanding or using spoken lan-
guage to such an extent that it adversely affects their educational perfor-
mance and cannot be corrected without special education and related
services.
(2) Language and speech development and remediation shall be pro-
vided only by personnel who possess:
(A) a license in Speech-Language Pathology issued by a licensing
agency within the Department of Consumer Affairs; or
(B) a credential authorizing language or speech services.
(/)( 1 ) "Occupational therapy" means the use of various treatment mo-
dalities including self-help skills, language and educational techniques
as well as sensory motor integration, physical restoration methods, and
prevocation exploration to facilitate physical and psychosocial growth
and development.
(2) Occupational therapy shall be provided only by personnel who
have certification in good standing with the National Board for Certifica-
tion in Occupational Therapy. Inc. as a registered occupational therapist
(OTR) or certified occupational therapy assistant (COTA). Services pro-
vided by a COTA shall be supervised by an OTR in accordance with pro-
fessional standards outlined by the American Occupational Therapy
Association.
(m)(l) "Orientation and mobility instruction" means specialized
instruction for individuals in orientation and mobility techniques or con-
sultative services to other educators and parents regarding instructional
planning and implementation of the individualized education program
relative to the development of orientation and mobility skills and inde-
pendent living skills.
(2) Orientation and mobility instruction shall be provided only by per-
sonnel who possess a credential that authorizes services in orientation
and mobility instruction.
(n)( 1 ) "Parent counseling and training" means assisting parents in un-
derstanding the special needs of their child and providing parents with
information about child development.
(2) Parent counseling and training shall be provided only by personnel
who possess a:
(A) credential that authorizes special education instruction; or
(B) credential that authorizes health and nursing services; or
(C) license as a Marriage, Family, and Child Counselor, issued by a
licensing agency within the Department of Consumer Affairs; or
(D) license as a Clinical Social Worker, issued by a licensing agency
within the Department of Consumer Affairs; or
(E) license as an Educational Psychologist, issued by a licensing
agency within the Department of Consumer Affairs; or
(F) license as a Psychologist, issued by a licensing agency within the
Department of Consumer Affairs; or
(G) pupil personnel services credential that authorizes school counsel-
ing or school psychology or school social work.
(o)( 1) "Physical therapy" means the:
(A) administration of active, passive, and resistive therapeutic exer-
cises and local or general massage, muscle training and corrective exer-
cises and coordination work;
(B) administration of hydrotherapy treatments;
(C) assistance in administering various types of electrotherapy includ-
ing ultraviolet, infrared, diathermy and inductothermy;
(D) teaching of parents of hospitalized pupils exercises which are to
be continued at home and interpret to them the significance of physical
therapy services; and
(E) instruction in walking, standing, balance, use of crutches, cane, or
walker and in the care of braces and artificial limbs.
(2) Physical therapy shall be provided only by personnel who possess
a vahd license in Physical Therapy issued by a licensing agency within
the Department of Consumer Affairs.
(p)(l) "Psychological services" means:
(A) psychological counseling provided to children with disabilities;
(B) consultative services to parents, pupils, teachers, and other school
personnel; or
(C) planning and implementing a program of psychological counsel-
ing for children with disabilities and parent by a credentialed or licensed
psychologist or other qualified personnel.
(D) This term does not include assessment services and the develop-
ment of an individualized education program.
(2) Psychological services, other than assessment and development of
the individualized education program, shall be provided only by person-
nel who possess a:
(A) license as a Marriage, Family, and Child Counselor, issued by a
licensing agency within the Department of Consumer Affairs; or
(B) license as a Clinical Social Worker, issued by a licensing agency
within the Department of Consumer Affairs; or
(C) license as an Educational Psychologist, issued by a licensing
agency within the Department of Consumer Affairs; or
(D) license in Psychology, issued by a licensing agency within the De-
partment of Consumer Affairs; or
(E) pupil personnel services credential that authorizes school psychol-
ogy-
(q)(l) "Recreation services" means:
(A) therapeutic recreation and specialized instructional programs de-
signed to assist pupils to become as independent as possible in leisure ac-
fivities, and when possible and appropriate, facilitate the pupil's integra-
tion into general recreation programs;
(B) recreation programs in schools and the community which are those
programs that emphasize the use of leisure activity in the teaching of aca-
demic, social, and daily living skills and the provision of nonacademic
and extracurricular leisure activities and the ufilizafion of community
recreafion programs and facilities; or
(C) leisure education programs which are those specific programs de-
signed to prepare the pupil for optimum independent participation in ap-
propriate leisure activities, and developing awareness of personal and
community leisure resources.
(2) Recreation services shall be provided only by personnel who pos-
sess a:
(A) certificate, issued by the California Board of Recreation and Park
Cerfification; or
(B) certificate issued by the National Council for Therapeutic Recre-
ation; or
(C) the National Recreation and Park Association, authorizing ser-
vices in recreation or therapeutic recreation.
(r)(l) "Social worker services" means:
•
•
•
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California Department of Education
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•
(A) individual and group counseling with the individual and his or her
immediate family;
(B) consultation with pupils, parents, teachers, and other personnel re-
garding the effects of family and other social factors on the learning and
developmental requirements of children with disabilities; or
(C) developing a network of community resources, making appropri-
ate referral and maintaining liaison relationships among the school, the
pupil, the family, and the various agencies providing social income main-
tenance, employment development, mental health, or other developmen-
tal services.
(2) Social worker services shall be provided only by personnel who
possess a;
(A) license in Clinical Social Work issued by a licensing agency with-
in the Department of Consumer Affairs; or
(B) license as a Marriage, Family, and Child Counselor, issued by a
licensing agency within the Department of Consumer Affairs; or
(C) credential authorizing school social work.
(s)(l) "Specialized driver training instruction" means instruction to
children with disabilities to supplement the general driver-training pro-
gram.
(2) Specialized driver education and driver training shall be provided
only by personnel who possess a credential that authorizes service in
driver education and driver training.
(t)(l) "Specially designed vocational education and career develop-
ment" means:
(A) providing prevocational programs and assessing work-related
skills, interests, aptitudes, and attitudes;
(B) coordinating and modifying the general vocational education pro-
gram;
(C) assisting pupils in developing attitudes, self-confidence, and
vocational competencies to locate, secure, and retain employment in the
community or shelter environment, and to enable such individuals to be-
come participating members of the community;
(D) establishing work training programs within the school and com-
munity;
(E) assisting in job placement;
(F) instructing job trainers and employers as to the unique needs of the
individuals;
(G) maintaining regularly scheduled contract with all work stations
and job-site trainers; or
(H) coordinating services with the Department of Rehabilitation, the
Employment Development Department and other agencies as designated
in the individualized education program.
(2) Specially designed vocation education and career development
shall be provided only be personnel who possess a:
(A) adult education credential with a career development authoriza-
tion; or
(B) credential that authorizes instruction in special education or voca-
tional education; or
(C) pupil personnel services credential that authorizes school counsel-
ing.
(u)(l) "Specialized services for low-incidence disabilities" means:
(A) specially designed instruction related to the unique needs of pupils
with low-incidence disabilities; or
(B) specialized services related to the unique needs of individuals with
low-incidence.
(2) Specialized services for pupils with low-incidence disabilities
shall be provided only by personnel who possess a credential that autho-
rizes services in special education or clinical or rehabilitation services in
the appropriate area of disability.
( v) Transcribers for visually impaired pupils shall have a certificate is-
sued by the Library of Congress as a Braille Transcriber.
(w)(l) "Vision services" means:
(A) adaptations in curriculum, media, and the environment, as well as
instruction in special skills; or
(B) consultative services to pupils, parents, teachers, and other school
personnel.
(2) Vision services shall be provided only by personnel who possess:
(A) a license as an Optometrist. Ophthalmologist, Physician or Sur-
geon, issued by a licensing agency with the Department of Consumer Af-
fairs and authorizing the licensee to provide the services rendered, or
(B) a valid credential authorizing vision instaiction or services.
(x) Other designated instruction and services not identified in this sec-
tion shall only be provided by staff who possess a license issued by a li-
censing agency with the Department of Consumer Affairs authorizing
the licensee to provide the specific service or possess a credential autho-
rizing the service or is qualified to provide the service.
NOTE; Authority cited: Sections 33031, 36100 and .36366(0, Hducalion Code.
Reference: Section 1750.3.2, Business and Professions Code: Section 56366.1.
Education Code; and Sections 300.34 and 300. 1 56(b)( 1 ), Title 34, Code ofF-cderal
Regulations.
History
1. Change without regulatory effect repealing section filed 12-4-95 pursuant to
section 100, title 1, California Code of Regulations (Register 95. No. 49).
2. New section filed 9- 1 -99; operative 9- 1 -99 pursuant to Government Code sec-
tion 11 343.4(d) (Register 99, No. 36).
3. Amendment of subsections (t )-(()( 1), repealer of subsections (t)(2)-(4). new
subsection (t)(2) and amendment of Noxi- filed 7-29-2002: operative
8-28-2002 (Register 2002, No. 31 ).
4. Amendment of .section and NOTH filed 2-22-2008; operative .3-23-2008 (Reg-
ister 2008, No. 8).
§ 3066. Out-of-state Nonpublic Schools/Agencies.
For purposes of determining eligibility for certification for a nonpub-
lic school or nonpublic agency located in a state other than Califomia, the
Department may accept a valid certificate, credential, license, or registra-
tion issued by another state for the requirements set forth in Sections
3064 and 3065.
NOTE: Authority cited: Sections 33031, 56100 and 56366(e), Education Code.
Reference: Section 56366.1, Education Code.
Hl.STORY
1. Change without regulatory effect repealing section filed 12-4-95 pursuant to
section 100, title 1, Califomia Code of Regulations (Register 95, No. 49).
2. New section filed 9-1-99; operative 9-1-99 pursuant to Government Code sec-
tion 11343.4(d) (Register 99. No. 36).
§ 3067. Certification Status.
(a) Certification shall become effective on the date when the nonpublic
school or nonpublic agency meets all the application requirements and
is approved by the Superintendent except as specified in Subdivision
3067(d)(1).
(b) Certification may be retroactive, provided the nonpublic school or
nonpublic agency met all the requirements for certification on the date
the retroactive certification is effective.
(c) The certification status of a nonpublic school or nonpublic agency
shall be one of the following:
(1) approved certification with no conditions or limitations;
(2) condiUonal cerfification for a limited period of Ume. A condiUonal
cerfificafion indicates that the nonpublic school or nonpublic agency has
not met all the certificafion requirements;
(3) suspended certificafion for a defined period of time pursuant to the
provisions of Educafion Code Secfion 56366.4. Nonpublic schools or
nonpublic agencies with a suspended certification cannot accept new pu-
pils.
(d) Any local educafion agency that contracts with a certified nonpub-
lic school or nonpublic agency may request the Superintendent to review
the status of the nonpublic school or nonpublic agency. Such requests
shall be in wrifing and a copy shall be sent to the nonpublic school or non-
public agency.
NOTE: Authority cited: Sections 33031, 56100 and 56366(e), Education Code.
Reference: Sections 56366.1 and 56366.4. Education Code.
History
1. Amendment filed 3-21-88; operative 4-20-88 (Register 88, No. 15).
2. Change without regulatory effect repealing section filed 12-4-95 pursuant lo
section 100, title 1, Califomia Code of Regulations (Register 95, No. 49).
Page 67
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§3068
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
3. New section filed 9-1-99; operative 9-1-99 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 99, No. 36).
§ 3068. Appeals and Waivers.
(a) Within twenty (20) working days of receipt of notice, nonpublic
schools or nonpublic agencies (appellant) may file a written petition (ap-
peal), on forms provided by the Superintendent, to request a review of the
decision to deny, suspend or revoke certification pursuant to Education
Code Section 56366.6.
(b) All appeals shall be mailed to the Office of Administrative Hear-
ings. Department of General Services.
(c) There shall be three options for appealing the denial, suspension or
revocation of certification. The nonpublic school or nonpublic agency
may request:
( 1 ) a written review of the decision to deny, suspend or revoke certifi-
cation. The Office of Administrative Hearings shall analyze the docu-
mentation provided by the appellant and materials provided by the De-
partment and render a decision;
(2) a written review with an oral argument. The Office of Administra-
tive Hearings shall analyze the documentation provided by the appellant
and materials provided by the Department. The appellant shall also ap-
pear before a hearing officer, on a date scheduled by the Office of Admin-
istrative Hearings, to provide oral testimony in support of the appeal. The
Department shall also attend the hearing and present testimony to support
the decision to deny, suspend or revoke certification. The hearing officer
may ask questions of either party. All testimony shall be tape-recorded;
or
(3) an oral hearing. The appellant shall appear before a hearing officer,
on a date scheduled by the Office of Administrative Hearings, to provide
oral testimony in support of the appeal. The Department shall also attend
the hearing and present testimony to support the decision to deny, sus-
pend or revoke certification. The hearing officer shall provide the oppor-
tunity for both parties to review evidence, call witnesses and cross-ex-
amine witnesses. If the appellant fails to appear at the hearing, the
petitioner waives the right to a future hearing, unless the hearing officer
agrees to reschedule the hearing because of extenuating circumstances.
(d) The Office of Administrative Hearings shall issue the decision, in
writing, simultaneously to the appellant and to the Department within
thirty (30) working days after receipt of all materials and evidence. This
shall be the final administrative decision.
(e) Local education agencies and nonpublic schools and agencies may
request the Superintendent to waive Education Code sections 56365,
56366, 56366.3, 56366.6 and 56366.7. Such petitions shall be made in
accordance with the provisions of Education Code section 56366.2 and
shall be necessary in order to provide services to individuals with excep-
tional needs consistent with their individualized education program.
NOTE; Authority cited: Sections 33031, 56100 and 56366(e), Education Code.
Reference: Sections 56101, 56366.2 and 56366.6.
History
1 . Renumbering of former section 3068 to section 3069 and new section 3068 filed
9-1-99; operative 9-1-99 pursuant to Government Code section 11343.4(d)
(Register 99, No. 36).
§ 3069. Annual Review of Individualized Education
Program.
Review of the pupil's individualized education program shall be con-
ducted at least annually by the public education agency. The public
education agency shall ensure that review schedules are specified in the
individualized education program and contract for the pupil. An elemen-
tary school district shall notify a high school district of all pupils placed
in a nonpublic school or agency programs prior to the annual review of
the individualized education program for each pupil who may transfer to
the high school district.
NOTE: Authority cited: Sections 56100(a), (i) and (j), Education Code; 20 U.S.C.
1414(c)(2)(B); and 34 C.F.R. 300.600. Reference: Sections 56345,
56365-56366.5, Education Code; and 34 C.F.R. 300.4, 300.302, 300.317,
300.343-348 and 300.400-403.
History
1 . Renumbering of former section 3069 to new section 3070 and renumbering of
former section 3068 to section 3069 filed 9-1-99; operative 9-1-99 pursuant
to Government Code section 1 1343.4(d) (Register 99, No. 36).
§ 3070. Graduation.
When an individual with exceptional needs meets public education
agency requirements for completion of prescribed course of study and
adopted differenfial proficiency standards as designated in the pupil's in-
dividualized educafion program, the public education agency which de-
veloped the individualized education program shall award the diploma.
NOTE: Authority cited: Sections 56100(a), (i) and 0)- Education Code; 20 U.S.C.
1414(c)(2)(B); and 34 C.F.R. 300.600. Reference: Sections 56345.
56365-56366.5. Education Code; and 34 C.F.R. 300.4, 300.302, 300.317,
300.343-348 and 300.400-403.
History
1 . Renumbeiing of former secdon 3069 to new section 3070 filed 9-1-99; opera-
tive 9-1-99 pursuant to Government Code section 1 1 343.4(d) (Register 99, No.
36).
Article 7. Procedural Safeguards
§ 3080. General Provisions.
(a) Sections 4600 through 4671 apply to the filing of a complaint, in
accordance with provisions of Title 34, Code of Federal Regulations.
Section 76.780-783. regarding a public agency's alleged violation of
federal or state law or regulation relating to the provision of a free appro-
priate public education.
(b) Section 3082 applies to due process hearing procedures which the
resolution of disagreements between a parent and a public agency regard-
ing the proposal, or refusal of a public agency to initiate or change the
identification, assessment, or educational placement of the pupil or the
provision of a free appropriate public education to the pupil.
NOTE: Authority cited: Sections 56100(a) and (j), Education Code. Reference:
Sections 56500.1 and 56500.2, Education Code; and 34 CFR 76.780-783.
History
1. Amendment filed 3-21-88; operative 4-20-88 (Register 88, No. 15).
2. Amendment of subsection (a) filed 8-26-91; operative 9-25-91 (Register 92,
No. 3).
3. Editorial correcfion deleting duplicate heading (Register 95, No. 9).
§ 3081 . Complaint Procedures.
NOTE: Authority cited: Sections 56100(a) and (j), Education Code. Reference:
Sections 56500.1 and 56500.2, Education Code; and 34 CFR 76.780-783.
History
1. Renumbering and amendment of former section 3081 to section 3082, and re-
numbering and amendment of section 3080(a)(l)-(n) to section 3081 filed
3-21-88; operative 4-20-88 (Register 88, No. 1 5). For prior history, see Regis-
ters 86, No. 21 ; 82, No. 18; and 82, No. 6.
2. Repealer filed 8-26^91; operative 9-25-91 (Register 92, No. 3).
§ 3082. Due Process Hearing Procedures.
(a) A parent or public education agency may initiate a hearing pursuant
to Education Code Sections 56500 through 56507 and Title 34, Code of
Federal Regulations, Sections 300.56 through 300.5 1 4 on any of the mat-
ters described in Education Code Section 56501. The hearing shall be
conducted by a hearing officer knowledgeable in administrative hearings
and under contract with the State Department of Educafion.
(b) The hearings conducted pursuant to this secfion shall not be con-
ducted according to the technical rules of evidence and those related to
witnesses. Any relevant evidence shall be admitted if it is the sort of evi-
dence on which responsible persons are accustomed to rely in the conduct
of serious affairs, regardless of the existence of any common law or statu-
tory rule which might make improper the admission of such evidence
over objecfion in civil actions. Hearsay evidence may be used for the pur-
pose of supplementing or explaining other evidence but shall not be suffi-
cient in itself to support a finding unless it would be admissible over ob-
jecfion in civil actions. All tesfimony shall be under oath or affirmation
which the hearing officer is empowered to administer.
(c) In addition to the rights afforded both parties to the hearing pur-
suant to Educafion Code Secdons 56500-56507 and Title 34, Code of
Page 68
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California Department of Education
§ 3085
•
Federal Regulations, Section 300.5 14. the parties shall also have the fol-
lowing rights:
(1) To call witnesses, including adverse witnesses, and to cross ex-
amine witnesses for the other party.
(2) To compel the attendance of witnesses. The hearing officer shall
have the right to issue Subpoenas (order to appear and give testimony)
and Subpoenas Duces Tecum (order to produce document(s) or paper(s)
upon a showing of reasonable necessity by a party).
(?<) Absent compelling circumstances to the contrary, and upon motion
to the hearing officer to have witnesses excluded from the hearing.
(d) Hearings .shall be conducted in the English language; when the pri-
mary language of a party to a hearing is other than English, or other mode
of communication, an interpreter shall be provided who is competent as
determined by the hearing officer. Cost for an interpreter shall be borne
by the State Department of Education. Interpreters shall take an oath to
interpret fully and accurately.
(e) If either the school district or the parents have an attorney present
as an observer, the attorney may watch the proceedings to advise his
party at a later date, but the attorney may not present oral argument, writ-
ten argument or evidence, or consult any manner in or out of the room,
during the process hearing.
(0 Notwithstanding Government Code section 1 1425.10(a)(3) of the
Administrative Procedure Act. special education due process hearings
arc open/closed to the public at the discretion of the parent.
(g) Notwithstanding Government Code section 1 1440.30 of the Ad-
ministrative Procedure Act. the hearing officer may conduct all or part
of a hearing by telephone, television, or other electronic means if each
participant in the hearing has an opportunity to participate in and to hear
the entire proceeding while it is taking place and to observe exhibits.
Note. Authority cited: Sections 56100(a) and (j) and 56503, Education Code.
Reference: Sections 56500-56507. Education Code; Sections 11425.10 and
1 1440.30. Government Code; Sections 1415(b)(2) and (c), U.S. Code. Title 20;
and Sections 300.506-.300.513, Code of Federal Regulations, Title 34.
History
1 . New section filed 12-21-81 as an emergency; effective upon filing (Register
82, No. 6). A Certificate of Compliance must be transmitted to OAL within J 20
days or emergency language will be repealed on 4-20-82.
2. Certificate of Compliance transmitted to OAL 12-1 1-81 and filed 4-29-82
(Regi-ster 82, No. 18). 3. Renumbering and amendment of Section 3081 to Sec-
tion 3082 filed 3-21-88; operative 4-20-88 (Register 88, No. 15).
3. Amendment of subsection (d), new subsections (f) and (g) and amendment of
Note filed 6-23-97 as an emergency; operative 6-23-97 (Register 97, No. 26).
A Certificate of Compliance must be transmitted to OAL by 10-2 1 -97 or emer-
gency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-23-97 order, including amendment of Note.
transmitted to OAL 10-20-97 and filed 12-4-97 (Register 97, No. 49).
§ 3083. Service Notice.
Notwithstanding Government Code section 1 1440.20of the Adminis-
trative Procedures Act. service of notice, motions, or other writings per-
taining to special education due process hearing procedures to the Cali-
fornia Special Education Hearing Office and any other person or entity
are subject to the following provisions:
(a) The notice, motion, or writing shall be delivered personally or sent
by mail or other means to the Hearing Office, person, or entity at their last
known address and, if the person or entity is a party with an attorney or
other authorized representative of record in the proceeding, to the party's
attorney or other authorized representative.
(b) Unless a provision specifies the form of mail, service or notice by
mail may be by first-class mail, registered mail, or certified mail, by mail
delivery service, by facsimile transmission if complete and without error,
or by other electronic means as provided by regulation, in the discretion
of the sender.
(c) Service must be made by a method that ensures receipt by all parties
and the Hearing Office in a comparable and timely manner.
NOTE: Authority cited: Sections 56100(a) and (j) and 56505, Education Code.
Reference: Sections 56500-56507, Education Code; Section 1 1440.20, Govem-
menl Code: Sections 1415(b)(2) and (c). U.S. Code. Title 20; and Sections
300.506-300.513, Code of Federal Regulations, Title 34.
History
1 . New section filed 6-23-97 as an emergency: operative 6-2.3-97 (Register 97,
No. 26). A Certificate of Compliance mu.st be transmitted to OAL by 1 0-2 1-97
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 6-23-97 order, including removal of subsection
designator from first paragraph and redesignation of former subsections
(a)(lHa)(3) as subsections (a)-(c), amendment of newly designated subsec-
tion (b). and amendment of NoTi-, transmitted to OAL 10-20-97 and filed
12-4-97 (Register 97. No. 49).
§ 3084. Ex Parte Communications.
(a) Notwithstanding Government Code sections 11425.10(a)(8).
11430.20, and 1 1430.30of the Cahfomia Administrative Procedure Act.
while special education due process hearing proceedings are pending,
there shall be no communication, direct or indirect, regarding any issue
in the proceeding, to a hearing officer from an employee or representati ve
of a party or from an interested person unless the communication is made
on the record at the hearing.
(b) A proceeding is pending from the date of receipt by the California
Special Education Hearing Office of the request for hearing.
(c) If a hearing officer receives a communication in violation of this
section, the hearing officer shall disclose the content of the communica-
tion on the record and give the parties an opportunity to address the mat-
ter if so requested within 10 days of receipt of notification of the commu-
nication.
( 1 ) The hearing officer has discretion to allow the party to present evi-
dence concerning the subject of the communication.
(2) The hearing officer has discretion to reopen a hearing that has been
concluded.
(d) If a hearing officer receives a communication in violation of this
section, the hearing officer shall make all of the following a part of the
record in the proceeding:
(1) If the communication is written, the writing and any written re-
sponse of the hearing officer.
(2) If the communication is oral, a memorandum stating the substance
of the communication, any response made by the hearing officer, and the
identity of each person from whom the hearing officer received the com-
munication.
(e) The hearing officer shall notify all parties that the communication
has been made a part of the record.
(f) Receipt by the hearing officer of a communication in violation of
this section may be grounds for disqualification of the hearing officer. If
the hearing officer is disqualified, the porfion of the record pertaining to
the ex parte communication may be sealed by order of the disqualified
hearing officer.
NOTE: Authority cited: Sections 56100(a) and (j) and 56505, Education Code.
Reference: Sections 56500-56507, Education Code; Sections 11425.10.
11430.10-11430.30, 11430.50 and 11430.60, Government Code; Sections
1415(b)(2) and (c), U.S. Code, Title 20; and Sections 300.506-300.513. Code of
Federal Regulations, Title 34.
History
1. New section filed 6-23-97 as an emergency: operative 6-23-97 (Register 97,
No. 26). A Certificate of Compliance must be transmitted to OAL by 1 0-2 1 -97
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 6-23-97 order, including amendment of subsec-
tions (a) and (f) and amendment of Notf., transmitted to OAL 10-20-97 and
filed 12-1-97 (Register 97, No. 49).
§ 3085. Precedent Decisions.
Notwithstanding Government Code secuon 1 1425. 10(a)(7) of the Ad-
ministraUve Procedure Act, orders and decisions rendered in special edu-
cation due process hearing proceedings may be cited as persuasive but
not binding authority by parties and hearing officers in subsequent pro-
ceedings.
NOTE: Authority cited: Sections 36100(a) and (j) and 36503, Eiducation Code.
Reference: Sections 56500-56507, Education Code; Section 1 1425.10, Govern-
Page 69
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§3086
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
meiit Code; Sections 1415(b)(2) and (c), U.S. Code. Title 20; and Sections
.'^00.506-.300.513, Code of Federal Regulations, Title 34.
History
1. New section filed 6-23-97 as an einergency; operative 6-23-97 (Register 97,
No. 26). A Certificate of Compliance must be transmitted to OAL by 10-21-97
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 6-23-97 order, includina amendment of Noth,
transmitted to OAL 10-20-97 and filed 12-4-97 (Register 97, No. 49).
§ 3086. Mediation.
(a) Government Code section 1 1420. 10 of the Administrative Proce-
dure Act does not apply to special education due process hearing proce-
dures because Education Code sections 56500-56507 provide for medi-
ation.
(b) Notwithstanding any other provision of law. a communication
made in mediation is protected to the following extent:
(1) Anything said, any admission made, and any document prepared
in the course of, or pursuant to, mediation under this article is a confiden-
tial communication, and a party to the mediation has a privilege to refuse
to disclose and to prevent another from disclosing the communication,
whether in an adjudicative proceeding, civil action, or other proceeding.
This subdivision does not limit the admissibility of evidence if all parties
to the proceedings consent.
(2) No reference to mediation proceedings, the evidence produced, or
any other aspect of the mediation may be made in an adjudicative pro-
ceeding or civil action, whether as affirmative evidence, by way of im-
peachment, or for any other purpose.
(3) No mediator or interpreter or other participants are competent to
testify in a subsequent administrative or civil proceeding as to any state-
ment, conduct, decision, or order occurring at, or in conjunction with, the
mediation.
(c) Evidence otherwise admissible outside of mediation under this sec-
tion is not inadmissible or protected from disclosure solely by reason of
its introduction or use in mediation under this section.
(d) Interim and final agreements in writing that result from mediation
are admissible for purposes of enforcement unless the written agreement
specifies otherwise.
NOTE: Authority cited: Sections 56100(a) and (J) and 56505, Education Code.
Reference: Sections 56500-56507, Education Code; Section 11420.10, Govern-
ment Code; Sections 1415(b)(2) and (c), U.S. Code, Title 20; and Sections
300.506-300.513, Code of Federal Regulations, Title 34.
History
1. New section filed 6-23-97 as an emergency; operative 6-23-97 (Register 97,
No. 26). A Certificate of Compliance must be transmitted to OAL by 10-21-97
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 6-23-97 order, including amendment of subsec-
tion (c) and Note, transmitted to OAL 10-20-97 and filed 12-4-97 (Register
97, No. 49).
§ 3087. Decision by Settlement.
Notwithstanding Government Code section 1141 5 .60 of the Adminis-
trative Procedure Act, a decision by settlement may be issued on terms
the parties determine are appropriate so long as the agreed-upon terms
are not contrary to the law.
NOTE: Authority cited: Sections 56100(a) and (j) and 56505, Education Code.
Reference: Sections 56500-56507, Education Code; Section 11415.60, Govern-
ment Code; Sections 1415(b)(2) and (c), U.S. Code, Title 20; and Sections
300.506-300.513, Code of Federal Regulations, Title 34.
History
1. New section filed 6-23-97 as an emergency; operafive 6-23-97 (Register 97,
No. 26). A Certificate of Compliance must be transmitted to OAL by 10-21-97
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 6-23-97 order, including amendment of Note,
tran.smjtted to OAL 10-20-97 and filed 12-4-97 (Register 97, No. 49).
§ 3088. Sanctions.
(a) Provisions for contempt sanctions, order to show cause, and ex-
penses contained in Government Code sections 11455.10-11455.30 of
the Administrative Procedure Act apply to special education due process
hearing procedures except as modified by (b) through (e) of this secfion.
(b) Only the presiding hearing officers may initiate contempt sanc-
tions and/or place expenses at issue.
(c) Prior to initiating contempt sancfions with the court, the presiding
hearing officer shall obtain approval from the General Counsel of the
California Department of Education.
(d) The failure to initiate contempt sancfions and/or impose expenses
is not appealable.
(e) The presiding hearing officer may, with approval from the General
Counsel of the California Department of Educafion, order a party, the
party's attorney or other authorized representative, or both, to pay rea-
sonable expenses, including costs of personnel, to the California Special
Education Hearing Office for the reasons set forth in Government Code
secfion 11455.30(a).
NOTE: Authority cited: Sections 56100(a) and (j) and 56505. Education Code.
Reference: Sections 56500-56507, Education Code; Sections
1 1455.10-1 1455.30. Govemment Code; Sections 1415(b)(2) and (c), U.S. Code,
Title 20; and Sections 300.506-300.513. Code of Federal Regulations, Title 34.
History
1 . New section filed 6-23-97 as an emergency; operative 6-23-97 (Register 97,
No. 26). A Certificate of Compliance must be transmitted to OAL by 10-21-97
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 6-23-97 order, including amendment of subsec-
tions (a), (b) and (c) and amendment of Note, transmitted to OAL 1 0-20-97 and
filed 12-4-97 (Register 97, No. 49).
§ 3088.1 . Sanctions: Withholding Funds to Enforce Special
Education Compliance.
(a) When a district, special education local plan area, or county office
of education fails to comply substanfially with a provision of law regard-
ing special education and related services, the superintendent may with-
hold funds allocated to such local agency under Chapter 7.2 (commenc-
ing with Section 56836) of Part 30 of the Education Code and the
Individuals with Disabilifies Educafion Act (20 U.S.C. 1400 et seq.).
Such noncompliance may result from failure of the local agency to sub-
stantially comply with corrective action orders issued by the Department
of Educafion in monitoring findings or complaint invesfigation reports.
"Substanfial noncompfiance" means an incident of significant failure to
provide a child with a disability with a free appropriate public education,
an act which results in the loss of an educafional opportunity to the child
or interferes with the opportunity of the parents or guardians of the pupil
to participate in the formulation of the individual educafion program, a
history of chronic noncompliance in a particular area, or a systemic
agency-wide problem of noncompliance.
(b) Prior to withholding funds, the department shall provide written
nofice to the local educafional agency, by certified mail, of the noncom-
pliance findings that are the basis of the Department's intent to withhold
funds. The notice shall also inform the local agency of the opportunity
to request a hearing to contest the findings and the proposed withholding
of funds.
(c) The notice shall include the following information:
( 1 ) The specific past and existing noncompliance that is the basis of
the withholding of funds.
(2) Tlie efforts that have been made by the Department to verify that
ail required correcfive actions have been taken.
(3) The specific actions that must be taken by the local educational
agency to bring it into compliance by an exact date to avoid the withhold-
ing of funds.
(d) The local educational agency shall have 30 calendar days from the
date of the notice to make a written request for a hearing. The department
shall schedule a hearing within 30 days of receipt of a request for hearing,
and nofify the local agency of the fime and place for hearing. A hearing
officer with experience in special educafion and with administrafive
hearing procedures shall be assigned by the department to conduct the
hearing and make an audio recording of the proceeding. The hearing offi-
cer may grant continuances of the date for hearing for good cause.
(e) The local education agency shall have the opportunity, prior to the
hearing, to obtain all documentary evidence maintained by the Depart-
Page 70
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Title 5
California Department of Education
§ 3100
•
•
menrs Special Education Division that supports the findings of noncom-
pliance at issue in the notice of intent to withhold funds.
(f) Technical rules of evidence shall not apply to the hearing, but rele-
vant written evidence or oral testimony may be submitted, and given pro-
bative effect only if it is the kind of evidence upon which reasonable per-
sons are accustomed to rely in the conduct of serious affairs. A decision
of the hearing officer to withhold funding shall not be based solely on
hearsay evidence but must be supported by evidence produced at the
hearing showing substantial noncompliance with the provisions of spe-
cial education law. Local education agencies may be represented by
counsel and the hearings will be open to the public.
(g) If a hearing is not requested, the Department shall withhold funds
as stated in the notice. If a hearing is held, a written decision shall be ren-
dered within 30 calendar days from the date the hearing is held.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
56845(a). Hducafion Code.
History
i. New section filed 1-10-2005; operative 2-9-2005 (Register 2005. No. 2).
§ 3088.2. Enforcement and Withholding of Funds.
(a) The hearing officer shall determine, based on the totality of the evi-
dence, whether a preponderance of the evidence supports the Depart-
ment's findings of noncompliance and the determination that withhold-
ing of funds is appropriate in the particular circumstances of the case. The
hearing officer's decision shall be the final decision of the Department
of Education.
(b) If the Superintendent of Public Instruction determines, subsequent
to withholding funds, that a local educational agency has made substan-
tial progress toward compliance with the state law, federal law, or regula-
tions governing the provision of special education and related services
to individuals with exceptional needs, the superintendent may apportion
the state or federal funds previously withheld to the local education
agency.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
56845(b). Education Code.
History
1. New section filed 1-10-2005; operative 2-9-2005 (Register 2005, No. 2).
§ 3089. Partial Non-Applicability of Certain Sections of the
Administrative Procedure Act to Special
Education Due Process Hearing Procedures.
Special education due process hearing procedures shall not be subject
to the following provisions of the Administrative Procedure Act: Gov-
ernment Code sections 11 41 5.60 (Decision by settlement); 11 420. 10 and
1 1420.30 (Referral of proceedings); 1 1425.10 (Governing procedures);
1 1440. 10 (Authority of agency head following decision); 1 1440.20 (Ser-
vice notice); 11440.30(b) (Conduct of hearing by electronic means);
1 1445.10-1 1445.60 (Informal hearing); 1 1450.05-11450.30 (Subpoe-
nas); 11460.10-11460.70 (Emergency decision); 11465.10-11465.60
(Declaratory decisions); and 11470.10-11470.50 (Conversion of pro-
ceeding).
Note; Authority cited: Sections 56100(a) and (j) and 56505, Education Code.
Reference: Sections 56500-56507. Education Code: Sections 11415.60,
11420.10. 11420.30, 11425.10, 11440.10-11440.30, 11445.10-11445.60,
11450.05-11450.30, 11460.10-11460.70, 11465.10-11465.60 and
1 1470. 10-1 1470.50, Government Code; Sections 1415(b)(2) and (c), U.S. Code,
Title 20; and Sections 300.506-.300.513, Code of Federal Regulations, Title 34.
History
1. New section filed 6-23-97 as an emergency; operative 6-23-97 (Register 97,
No. 26). A Certificate of Compliance must be transmitted to OAL by 10-21-97
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 6-23-97 order, including amendment of section
and Note, transmitted to OAL 10-20-97 and filed 12-4-97 (Register 97, No.
49).
Article 8. State Board of Education Waivers
§ 3100. Resource Specialist Caseload Waivers.
(a) A school district, special education local plan area, county office
of education, or any other public agency providing special education or
related services may request the State Board of Education to grant a waiv-
er of the maximum resource specialist ca.seload, as .set forth in Education
Code secfion 56362(c). only if the waiver is necessary or beneficial either
(1 ) to the content and implementation of a pupil's individualized educa-
tion program and does not abrogate any right provided individuals with
exceptional needs by specified federal law or (2) to the agency's com-
pliance with specified federal law.
(b) The State Board of Education shall grant any waiver request sub-
mitted in accordance with Subdivision (a) only:
(1 ) when the facts indicate that failure to do so would hinder either
(A) implementation of a pupil's individualized education program or
(B) compliance by the requesting agency with specified federal law;
and
(2) when the waiver request meets all of the conditions set forth in Sub-
divisions (c) and (d).
(c) A request to waive the maximum resource specialist caseload shall
be "necessary or beneficial" within the meaning of Subdivision (a) and
Educafion Code section 56101 only if all of the following conditions are
met.
( 1 ) The waiver' s effective period does not exceed one past school year
and/or the school year in which it is submitted.
(2) The number of students to be served by an affected resource spe-
cialist utider the waiver does not exceed the maximum statutory caseload
of 28 students by more than four students.
(3) The waiver does not result in the same resource specialist having
a caseload in excess of the statutory maximum for more than two school
years.
(d) For the purposes of Subdivision (b), a request to waive the maxi-
mum resource specialist caseload shall not "hinder" either ( 1 ) imple-
mentation of a pupil's individualized educafion program or (2) com-
pliance by the requesfing agency with specified federal law if all of the
following conditions are met:
( 1 ) The requesting agency demonstrates to the satisfaction of the State
Board of Education (A) that the excess resource specialist caseload re-
sults from extraordinary fiscal and/or programmatic condifions and (B)
that the extraordinary conditions have been resolved or will be resolved
by fime the waiver expires.
(2) The waiver sfipulates that an affected resource specialist will have
the assistance of an instrucfional aide at least five hours daily whenever
that resource specialist's ca.seload exceeds the statutory maximum dur-
ing the waiver's effecUve period.
(3) The waiver confirms that the students served by an affected re-
source specialist will receive all of the services called for in their individ-
ualized education programs.
(4) The waiver was agreed to by any affected resource specialist, and
the bargaining unit, if any. to which the resource specialist belongs par-
ticipated in the waiver's development.
(5) The waiver demonstrates to the safisfaction of the State Board of
Education that the excess caseload can be reasonably managed by an af-
fected resource specialist in particular relation to (A) the resource spe-
cialist's pupil contact time and other assigned duties and (B) the pro-
grammadc conditions faced by the resource specialist, including, but not
limited to, student age level, age span, and the behavioral characteristics;
number of curriculum levels taught at any one time or any given session;
and intensity of student instructional needs.
Note: Authority cited: Sections 33031 and 56100(a), Education Code. Refer-
ence: Sections 56101 and 56362(c), Education Code.
[The next page is 71.]
Page 70.1
Register 2008, No. 8; 2-22-2008
•
Title 5
California Department of Education
§3824
•
History
I . New article 8 (section 3100) and section filed 3-2-99; operative 4-1-99 (Regis-
ter 99, No. 50).
•
•
Chapter 3.5. Joint Regulations for
Handicapped Children
Subchapter 1. Interagency Responsibilities
for Providing Services to Handicapped
Children
§ 3300. Joint Regulations for Handicapped Children.
CROSS-REFERENCE: See Title 2, Division 9, Chapter 1, Articles
1-9, Sections 60000-60610. not consecutive.
History
1. New Division 3.5 (Chapter 1, Section 3300) printed as cross — reference only
(Register86, No. 21).
Chapter 4. Gifted and Talented Pupil
Program
Subchapter 1. General Provisions
Note: Authority cited: Sections 33031 and 52203, Education Code. Reference:
Section 52200, Education Code.
History
1 . Repealer of Division 4 (Chapters 1 -4. Sections 300-386 1 , not consecutive) and
new Division 4 (Chapters 1-6, Sections 3800-3870, not consecutive) filed
3-2 1 -80; effective thirtieth day thereafter ( Register 80, No. 12). For prior histo-
ry, see Registers 69, Nos. 25 and 51; 71, Nos. 51; 72, No. 21; 77, Nos. 39 and
48.
2. Repealer of Chapter 1 (Section 3800) filed 4-13-83; effective thirtieth day
thereafter (Register 83, No. 16).
Subchapter 2. Eligibility
NOTE: Authority cited: Sections 33031 and 52203, Education Code. Reference:
Section 52200, Education Code.
History
1. Repealer of Chapter 2 (Section 3810) filed 4-13-83; effective thirtieth day
thereafter (Register 83, No. 16).
Subchapter 3. Standards Used for
Identification of Gifted and Talented Pupils
§ 3820. Method of Identification.
The school district shall have the responsibility for the development
of a method for the identification of pupils as gifted and talented. The
method of identification shall be included in the application and shall
conform to these general principles:
(a) Standards shall ensure the identification of pupils who possess a ca-
pacity for excellence far beyond that of their chronological peers.
(b) Methods shall be designed to seek out and identify those pupils
whose extraordinary capacities require special services and programs.
(c) Provision shall be made for examining a pupil's range of capacities.
(d) Methods and techniques of identification shall generate informa-
tion as to a pupil's capacities and needs.
(e) There shall be equal opportunity to be identified in the categories
served.
(f) Methods shall be designed to seek out and identify gifted and tal-
ented pupils from varying linguistic, economic, and cultural back-
grounds.
NOTE: Authority cited: Sections 33031 and 52203, Education Code. Reference:
Section 52202, Education Code.
History
1. Amendment filed 4-13-83; effective thirtieth day thereafter (Register 83. No.
16).
§ 3821 . Responsibility for Identification.
Note: Authority cited: Sections 33031 and 52203. Education Code. Reference:
Section 52200, Education Code.
History
1 . Repealer filed 4-13-83; effective thirtieth day thereafter (Register 83. No. 16).
§ 3822. Categories for Identification.
Each district shall use one or more of these categories in identifying
pupils as gifted and talented. In all categories, identification of a pupil's
extraordinary capability shall be in relation to the pupil's chronological
peers.
(a) Intellectual Ability: A pupil demonstrates extraordinary or poten-
tial for extraordinary intellectual development.
(b) Creative Ability: A pupil characteristically:
(1) Perceives unusual relationships among aspects of the pupil's envi-
ronment and among ideas;
(2) Overcomes obstacles to thinking and doing;
(3) Produces unique solutions to problems.
(c) Specific Academic Ability: A pupil functions at highly advanced
academic levels in particular subject areas.
(d) Leadership Ability: A pupil displays the characteristic behaviors
necessary for extraordinary leadership.
(e) High Achievement: A pupil consistently produces advanced ideas
and products and/or attains exceptionally high scores on achievement
tests.
(0 Visual and Performing Arts Talent: A pupil originates, performs,
produces, or responds at extraordinarily high levels in the arts.
(g) Any other category which meets the standards set forth in these reg-
ulations.
NOTE: Authority cited: Sections 33031 and 52203, Education Code. Reference:
Section 52202, Education Code.
History
1 . Amendment of NOTE filed 4-1 3-83: effective thirtieth day thereafter ( Register
83, No. 16).
§ 3823. Evidence for Identification.
Prior to identification, pertinent evidence as to a pupil's capacity for
excellence far beyond that of chronological peers shall be compiled.
(a) Appropriate data to be collected by the school district may include:
school, class, and individual pupil records; individual tests (including
summary and evaluation by credentialed school psychologist); group
tests; interviews and questionnaires (teacher, parent, and others). The
range of data shall be broad enough to reveal gifts and talents across cul-
tural, economic, and linguistic groups.
(b) Evidence of a pupil's capability may also be derived from pupil
products, comments from peers, opinions of professional persons.
(c) Studies of the factors contributing to a pupil's underachievement
and studies of a pupil's underachievement resulting from handicapping
or disadvantaged conditions shall be considered.
(d) The pertinent evidence shall reflect consideration of the economic,
hnguistic, and cultural characteristics of the pupil's background.
Note: Authority cited: Sections 33031 and 52203, Education Code. Reference:
Section 52203, Education Code.
History
1 . Amendment of NOTE filed 4-1 3-83; effective thirtieth day thereafter (Register
83, No. 16).
§ 3824. Identification and Placement.
The final determination of eligibility of a pupil, as provided in Section
3820, for gifted and talented programs shall rest with the administrative
head of the school district or a designated employee of the district in ac-
cordance with procedures adopted by the local governing board.
(a) This school employee shall base a decision upon the evaluation of
the pertinent evidence by the school principal or a designee of the school
principal, a classroom teacher familiar with the school work of the pupil,
and, when appropriate, a credentialed school psychologist.
Page 71
Register 2004, No. 24; 6- 1 1 -2004
§ 3830
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(b) To determine the full range of a pupil's capability, a person recog-
nized as an expert in the gifted and talented category under consideration,
and/or an individual who has in-depth understanding of the pupil's lin-
guistic or cultural group shall participate in the evaluation of the evidence
unless there is no doubt as to the pupil's eligibility.
(c) These individuals may review screening, identification, and place-
ment data in serial order provided that these individuals shall meet to re-
solve differences in assessment and recommendations.
(d) This shall not preclude the use of an identification and placement
committee.
NOTE: Authority cited: Sections 3303! and 52203, Education Code. Reference:
Section 52203(a), Education Code.
History
1 . Amendment of NOTE filed 4-13-83; effective thirtieth day thereafter (Register
83, No. 16).
Subchapter 4. Minimum Standards for
Programs
Article 1. General
§ 3830. Minimum Standards for All Types of Programs.
NOTE: Authority cited: Sections 33031 and 52203, Education Code. Reference:
Section 52200, Education Code.
History
1 . Repealer filed 4-1 3-83; effective thirtieth day thereafter (Register 83, No. 1 6).
§3831. General Standards.
The following general standards apply to all types of gifted and tal-
ented programs:
(a) Unique opportunities for high-achieving and under-achieving pu-
pils who are identified as gifted and talented shall be provided.
(b) Districts shall make provisions for ensuring participation of pupils
in the upper range of intellectual ability.
(c) Districts shall make provisions for ensuring full participation of pu-
pils from disadvantaged and varying cultural backgrounds.
(d) The quality of existing programs for gifted and talented pupils shall
be maintained and/or improved.
(e) Experimentation with a variety of programmatic approaches and
cost levels shall be encouraged.
(f) Written consent of a parent, guardian, or other person having actual
custody and control of the pupil shall be on file with the district prior to
the pupil's participation in the program.
(g) The district program shall meet the specific needs and require-
ments, as specified in Education Code Section 52200(c), of gifted and tal-
ented pupils. Academic components shall be included in all program of-
ferings.
(h) The district program shall reflect the assessed needs of its identi-
fied pupils.
(i) All identified gifted and talented pupils shall have an opportunity
to participate in the gifted and talented program.
(j) The district shall develop a written plan for the district program
which shall be available for public inspection. The written plan shall de-
scribe the appropriately differentiated curricula for identified gifted and
talented pupils as well as specify the methods used to examine the appro-
priateness of the identified pupil's total educational experience including
articulation with other specially funded programs which serve gifted and
talented pupils. The plan shall include:
(1) The purposes of the program, including the general goals and spe-
cific objectives which pupils are expected to achieve;
(2) The rationale for the district's method of identification of gifted
and talented pupils;
(3) Where appropriate, procedure for the consideration of the identifi-
cation and placement of a pupil who was identified as gifted or talented
in the district from which the pupil transferred;
(4) The services to be rendered and the activities to be included for pu-
pils participating in special day classes, receiving special services, or par-
ticipating in special activities for an amount of time as specified in Edu-
cation Code Section 52206;
(5) Plan for evaluating the various components of the program. Evalu-
ation shall include an annual review of pupil progress and of the adminis-
tration of the program;
(6) Procedures for modifying the district gifted and talented program
on the basis of the annual review;
(7 ) A staff development plan based upon a needs assessment which in-
cludes specification of requisite competencies of teachers and superviso-
ry personnel;
(8) Procedures for ensuring continuous parent participation in recom-
mending policy for planning, evaluating, and implemenfing the district
program;
(9) A procedure to inform parents of a pupil's parficipation or nonpar-
ticipation in the gifted and talented program;
(10) An objective related budget.
NOTE: Authority cited: Sections 33031 and 52203, Education Code. Reference:
Section 52206, Education Code.
History
1 . Amendment of subsection (,j)(4) filed 4-1 3-83; effective thirtieth day thereafter
(Register 83, No. 16).
Article 2. Types of Programs
§ 3840. Special Day Classes and Special Services or
Activities.
All program options shall be in compliance with applicable state and
federal regulations. Programs may consist of:
(a) A "Special Day Class" for gifted and talented pupils consists of one
or more classes (as defined in Education Code Section 51016) totaling
a minimum school day where each of the one or more classes meets the
following requirements:
(1) It is composed of pupils identified as gifted and talented.
(2) It is especially designed to meet the specific academic needs of
gifted and talented pupils for enriched or advanced instruction and is ap-
propriately differentiated from other classes in the same subjects in the
school.
(3) It is taught by a teacher who has specific preparafion, experience,
personal attributes, and competencies in the teaching of gifted children.
(b) Part-time Grouping: Pupils attend classes as defined in Education
Code Section 51016 or seminars which are organized to provide ad-
vanced or enriched subject matter for a part of the school day. These
classes are composed of identified gifted and talented pupils.
(c) Enrichment Activities: Pupils remain in their regular classrooms
but participate in supplemental educational acfivities planned to augment
their regular educational programs. In these supplemental educational
acfivities, the pupils use advanced materials and/or receive special op-
portunifies from persons other than the regular classroom teacher.
(d) Cluster Grouping: Pupils are grouped within a regular classroom
setting and receive appropriately differentiated activities from the regu-
lar classroom teacher.
(e) Independent Study: Pupils are provided with additional instruc-
tional opportunities through either special tutors or mentors, or through
enrollment in correspondence courses specified in Education Code Sec-
tion 51740 and Section 1633 of this fitle. These opportunities shall be su-
pervised by a certificated person employed by the pupil's school district.
(f) Acceleration: Pupils are placed in grades or classes more advanced
than those of their chronological age group and receive special counsel-
ing and/or instruction outside of the regular classroom in order to facili-
tate their advanced work.
(g) Postsecondary Education Opportunities: High school pupils for a
part of the day attend classes conducted by college or community college
or participate in College Entrance Examination Board Advanced Place-
ment programs. When needed, the high school shall provide books and
supplies.
Page 72
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Title 5
California Department of Education
§ 3900
(li) Services for Underachieving Gifted and Talented Pupils: Pupils re-
ceive services designed to assist them in developing basic skills needed
to overcome, as soon as possible, their underachievement and to enable
them to achieve in their academic classes at levels commensurate with
their individual abilities. This shall not preclude their participation in oth-
er program options.
(i) Services lor Linguistically Diverse. Culturally Divergent and/or
Economically Disadvantaged Gifted and Talented Pupils: Pupils receive
serviees designed to assist them to develop their potential to achieve at
the high levels commensurate with their abilities. This shall not preclude
their participation in other program options.
(j) Other: Pupils participate regularly, on a planned basis, in a special
counseling or instructional activity or seminars carried on during or out-
side of the regular school day for the purpose of benefiting from addition-
al educational opportunities not provided in the regular classroom in
which the pupils are enrolled.
(k) Other services or activities approved 90 days in advance by the Su-
perintendent of Public Instruction.
NOTE; Authority cited: Sections 33031 and 52203. Education Code. Reference:
Section 52206. Education Code.
History
1. Amendment of subsections (a)(3) and (i) filed 4-13-83; effective thirtieth day
thereafter (Register 83, No. 16).
§ 3841 , Contracting for Programs.
NOTE; Authority cited: Sections 33031 and 52203, Education Code. Reference:
Section 52200, Education Code.
History
1 . Repealer filed 4-13-83; effective thirtieth day thereafter (Register 83, No. 16).
Article 3. Length of Program
§ 3850. Length of Program.
NOTE; Authority cited: Sections 33031 and 52203, Education Code. Reference:
Section 52200, Education Code.
History
1 . Repealer of Article 3 (Section 3850) filed 4-13-83; effective thirtieth day there-
after (Register 83, No. 16).
Subchapter 5. Approval of Programs
§ 3860. Approval of Programs.
School districts shall file applications with the Superintendent of Pub-
lic Instruction by June 15 of the preceding school year for prior approval
of proposed programs for the next school year. The Superintendent of
Public Instruction shall submit to the State Board of Education for final
approval a list of tentatively approved agencies.
(a) The application shall be accompanied by the written plan for the
program described in Section 383 1 (j) and shall explain how the program
will be appropriately differentiated from the regular school program of
the district and how it will meet the specific academic needs of the partici-
pating gifted and talented pupils.
(b) Approval shall be based upon evidence of compliance with the
general standards set forth in Section 3831.
(c) Approval shall be for a period to be determined by the Superinten-
dent of Public Instruction but not to exceed three years with specific pro-
grammatic data to be submitted annually. Approval of programs may be
renewed upon submission of an application form and written evaluation
of the district's or county's gifted and talented program in accordance
with Section 383 l(j).
NOTE; Authority cited: Sections 33031 and 52203, Education Code. Reference:
Section 52204, Education Code.
History
1. Amendment of subsection (b) filed 4-13-83; effective thirtieth day thereafter
(Register 83, No. 16).
Subchapter 6. Indirect Cost Expenditures
§ 3870. Indirect Cost Expenditures.
The approved indirect cost rate or 3 percent of the state apportionment
for the district's gifted and talented program, whichever is the lesser,
shall be the maximum amount allowable as indirect costs funded through
gifted and talented program monies.
NOTE; Authority cited: Sections 33031 and 52203. Education Code. Reterence:
Section 52203(c), Education Code.
H/STORY
1 . Amendment of NOTE filed 4-1 3-83; effective thirtieth day thereafter ( Reuister
83, No. 16).
Chapter 5. Consolidated Categorical Aid
Programs
Subchapter 1 . General Provisions
Article 1. Scope of the Chapter
§ 3900. Scope of the Chapter.
The provisions of this chapter apply to applications for funds under the
following statutes and programs:
(a) Special Elementary School Reading Instruction Program (Educa-
tion Code former Sections 54100-54145 and Sections 62000-62002.5).
(b) School Improvement Programs (Education Code former Sections
52000-52049 and Sections 62000-62002.5).
(c) Compensatory Programs under Title I of the Elementary and Sec-
ondary Education Act of 1965, Helping Disadvantaged Children Meet
High Standards. Parts A through F, as amended by the Improving Ameri-
ca's Schools Act of 1994, Public Law 103-382; (Education Code Sec-
tions 54400-54465 except Programs for Migrant Children under Educa-
tion Code Sections 54440-54445).
(d) Educationally Disadvantaged Youth Programs (Education Code
Sections 54000-54008 and former Sections 54020-54033).
(e) Safe and Drug Free Schools and Communities (Title IV of the Ele-
mentary and Secondary Education Act of 1965 as amended by the Im-
proving America's Schools Act of 1994, Public Law 103-382).
(f) Innovative Education Program Strategies (Title VI of the Elemen-
tary and Secondary Education Act of 1965 as amended by the Improving
America's Schools Act of 1994, Public Law 103-382).
(g) The Chacon-Moscone Bilingual-Bicultural Education Act of
1976 (Education Code, former Sections 52160-52178 and Sections
62000-62002.5).
(h) Local Staff Development Programs (Education Code Sections
44670-44671.5).
(i) Dwight D. Eisenhower Professional Staff Development Program
(Title II of the Elementary and Secondary Education Act of 1965 as
amended by the Improving America's Schools Act of 1994, Public Law
103-382).
NOTE; Authority cited: Sections 18101, 33031, 54005, 54406 and 62000.2 and
former Section 54102, Education Code. Reference: Sections 4467(MM671.5,
54000-54008, 54400-54425, 54460-54465, 62001 and 62002 and former Sec-
tions 52000-52049, 52160-52178, :=>4020-54033 and 54100-54145, Education
Code; and Sections 6301 et seq.. Title 20. U.S.C.
History
1 . Repealer of Chapter 1 (Sections 39(X)-3948, not consecutive) and new Chapter
1 (Sections 3900-3947, not consecutive) filed 5-17-78; effective thirtieth day
thereafter (Register 78, No. 20). For history of former Chapter 1 , see Registers
74, No. 52; 75, Nos. 21 and 26; 76, Nos. 40 and 43; 77, Nos. 13, 17, 22 and 39.
2. Amendment of section and Note filed 6-23-99; operative 7-23-99 (Register
99, No. 26).
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liegister 2004, No. 24; 6- 1 1-2004
§3920
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Article 2. Administrative Procedures
§ 3920. Application Procedure.
Each district shall make a single application to the State Board of Edu-
cation for approval or continuance of programs under this Chapter on
such forms and at such times as the Superintendent of Public Instruction
shall determine.
§ 3921. Federal Regulations.
For programs defined in Section 3900(c), (e). (f), and (i), appropriate
federal regulations apply.
NoTE: Authority cited: Section 33031, Education Code. Reference: Sections
54000-54041, Education Code.
History
1 . Amendment of section and new Note filed 6-23-99; operative 7-23-99 (Regis-
ter 99. No. 26).
§ 3922. Waiver Procedure.
NOTE; Authority cited: Section 33031, Education Code. Reference: Sections
54000-54041, Education Code.
History
1 . Repealer of section and new Note filed 6-23-99; operative 7-23-99 (Register
99, No. 26).
§ 3923. Complaint Procedure.
NOTE: Authority cited: Section 33031, Education Code; P.L. 95-561, Section
168. Reference: P.L. 95-561, Section 128.
History
1 . Repealer filed 1 0-16-80; effective thirtieth day thereafter (Register 80, No. 42j.
Article 3. Program Requirements
§ 3930. Comprehensive Plan.
Each school receiving consolidated application funds as defined in
Section 3900(b), (c), (d), (h), and (i), shall develop a comprehensive pro-
gram plan for students who will receive additional services from these
funds. Each plan shall be based on an assessment of school capability to
meet the educational needs of each pupil, specify objectives, and indicate
steps necessary to achieve such objectives, including intended outcomes.
This comprehensive plan shall account for all program services for par-
ticipating students, including at least those provided by district and by
consolidated application program funds. A school that includes the pro-
visions of all state and federal categorical educational programs in a
single, comprehensive plan shall be deemed to have complied with the
planning requirements of those programs.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
64001, Education Code.
History
1 . Amendment filed 5-17-78; effective thirtieth day thereafter (Register 78, No.
20).
2. Amendment of section and Note filed 10-17-2000; operative 11-12-2000
(Register 2000, No. 42).
§3931. Instructional Program.
Each school maintaining programs under this chapter shall plan and
implement instructional programs which are responsive to the individual
needs, strengths, interests, and learning styles of each student. Such in-
staiction shall be designed to enable students to make continuous prog-
ress and learn at a rate appropriate to their abilities and of sufficient quali-
ty to promote the development of each student's maximum potential.
§ 3932. Parent, Community, Teacher, Other School
Personnel, and Student Involvement.
School districts maintaining programs under this chapter shall provide
opportunities for the involvement of parents, community representa-
tives, classroom teachers, other school personnel, and students in sec-
ondary schools, in the planning, implementation and evaluation of their
consolidated application programs. Schools shall be deemed to have met
this requirement by establishing a school site council under the provi-
sions of Education Code sections 52852 and 52855.
The local governing board may satisfy the requirement of Education
Code section 52054(a) for a school-site and community team by aug-
menting an existing school site council authorized under Education Code
section 52852 and former Education Code section 5201 2 with at least one
additional person not employed at the school.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
52054 and 64001 , Education Code.
History
1. Amendment of section and Note filed 10-17-2000; operafive 11-12-2000
(Register 2000, No. 42).
§ 3933. Staff Development.
School districts maintaining programs under this chapter shall provide
staff development for all certificated, paraprofessional, other appropriate
classified, and volunteer personnel involved in the program to assure
successful implementation of the program. Staff development activities
must be related to the unmet needs for staff as identified in the needs
assessment.
The district shall provide for joint participation of certificated, para-
professional. other appropriate classified, and volunteer personnel in
staff development activities. Attendance and participation in staff devel-
opment activities shall be encouraged through appropriate announce-
ments to meinbers of district and school advisory committees and
school-site councils.
§ 3934. Isolation and Segregation of Pupils.
(a) No program utilizing consolidated application funds shall sanc-
tion, perpetuate or promote the segregation of students on the basis of
race, ethnicity, religion, sex, or socio-economic status.
(b) No program utilizing consolidated applicafion funds shall:
(1) Create special tracks for the educationally disadvantaged;
(2) Establish adjustment, pregrade, or junior grade classes for the edu-
cafionally disadvantaged; or
(3) Physically isolate children from their classmates on a scheduled
daily basis, except in the following instances:
(A) At the elementary level, children who are assigned to a regular
classroom teacher responsible for their instructional program may be
moved temporarily to a physical location other than the regular clas-
sroom, provided that such assignment is based on a comprehensive diag-
nosfic assessment of student needs until the diagnosed need has been al-
leviated. Such an alternate physical location includes, but is not limited
to, a reading laboratory, a mathematics laboratory, a bilingual-bicultural
learning center, an intergroup education learning center, a diagnostic
clinic, or similar faciliUes where the specific needs of the student may
best be served.
(B) At the secondary level, students may be assigned to a special class
for one or more periods or their equivalent, provided that such assign-
ment is based on a comprehensive diagnosfic assessment of student
needs and such assignment will terminate when the diagnosed need has
been alleviated.
§ 3935. Multicultural Education.
NOTE: Authority cited: Sections 33031 , 54005 and 62000.2, Education Code. Ref-
erence: Sections 54000-54041, 62001 and 62002, Education Code.
History
1. Change without regulatory effect repealing section and adding Note filed
6-22-99 pursuant to section 1 00, title 1, California Code of Regulations (Regis-
ter 99, No. 26).
§ 3936. Bilingual-Bicultural Education.
NOTE: Authority cited: Sections 3303 1 , 54005 and 62000.2, Education Code. Ref-
erence: Sections 54000-54041, 62001 and 62002, Education Code.
History
1. Change without regulatory effect repealing section and adding Note filed
6-22-99 pursuant to section 100, title 1, California Code of Regulations (Regis-
ter 99, No. 26).
§ 3937. Basic Skills.
All schools participaUng in programs funded through the consolidated
application shall provide instruction designed to ensure that participating
students acquire the basic skills, including reading, writing, language,
and mathemafics.
NOTE: Authority cited: Sections 54004-54005, Education Code. Reference: Sec-
tion 54000, Education Code.
•
•
•
Page 74
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 3947
I. New section tiled 9-3
Ml).
HtsroRY
-79; elTective thirtieth day thereafter (Register 79. No.
•
Article 4. Fiscal Concerns
§ 3940. Maintenance of Effort.
Districts maintaining programs under this chapter shall assure that the
sum of local and stale apportionment resources utilized in programs for
participating students has not been reduced.
§ 3941 . Reports and Inspection of Records.
On request of the Superintendent of Public Instruction, school district,
cooperative, and consortia records that are required to be maintained by
the district shall be made available for inspection to verify the accuracy
of reports and to determine the conformity of program activities to the
applicable program plans.
NOTE: Authority cited: Sections 330.^1 and 52039, Education Code. Reference:
Sections 52000-52047, Education Code.
History
1 . Amendment Hied 5-17-78; effective thirtieth day thereafter (Register 78, No.
20).
2. Amendment tiled 1 1-7-79; effective thirtieth day thereafter (Register 79, No.
45).
§ 3942. Continuity of Funding.
Districts maintaining programs under this chapter shall have their pro-
grams approved for a period not to exceed three consecutive years con-
tingent ( I ) upon the availability of funds, (2) upon compliance by the dis-
trict with the rules promulgated by the State Board of Education and the
State Superintendent of Public Instruction, and (3) upon an annual evalu-
ation which demonstrates that the program is not one of low effective-
ness, under criteria established by the local governing board.
§ 3943. Federal Categorical Aid Funds for Eligible
Students Attending Private, Nonprofit, Tax
Exempt Elementary or Secondary Schools.
When federal regulations for categorical aid funding require or permit
categorical aid services to be provided for nonpublic school students,
such services shall be comparable to those provided for public school stu-
dents. Criteria for student eligibility for these services shall be the same
in nonpublic as in public schools, except where federal regulations indi-
cate otherwise.
The district shall continuously involve school officials and parents of
nonpublic schools receiving federal categorical aid funds in the identifi-
cation of needs, the establishment of selection criteria for students to re-
ceive extra services, the development of program objectives and activi-
ties, and the evaluation design.
§ 3944. Fiscal and Technical Requirements.
(a) Districts maintaining programs under this chapter shall develop
budgets, account records, claims for reimbursement and reports in accor-
dance with the California School Accounting Manual.
(b) Auditable records shall be developed by the local educational
agency to document compliance with federal and state regulations.
(c) Districts maintaining programs under this chapter shall maintain
title to equipment purchased with funds under this chapter and shall
maintain inventory records sufficient to demonstrate that such equip-
ment is used only for the particular project approved, provided that obso-
lete or unneeded equipment may be disposed of in accordance with
guidelines established by the Department of Education.
§ 3945. Cooperative Programs.
(a) School districts with less than $75,000 total funding available from
all consolidated application sources must enter into a cooperative pro-
gram. Any district receiving consolidated application funds on January
1, 1978. and which was not then required to enter into a cooperative is
exempt from this requirement. Where the cooperative administrative
agency is a county office of education, and the participating district is a
direct .service district, charges may be made only lor those ser\ ices that
are in addition to those that are provided as direct services.
(b) Each cooperative shall annually execute a formal agreement with
each participating district regarding levels and types of services and
amounts to be charged for tho.se services.
§ 3946. The Control, Safeguards, and Disposal of
Equipment Purchased with State and Federal
Consolidated Application Funds.
(a) Equipment, as defined in the California State Accounting Manual,
purchased with state consolidated application funds, and expendable and
nonexpendable personal property, as defined in Title 45, Code of Federal
Regulations, Part 100. 1, purchased with federal consolidated application
funds, shall be retained by the recipient district as long as there is a need
for such property to accomplish the purpose of the project.
(b) All equipment purchased with con.solidated application funds pro-
vided under consolidated application programs shall be subject to prop-
erty management standards inaintained by the recipient district, includ-
ing, but not limited to. the following controls:
(1) Records.
An up to date inventory of each item of equipment shall be kept at the
district office and at the appropriate school site. The inventory shall in-
clude:
(A) A description.
(B) Identification number.
(C) Acquisition date and original cost.
(D) Funding source.
(E) Location.
(F) Ultimate disposition, including sale price or method used to deter-
mine current fair market value.
(2) Labeling.
Each equipment item shall have a label that contains the name of the
project, the identification number, and the name of the district.
(3) Disposal.
Equipment purchased with federal or state funds and no longer needed
for project purposes may be taken off the consolidated application inven-
tory list in accordance with existing federal regulations governing the
disposal of equipment purchased with federal consolidated application
funds.
§ 3947. Administrative Costs.
The following requirements apply to the funding sources identified in
Section 3900(b), (d), and (g).
(a) Indirect Costs.
In no case shall the indirect cost rate charged exceed three percent of
a district's funding, or the districtwide restricted indirect cost rate ap-
proved by the State Department of Education, whichever is less. This rate
shall be applied to the total direct expenditures, less capital outlay, for
these programs.
(b) Expenditures for Centralized Services.
( 1 ) Expenditures for centralized services shall include direct costs and
direct support costs, as defined in the most recent California School Ac-
counting Manual, administered centrally within the district, cooperative,
or consortium.
(2) Each comprehensive school program plan shall contain the
amounts budgeted for centralized services and a description of the cen-
tralized services to be provided to the school program.
NOTE: Authority cited: Section 33031 and former Section 52039(b). Education
Code. Reference: former Section 52039(b)(1), Education Code.
History
1. Amendment filed 4-14-82; effective thirtieth day thereafter (Register 82. No.
16).
2. Amendment of first paragraph and subsection (b)(1), repealer of subsection
(b)(2), subsection renumbering, and amendment of Note filed 6-23-99; opera-
tive 7-23-99 (Register 99, No. 26).
Page 75
Register 2(XM, No. 24; 6-11-2004
§3950
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Article 5. Complaint Procedures
§ 3950. Definitions.
NOTE; Authority cited: Section 33031, Education Code: P.L. 95-56). Section
168. Reference: P.L. 95-.561. Section 128.
History
1. Adopt new article 5 (sections 3950-3953) filed 10-16-80: effective thirtieth
day thereafter (Register 80, No. 42).
2. Repealer filed 8-26-91: operative 9-25-91 (Register 92, No. 3).
§ 3951. Local Educational Agency (LEA).
NOTE: Authority cited: Section 33031. Education Code: P.L. 95-561. Section
168. Reference: P.L. 9.5-561, Section 128.
History
1 . Repealer filed 8-26-91 ; operative 9-25-91 (Register 92. No. 3).
§ 3952. State Department of Education.
NOTE: Authority cited: Section 33031, Education Code; P.L. 9.5-561. Section
168. Reference: P.L. 95-561, Section 168.
History
1. Repealer filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
§ 3953. Compliance Agreement.
NOTE; Authority cited: P.L. 95-561, Section 169(c). Reference: P.L. 9.5-561, Sec-
tion 169(c).
History
1 . Repealer filed 8-26-91 ; operafive 9-25-91 (Register 92, No. 3).
Subchapter 2. School Improvement
Programs
Article 1. Definitions
§ 4000. Classroom Teacher.
"Classroom teacher" means all teachers as defined in former Educa-
tion Code Section 33150(b) except those included in the definition of
"other school personnel" as defined in former Education Code Section
52001(a).
NOTE; Authority cited: former Section 52039; and Sections 33031 and 62000.2,
Education Code. Reference: former Sections 33150 and 52001; and Section
62002.5, Education Code.
History
1 . New Chapter 2 (Sections 4000-4091 , not consecutive) filed 5-17-78; effective
thirtieth day thereafter (Register 78, No. 20).
2. Amendment of section and Note filed 6-23-99; operative 7-23-99 (Register
99, No. 26).
§4001. Parity.
"Parity" of membership between various groups of persons identified
in former Education Code section 52012 and Education Code section
52852 means equal numbers of persons.
NOTE: Authority cited: former Section 52039 and Sections 33031 and 62000.2,
Educafion Code. Reference: former Sections 33150, 52001 and 52012 and Sec-
tions 52852 and 62002.5, Education Code.
History
1 . Amendment of section and new Note filed 6-23-99; operative 7-23-99 (Regis-
ter 99, No. 26).
§ 4002. Parent Eligible for Membership on the School-Site
Council.
"Parent eligible for membership on the school site council" means a
person who is the mother, father, or legal guardian, or one acting in loco
parentis of a pupil attending the particular school but who is not
employed at the school attended by such pupil.
NOTE: Authority cited: former Section 52039 and Sections 33031 and 62000.2,
Education Code. Reference: former Sections 33150, 52001 and 52012 and Sec-
tions 52852 and 62002.5, Educafion Code.
History
I . Amendment of section and new Note: filed 6-2.3-99; operative 7-23-99 (Regis-
ter 99, No. 26).
§ 4003. Non-English-Speaking Pupil.
NOTE: Authority cited: Sections 33031 and 62000.2. Education Code. Reference:
Sections 52010-52049.1, 62001 and 62002. Education Code.
History
1 . Change without regulatory effect repealing section and adding Note filed
6-22-99 pursuant to section 1 00, title 1 . California Code of Regulations (Regis-
ter 99. No. 26).
§ 4004. Limited-Engljsh-Speaking Pupil.
NOTE: Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 52010-52049.1. 62001 and 62002, Education Code.
History
1. Change without regulatory effect repealing section and adding Note filed
6-22-99 pursuant to section 1 00, title 1 , California Code of Regulations (Regis-
ter 99, No. 26).
§ 4005. Pupil with Exceptional Needs.
NOTE; Authority cited: Sections 3303 1 and 62000.2, Education Code. Reference:
Sections 52010-52049.1, 62001 and 62002, Education Code.
History
1. Change without regulatory effect repealing section and adding Note filed
6-22-99 pursuant to section 1 00, title 1 , California Code of Regulations (Regis-
ter 99, No. 26).
§ 4006. Pupil with Exceptional Abilities.
NOTE: Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 52010-52049.1, 62001 and 62002. Education Code.
History
1. Change without regulatory effect repealing section and adding Note filed
6-22-99 pursuant to section 1 00, title 1 . California Code of Regulations (Regis-
ter 99, No. 26).
§ 4007. Elementary School.
"Elementary school" is a school which has two or more elementary
grades (K-6).
Article 2. District Master Plan — Additional
Elements
§ 4020. Community Participation.
NOTE; Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 52000-52047, 62001 and 62002, Education Code.
History
1. Repealer of Article 2 (Sections 4020-4025) and new Article 2 (Sections
4020-4024) file 9-5-79; effective thirtieth day thereafter (Register 79, No. 36).
For history of former article, see Register 78, No. 20.
2. Amendment filed 1 1-7-79; effective thirtieth day thereafter (Register 79, No.
45).
3. Change without regulatory effect repealing section and amending Note filed
6-22-99 pursuant to section 1 00, title 1 , California Code of Regulations (Regis-
ter 99, No. 26).
§ 4021 . Responsiveness to the Improvement Objectives of
Participating Schools.
NOTE; Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 52000-52047, 62001 and 62002, Education Code.
History
1 . Amendment filed 1 1-7-79; effective thirtieth day thereafter (Register 79, No.
45).
2. Change without regulatory effect repealing section and amending Note filed
6-22-99 pursuant to section 100, title 1 , California Code of Regulations (Regis-
ter 99, No. 26).
§ 4022. Additional Elements of District Master Plan.
NOTE: Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 52034, 62001 and 62002, Educafion Code.
History
1 . Change without regulatory effect repealing section and amending Note filed
6-22-99 pursuant to section 1 00, title 1 , California Code of Regulations (Regis-
ter 99, No. 26).
§ 4023. Availability of the District Master Plan.
NOTE: Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 52034, 62001 and 62002, Education Code.
•
Page 76
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§4091
History
1. Change withoui regulatory effect repealing section and amending Note filed
6-22-99 pursuant to section 100, title l,CaliforniaCodeof Regulations (Regis-
ter 99. No. 26).
§ 4024. Waivers.
NOTE: Authority cited: Sections 3M)? 1 and 62000.2, Education Code. Reference:
Sections .^20.^3. 62001 and 62002, Education Code.
History
I. Change without regulatory effect repealing section and amending NOTt; filed
6-22-99 pursuant to section 1 00. title 1 , California Code of Regulations (Regis-
ter 99. No. 26).
Article 3. School Improvement Plan
§ 4040. Review of School Improvement Plans.
NOTE: Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 52000-52049.1, 62001 and 62002, Education Code.
History
1. Change without regulatory effect repealing section and adding Note filed
6-22-99 pursuant to section 1 00, title 1 , California Code of Regulations (Regis-
ter 99, No. 26).
§ 4041. Existing School Plans: Early Childhood Education.
NOTE: Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 52000-52049.1, 62001 and 62002, Education Code.
History
1 . Amendment filed 5-17-78; effective thirtieth day thereafter (Register 78, No.
20).
2. Change without regulatory effect repealing section and amending Note filed
6-22-99 pursuant to section 1 00, title 1 , California Code of Regulations (Regis-
ter 99. No. 26).
§ 4042. Program Strategies.
NOTE: Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 52000-52049.1, 62001 and 62002, Education Code.
History
1. Change without regulatory effect repealing section and adding Note filed
6-22-99 pursuant to secfion 100, title 1 , California Code of Regulafions (Regis-
ter 99, No. 26).
§ 4060. Evaluation.
NOTE; Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 52000-52049.1, 62001 and 62002, Education Code.
History
1 . Organizational headings of CCR were renamed as a result of CCR Reformat
Project as follows: "Chapter" was renamed to "Subchapter"; "Division" was re-
named to "Chapter"; and "Part" was renamed to "Division."
2. Change withoui regulatory effect repealing section and adding Note filed
6-22-99 pursuant to section 1 00, title 1 , California Code of Regulations (Regis-
ter 99, No. 26).
§ 4061 . Availability of Evaluation Information.
NOTE: Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 52000-52049.1, 62001 and 62002, Education Code.
History
1. Change without regulatory effect repealing section and adding Note filed
6-22-99 pursuant to secUon 100, title 1, California Code of Regulations (Regis-
ter 99. No. 26).
Article 4. Program Review
§ 4070. Program Reviews Conducted by Consortia.
Note; Authority cited: Sections 33031 and 62000.2. Education Code. Reference:
Sections 52000-52049.1, 62001 and 62002, Education Code.
History
1. Amendment of subsecfions (a)(3), (a)(4) and (a)(5) filed 5-17-78; effective
thirtieth day thereafter (Register 78, No. 20).
2. Change without regulatory effect repealing section and amending Note filed
6-22-99 pursuant to section 1 00. title 1 , California Code of Regulations (Regis-
ter 99, No. 26).
§ 4071 . Monitoring of Consortia Activities and Training of
Review Team Members.
NOTE; Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 52000-52049.1, 62001 and 62002. Education Code.
History
1. Amendment filed 5-17-78; effective thirtieth dav thereafter (Recister 78. No.
20).
Change without regulatory effect repealing section and amending NoTi filed
6-22-99 pursuant to .section 100, title I . California Code of Reiiulations ( Resiis-
ter 99, No. 26).
Article 5. Selection and Expansion
§ 4080. Phase-In of Elementary Schools.
NOTE: Authority cited: Sections 33031 and 62000.2. Education Code. Reference:
Sections 52000-52049.1, 62001 and 62002, Education Code.
History
1. Change without regulatory effect repealing section and adding Note filed
6-22-99 pursuant to section 1 00, title 1 . California Code of Regulations ( Regis-
ter 99. No. 26).
§ 4081 . Criteria for Approval of Planning Application:
Elementary Schools.
NOTE; Authority cited: Sections 33031 and 62000.2. Education Code. Reference:
Sections 5200(K52049.1, 62001 and 62002, Educafion Code.
History
1. Change without regulatory effect repealing section and adding Note filed
6-22-99 pursuant to section 1 00, title 1 , California Code of Regulations (Regis-
ter 99. No. 26).
§ 4082. Alternative Elementary Selection Process.
NOTE: Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 52000-52049.1. 62001 and 62002. Education Code.
History
1. Change without regulatory effect repealing section and adding Noti-: filed
6-22-99 pursuant to section 100, title 1 . California Code of Regulations ( Regis-
ter 99, No. 26).
§ 4083. Secondary School Applications.
NOTE: Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 52000-52049.1. 62001 and 62002. Educafion Code.
History
1. Change without regulatory effect repealing section and adding Note filed
6-22-99 pursuant to secnon 100, title 1, California Code of Regulations (Regis-
ter 99, No. 26).
§ 4084. Criteria for Approval of Planning Application:
Secondary Schools.
NOTE: Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Secfions 52000-52049.1, 62001 and 62002, Education Code.
History
1. Change without regulatory effect repealing section and adding Note filed
6-22-99 pursuant to section 1 00. fitle 1 . California Code of Regulations ( Regis-
ter 99, No. 26).
Article 6. Fiscal Concerns
§ 4090. Expenditure of Planning Grant Funds.
School site councils shall establish a single school improvement bud-
get for all participating grades and ensure that planning grant funds are
only used for activities directly related to planning and the development
of the school improvement plan, and preparation for implementation.
§ 4091 . School Improvement Budget.
School site councils with state allocated school improvement funds
shall establish a single school improvement budget with these funds for
all participating grades to meet the objectives of the school improvement
plan. In no case shall funds be budgeted for the sole purpose of reducing
class size.
NOTE: Authority cited: Sections 33031 and 52039(b), Education Code, Refer-
ence: Sections 52000-52049.5, Education Code.
History
1. Amendment filed 5-17-78; effective thirtieth day thereafter (Register 78, No.
20).
Page 77
Register 2004, No. 24; 6-11-2004
§4100
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Subchapter 3. Local Staff Development
Programs
Article 1.
Local Staff Development
Programs
§ 41 09. Eligibility for Funding.
NOTE: Authority cited: Section 54005, Education Code. Reference: Section
54001, Education Code.
History
1 . Change without regulatory effect repealing section filed 10-22-99 pursuant to
section 100. title 1, California Code of Regulations (Register 99, No. 43).
Article 2. Funding
§4100. Definitions.
NOTE: Authority cited: Section 54005, Education Code. Reference: Section
54001. Education Code.
History
1 . Repealer of Chapter 3 (Sections 4100-41 15. not consecutive) filed 9-5-79; ef-
fective thirtieth day thereafter (Register 79, No. 36). For history of former chap-
ter, see Register 78, No. 20.
2. Renumbering of Chapter 4 (Sections 4200-4209, not consecutive) to Chapter
3 (Sections 4100^109) filed 9-5-79; effective thinieth day thereafter (Regis-
ter 79, No. 36). For history of former chapter, see Register 78, No. 20.
3. Change without regulatory effect repealing subchapter 3 (articles 1-2), article
1 (sections 4100-4109) and section filed 10-22-99 pursuant to section 100, title
1, California Code of Regulations (Register 99, No. 43).
§ 41 01 . School District Master Plans.
Note: Authority cited: Section 54005, Education Code. Reference: Section
54001, Education Code.
History
I . Change without regulatory effect repealing section filed 10-22-99 pursuant to
section 100, title 1, California Code of Regulations (Register 99, No. 43).
§ 41 03. Staff Development Objectives and Programs.
NOTE: Authority cited: Section 54005, Education Code. Reference: Section
54001, Education Code.
History
1 . Change without regulatory effect repealing section filed 10-22-99 pursuant to
section 100, title I, California Code of Regulations (Register 99, No. 43).
§ 4104. Criteria for District Selection of Staff Development
Programs.
Note: Authority cited: Section 54005, Education Code. Reference: Section
54001, Education Code.
History
1 . Change without regulatory effect repealing section filed 10-22-99 pursuant to
section 100, title 1, California Code of Regulafions (Register 99, No. 43).
§ 4105. Assurance Requirement for District Application.
NOTE: Authority cited: Section 54005, Education Code. Reference: Section
54001, Education Code.
History
1 . Change without regulatory effect repealing section filed 10-22-99 pursuant to
section 100, title 1, California Code of Regulations (Register 99, No. 43).
§ 4106. Criteria for Department of Education Approval of
District Applications.
NOTE: Authority cited: Secfion 54005, Education Code. Reference: Section
54001, Eduction Code.
History
1. Change without regulatory effect repealing section filed 10-22-99 pursuant to
section 100, title 1, California Code of Regulations (Register 99, No. 43).
§4107. Evaluation.
NOTE: Authority cited: Secfion 54005, Education Code. Reference: Section
54001, Education Code.
History
1 . Change without regulatory effect repealing section filed 10-22-99 pursuant to
section 100, title 1, California Code of Regulations (Register 99, No. 43).
§ 41 08. Maintenance of Effort.
NOTE: Authority cited: Section 54005, Education Code. Reference: Section
54001, Education Code.
History
1. Change without regulatory effect repealing secfion filed 10-22-99 pursuant to
section 100, title 1, California Code of Regulafions (Register 99, No. 43).
§ 41 10. Geographical Distribution of Funds.
NOTE: Authority cited: Secfions 33031 and 44671.2, Education Code. Reference:
Secfions 44671.4 and 44680.04, Education Code.
History
1. New Article 2 (Sections 41 10-41 13) filed 9-19-85; effective upon filing pur-
suant to Government Code Section 1 1346.2(d) (Register 85, No. 38).
2. Change without regulatory effect repealing article 2 (sections 41 10-41 13) and
secfion filed 1 0-22-99 pursuant to section 100, title 1, California Code of Regu-
lafions (Register 99, No. 43).
§ 41 1 1 . Allocation of Funds Among Schools.
NOTE: Authority cited: Secfions 33031 and44671.2. Education Code. Reference:
Secfion 44671.4, Educafion Code.
History
1. Change without regulatory effect repealing section filed 10-22-99 pursuant to
secfion 100. title I, California Code of Regulations (Register 99, No. 43).
§ 4112. Annual Funding Levels.
NOTE: Authority cited: Sections 33031 and 44671 .2, Education Code. Reference:
Secfions 44670.9 and 44671.4, Education Code.
History
1 . Change without regulatory effect repealing section filed 10-22-99 pursuant to
section 100, fitle 1, California Code of Regulafions (Register 99, No. 43).
§ 41 13. Cost Limitations.
NOTE: Authority cited: Secfions 33031 and 44671 .2, Educafion Code. Reference:
Secfions 44670.3(b) and (c), 44670.9 and 44671.4, Education Code.
History
1. Change without regulatory effect repealing section filed 10-22-99 pursuant to
secfion 100, tifie 1, California Code of Regulafions (Register 99, No. 43).
Subchapter 4. Economic Impact Aid
Article 1. Purpose
§ 4200. Purpose.
This chapter and Chapters 5, 6, and 7 implement the three legislative
purposes of the Economic Impact Aid (EI A) Program pursuant to Educa-
tion Code Sections 54000 et seq.
One purpose is to provide financial assistance to certain school dis-
tricts having significant concentrations of special need students in meet-
ing their obligation to ensure equal educational opportunity for pupils of
limited English proficiency an obligation which exists, irrespective of
whether or not a district qualifies for assistance under this chapter or
whether or not the EIA funds are made available under this chapter. This
purpose is implemented in Chapter 5.
A second equally important purpose is to provide financial assistance
to such school districts to design and implement State Compensatory
Education (SCE) programs to meet the special educational needs of their
educationally disadvantaged students. This purpose is implemented in
Chapter 6. A third purpose is to provide financial assistance for other des-
ignated purposes such as to improve school security. This purpose is im-
plemented in Chapter 7.
NOTE: Authority cited: Section 54005, Educafion Code. Reference: Section
54020, Educafion Code.
History
1 . New Chapter 4 (Articles 1-4, Secfions 4200-4203) filed 9-5-79; effective thir-
fieth day thereafter (Register 79, No. 36).
2. Amendment filed 9-17-82; effecfive thirtieth day thereafter (Register 82, No.
38).
Page 78
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 4307
Article 2. Allocation of Funds
§ 4201 . Allocation of Funds.
NOTH: Authority cited: Section 62000.2. Education Code. Reference: former Sec-
tion .^4020, Education Code.
History
1. Amendment ol subsection (a) filed 9-17-82: effective thirtieth day thereafter
(Register82. No. 38).
2. Repealer of section and amendment of N( n h filed 6-23-99; operative 7-23-99
(Re'jisler99. No. 26).
2. Repealer of section and amendment of NoTi filed 6-2.3-99; operalivc 7-2.3-99
(Register99, No. 26).
Article 3. General Accounting
Requirements
§ 4202. Accounting.
School distiicts receiving EIA funds must maintain separate account-
ing records which document the total amount of EIA funds spent under
Chapters 5, 6. and 7. Such records shall be maintained at the school level.
In Title I eligible schools receiving both ESEA. Title I and State Compen-
satory Education funds, the ESEA Title I accounting requirements may
be applied.
NOTE: Authority cited: Secuon 54003, Education Code. Reference: Secfion
41010, Education Code.
History
1. Organizational headings of CCR were renamed as a result of CCR Reformat
Project as follows: "Chapter" was renamed to "Subchapter"; "Division" was re-
named to "Chapter"; and "Part" was renamed to "Division." The organizational
headings referenced in this regulation and/or history notation have not been re-
named; refer to the renamed organizational headings described in this para-
graph.
Article 2. Definitions
§ 4302. Definitions.
NOTE: Authority cited: Section 62000.2(d), Education Code. Reference: Sections
52J63, 5216.S(b), 52166 and 52178, Education Code.
History
1. Amendment filed 9-17-82; effective thirtieth day thereafter (Register 82, No.
.38).
2. Change without regulatory effect repealing section and amending Norc filed
5-1 8-98 pursuant to secfion 1 00. title 1 , California Code of Regulations ( Regis-
ter 98, No. 21).
Article 4.
Administration and Evaluation
Allocations
§ 4203. Limits on Administration and Evaluation
Allocations.
School districts receiving EIA funds shall not allocate more than 10
percent of their total EIA allocation for the purposes of administration
and evaluation of their programs which are funded by EIA funds.
NOTE: Authority cited: Section 54005, Education Code. Reference: Secfion
54004, Education Code.
Subchapter 5. Bilingual Education
Article 1. Purpose
§ 4300. Purpose.
NOTE: Authority cited: Section 62000.2(d), Education Code. Reference: Secfions
52160-52179 and 54004.7, Educafion Code.
History
1. New Chapter 5 (Articles 1^; Sections 4300-4320, not consecufive) filed
9-5-79; effective thirtieth day thereafter (Register 79, No. 36).
2. Amendment filed 9-17-82; effective thirtieth day thereafter (Register 82, No.
38).
3. Change without regulatory effect repealing section and amending NoTi; filed
5- 1 8-98 pursuant to secfion 1 00, title 1 , California Code of Regulations (Regis-
ter 98, No. 21).
§ 4301. Effective Instruction — Bilingual Learning
Opportunities.
NOTE; Authority cited: Section 62000.2. Education Code. Reference: former Sec-
tions 52161, 52163(e), (0, 52163.5 and 52165, Education Code.
History
1. Amendment filed 9-17-82; effective thirtieth day thereafter (Register 82, No.
38).
Article 3. Program Requirements
§ 4303. Program Requirements.
NOTE; Authority cited: Secfion 62000.2(d). Education Code. Reference: Sections
52161. 52163(e), (f) and 52165. Education Code.
History
1. Amendment filed 9-17-82; effective thiilieth day thereafter (Register 82. No.
38).
2. Change without regulatory effect repealing section and amending Noti; filed
5-1 8-98 pursuant to secfion 1 00, title 1 , California Code of Regulations (Regis-
ter 98, No. 21).
§ 4304. Census.
NOTE: Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Section 62002, Education Code.
History
1. Amendment filed 9-17-82; effective thirtieth day thereafter (Register 82. No.
38).
2. Amendment of subsecfions (a) and (b) and amendment of NoTt; filed 6-23-99;
operative 7-23-99 (Register 99, No. 26).
3. Repealer of section and amendment of NoTfi filed 1-8-2003; operative
1-8-2003 pursuant to Government Code secfion 1 1343.4 (Register 2003. No.
2).
§ 4305. Identification and Assessment.
NOTE; Authority cited: Section 62000.2(d). Education Code. Reference: Section
52164.1, Education Code.
History
1. Amendment filed 9-17-82; effecfive thirtieth day thereafter (Register 82. No.
38).
2. Change without regulatory effect repealing section and amending NOTi. filed
5- 1 8-98 pursuant to section 1 00, title 1 , California Code of Regulations ( Regis-
ter 98, No. 21).
§ 4306. Reclassification.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
62002, Educafion Code.
History
1 . Renumbering and amendment of former Section 4306 to Section 4307, and new
Secfion 4306 filed 9-17-82; effecfive thirtieth day thereafter (Register 82. No.
38).
2. Amendment of subsections (a) and (b) filed 5-9-85; effective thirtieth day
thereafter (Register 85, No. 19).
3. Amendment of subsections (a) and (b) refiled 5-16-85; designated effective
5-22-85 pursuant to Government Code Section 11 346.2(d) (Register 85. No.
19).
4. Amendment of section and Note filed 6-23-99; operative 7-2.3-99 (Register
99, No. 26).
5. Repealer of section and amendment of Note filed 1-8-2003; operative
1-8-2003 pursuant to Government Code section 1 1343.4 (Register 2003. No.
2).
§ 4307. Educational Services.
NOTE; Authority cited: Section 62000.2(d), Education Code. Reference: Sections
52163, 52165 and 52167, Educafion Code.
History
1. Amendment filed 3-21-80; effective thirtieth day thereafter (Register 80, No.
12).
2. Renumbering and amendment of former Section 4307 to Section 4308. and re-
numbering and amendment of former Section 4306 to Section 4307 filed
9-17-82; effective thirtieth day thereafter (Register 82, No. 38).
Page 79
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§4308
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
3. Change without regulatory effect repealing section and amending NoT^■ filed
5-18-98 pursuant to section 100, title 1, California Code of Regulations (Regis-
ter 98, No. 21).
§ 4308. Parent Notification.
NOTE; Authority cited: Section 62000.2(d), Education Code. Reference: Sections
52161, 52164.1, 52164.3, 52165 and 52173, Education Code.
History
1 . Renumbering and amendment of former Section 4308 to Section 4309. and re-
numbering and amendment of former Section 4307 to Section 4308 filed
9-17-82; effective thirtieth day thereafter (Register 82, No. 38).
2. Change without regulatory effect repealing section and amending NoTt- filed
5-1 8-98 pursuant to section 1 00. title 1 , California Code of Regulations (Regis-
ter 98, No. 21).
§ 4309. Teacher and Teacher Aide Criteria.
No TE: Authority cited: Section 62000.2(d), Education Code. Reference: Sections
52163, 52165, 52166, 52168, 52172 and 52178, Education Code.
History
1. Renumbering and amendment of former Section 4309 to Section 4310, and re-
numbering and amendment of former Section 4308 to Section 4309 filed
9-17-82; effective thirtieth day thereafter (Register 82, No. 38).
2. Change without regulatory effect repealing section and amending Note tiled
5- 1 8-98 pursuant to section 1 00, title 1 , Call fornia Code of Regulations (Resis-
ter98. No. 21).
§4310. Waivers.
NOTE; Authority cited: Section 62000.2(d), Education Code. Reference: Section
52178, Education Code.
History
1 . Renumbering and amendment of former Section 43 1 0 to Section 4311, and re-
numbering and amendment of former Section 4309 to Section 4310 filed
9-17-82; effective thirtieth day thereafter (Register 82, No. 38).
2. Change without regulatory effect repealing section and amending Note filed
5- 1 8-98 pursuant to section 100, title 1 , California Code of Regulations (Regis-
ter 98, No. 21).
§ 431 1 . Academic Assessment.
Note; Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Section 62002, Education Code; and 20 U.S.C. 1703(0-
History
1. Renumbering and amendment of former Section 4311 to Section 4312, and re-
numbering and amendment of former Section 4310 to Section 4311 filed
9-17-82; effective thirtieth day thereafter (Register 82, No. 38).
2. Amendment of section and Note filed 6-23-99; operative 7-23-99 (Register
99, No. 26).
3. Repealer of section and amendment of Note filed 1-8-2003; operative
1-8-2003 pursuant to Government Code section 1 1343.4 (Register 2003, No.
2)-
§4312. Advisory Committees.
Note; Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 62002 and 62002.5, Education Code.
History
1. Renumbering and amendment of former Section 4312 to Section 4313. and re-
numbering and amendment of former Section 4311 to Section 4312 filed
9-17-82; effective thirtieth day thereafter (Register 82, No. 38).
2. Amendment of section and Note filed 6-23-99; operative 7-23-99 (Register
99, No. 26).
3. Repealer of section and amendment of Note filed 1-8-2003; operative
1-8-2003 pursuant to Government Code section 1 1343.4 (Register 2003, No.
2).
§ 4313. Monitoring and Enforcement.
Note; Authority cited: Sections 3303 1 and 62000.2, Education Code. Reference:
Sections 52177, 62001 and 62002, Education Code.
History
1. Renumbering and amendment of former Section 4312 to Section 4313 filed
9-17-82; effective thirtieth day thereafter (Register 82, No. 38).
2. Change without regulatory effect repealing section and amending Note filed
6-22-99 pursuant to section 1 00, title 1 , California Code of Regulations (Regis-
ter 99, No. 26).
Article 4. Special Funds to Assist Districts
§ 4320. Determination of Funding to Support Programs to
Overcome the Linguistic Difficulties of English
Learners.
(a) School districts are required to provide services lo English learners
in all schools in accordance with Education Code Sections 300 et seq. and
62002. In order to meet this requirement, districts shall allocate adequate
resources from local, slate, and other funds. To assist in providing ade-
quate resources, a portion of EIA funds may be used to provide services
to schools which otherwise may not be eligible for SCE funds.
(b) School districts inay determine the amount and level of resources
to meet the excess cost requirements of Education Code Section 62002,
and may use EIA funds for all or part of meeting those requirements.
There are a variety of allocation patterns and levels which may be appro-
priate in local districts.
(c) Those determinations may be made in accordance with a standard
to be established as outlined in subsection (d) below. The standard for the
district will be described in the district's inlradistrict allocation plan re-
quired by Education Code Sections 54004.3, 54004.5, and 54004.7.
(d) School districts may use a standard established by:
( 1 ) Determining the number eligible educationally disadvantaged stu-
dents in all schools eligible to receive state compensatory education
funds.
(2) Determining the number of English learners who are not counted
in subsection (1).
(3) Dividing the sum of subsection ( 1 ) and (2) into the total EIA alloca-
tion (after subtracting total district EIA indirect costs and EIA security,
limited to not more than 10 percent of the total EIA grant).
(4) The resultant per pupil expenditure levels (as established in subsec-
tion (3)) will establish the appropriate minimum average per pupil level
of funding to provide services to pupils of limited English proficiency in
all schools in the district with such students in attendance.
(e) If a school district decides to provide EIA funding for services to
English learners at a per pupil level either below or above the standard,
the district must apply to the State Department of Education for approval
of that per pupil level. In their inlradistrict allocation plan, those districts
must demonstrate that their per pupil level will fairiy provide the neces-
sary resources to meet the needs of all English learners. These districts
shall have an affirmative responsibility to demonstrate that their inlradis-
trict allocation system and allocations from other sources will meet the
requirements of Education Code Section 62002.
(f) It is the intent of this article to encourage school districts to make
an equitable distribution of EIA funds and ESEA, Title I, funds among
all students receiving services; therefore, the allocation of EIA funds un-
der this article will precede the allocation of SCE funds under Chapter 6
or Chapter 7 and precede the allocation of ESEA, Title I, funds. In addi-
tion, districts will not allocate SCE or ESEA, Title I, funds for English
learners who are receiving, from this article, services of the same nature
and scope as would otherwise be provided by SCE or ESEA, Title I, funds
so that the total per pupil funding level exceeds the maximum established
pursuant to Section 4416. It is assumed that the funds allocated under this
article provide at least a portion of the services that would have been pro-
vided by SCE or ESEA, Title I.
Note; Authority cited: Sections 3303 1 , 54005 and 62000.2, Education Code. Ref-
erence: Sections 54004.3, 54004.5, 54004.7, 62001 and 62002, Education Code.
History
1. Amendment filed 9-17-82; effective thirtieth day thereafter (Register 82, No.
38).
2. Change without regulatory effect amending section heading, section and NOTE
filed 6-22-99 pursuant to section 1(X), title 1, California Code of Regulations
(Register 99, No. 26).
Page 80
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Title 5
California Department of Education
§4412
Subchapter 6. State Compensatory
Education Programs
Article 1 . Program Purpose
§ 4400. Purpose.
ElA funds needed by school districts to support State Compensatory
Education programs (i.e. SCE funds) provided under this chapner must
be used by school districts to expand and improve the educational pro-
grams provided for educationally disadvantaged children.
NOTE: Authority cited; Section 54005. Education Code. Reference: Sections
54001, 54004.3.',54020, Education Code.
History
1. New Chapter 6 (Articles 1-10; Sections 4400-4425, not consecutive) filed
9-5-79; effective thirtieth day thereafter (Register 79, No. 36).
Article 2. Program Requirements
§4401. Federal Requirements.
Except as otherwise provided in this chapter, SCE funds must be ex-
pended in accordance with the requirements of Title I of the Elementary
and Secondary Education Act as amended.
NOTE; Authority cited; Sections 33031 and 62000.2, Education Code. Reference:
20 U.S.C. 6.301.
History
I. Amendment of section and Nt)Tt filed 6-23-99; operative 7-23-99 (Register
99, No. 26).
§ 4402. Consistent Services.
The plan for compensatory education services developed pursuant to
Section 3930 shall ensure that these services are consistent with the pro-
gram strategies and activities otherwise provided for educationally dis-
advantaged students. The compensatory education services for educa-
tionally disadvantaged students who are English learners shall expand
and improve the services already otherwise provided to these students.
Note: Authority cited: Sections 3303 1 , 54005 and 62000.2, Education Code. Ref-
erence: Sections 54000-54020, 60001 and 60002, Education Code.
History
1. Change without regulatory effect amending section and Note filed 6-22-99
pursuant to section 100, title I , California Code of Regulations (Register 99, No.
26).
§ 4403. Secondary School Program.
The program provided for participating secondary school students un-
der this chapter shall make provision for preparing such students for post-
secondary education, training, or employment.
NOTE: Authority cited: Section 54005, Education Code. Reference: Section
54000, Education Code.
Article 3. Designating Eligible and
Participating School
§ 4410. General Standards for Determining School
Eligibility.
General standards for determining school eligibility are:
(a) A school district must determine, on an annual basis, for all schools
in the district (e.g., kindergarten through grade twelve), which schools
have high concentrations of pupils in need. SCE funds may be used only
in such schools and in schools meeting one or more of the requirements
of Sections 441 1 and 4413.
(b) The school district shall use the following criteria for determining
concentrations of pupils in need, giving equal weight to each criterion:
(1) The concentration of limited- and non-English-speaking stu-
dents;
(2) The concentration of students from low-income families:
(3) The concentration of educationally disadvantaged students.
In calculating the concentrations of pupils in need at each school site,
the district may, at its option, use either an unduplicated count of pupils
in need or count a child more than once if he or she meets more than one
criterion. Districts may use other factors, in addition to using criteria
(l)-(3). to identify pupils in need. Districts proposing to use such other
factors must demonstrate to the Superintendent of Public Instruction that
the additional factors chosen by the district measure special needs of pu-
pils which are not otherwise adequately measured by criteria (1 )-(3).
(c) A school will be considered to have a high concentration of pupils
in need if it meets one of the following criteria:
(1) On a numerical or percentage basis (or a combination of such
bases), the concentration of pupils in need is as high or higher than the
districtwide average. If a combination of the numerical and percentage
bases is used, the number of schools considered eligible for assistance
under this section may exceed the number of such schools that could be
so designated if only one such method had been used.
(2) At least 25 percent of the students are limited- or non-English-
speaking;
(3) At least 25 percent of the students are from low-income families;
(4) At least 50 percent of the students are educationally disadvantaged
per Section 4414.
NOTE: Authority cited: Section 54005, Education Code. Reference: Section
54004.5. Education Code.
§ 441 1 . Selecting Participating Schools.
A district may choose to operate compensatory education programs at
all eligible schools if it is able to provide a program for each educationally
disadvantaged child at those schools which meet the criterion established
by the district for participation in such programs at a level of funding per
pupil meeting the requirements of Article 5. If the available compensato-
ry education funds are not sufficient to serve all educationally disadvan-
taged students who meet the district criterion for participation at every
eligible school, the district must select schools for participation in rank
order, from highest to lowest, according to the relative degree of concen-
tration of pupils in need as determined under Section 4410.
NOTE: Authority cited: Section 54005, Education Code. Reference: Section
54004.5. Education Code.
§ 4412. Uniform Measure for Designating Eligible and
Participating Schools.
The same measures of low-income, educational disadvantagement,
and linguistic needs, which shall be chosen by the school district and
which may be composites of several indicators, shall be used with respect
to all such schools, both to identify eligible schools and, where applica-
ble, to determine the ranking of each school. Acceptable types of data for
student identification by category are as follows:
(a) LES/NES students. Measures of the concentrations of LES/NES
students in each school site shall be made in accordance with the census
required by Section 4304. The numbers determined through this census
will be the data used in the intradistrict allocation plan.
(b) Students from low-income families. The 1970 census data on the
number of children from low-income families; data on children in fami-
lies receiving payments under the program of aid to families with depen-
dent children under a state plan approved under Title IV of the Social Se-
curity Act and foster children; data concerning children eligible to
receive benefits under the National School Lunch Act; and data on chil-
dren residing in homes with low-assessed value for a single family resi-
dence are acceptable sources. A school district may select any of these
data or a combination of such data to determine its count of students from
low-income families. However, whatever data are used must be applied
uniformly throughout the district and must be clearly identified in the in-
tradistrict allocation plan.
(c) Educationally disadvantaged students. The number of educational-
ly disadvantaged students will be established through the use of general
Page 81
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§4413
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
standards for determining student eligibility as discussed in Section 44 14
of these regulations. If a school district varies its procedures for such
identification from those established to satisfy the requirements of Sec-
tion 4414. such variation must be described clearly in the intradistrict al-
location plan.
NOTE: Authority cited: Section 54005, Education Code. Reference: Section
54004.5. Education Code.
§ 4413. Exceptions to the General Rule for Designating
Eligible and Participating Schools.
(a) Designating Grade Spans. Among schools eligible for assistance
under this article, a school district may elect to designate schools having
specified grade spans as participating schools, irrespective of the relative
incidence of pupils in need in other grade spans.
(b) Continuation of Participating School Designation. A school may
be selected as a participating school under Section 4410 for a fiscal year
even though it does not qualify under such subsection for that fiscal year
if such school was eligible for and participated in the program in either
of the two preceding fiscal years.
(c) Use of Title I Rules for Designating Schools. Notwithstanding Sec-
tions 4410 and 441 1. a school district may choose to designate eligible
and participating schools in accordance with 20 U.S.C. 2732.
(d) Expanding the Number of Participating Schools. Notwithstanding
Sections 4410 and 441 1, a school district may designate a school as par-
ticipating if it:
(1 ) Satisfies the requirements of 20 U.S.C. 2752.
(2) Ensures that all children who satisfy the school district's criterion
for participation in programs assisted under this article and attend
schools designated as participating schools in accordance with Section
4410 participate in those schools' programs.
(3) Ensures that schools made eligible for assistance under this article
will be served in rank order.
NOTE: Authority cited: Section 54005, Education Code. Reference: Section
54004.5, Education Code.
Article 4. Designating Students to Be
Participants
§ 4414. General Standards for Determining Student
Eligibility.
(a) School districts must use SCE funds for educationally disadvan-
taged students attending participating schools as determined in accor-
dance with Sections 4410-4413.
(b) For purposes of this article, the term "educationally disadvantaged
students" means students who have need for special educational assis-
tance in order that their level of educational attainment may be raised to
that appropriate for students of their age. The term includes LES/NES
students who are not proficient in English and students with a primary
language other than English who are proficient in the English language
and who are not functioning at the level appropriate for students of their
age.
(c) In general, the needs assessment used to identify educationally dis-
advantaged students within eligible schools must be based on objective
empirical evidence in the English language which indicates the students
whose educational attainment in the basic instructional areas is below
that appropriate for students of their age. It is presumed that the use of
standardized, nationally normed tests meets the requirements of this sub-
section. The use of other objective measures, including validated criter-
ion-referenced tests, diagnostic tests, and development scales, may be
used if they provide a standardized means for determining the level of
educational attainment appropriate to children of their age, and if such
measures meet the following criteria:
(1) The cutoff point, score, or criterion for eligibiHty must have been
determined by its empirical relationship to the educational attainment ap-
propriate to the age of the student and may be identified by the fiftieth (or
more stringent) percentile on a nationally normed test.
(2) Districts must have conducted an empirical study of the relation-
ship between their means of identification and a nationally normed test,
and demonstrate that students identified as eligible for participation in
compensatory education programs by using the alternative procedure
would have scored below grade level using a nationally normed stan-
dardized test.
It is not necessary that such a study be conducted with every group of
students to be identified. Districts are encouraged to use a variety of val-
id, reliable indicators to provide the best possible information on student
performance for purposes of identification of eligible students.
NOTE: Authority cited: Section 54005, Education Code. Reference: Sections
54001, 54004.5, 54020, Education Code.
History
I . Organizational headings of CCR were renamed as a result of CCR Reformat
Project as follows: "Chapter" was renamed to "Subchapter"; "Division" was re-
named to "Chapter"; and "Part" was renamed to "Division."
§ 4415. General Standards for Determining Students to Be
Participants.
(a) In the event that not all eligible students in those schools designated
as participating schools can be participants, a school district must select
a uniform objective criterion for purposes of determining which eligible
students will participate in programs receiving funds from SCE and/or
Title I as amended. The criterion selected must ensure that the students
of greatest need are selected as participants.
(b) The total number of students receiving ESEA. Title I and SCE
funds, as determined by district policy pursuant to this article, must not
exceed the total number of students who score below the fiftieth percen-
tile on a nationally normed achievement test unless the district is able to
demonstrate that such a policy is appropriate.
NOTE: Authority cited: Section 54005, Education Code. Reference: Section
54004.3, Education Code; 20 U.S.C. 2733.
Article 5. Level of Funding
§ 4416. Minimum and Maximum Levels of Funding.
Districts shall determine minimum and maximum levels of funding
for all educationally disadvantaged students who participate in programs
funded in whole or in part by SCE and ESEA, Title I according to the fol-
lowing criteria:
(a) The level of funding ensures that the program is of sufficient size,
scope, and quality to give reasonable promise of achieving the objectives
of the program.
(b) The level of funding is not excessive or extravagant in terms of the
needs of students to be served.
NOTE: Authority cited: Section 54005, Education Code. Reference: Sections
52168, 54004.5(b), Education Code.
§ 4417. Recognition of Local Compensatory Education
Programs.
(a) Local school districts may provide compensatory education ser-
vices using local funds and such local programs may be counted for the
purposes of the intradistrict fund allocation plan, if it meets the require-
ments of 20 U.S.C. 275 1 (b)( 1 )(C). The district must request advance de-
termination by the State Department of Education that the local compen-
satory education program is approvable.
(b) The district may provide school-level program description outlin-
ing the specific services provided under these locally-devised programs.
The school-level funding must be shown on local school and district-le-
vel applications.
NOTE: Authority cited: Section 54005, Education Code. Reference: Section
54001. Education Code.
Article 6. Allocation Alternatives
§ 4420. General Standards.
(a) In general, except as provided in the next sentence. SCE funds must
be distributed according to an objective criterion without taking into ac-
count the availability or existence of Title I funds and in accordance with
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Title 5
California Department of Education
§4421
•
•
subsections (b) through (g). The existence of Title I funds may be taken
into account in allocating SCE funds so long as students satisfying the
objective criteria for participation residing in Title 1 eligible areas re-
ceive, in the aggregate, the same amount of SCE funds as they would
have received if Title I funds were not available.
(b) Students residing in Title 1 eligible areas who satisfy the objective
criterion must receive assistance under SCE or Title I before any student
who does not satisfy the objective criterion.
(c) School districts must ensure that the services provided to all educa-
tionally disadvantaged students in greatest need of assistance residing in
Title 1 areas who receive assistance under SCE in lieu of Title I and who
would have received assistance under Title 1 if SCE did not exist, are of
the same nature and scope that would have been provided under Title 1.
(d) School districts must also ensure that educationally disadvantaged
students attending nonpublic schools will be selected for participation in
Title I programs according to the Tide I procedures for ranking school
attendance areas without regard to an exemption to the Title I ranking
procedure which allows programs for students residing in certain areas
to receive SCE funds in lieu of Title I funds.
(e) Further, all schools which satisfy Section 4410 (pertaining to SCE
school eligibility) must be served before any school which does not satis-
fy Section 4410.
(f) SCE funds must be allocated at a level per participant in Title I eligi-
ble areas which is consistent with Section 4416 and that is at least equal
to the minimum level per participant used in non-Title I eligible areas.
(g) At a minimum, at least 50 percent of SCE funds must be spent in
Title [ eligible areas.
§4421. Allocation Models.
Each school district shall allocate SCE funds using one of the follow-
ing methods, and in its consolidated application, shall specify to the De-
partment of Education the method used.
(a) Alternative I:
( 1 ) Identify the schools eligible for SCE funds in accordance with Sec-
tion 4410.
(2) Identify students who meet the objective criterion eligible for par-
ticipation in SCE programs in accordance with Section 4414.
(3) Identify all students meeting the criteria established in subsection
(2) who reside in attendance areas of schools eligible for SCE funds ac-
cording to the criterion established in subsection (1).
(4) Determine a level of funding per participant which is in accordance
with Section 4416 and Section 4420.
(5) Compute the percentage of students participating in SCE programs
who reside in Title I eligible attendance areas.
(6) Determine the amount of SCE funds to be allocated for SCE pro-
grams serving participating students who reside in Title I eligible atten-
dance areas such that the percentage of SCE funds allocated to Title I eli-
gible areas is at least as great as the percentage of SCE participating
students computed in subsection (5).
(7) Allocate the portion of the district's SCE funds which must be
spent in Title I eligible areas as determined in subsection (6) to all Title
I eligible schools which are also ehgible to receive SCE funds such that
the same percentage of students eligible to participate in SCE programs
is served in each eligible school; e.g.. if there are sufficient funds to serve
60 percent of the eligible students in all Title I eligible schools, then SCE
funds would be allocated to serve 60 percent of the eligible students in
each eligible Title I school.
(8) Allocate the portion of the district's SCE funds which may be spent
in non-Title I eligible areas (the amount remaining after subtracting SCE
funds allocated to Title I schools as determined in subsection (6)) to all
non-Title I eligible schools which are eligible to receive SCE funds such
that the same percentage of students eligible to participate in SCE pro-
grams are served in each eligible school; e.g., if there are sufficient funds
to serve 60 percent of the eligible students in all non-Title I eligible
schools, then SCE funds would be allocated to serve 60 percent of the eli-
gible students in each eligible non-Title I school.
(9) Allocate Title I funds to Title I eligible schools and students in ac-
cordance with Title 1 law and regulations.
(10) If Title I eligible schools are skipped for purposes of receiving
Title I funds because their programs for educationally disadvantaged stu-
dents are funded by SCE. these Title I eligible schools must receive the
same nature and scope of service as those which would have otherwise
been provided under Title I.
(b) Alternative 2:
(1 ) Identify the schools eligible for SCE funds in accordance with Sec-
lion 4410.
(2) Identify students who meet the district criterion for participation
in SCE programs in accordance with Section 4414.
(3) Identify all students meeting the criterion established in subsection
(2) who reside in attendance areas of schools eligible for SCE funds ac-
cording to the criterion established in subsection ( I ).
(4) Determine a level of funding per participant which is in accordance
with Section 4416 and Section 4420.
(5) Compute the percentage of students who meet the district criterion
for participation in SCE programs who reside in Title I eligible atten-
dance areas.
(6) Determine the amount of SCE funds to be allocated for SCE pro-
grams serving participating students who reside in Title I eligible atten-
dance areas such that the percentage of SCE funds allocated to Title I eli-
gible areas is at least as great as the percentage of SCE participating
students computed in subsection (5).
(7) Rank schools eligible for SCE funds which are in Title I eligible
areas according to Section 441 1.
(8) Allocate the portion of SCE funds which may be spent in non-Title
I eligible areas (the amount remaining after subtracting SCE funds allo-
cated to Title I eligible schools as determined in subsection (6)) to
schools in the order established in subsection (9). For each such school
receiving an allocation (except for the last school to receive funds), the
amount allocated must be sufficient to serve all students who meet the
district criterion for participation.
(9) Allocate Title I funds to Title I eligible schools and students in ac-
cordance with Title I law and regulations.
(10) If Title I eligible schools are skipped for purposes of receiving
Title I funds because their programs for educationally disadvantaged stu-
dents are funded by SCE. these Title I eligible schools must receive the
same nature and scope of service as those which would have otherwise
been provided under Title I.
(11) If Title I eligible schools are skipped for purposes of receiving
Title I funds because their programs for educationally disadvantaged stu-
dents are funded by SCE. Title I services must be provided to qualifying
nonpublic school students who reside within an area skipped such that
the services provided are comparable to the services provided to public
school students served by SCE funds. The total number of nonpublic
school participants served by Title I must be determined without regard
to the availability of SCE funds. Services to nonpublic school students
shall be provided to eligible areas in Title I rank order.
(c) Alternative 3:
( 1 ) Identify the schools eligible for SCE funds in accordance with Sec-
tion 4410.
(2) Identify students who meet the district criterion for participation
in SCE programs in accordance with Section 4414.
(3) Rank schools ehgible for SCE funds in accordance with Section
4411.
(4) Determine a level of funding per participant which is in accordance
with Section 4416 and Section 4420.
(5) Allocate SCE funds to schools in the order established in subsec-
tion (3). For each such school receiving an allocation (except for the low-
est ranked school to receive funds), the amount allocated must be suffi-
cient to serve all students who meet the district criterion for participation.
(6) Allocate Title I funds to Title I schools in Title I rank order. Howev-
er, any Title I schools receiving SCE funds for all eligible students identi-
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fied as participants pursuant to subsection (5) shall be skipped for the pur-
poses of receiving Title I funds.
(7) Programs in Title I eligible schools skipped for the purposes of re-
ceiving Title 1 funds pursuant to subsection (6) must provide services of
the same nature and scope as those that would otherwise be provided un-
der Title I.
(8) The level of funding per participant established pursuant to Section
4416 of this chapter for Title I schools receiving SCE funds must be at
least as high as the level of funding per participant in schools which re-
ceive Title I alone.
(9) Title I services must be provided to qualifying nonpublic school
students who reside within an area skipped under subsection (6) such that
the services provided are comparable to the services provided to public
school students served with SCE funds. The total number of nonpublic
school participants served by Title 1 must be determined without regard
to the availability of SCE funds. Services to nonpublic school students
shall be provided to eligible areas in Title I rank order.
(d) Alternative 4:
( 1 ) Identify the schools ehgible for SCE funds in accordance with Sec-
tion 4410.
(2) Identify students who meet the district criterion for participation
in SCE programs in accordance with Section 44 1 4.
(3) Rank schools eligible for SCE funds in accordance with Section
4411.
(4) Determine a level of funding per participant in accordance with
Section 4416 and Section 4420 such that schools eligible for both Title
I and SCE funds receive a combination of Title I and SCE funds.
(5) Allocate SCE funds to schools in the order established in subsec-
tion (3). For each such school receiving an allocation (except for the low-
est ranked school to receive funds), the amount allocated must be suffi-
cient to serve all students who meet the district criterion for participation.
(6) Allocate Title I funds to Title I eligible schools in Title I rank order
by allocating Title I funds in addition to SCE funds such that the total
state and federal compensatory education funds per participant reach the
level per participant determined in subsection (4).
(7) Title I eligible schools that receive a combination of Title I and
SCE funds must be allocated at least the same combined level of funding
per participant as Title I eligible schools that are allocated Title I funds
alone.
(e) Alternative 5:
(1) Select a grade span to be served by SCE funds.
(2) Identify the schools eligible for SCE funds in accordance with Sec-
tion 4410, which include the grade spans selected in subsection (1 ).
(3) Rank schools eligible for SCE funds in accordance with Section
441 1 which contains the grade spans selected in subsection (1).
(4) Determine a level of funding per participant which is in accordance
with Sections 4416 and 4420.
(5) Allocate SCE funds to schools in the order established in subsec-
tion (4). For each such school receiving an allocation (except for the low-
est ranked school to receive funds), the amount allocated must be suffi-
cient to serve all students who meet the district criterion for participation
in the grade span selected.
(6) Select a grade span to be served by Title I funds which is not served
with SCE funds.
(7) Allocate Title I funds to Title I grade spans in Title I rank order.
(8) SCE programs in Title I eligible grades skipped for the purposes
of receiving Title I funds pursuant to subsection (6) must provide services
of the same nature and scope as those that would otherwise be provided
under Title I.
(9) Title I services must be provided to qualifying nonpublic school
students who reside within an area or are in a grade skipped under subsec-
tion (7) such that the services are comparable to services provided to pub-
lic school students served with SCE funds. The total number of nonpublic
school participants served by Title I must be determined without regard
to the availability of state funding. Services to nonpublic school students
shall be provided to eligible areas in Title I rank order.
(0 Alternative 6:
( I ) Determine a method of allocation which is consistent with Section
4420(a). The allocation procedure used must be described in detail in the
district's consolidated application.
Note. Authority cited: Section 54004, Education Code. Reference: Sections
54004.5, 54004.7, Education Code.
Article 7. Evaluation
§ 4422. Evaluation Plan.
Each school plan shall include an evaluation plan which addresses, at
a minimum, the areas specified in Education Code Section 54006. The
Department of Education shall specify administratively, through re-
quired planning and reporting procedures, the minimum criteria for each
school-level evaluation plan. The minimum criteria shall include: a gen-
eral framework of accepted evaluation procedures such that the school
advisory council and local governing board will have information ade-
quate to carry out their responsibilities; provision for such information
as will be necessary to enable the Superintendent of Public Instruction
and the State Board of Education to carry out their responsibilities pur-
suant to Sections 54005 and 54006.
NOTE: Authority cited: Section 54004, Education Code. Reference: Section
54006, Education Code.
Article 8. District and School Advisory
Councils
§ 4423. Advisory Councils.
Each participating school district shall establish a district advisory
council and shall also establish a school advisory council at each partici-
pating school. Advisory councils established pursuant to this article shall
comply with the ESEA, Title I, law and regulations pertaining to advisory
councils. These councils shall include broad representation of the parent
population served by this district or school respectively including socio-
economic and ethnic groups represented in the district or school atten-
dance area.
(a) If Title I services are provided to students in nonpublic schools,
each nonpublic school system with such students must be given the op-
portunity to submit the name of a candidate(s) for the election of the dis-
trict advisory council.
(b) A nonpublic system may establish advisory councils at its schools
which receive Title 1 services.
(c) Applications for funds under this chapter must contain a certifica-
tion of participation in the Title I/SCE planning process as follows:
(1) District Application — the district advisory council chairperson;
(2) School-level plans — the school advisory council chairperson;
(3) The District Application — Nonpublic Schools section — a repre-
sentative for the Nonpubhc Schools.
NOTE: Authority cited: Section 54005, Education Code. Reference: 20 U.S.C.
2735;45C.F.R. 116a.25.
Article 9. Comparability
§ 4424. Comparability of Services.
(a) After July 1, 1979, in accordance with procedures established by
the Department of Education, an application of a local educational
agency for grants under Section 54420 of the California Education Code
shall not be approved, nor payments made of SCE funds under a pre-
viously approved application of such agency, unless that local education-
al agency has demonstrated that exclusive of local, state, and federal cate-
gorical funding, including School Improvement Programs, State
Compensatory Education Programs, and programs pursuant to Chapter
4, Article 4 of this division:
(1) The number of children enrolled per full-time equivalent clas-
sroom teacher and teacher's aide in schools pursuant to this section is not
more than 105 percent of the average number of pupils per teacher and
•
•
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California Department of Education
S 4501
loacher's aide in ail public schools serving comparable grade levels in the
applicant's districl. or
(2) The annual expenditure per child for salaries per full-time equiva-
lent teacher and teacher's aide, exclusive of that portion of salary based
on longevity, in schools providing programs pursuant to this section is
not less than 95 percent of expenditures per child in all public schools
serving comparable grade levels in the applicant's district, or
(3) The district can demonstrate to the satisfaction of the State Super-
intendent of Public Instruction that the resources per pupil enrolled in
each school pursuant to this section is not less than the resources per pupil
in all of the schools within the district serving comparable grade levels.
(b) After comparability has been demonstrated pursuant to subdivi-
sion (a) of this section, and with prior approval of the Superintendent of
Public Instruction, a local educational agency experiencing high student
mobility need not make adjustments in order to maintain comparability
unless the percentage amount computed under (a)( I ) is more than 1 1 0 or
the percentage amount computed under (a)(2) is less than 90.
NOTE: Authority cited: Sections 33031 and 54005, Education Code. Reference:
Sections 54000-54005. Education Code: and 20 USC 2736, 34 CFR 201.120.
History
1 , Amendment filed 4-14-82: effective thirtieth day thereafter (Register 82, No.
16).
Article 10. California Preschool Program
§ 4425. California State Preschool Program.
California State Preschool Education Program funds are directed at
children of low-income families. Preschool classes may be operated by
any public agency or any private agency which meets eligibility require-
ments. Classes may be operated without regard to specific school sites,
but preferably should be established in target areas to serve children who
reside within the attendance areas of schools eligible for ESEA, Title 1,
or State Compensatory Education funds.
In order for children to be eligible for entrance into a State Preschool
Education Program, the children must have reached their third birthday
and have not yet reached the legally eligible age for kindergarten.
NOTE: Authority cited: Sections 54004-54005, Education Code. Reference: Sec-
lion 8320, Education Code.
§ 4426. Maintenance of Effort.
Districts maintaining programs under this chapter shall assure that the
sum of local and state apportionment resources utilized in programs for
participating students has not been reduced. The following standards ap-
ply:
(a) Except as provided in subdivisions (c) and (d) of this section, the
Superintendent of Public Instruction may approve an apphcation from a
Local Education Agency (LEA) or state agency for state compensatory
education funds only if it is demonstrated in the application that its ex-
penditures of state and local funds for the education of children, either on
an aggregate or average daily attendance basis, are not less for the first
fiscal year preceding the fiscal year in which the agency is applying for
funds than for the second preceding fiscal year.
(b) In demonstrating compliance with the requirement in subdivision
(a) of this section, only the following expenditures may be included in the
computation:
( 1 ) Expenditures by object classifications 1000 through 5000 series in
the California School Accounting Manual, 1980 Edition, except expen-
ditures for community service classes, and
(2) Expenditures of federal funds received under Public Law 874
(School Assistance in Federally Affected Areas).
(c) In determining compliance with the requirement in subdivision (a)
of this section, the Superintendent of Public Instruction may disregard a
decrease of less than ten percent in allowable expenditures from the sec-
ond preceding fiscal year to the first preceding fiscal year.
(d) Upon written application, the Superintendent of Public Instruction
may determine that the LEA or state agency is in substantial compliance
with the requirement in subdivision (a) of this section, provided, the
applicant demonstrates that any decrease in allowable expenditures from
the second preceding fiscal year to the first preceding fiscal year did not
result in any decrease in the level of services provided.
NOTE: Authority cited: Sections 33031 and .54005. Education Code, Reterence:
Section 54001, Education Code: and 20 USC 2736. 34 CER 200.60-200.61.
History
1. New section filed 4-14-82; effective thirtieth day thereafter (Regi.sier 82. No.
16).
Subchapter 7. Miscellaneous Programs
Article 1. Schoolwide Programs
§ 4500. Low Income Schoolwide Programs.
EIA funds and/or local funds may be used to satisfy the requirement
of Section 20 U.S.C. 2753(b)(7)(B) pertaining to low income schoolwide
programs.
Note; Authorilv cited: Section 54004, Education Code: 20 U.S.C. 2812. Refer-
ence: 20 U.S.C. 2751.
History
1 . New Chapter 7 (Sections 4500-4503) filed 9-5-79; effective thirtieth day there-
after (Register 79. No, 36).
§ 4501 . Low Achievement Schoolwide Programs.
(a) A school district may. after reviewing advice from the district par-
ent advisory council established under Secfion 4423, use a portion of its
EIA funds to satisfy the requirements of subsection (b) of this section.
(b) Notwithstanding any provision of Chapters 5, 6, or 7 of this divi-
sion, a school district may use a portion of its EIA funds and/or local
funds to meet the needs of educationally disadvantaged students by im-
proving the entire educational program in a school in which not less than
75 percent of the students are educationally disadvantaged (in accor-
dance with criteria used by the school district to safisfy the requirements
of Section 4415) if the requirements of subsection (c) are met.
(c) A school may be designated for a schoolwide program under sub-
section (b) if:
(1) A plan has been developed meeting the requirements of 20 U.S.C.
2753(b)(1), (2). (3), (5), and (6);
(2) The plan has been approved by the school advisory council estab-
lished under Section 4423;
(3) In the case of a school district in which there are one or more
schools described in subsection (b) and there are also one or more other
participating schools, the local educational agency makes EIA funds
available for children in such schools described in subsection (b) in
amounts which, per educationally disadvantaged child served, equal or
exceed the amount of such funds made available per educationally disad-
vantaged child served in such other schools;
(4) EIA funds may be provided to such schools in amounts which, per
child served who is not educationally disadvantaged, equal the amount
of funds provided under this section which, per educationally disadvan-
taged child served, are made available for children in such schools; and
(5) The average per-pupil expenditure in schools described in subsec-
tion (b) (excluding amounts expended under this section) for the fiscal
year in which the plan is to be carried out will not be less than such expen-
diture in such schools in the previous fiscal year.
(d) The Superintendent of Public Instruction may approve the plan of
any local educafional agency for a schoolwide program if that plan meets
the requirements of subsection (c).
(e) For any school with an approved plan under this section, the local
school district shall be relieved of requirements with respect to:
(1 ) Maintaining separate accounting records for each funding source.
(2) Identifying particular students as being eligible to participate, and
(3) Demonstrating that services provided from those funding sources
are supplementary to the base program. The local district shall, however,
demonstrate that the services provided in such schools are substantially
greater than services furnished to schools without funding and shall meet
all other school plan requirements contained in law and regulations.
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§4502
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Title 5
NOTE: Authority cited: Sections 54004-54003, Education Code. Reference: 20
U.S.C. 2753.
Article 2. School Security
§ 4502. Improvement of School Security.
School districts may request that the Superintendent of Public Instaic-
tion approve a specific portion of the ElA funds they receive be desig-
nated for expenditure for noninstructional costs to improve school secu-
rity. Such noninstructional expenditures may be used to meet costs
arising from incidents of vandalism, necessary security costs, insurance
costs, and/or other costs directly related to school security. In such appli-
cation, school districts will specify the amounts of such funds and the
purpose of such expenditures. No school district shall request an amount
for such purposes which exceeds the portion of $2,000,000 that the stu-
dent population (K-12) of such district represents of the student popula-
tion (K-12) of the state.
NOTE: Authority cited: Section 54007, Education Code. Reference: Section
54007. Education Code.
§ 4503. Alternative Program Options for Special Needs.
(a) EIA funds may be used to carry out any or all of the three alternative
special program options permitted by this section subject to the provi-
sions of subsection (b).
(b) Program options permitted by subsections (c), (d), and (e) of this
section may only be exercised if:
(1) The school parent advisory council has approved and the district
parent advisory council has reviewed the implementation of such option.
(2) The school proposing to exercise such option is a school which is
participating in the state compensatory education program.
(3) Not more than 25 percent of a district's EIA allocation is expended
to carry out the program options authorized by this section and the
school wide program options authorized by Sections 4500 and 4501.
(4) A schoolwide needs assessment has been conducted to determine
the necessity of providing such option(s).
(c) Students who have been eligible and have participated in compen-
satory education programs in accordance with the objective criterion es-
tablished by the district pursuant to Sections 4414 and 4415 may contin-
ue to participate in such services, even though such student no longer
meets the objective criterion, if such student met the objective criterion
in either of the two preceding fiscal years.
(d) In schools with more than 50 percent of their students from low in-
come families (determined in accordance with Section 4412), students
who do not meet the objective criterion established by the district pur-
suant to Sections 4414 and 4415, but who test below the 90th percentile
(as established through the use of the appropriate test instruments pur-
suant to Section 4414) may be eligible to receive excess cost services in
order that they may be assisted in reaching their full potential.
(e) If adequately documented in a schoolwide needs assessment, a par-
ticipating SCE school may use EIA funds to conduct a schoolwide proj-
ect which is explicitly designed to provide assistance to the educationally
disadvantaged students attending such schools.
NOTE: Authority cited: Section 54005, Education Code. Reference: Section
54004.1, Education Code.
Subchapter 8. Bilingual Education
Programs
NOTE: Authority cited: Section 54020, Education Code. Reference: Section
54004.7, Education Code.
History
1. Repealer of Chapter 8 (Sections 4300-4305) filed 9-5-79; effective thirtieth
day thereafter (Register 79, No. 36). For history of former chapter, see Registers
78, No. 20; 77, No. 39; and 75, No. 21.
Subchapter 9. Bilingual-Bicultural
Education Programs
NOTE: Authority cited: Section 54020. Education Code. Reference: Section
54004.7. Education Code.
History
1 . Repealer of Chapter 9 (Articles 1 -4; Sections 43 1 0^322. not consecutive) filed
9-5-79; effective thirtieth day thereafter (Register 79, No. 36). For history of
former chapter, see Registers 78. No. 20; 77, No. 39; and 77. No. 13.
Chapter 5.1. Uniform Complaint
Procedures
Subchapter 1. Complaint Procedures
Article 1. Definitions
§ 4600. General Definitions.
As used in this chapter, the term:
(a) "Appeal" means a request made in writing to a level higher than the
original reviewing level by an aggrieved party requesting reconsidera-
tion or a reinvestigation of the lower adjudicating body's decision.
(b) "Beginning of the year or semester" means the first day classes nec-
essary to serve all the students enrolled are established with a single des-
ignated certificated employee assigned for the duration of the class, but
not later than 20 working days after the first day students attend classes
for that semester.
(c) "Complainant" means any individual, including a person's duly
authorized representative or an interested third party, public agency, or
organization who files a written complaint alleging violation of federal
or state laws or regulations, including allegations of unlawful discrimina-
tion in programs and activities funded directly by the state or receiving
any financial assistance from the state.
(d) "Complaint" means a written and signed statement alleging a vio-
lation of federal or state laws or regulations, which may include an allega-
tion of unlawful discrimination. If the complainant is unable to put the
complaint in writing, due to conditions such as a disability or illiteracy,
the public agency shall assist the complainant in the filing of the com-
plaint.
(e) "Complaint investigation" means an administrative process used
by the Department or local educational agency for the purpose of gather-
ing data regarding the complaint.
(f) "Complaint procedure" means an internal process used by the De-
partment or local educational agency to process and resolve complaints.
(g) "Days" means calendar days unless designated otherwise.
(h) "Department" means the California Department of Education.
(i) "Direct state intervention" means the steps taken by the Department
to initially investigate complaints or effect compliance.
(j) "Educational institution" means a public or private preschool, ele-
mentary, or secondary school or institution, the governing board of a
school district, or any combination of school districts or counties recog-
nized as the administrative agency for public elementary or secondary
schools.
(k) "Facilities that pose an emergency or urgent threat to the health or
safety of pupils or staff means a condition as defined in paragraph (1)
of subdivision (c) of section 17592.72 and any other emergency condi-
tions the school district determines appropriate.
(/) "Good repair" shall have the same definition as that found in Educa-
tion Code section 17002(d).
(m) "Instructional materials" means all materials that are designed for
use by pupils and their teachers as a learning resource and help pupils to
acquire facts, skills, or opinions or to develop cognitive processes.
Instructional materials may be printed or nonprinted, and may include
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California Department of Education
§4611
textbooks, technology-based materials, other educational materials, and
tests.
(n) "Local agency" means a school district governing board or a local
public or private agency which receives direct or indirect funding or any
other financial assistance from the state to provide any school programs
or activities or special education or related services.
(o) "Local educational agency" (LEA) includes any public school dis-
trict and county office of education or direct-funded charter school.
(p) "Mediation" means a problem solving activity whereby a third
parly assists the parties lo the dispute in resolving the complaint.
(q) "Misassignment" means the placement of a certificated employee
in a leaching or services position for which the employee does not hold
a legally recognized certificate or credential or the placement of a certifi-
cated employee in a teaching or services position that the employee is not
otherwise authorized by slalute to hold.
(r) "Public agency" means any local agency or state agency.
(s) "State agency" means the Stale Departments of Mental Health or
Health Services or any other state administrative unit that is or may be
required to provide special education or related services to children with
disabilities pursuant to Government Code section 7570 et seq.
ft) "State mediation agreement" means a written, voluntary agreement
approved by the Department, which is developed by the parties to the dis-
pute, which resolves the allegations of the complaint.
(u) "Subject matter competency" means the teacher meets the applica-
ble requirements of Chapter 6, article 1, subchapter 7 of these regula-
tions, commencing with section 6100, for the course being taught.
(v) "Sufficient textbooks or instructional materials" means that each
pupil, including English learners, has a textbook or instructional materi-
als, or both, to use in class and to take home but does not require two sets
of textbooks or instructional materials for each pupil. Sufficient text-
books or instructional materials does not include photocopied sheets
from only a portion of a textbook or instructional materials copied to ad-
dress a shortage.
(w) "Superintendent" means the Superintendent of Public Instruction
or his or her designee.
(x) "Teacher vacancy" means a position to which a single designated
certificated employee has not been assigned at the beginning of the year
for an entire year or, if the position is for a one-semester course, a posi-
tion of which a single designated certificated employee has not been as-
signed at the beginning of a semester for an entire semester.
NOTE; Authority cited: Sections 221.1 and 33031, Education Code; and Section
11138, Government Code. Reference: Sections 200, 201, 210.1, 220, 17002(d),
17592.72, 331 26(b)(5)(A) and (B) and 60010, Education Code; and Sections
1 1 1 35 and 1 11 38, Government Code.
History
1 . New section filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Amendment of section and Note filed 12-29-2005; operative 1 2-29-2005 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 52).
3. Change without regulatory effect amending subsection (/) filed 6-19-2008 pur-
suant to section 1 00, title 1, California Code of Regulations (Register 2008, No.
25).
Article 2. Purpose and Scope
§ 4610. Purpose and Scope.
(a) This Chapter applies to the filing, investigation and resolution of
a complaint regarding an alleged violation by a local agency of federal
or state law or regulations governing educational programs, including al-
legations of unlawful discrimination. The purpose of this chapter is to es-
tablish a uniform system of complaint processing for specified programs
or activities that receive state or federal funding.
(b) This chapter applies to the following programs administered by the
Department:
( 1 ) Adult Education programs established pursuant to Education Code
sections 8500 through 8538 and 52500 through 52616.4;
(2) Consolidated Categorical Aid Programs as listed in Education
Code section 64000(a);
(3) Migrant Education established pursuant to Education Code sec-
tions 54440 through 54445:
(4) Career Technical and Technical Education and Career Technical
and Technical Training Programs established pursuant to Education
Code sections 52300 through 52480;
(5) Child Care and Developtnent Programs established pursuant to
Education Code sections 8200 through 8493;
(6) Child Nutrition Programs established pursuant to Education Code
sections 49490 through 49570; and
(7) Special Education Programs established pursuant to Education
Code sections 56000 through 56885 and 59000 through 59300.
(c) This chapter also applies to the filing of complaints which allege
unlawful discrimination against any protected group as identified under
Education Code section 200 and 220 and Government Code section
11135, including actual or perceived sex, sexual orientation, gender, eth-
nic group identification, race, ancestry, national origin, religion, color,
or mental or physical disability, or age. or on the basis of a person's
association with a person or group with one or more of these actual or per-
ceived characteristics, in any program or activity conducted by a local
agency, which is funded directly by, or that receives or benefits from any
state financial assistance.
(d) Nothing in these regulations shall prevent a local educational
agency from using its local uniform complaint procedure to address com-
plaints not listed in this section.
(e) The Department will develop a pamphlet for parents that will ex-
plain the Uniform Complaint Procedures in a user friendly manner and
post this pamphlet on the Department's Web site.
NOTE; Authority cited: Sections 221.1, 8261, 33031. 49531, 49551. 54445.
52355. 52451 , and 56100(a) and (J), Education Code; and Section 1 1 1 38, Govern-
ment Code. Reference: Sections 200, 220, 260, and 49556. Education Code; Sec-
lions 11135 and 1 1 138, Government Code; and 34 CFR 106.1-106.8 and
299.10-299.11.
History
1. New section filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Amendment of section and Note filed 1 2-29-2005; operative 1 2-29-2005 pur-
suant to Government Code section 1 1 343.4 (Register 2005, No. 52).
§ 4611 . Referring Complaint Issues to Other Appropriate
State or Federal Agencies.
The following complaints shall be referred to the specified agencies
for appropriate resolution and are not subject to the local and Department
complaint procedures set forth in this chapter unless these procedures are
made applicable by separate interagency agreements:
(a) Allegations of child abuse shall be referred to the applicable
County Department of Social Services (DSS), Protective Services Divi-
sion or appropriate law enforcement agency. However, nothing in this
section relieves the Department from investigating complaints pursuant
to section 4650(a)(8)(C) herein.
(b) Health and safety complaints regarding a Child Development Pro-
gram shall be referred to Department of Social Services for licensed faci-
hties, and to the appropriate Child Development regional administrator
for licensing-exempt facilities.
(c) Employment discrimination complaints shall be sent to the State
Department of Fair Employment and Housing (DFEH) pursuant to title
22, CCR, section 98410. The complainant shall be notified by first class
mail of any DFEH transferral.
(d) Allegations of fraud shall be referred to the responsible Depart-
ment Division Director who may consult with the Department's Legal
and Audits Branch.
Note: Authority cited: Sections 221.1 and 33031. Education Code; and Section
11138, Government Code. Reference; Sections 200, 220 and 48987, Education
Code; Sections 11135, 11136. 11138 and 12960. Government Code; Section
11166, Penal Code; and 34 CFR 106.1-106.8.
History
1. New section filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Amendment of subsection (a) and Note filed 4-27-92 as an emergency; opera-
tive 4-27-92 (Register 92, No. 1 8). A Certificate of Compliance must be trans-
Page 87
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BARCLAYS CALIFORNIA CODE OF REGULATIONS
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mitted to OAL 8-25-92 or emergency language will be repealed by operation
of law on the following day.
3. Certificate of Compliance as to 4-27-92 order transmitted to OAL 10-15-92
and filed 10-28-92 (Register 92, No. 44).
4. Change without regulatory effect amending subsection (c), adopting new sub-
section (d) and relettering subsections filed 1 2-1 6-93 pursuant to title 1 , section
100. California Code of Regulations (Register 93, No. 51).
5. Amendment of section and Note filed 1 2-29-2005; operative 12-29-2005 pur-
suant to Government Code section 1 1343.4 (Reei.ster 2005. No. 52).
Article 3.
Local Educational Agency
Compliance
§ 4620. Local Educational Agency Responsibilities.
Each local educational agency shall have the primary responsibility to
insure compliance with applicable state and federal laws and regulations.
Each local educational agency shall investigate complaints alleging fail-
ure to comply with applicable state and federal laws and regulations and/
or alleging discrimination, and seek to resolve those complaints in accor-
dance with the procedures set out in this chapter and in accordance with
the policies and procedures of the governing board.
NOTE: Authority cited: Sections 221.1 and 33031, Education Code; and Section
1 1 1 38, Government Code. Reference: Section 200, 220 and 260, Education Code;
Section 1 1 135, Government Code; and 34 CFR 106.8.
History
1. New section tiled 8-26^91; operative 9-25-91 (Register 92, No. 3).
2. Amendment of article 3 heading and amendment of section and Note filed
12-29-2005; operative 12-29-2005 pursuant to Government Code section
1 1343.4 (Register 2005, No. 52).
§ 4621. District Policies and Procedures.
(a) Each local educational agency shall adopt policies and procedures
not inconsistent with sections 4600-4695 of this chapter for the investi-
gation and resolution of complaints. Local policies shall ensure that com-
plainants are protected from retaliation and that the identity of a com-
plainant alleging discrimination remain confidential as appropriate.
School Districts and County Offices of Education shall submit their poh-
cies and procedures to the local governing board for adoption.
(b) Each local educational agency shall include in its policies and pro-
cedures the person(s), employee(s) or agency position(s) or unit(s) re-
sponsible for receiving complaints, investigating complaints and ensur-
ing local educational agency compliance. The local educational agency's
policies shall ensure that the person(s), employee(s), position(s) or
unit(s) responsible for compliance and/or investigations shall be knowl-
edgeable about the laws/programs that he/she is assigned to investigate.
(c) Except for complaints under sections 4680-4687 regarding
instructional materials, emergency or urgent facilities conditions that
pose a threat to the health or safety of pupils or staff, and teacher vacan-
cies or misassignments, the local educational agency may provide a com-
plaint form for persons wishing to file a complaint to fill out and file. A
complaint form shall be provided for complaints regarding instructional
materials, emergency or urgent facilities conditions that pose a threat to
the health or safety of pupils or staff, and teacher vacancies or misassign-
ments. However, a person is not required to use the complaint form fur-
nished by the local educational agency in order to file a complaint.
NOTE: Authority cited: Sections 221.1 and 33031, Education Code; and Section
11138, Government Code. Reference: Sections 200, 220 and 260, Education
Code; Section 1 1 135, Government Code; and 34 CFR 106.8 and 299.10-299.1 1.
History
1. New section filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Amendment of section and Note filed 12-29-2005; operative 12-29-2005 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 52).
§ 4622. Notice.
Each local educational agency shall annually notify in writing, as
applicable, its students, employees, parents or guardians of its students,
the district advisory committee, school advisory committees, appropriate
private school officials or representatives, and other interested parties of
their local educational agency complaint procedures, including the op-
portunity to appeal to the Department and the provisions of this chapter.
The notice shall include the identity (identities) of the person(s) responsi-
ble for processing complaints. The notice shall also advise the recipient
of any civil law remedies that may be available under state or federal dis-
crimination laws, if applicable, and of the appeal pursuant to Education
Code section 262.3. This notice shall be in English, and when necessary,
in the primary language, pursuant to section 48985 of the Education
Code, or mode of communication of the recipient of the notice. Copies
of local educational agency complaint procedures shall be available free
of charge.
NOTE: Authority cited: Sections 200, 220, 221.1, 262.3 and 33031, Education
Code; and Section 1 1 138, Government Code. Reference: Sections 200 and 220,
Education Code; Sections 11135 and 11138, Government Code; and 34 CFR
106.8 and 299.11.
History
1 . New section filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Amendment of section heading, section and Note filed 12-29-2005; operative
12-29-2005 pursuant to Government Code section 11343.4 (Register 2005,
No. 52).
Article 4. Local Complaint Procedures
§ 4630. Filing a Local Complaint; Procedures, Time Lines.
(a) Except for complaints under sections 4680^687 regarding
instructional materials, emergency or urgent facilities conditions that
pose a threat to the health or safety of pupils or staff, and teacher vacan-
cies or misassignments, and complaints that allege discrimination, any
individual, public agency or organization may file a written complaint
with the district superintendent or his or her designee alleging a matter
which, if true, would constitute a violation by that local educational
agency of federal or state law or regulation governing a program listed
in section 4610(b) of this chapter.
(b) An investigation of alleged unlawful discrimination shall be initi-
ated by filing a complaint not later than six months from the date the al-
leged discrimination occurred, or the date the complainant first obtained
knowledge of the facts of the alleged discrimination unless the time for
filing is extended by the district superintendent or his or her designee,
upon written request by the complainant setting forth the reasons for the
extension. Such extension by the district superintendent or his or her de-
signee shall be made in writing. The period for filing may be extended
by the district superintendent or his or her designee for good cause for a
period not to exceed 90 days following the expiration of the six month
time period. The district superintendent shall respond immediately upon
a receipt of a request for extension.
(1) The complaint shall be filed by one who alleges that he or she has
personally suffered unlawful discrimination, or by one who believes an
individual or any specific class of individuals has been subjected to dis-
crimination prohibited by this part.
(2) The complaint shall be filed with the local educational agency in
accordance with the complaint procedures of the local educational
agency.
(3) An investigation of a discriminaUon complaint shall be conducted
in a manner that protects confidentiality of the parties and maintains the
integrity of the process.
NOTE: Authority cited: Sections 221.1 and 33031, Education Code; and Section
11138. Government Code. Reference: Sections 200 and 220, Education Code;
Sections 11135, 11136, and 11138, Government Code; and 34 CFR 106.8.
History
1. New section filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Amendment of section and Note filed 1 2-29-2005; operative 12-29-2005 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 52).
§ 4631 . Responsibilities of the Local Educational Agency.
(a) Except for complaints regarding instructional materials, emergen-
cy or urgent facilities condifions that pose a threat to the health or safety
of pupils or staff, and teacher vacancies or misassignments, which must
be processed in accordance with sections 4680-4687, within 60 days
from the date of the receipt of the complaint, the local educational agency
person responsible for the invesfigation of the complaints or his or her
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California Department of Education
§ 4633
designee shall conduct and complete an investigation of the complaint in
accordance with the local procedures adopted pursuant to section 4621
and prepare a written Local Educational Agency Decision. This time pe-
riod may be extended by written agreement of the complainant.
(b) The investigation shall include an opportunity for the complainant,
or the complainant's representative, or both, to present the complaint(s)
and evidence or information leading to evidence to support the allega-
tions of non-compliance with state and federal laws and/or regulations.
(c) Refusal by the complainant to provide the investigator with docu-
ments or other evidence related to the allegations in the complaint, or to
otherwise fail or refuse to cooperate in the investigation or engage in any
other obstruction of the investigation, may result in the dismissal of the
complaint because of a lack of evidence to support the allegations.
(d) Refusal by the local agency to provide the investigator with access
to records and/or other information related to the allegation in the com-
plaint, or to otherwise fail or refuse to cooperate in the investigation or
engage in any other obstruction of the investigation, may result in a find-
ing based on evidence collected that a violation has occurred and may re-
sult in the imposition of a remedy in favor of the complainant.
(e) The local educational agency should issue a Decision (the Deci-
sion) based on the evidence. The Decision shall be in writing and sent to
the complainant within 60 days from receipt of the complaint by the local
educational agency. The Decision should contain:
( 1 ) the findings of fact based on the evidence gathered,
(2) conclusion of law,
(3) disposition of the complaint,
(4) the rationale for such disposition,
(5) corrective actions, if any are warranted,
(6) notice of the complainant's right to appeal the local educational
agency Decision to the Department, and
(7) procedures to be followed for initiating an appeal to the Depart-
ment.
(f) Nothing in this chapter shall prohibit the parties from utilizing alter-
native methods to resolve the allegations in the complaint, including, but
not limited to, mediation.
(g) Nothing in this chapter shall prohibit a local educational agency
from resolving complaints prior to the formal filing of a written com-
plaint.
NOTE: Authority cited: Sections 221.1 and 33031, Education Code; and Section
11138, Government Code. Reference: Sections 200 and 220, Education Code;
Sections 11135, 11136, and 11138, Government Code; and 34 CFR 106.8.
History
1 . New section filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Amendment of section heading, section and Note filed 12-29-2005; operative
12-29-2005 pursuant to Government Code section 11343.4 (Register 2005,
No. 52).
Article 4.5. Appeal of Local Educational
Agency Decision
§ 4632. Appeal of Local Educational Agency Decision —
Grounds.
(a) Except for complaints under sections 4681 and 4682 regarding
instructional materials and teacher vacancies or misassignments, a com-
plainant may appeal a Decision to the Department by filing a written ap-
peal within 15 days of receiving the Decision.
(b) The complainant shall specify the basis for the appeal of the Deci-
sion and whether the facts are incorrect and/or the law is misapplied.
(c) The appeal shall be accompanied by:
(1) a copy of the locally filed complaint; and
(2) a copy of the Decision.
(d) If the Department determines the appeal raises issues not contained
in the local complaint, the Department will refer those new issues back
to the local educational agency for resolution as a new complaint under
section 4630 or 4631.
(e) If the Department determines that the Decision failed to address an
issue raised by the complaint, the Department shall refer the matter to the
local educational agency to make the necessary findings and conclusions
on any issue not addressed. The local educational agency will address the
issue within 20 days from the date of the referral.
NOTE: Authority cited: Sections 200, 221 , 1 and 33031 . Education Code; and Sec-
tion 11138, Government Code. Reference: Sections 11135. 11136 and 11138.
Government Code; .34 CFR 106,8; and 34 CFR 299.10(a)(2).
History
1, New section filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Renumbering of former section 4632 to section 4633 and renumbering of former
section 4652 to section 4632, including new article 4.5 heading, and amendment
of section heading, section and Nort filed 12-29-2005; operative 12-29-2005
pursuant to Government Code section 1 1343.4 (Register 2005, No. 52).
§ 4633. Appeal of Local Educational Agency Decision.
(a) If the Decision is appealed, the Department shall notify the local
educational agency of the appeal. Upon nofification by the Department
that the Decision has been appealed, the local educational agency shall
forward the following to the Department:
(1) A copy of the original complaint;
(2) A copy of the Decision;
(3) A summary of the nature and extent of the investigation conducted
by the local educational agency, if not covered in the Decision;
(4) A copy of the investigafion file, including but not limited to, all
notes, interviews and docuinents submitted by the parlies or gathered by
the investigator;
(5) A report of any action taken to resolve the complaint;
(6) A copy of the local educational agency complaint procedures; and
(7) Such other relevant information as the Department may request.
(b) The Department shall not receive evidence from the parties that
could have been presented to the local educational agency investigator
during the investigation, unless requested by the Department. Any confi-
dential information or pupil information in the investigative file shall re-
main confidenfial and shall not be disclosed by the Department.
(c) The Department may contact the parties for further information, if
necessary.
(d) The Department shall review the invesfigation file, the summary
of the nature and extent of the invesfigation conducted by the local educa-
tional agency, the complaint procedures, documents and any other evi-
dence received from the local educational agency and determine whether
substanUal evidence exists:
(1) That the local educational agency followed its complaint proce-
dures; and
(2) That the relevant findings of fact in the Decision which are the sub-
ject of the appeal are supported by the evidence.
(e) The Department shall review the conclusions of law which are the
subject of the appeal and determine whether they are correct.
(f) If the Department determines that the Decision is deficient because
it lacks findings of fact and conclusions of law regarding the subject of
the appeal, the Department may return the Decision to the local educa-
tional agency in order to correct the deficiencies within 20 days of the re-
turn.
(g) If the Department finds that the Decision is supported by substan-
tial evidence, and that the legal conclusions are not contrary to law, the
appeal shall be denied.
(h) If the Department finds the grounds for the appeal have merit:
(1 ) The Department may, if there is a lack of substanfial evidence or
a procedural defect in the investigation, remand the investigation to the
local educafional agency for further investigafion of the allegations
which are the subject of the appeal; or
(2) The Department may issue a decision based on the evidence in the
investigation file received from the local educational agency; or
(3) If the Department determines that it is in the best interest of the par-
ties, conduct a further investigation of the allegations which are the basis
for the appeal and issue a decision following further investigation.
(i) If the Department finds merit in the appeal, the Department's deci-
sion on appeal shall contain the following:
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§4640
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(1) A finding that the local educational agency complied or did not
comply with its complaint procedures;
(2) The Department's findings of fact and conclusions of law regard-
ing the issue on appeal; and
(3) Where a determination is made that the local educational agency
failed to comply with the applicable state or federal law or regulation, re-
medial orders and/or required actions to address the violation(s).
NOTE; Authority cited: Sections 221.1 and 33031; and Section 11138, Govern-
ment Code. Reference: Sections 200 and 220, Education Code; Sections 1 1 135,
1 1 136 and 1 1138, Government Code; 34 CFR 106.8; and 34 CFR 299.10(a)(2).
History
1. Renumbering of former section 4632 to new section 4633, including amend-
ment of section heading, section and Note filed 12-29-2005; operative
12-29-2005 pursuant to Government Code section 11343.4 (Register 2005,
No. 52).
Article 5. State Complaint Procedures
§ 4640. Filing a State Complaint That Has Not First Been
Filed at the Local Educational Agency; Time
Lines, Notice, Appeal Rights.
Referral to the Local Educational Agency for Local Resolution.
(a) If a complaint is erroneously filed with the Department without
first being filed with and investigated by the local educational agency,
the Department shall immediately forward the complaint to the local
educational agency for processing in accordance with article 4 of this
chapter, unless extraordinary circumstances exist necessitating direct
state intervention as described at section 4650.
(b) A letter shall be sent by first class mail to the complainant(s) notify-
ing him, her, or them that:
(1) The Department does not have jurisdiction, at this time, over the
complaint and that the complaint should have been filed with the local
educational agency in the first instance;
(2) That the complaint has been transferred to the local educational
agency requesting the local educafional agency to process and investi-
gate the allegation in the complaint; and
(3) That the complainant may file an appeal to the Department follow-
ing the issuance of the Decision, if he or she believes as a matter of fact
or law the Decision is incorrect.
NOTE: Authority cited: Sections 221.1 and 33031, Education Code; and Section
11138, Government Code. Reference: Sections 200 and 220, Education Code;
Sections 111 35, 1 1 136, and 1 1 1 38, Government Code; 34 CFR 1 06.8; and 34 CFR
299.10(a)(2).
History
1. New section filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Amendment of section heading, section and Note filed 12-29-2005; operative
12-29-2005 pursuant to Government Code section 11343.4 (Register 2005,
No. 52).
Article 6. Direct State Intervention
§ 4650. Basis of Direct State Intervention.
(a) Except for complaints under secfions 4680, 4681, 4682 and 4683
regarding instructional materials, teacher vacancies or misassignments,
and condition of a facility, the Department shall directly intervene with-
out waiting for local educational agency investigation if one or more of
the following situafions exist:
( 1 ) The complaint includes an allegation, and the Department verifies,
that a local educafional agency failed to comply with the complaint pro-
cedures required by this Chapter and its local rules and regulations, in-
cluding, but not limited to, the failure or refusal of the local educational
agency to cooperate with the invesfigafion;
(2) The complaint relates to an agency that is not a local educational
agency funded through the Child Development or Child Nutrifion Pro-
grams;
(3) The complainant requests anonymity because he or she would be
in danger of retaliafion and would suffer immediate and irreparable harm
if he or she filed a complaint with the local educational agency;
(4) The complainant alleges that the local educational agency failed or
refused to implement the final decision resulting from its local investiga-
tion or local mediation agreement;
(5) The complainant alleges and the Department verifies that through
no fault of the complainant, no acfion has been taken by the local educa-
fional agency within 60 calendar days of the date the complaint was filed.
Prior to direct intervenfion, the Department shall attempt to work with the
local educational agency to allow it to complete the investigafion and is-
sue a Decision.
(6) The complainant alleges and the Department verifies that he or she
would suffer immediate and irreparable harm as a result of an applicafion
of a district-wide policy that is in conflict with state or federal law cov-
ered by this Chapter, and that filing a complaint with the local educational
agency would be fufile.
(7) For complaints relafing to special educafion, any one of the follow-
ing shall be a condition for direct state intervenfion:
(A) The complainant alleges that a public agency, other than a local
educafional agency, as specified in Government Code secfion 7570 et
seq.. fails or refuses to comply with an applicable law or regulafion relat-
ing to the provision of free appropriate public education to individuals
with disabilities;
(B) The complainant alleges that the local educational agency or pub-
lic agency fails or refuses to comply with the due process procedures es-
tablished pursuant to federal and state law and regulafion; or has failed
or refused to implement a due process hearing order;
(C) The complainant alleges facts that indicate that the child or group
of children may be in immediate physical danger or that the health, safety
or welfare of a child or group of children is threatened.
(D) The complainant alleges that an individual with a disability is not
receiving the special educafion or related services specified in his or her
individualized educafional program (lEP).
(E) The complaint involves a violafion of federal law governing spe-
cial education, 20 U.S. C. secfion 1400 et seq., or its implemenfingregula-
fions.
(b) The complaint shall idenfify the basis, as described in subdivision
(a) above, for filing the complaint directly to the Department. The com-
plainant must present the Department with clear and verifiable evidence
that supports the basis for the direct filing, except as in subdivision (a)(7).
NOTE: Authority cited: Section 221.1 and 33031, Education Code; and Section
11138, Government Code. Reference: Sections 200 and 220, Education Code;
Sections n 135, 1 1 136, and 11 138, Government Code; 34 CFR 106.8; and 34 CFR
299.10(a)(2).
History
1. New section filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Amendment ofsection and Note filed 12-29-2005; operative 1 2-29-2005 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 52).
§4651. Notification.
When the Department receives a complaint requesting direct State in-
tervenfion. the Department shall determine whether the complaint meets
one or more of the criterion specified in secfion 4650 for direct State in-
tervention and shall immediately notify the complainant by first class
mail of the determination to accept the complaint without a local educa-
tional agency invesfigation and/or Decision. If the complaint is not ac-
cepted, it shall be referred to the local educational agency for local inves-
figation, or referred to another agency pursuant to secfion 461 1.
NOTE: Authority cited: Sections 221.1 and 33031, Education Code; and Section
11138, Government Code. Reference: Sections 200 and 220, Education Code;
Sections 1 1 1 35, 1 1 1 36 and 1 1 1 38, Government Code; 34 CFR 106.8; and 34 CFR
299.10(a)(2).
History
1. New section filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Amendment ofsection heading, section and Note filed 12-29-2005; operative
12-29-2005 pursuant to Government Code section 11343.4 (Register 2005,
No. 52).
§ 4652. Appealing Local Agency Decisions.
Note. Authority cited: Sections 232 and 33031, Education Code; Secfion 1 1 1 38,
Government Code. Reference: Secfions 11135, 11136, and 11138, Government
Code; 34 CFR 76.780-76.783 and 106.8.
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Title 5
California Department of Education
§4665
History
1 . New section filed 8-26-91 ; operative 9-23-91 (Register 92. No. 3).
2. Renumbering of former section 4652 to section 4632 filed I2-29-200.S; opera-
tive 12-29-200.'i pursuant to Government Code section 11343.4 (Register
200.S. No. 52).
Article 7. State Investigation Procedures
§ 4660. Department Resolution Procedures.
(a) When the Deparlment determines that direct Slate intervention is
warranted pursuant to any provision of section 4650. the following pro-
cedures shall be used to resolve the issues of the complaint:
( 1 ) The Department shall consider alternative methods to resolve the
allegations in the complaint.
(2) If both parties request mediation, the Department shall offer to
mediate the dispute which may lead to a state mediation agreement.
(3) The Department shall conduct an investigation, including an on-
site investigation if necessary, into the allegations in the complaint unless
a settlement agreement has been reached between the parties that dis-
poses of all the issues in the complaint.
NOTE: Authority cited: Sections 200, 22 1 . 1 and 3303 1, Education Code: and Sec-
tion 11138, Government Code. Reference: Sections 11135, 11136 and 11138.
Government Code; 34 CFR 106.8; and 34 CFR 299.10(a)(2).
History
1 . New section filed 8-26-91 ; operaUve 9-25-91 (Register 92, No. 3).
2. Amendment of article 7 heading, section and Note filed 1 2-29-2005; operative
12-29-2005 pursuant to Government Code section 11343.4 (Register 2005,
No. 52).
§ 4661 . Mediation Procedures; State l\/lediation
Agreements; Notice.
NOTE: Authority cited: Sections 232 and 33031, Education Code; and Secuon
1 1 138. Government Code. Reference: Sections 1 1 135, 1 1 136, and 1 1 138, Gov-
ernment Code; and 34 CFR 106.8.
History
1. New section filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Repealer of section and amendment of Note filed 12-29-2005; operative
12-29-2005 pursuant to Government Code section 11343.4 (Register 2005,
No. 52).
§ 4662. Investigation Timeline.
(a) Each party in the dispute shall be sent written notification by the
Department of the name(s) of the investigator(s) and the investigation
date(s). if known. The notice shall explain the investigation process.
(b) An investigation will be completed within 60 days after receiving
a request for direct intervention or an appeal request, unless the parties
have agreed to extend the time lines. The Department may grant exten-
sions for the investigation if exceptional circumstances exist that consti-
tute good cause with respect to the particular complaint, and provided
that the complainant is informed of the extension and the reasons there-
fore and provided that the facts supporting the extension are documented
and maintained in the complaint file.
NOTE: Authority cited: Sections 221.1 and 33031, Education Code; and Section
1 1 138, Government Code. Reference: Sections 200 and 220, Education Code;
Sections 11135,111 36, and 1 1 1 38, Government Code; 34 CFR 1 06.8; and 34 CFR
299.10(a)(2).
History
1. New section filed 8-26-91; operafive 9-25-91 (Register 92, No. 3).
2. Amendment of section heading, section and Note filed 12-29-2005; operative
12-29-2005 pursuant to Government Code secfion 11343.4 (Register 2005,
No. 52).
§ 4663. Department Investigation Procedures.
(a) The investigator(s) shall request all documentation and other evi-
dence regarding the allegations in the complaint.
(b) The investigation shall include an opportunity for the complainant,
or the complainant's representative, or both, to present the complaint(s)
and evidence or information leading to evidence to support the allega-
tions of non-compliance with state and federal laws and/or regulations.
(c) Refusal by the complainant to provide the investigator with docu-
ments or other evidence related to the allegations in the complaint, or to
otherwise fail or refuse to cooperate in the investigation or engage in any
other obstruction of the investigation may result in the dismissal of the
complaint because of a lack of evidence to support the allegations.
(d) Refusal by the local educational agency to provide the investigator
with access to records and/or other information related to the allegation
in the complaint, or to otherwise fail or refuse to cooperate in the inves-
tigation or engage in any other obstruction of the investigation may result
in a finding based on evidence collected that a violation has occurred and
may result in the imposition of a remedy in favor of the complainant.
NOTE: Authority cited: Sections 221.1 and 33031, Education Code; and Section
11138, Government Code. Reference: Sections 200 and 220, Fiducation Code;
Sections 1 1 135, 1 1 136 and 1 11 38, Government Code; 34 CFR 76.1 and 106.8; and
34 CFR 299.10(a)(2).
History
1. New section filed 8-26-91; operative 9-25-91 (Register 92. No. 3).
2. Amendment of section and Note filed 12-29-2005; operative 12-29-2005 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 52).
§ 4664. Department Investigation Report.
(a) An investigation report shall be issued. The investigation report
shall include the following:
(1) A summary of the allegations in the complaint;
(2) A description of the general procedures of the investigation:
(3) Citations of applicable law and regulations;
(4) Department findings of facts;
(5) Department conclusions;
(6) LEA required actions, if applicable;
(7) LEA recommended specific actions, if applicable;
(8) Time line for correcfive actions, if applicable; and
(9) Notice that any party may request reconsideration of the Depart-
ment's report from the Superintendent of Public Instruction within .35
days of the receipt of the report.
(10) For those programs governed by Part 76 of Title 34 of the Code
of Federal Regulations, the parties shall be notified of the right to appeal
to the United States Secretary of Education.
(b) An investigation report shall be mailed to the parties within 60 days
from the conclusion of the investigation.
NotE: Authority cited: Sections 221.1 and 33031, Education Code; and Section
11138, Government Code. Reference: Sections 200 and 221, Education Code;
Sections 1 1 1 35, 1 1 1 36 and 1 1 1 38, Government Code; 34 CFR 1 06.8; and 34 CFR
299.10(a)(2).
History
1. New secfion filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Amendment of section and Note filed 1 2-29-2005; operafive 12-29-2005 pur-
suant to Government Code section 1 1.343.4 (Register 2005, No. 52).
§ 4665. Discretionary Reconsideration of Department
Investigation Report.
(a) Within 35 days of receipt of the Department investigation report,
either party may request reconsideration by the Superintendent. The re-
quest for reconsideration shall designate the finding(s). conclusion(s), or
corrective action(s) in the Department's report to be reconsidered and
state the specific basis for reconsidering the designated finding(s), con-
clusion(s) or corrective action(s). The request for reconsideration shall
also state whether the findings of fact are incorrect and/or the law is mis-
applied.
(b) Within 35 days of the receipt of the request for reconsideration, the
Superintendent or his or her designee may respond in writing to the par-
ties modifying the specific finding(s), conclusion(s), or corrective ac-
tion(s) for which reconsiderafion is requested, or denying the request for
reconsideration. Pending the Superintendent's reconsideration, the De-
partment report remains in effect and enforceable.
(c) Appeals by private agencies regarding Child Care Food Programs
shall be made to the State Office of Administrative Hearings in accor-
dance with applicable laws and regulations.
(d) Appeals from investigations of complaints involving Child Devel-
opment contractors, whether public or private, shall be made to the Su-
perintendent of Public Instruction as provided in subsection (a) except as
otherwise provided in division 19 of title 5 of the Code of California Reg-
ulations.
Page 91
Register 2005, No. 52; 12-30-2005
§4670
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(e) For those programs governed by part 76 of title 34 of the Code of
Federal Regulations, the parties shall be notified of the right to appeal to
the United States Secretary of Education.
NOTE: Authority cited: Sections 200, 22 1 . 1 and 3303 1 . Education Code; and Sec-
tion 1 1 138. Government Code. Reference: Sections 200and 220. Education Code;
Sections 1 1 135. 1 1 136 and 1 1 138. Government Code; 34 CFR 76.1 and 106.8.
History
1 . New section filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Amendment of section heading, section and NoTii filed 12-29-2005; operative
12-29-2005 pursuant to Government Code section 11343.4 (Reaister 2005.
No. 52).
Article 8.
Enforcement — State Procedures
to Effect Compliance
§ 4670. Enforcement.
(a) Upon determination that a local agency violated the provisions of
this chapter, the Department shall notify the local agency pursuant to sec-
tion 4664(b) that it must take corrective action to come into compliance.
If corrective action is not taken, the Department may use any means au-
thorized by law to effect comphance, including, but not limited to:
( 1 ) The withholding of all or part of the local agency's relevant state
or federal fiscal support in accordance with state or federal statute or reg-
ulation;
(2) Probationary eligibility for future state or federal support, condi-
tional on compliance with specified conditions;
(3) Proceeding in a court of competent jurisdiction for an appropriate
order compelling compliance.
(b) No decision to curtail state or federal funding to a local agency un-
der this chapter shall be made until the Department has determined that
compliance cannot be secured by other means.
(c) If the Department determines that a Child Development Contrac-
tor's Agreement shall be terminated, the procedures set forth in sections
8257(d) or 8400 et seq. of the Education Code and the regulations pro-
mulgated pursuant thereto (chapter 19 of title 5, CCR, commencing with
section 1 7906), shall be followed.
(d) If the Department determines that a local educational agency has
failed to comply with any provision of sections 49550 through 49554 of
the Education Code, the Department shall certify such noncompliance to
the Attorney General for investigation pursuant to section 49556 of the
Education Code.
NOTE: Authority cited : Sections 200, 221.1 and 3303 1 , Education Code; and Sec-
tion 1 1 138, Government Code. Reference: Section 49556, Education Code; Sec-
tions 1 11 35, 1 1 136 and 1 1 138, Government Code; and 34 CFR 76.783 and 106.8.
History
1. New section filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Amendment of section and Note filed 1 2-29-2005; operative 1 2-29-2005 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 52).
§ 4671. Federal Review Rights.
NOTE: Authority cited: Sections 232 and 33031, Education Code; Section 1 1 138,
Government Code. Reference: 34 CFR 76.780-76.783.
History
1. New section filed 8-26-91; operative 9-25-91 (Register 92, No. 3).
2. Repealer filed 12-29-2005; operative 12-29-2005 pursuant to Government
Code section 1 1343.4 (Register 2005, No. 52).
Article 9. Williams Complaints
§ 4680. Complaints Regarding Instructional Materials,
Teacher Vacancy or Misassignment, and
School Facilities.
(a) Complaints regarding instructional materials, emergency or urgent
facilities conditions that pose a threat to the health or safety of pupils or
staff, and teacher vacancy or misassignment shall be filed with the princi-
pal of the school, or his or her designee, in which the complaint arises.
A complaint about problems beyond the authority of the school principal
shall be forwarded in a timely manner, but not to exceed 10 working days,
to the appropriate school district official for resolution.
(b) Complaints regarding instructional materials, emergency or urgent
facilities conditions that pose a threat to the health or safety of pupils or
staff, and teacher vacancy or misassignment may be filed anonymously.
A complainant who identifies himself or herself is entitled to a response
if he or she indicates that a response is requested. If a response is re-
quested, the response shall be made to the mailing address of the com-
plainant indicated on the complaint.
(c) The school shall have a complaint form available for such com-
plaints. The complaint form shall identify the place for filing the com-
plaint and include a space to indicate whether a response is requested.
However, the coiriplainant need not use a complaint form.
(d) All complaints and responses are public records.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
35186. Education Code.
History
1. New article 9 (sections 4680^687) and section filed 12-29-2005; operanve
12-29-2005 pursuant to Government Code section 11343.4 (Register 2005,
No. 52).
§ 4681 . Contents of Complaints Regarding Instructional
Materials.
(a) A complaint related to instructional materials may allege as fol-
lows:
(1) A pupil, including an English learner, does not have standards-
aligned textbooks or instructional materials or state adopted or district
adopted textbooks or other required instructional materials to use in
class.
(2) A pupil does not have access to textbooks or instructional materials
to use at home or after school. This does not require two sets of textbooks
or instructional materials for each pupil.
(3 ) Textbooks or instructional materials are in poor or unusable condi-
tion, having missing pages, or are unreadable due to damage.
(4) A pupil was provided photocopied sheets from only a portion of a
textbook or instructional materials to address a shortage of textbooks or
instructional materials.
(b) A complaint related to instructional materials shall identify:
(1) the school;
(2) the course or grade level in which the deficiency(ies) in instruction-
al materials exist;
(3) the teacher of the course or grade level; and
(4) the specific nature of the deficiency or deficiencies as specified in
subsection (a).
(c) A complaint may include as much text to explain the deficiency or
deficiencies in instructional materials as complainant feels necessary. A
complaint may contain more than one allegation of deficiency or defi-
ciencies in the instructional material.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
35186, Education Code.
History
1 . Ne w section fi led 1 2-29-2005 ; operati ve 1 2-29-2005 pursuant to Government
Code section 11343.4 (Register 2005, No. 52).
§ 4682. Contents of Complaints Regarding Teacher
Vacancy or Misassignment.
(a) A complaint related to teacher vacancy or misassignment may al-
lege as follows:
( 1 ) A semester begins and a teacher vacancy exists (a position to which
a single designated certificated employee has not been assigned at the be-
ginning of the year for an entire year or, if the position is for a one-semes-
ter course, a position of which a single designated certificated employee
has not been assigned at the beginning of a semester for an entire semes-
ter).
(2) A teacher who lacks credentials or training to teach English learn-
ers is assigned to teach a class with more than 20 percent English learner
pupils in the class. This subparagraph does not relieve a school district
from complying with state or federal law regarding teachers of English
learners.
Page 92
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Title 5
California Department of Education
§4687
(3) A teacher is assigned to teach a class for which the teacher lacks
subject matter competency.
(b) A complaint regarding a teacher vacancy or misassignment shall
identify:
( 1 ) the course or grade level in which the teacher vacancy or misas-
signment exists;
(2) the specific nature of the vacancy or misassignment as specified in
subdivision (a); and
(3 ) if it is a misassignment, the name of the teacher who is misassigned.
(c) A complaint may include as much text to explain the teacher vacan-
cy or misassignment as complainant feels necessary. A complaint may
contain more than one allegation of teacher vacancy or misassignment.
NOTE: Authority ciled: Section 33031, Education Code. Reference: Section
35186. Education Code.
History
1 . New section tiled 1 2-29-2005; operative 1 2-29-2005 pursuant to Government
Code section 1 1343.4 (Register 2005, No. 52).
§ 4683. Contents of Complaints Regarding the Condition
of a Facility.
(a) A complaint related to the conditions of facihties that pose an emer-
gency or urgent threat to the health or safety of pupils or staff shall identi-
fy the specific school in which the condition exists. The complaint shall
specify:
( 1 ) the location of the facility;
(2) describe emergency or urgent facilities conditions that pose a threat
to the health or safety of pupils or staff; and
(3) how the condition poses a threat to the health or safety of pupils or
staff.
(b) A complainant may include as much text to explain the emergency
or urgent facilities conditions that pose a threat to the health or safety of
pupils or staff, as complainant feels necessary. A complaint may contain
more than one allegation of emergency or urgent facilities conditions that
pose a threat to the health or safety of pupils or staff.
NOTE; Authority cited: Section 33031. Education Code. Reference: Section
35 1 86, Education Code.
History
1 . New section filed 1 2-29-2005; operative 1 2-29-2005 pursuant to Government
Code section 1 1343.4 (Register 2005, No. 52).
§ 4684. Notice.
(a) In order to identify appropriate subjects of complaint, a notice shall
be posted in each classroom in each school in the school district notifying
parents and guardians of the following:
(1) There should be sufficient textbooks and instructional materials.
For there to be sufficient textbooks and instructional materials each pu-
pil, including English learners, must have a textbook or instructional ma-
terials, or both, to use in class and to take home.
(2) School facilities must be clean, safe, and maintained in good repair.
(3) There should be no teacher vacancies or misassignments. There
should be a teacher assigned to each class and not a series of substitutes
or other temporary teachers. The teacher should have the proper creden-
tial to teach the class, including the certification required to teach English
learners if present.
(4) The location at which to obtain a form to file a complaint in case
of a shortage. Posting a notice downloadable from the Web site of the De-
partment shall satisfy this requirement.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
35186, Education Code.
History
1 . New section filed 12-29-2005; operative 12-29-2005 pursuant to Government
Code section 1 1343.4 (Register 2005, No. 52).
§ 4685. Investigation.
The principal or the designee of the district superintendent, as applica-
ble, shall make all reasonable efforts to investigate any problem within
his or her authority. The principal, or, where applicable, district superin-
tendent or his or her designee shall remedy a valid complaint within a rea-
sonable time period but not to exceed 30 working days from the dale the
complaint was received. The principal, or where applicable, district su-
perintendent or his or her designee, shall report to the complainant the
resolution of the complaint within 45 working days of the initial filing,
if complainant identifies himself or herself and requested a response. If
the principal makes this report, the principal shall also report the same
inforiTiation in the same timeframe to the district superintendent or his or
her designee.
NOTE: Authority cited: Section 33031. Education Code. Reference: .Section
35186, Education Code.
History
1 . New section filed 1 2-29-2005; operative 1 2-29-2005 pursuant to Government
Code section 1 1343.4 (Register 2005. No. 52).
§ 4686. Responsibilities of Governing Board.
(a) A complainant who is not satisfied with the resolution of the princi-
pal or the district superintendent or his or her designee, has the right to
describe the coinplaint to the governing board of the school district at a
regularly scheduled meeting of the governing board.
(b) A school district shall report summarized data on the nature and
resolution of all complaints on a quarterly basis to the county superinten-
dent of schools and the governing board of the school district. The sum-
maries shall be publicly reported on a quarterly basis at a regularly sched-
uled meeting of the governing board of the school district. The report
shall include the number of complaints by general subject area with the
number of resolved and unresolved complaints.
(c) The complaints and written responses shall be available as public
records.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
35186, Education Code.
History
1. New section filed 12-29-2005; operative 12-29-2005 pursuant to Government
Code section 1 1343.4 (Register 2005, No. 52).
§ 4687. Appeal of Facilities Complaint to Superintendent.
(a) A complainant who is not satisfied with the resolution proffered by
the principal, or the district superintendent or his or her designee, involv-
ing a condition of a facility that poses an emergency or urgent threat, as
defined in paragraph (1) of subdivision (c) of section 17592.72. has the
right to file an appeal to the Superintendent of Public Instruction within
15 days of receiving the report.
(b) Complainant shall comply with the appeal requirements of section
4632.
(c) The Superintendent of Public Instruction or his or her designee
shall comply with the requirements of section 4633.
(d) The Superintendent of F*ublic Instruction shall provide a written re-
port to the State Board of Education describing the basis for the com-
plaint, the school district's response to the complaint and its remedy or
proposed remedy and. as appropriate, a proposed remedy for the issue de-
scribed in the complaint, if different from the school district's remedy.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
17592.72 and 35186, Education Code.
History
1. New section filed 12-29-2005; operative 12-29-2005 pursuant to Government
Code section 1 1343.4 (Register 2005, No. 52).
Chapter 5.2. Improvement of Elementary
and Secondary Education
NOTE: Authority cited: Section 52039, Education Code. Reference: Sections
52013 and 52039(b)(2), Education Code.
History
1. Expired by own terms 12-31-78 (Register 80, No. 25). For prior history, see
Register 77, No. 47.
Page 92.1
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§4900
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Chapter 5.3. Nondiscrimination and
Educational Equity
Subchapter 1. Nondiscrimination in
Elementary and Secondary Educational
Programs Receiving State or Federal
Financial Assistance
Article 1. General Provisions
§ 4900. Purpose.
(a) The purpose of this Chapter is to ensure compliance with federal
and stale nondiscrimination laws in any program or activity conducted
by an educational institution. Therefore, no person in the State of Califor-
nia shall be subjected to discrimination, or any other form of illegal bias,
including harassment. No person shall be excluded from participation in
or denied the benefits of any local agency's program or activity on the
basis of sex, sexual orientation, gender, ethnic group identification, race,
ancestry, national origin, religion, color, or mental or physical disability
in any program or activity conducted by an "educational institution" or
any other "local agency," defined in Article 2 (commencing with Section
4910) of this Chapter, which is funded directly by, or that receives or
benefits from any state financial assistance.
(b) All educational programs and activities under the jurisdiction of
the State Board of Education receiving or benefiting from state or federal
financial assistance shall be available to all qualified persons without re-
gard to sex, sexual orientation, gender, ethnic group identification, race,
ancestry, national origin, religion, color, or mental or physical disability.
(c) It is the intent of the State Board of Education that the Superinten-
dent of Public Instruction assist school districts and county offices of
education to recognize and eliminate unlawful discrimination that may
exist within their programs or activities and to meet the requirements of
this Chapter. The Superintendent shall meet this responsibility through
technical assistance and ensuring compliance pursuant to Chapter 5.1
(commencing with section 4600) of this Title relating to standard com-
plaint procedures.
NOTE; Authority cited: Sections 221.1 and 33031, Education Code; and Section
11138, Government Code. Reference: Sections 200, 201, 220, 221.1 and 230,
Education Code; Sections 1 1 135-1 1 139.5, Government Code; Section 1681. Title
20, U.S. Code; Section 2000d, Title 42, U.S. Code; and Section 106.1, Title 34.
Code of Federal Regulations.
History
1. New chapter 5.3 (sections 4900-4962. nonconsecutive) filed 12-16-92; opera-
tive 1-15-93 (Register 92. No. 51).
2. Amendment of chapter 5.3 heading, subchapter 1 heading, section and Note
filed 6-13-2001 ; operative 7-13-2001 (Register 2001. No. 24).
§ 4901. Academic Requirements.
Nothing in this Chapter shall be interpreted to prohibit bona fide aca-
demic requirements for participation in a specific educational institu-
tion's program, course or activity.
NOTE: Authority cited: Sections 221.1 and 33031, Education Code; and Section
11138. Government Code. Reference: Sections 35160.5 and 49067. Education
Code; Sections 1 1 135-1 1 139.5, Government Code; Section 1681. Title 20. U.S.
Code; Section 2000d, Title 42, U.S. Code; and Section 106, Title 34, Code of Fed-
eral Regulations.
History
1. New section filed 12-16-92; operafive 1-15-93 (Register 92. No. 51).
2. Amendment of section and Note filed 6-13-2001; operative 7-13-2001 (Reg-
ister 2001, No. 24).
§ 4902. State and Local Agency Responsibilities and
Obligations.
Except as otherwise stated in this Chapter, the Superintendent of Pub-
lic Instruction is responsible for providing leadership to local agencies to
ensure that the requirements of the following nondiscrimination laws and
their related regulations are met in educational programs that receive or
benefit from state or federal financial assistance and are under the juris-
diction of the State Board of Education:
(a) Education Code sections 200 through 253.
(b) Government Code sections 1 1 135 through 11 139.
(c) The Civil Rights Act of 1964 at Title 42, U.S. Code Sections 2000a
et seq.
(d) Title IX of the Education Amendments of 1972 at Section 1681,
Title 20, U.S. Code.
(e) Section 504 of the Rehabilitation Act of 1973 at Section 794(a),
Title 29. U.S. Code.
(0 Federal Equal Access at Section 4071 et seq.. Title 20, U.S. Code.
(g) Americans with Disabilities Act of 1 990 at Sections 1 2 1 3 1 et seq.,
Title42. U.S. Code.
(h) Individuals with Disabilities Education Act (Section 1400 et seq..
Title 20, U.S. Code).
(i) Equal Educational Opportunities Act (Section 1701 et seq.. Title
20, U.S. Code).
(j) Any and all other federal and state laws and regulations involving
assurances that local agencies will not discriminate on the basis of sex,
sexual orientation, gender, ethnic group identification, race, ancestry, na-
tional origin, religion, color, or mental or physical disability.
NOTE: Authority cited: Sections 221.1 and 33031. Education Code; and Section
1 1138. Government Code. Reference: Sections 200. 201 and 33111. Education
Code; Sections ni35-11139.5,Govemment Code; Section 1681, Title 20, U.S.
Code; and Section 2000d, Title 42. U.S. Code.
History
1. New section filed 12-16-92; operative 1-15-93 (Register 92. No. 51).
2. Amendment of section heading, section and Note filed 6-13-2001; operative
7-13-2001 (Register 2001. No. 24).
Article 2. Definitions
§ 4910. General Definitions.
The terms used in this Chapter shall be construed with reference to the
laws and regulations existing on the date of the enactment of this section.
As used in this Chapter, the term:
(a) "'Activity' or "program and activity'" means the same as the defi-
nition set out below for the word "program."
(b) "Ancestry" means the national or cultural origin of a line of de-
scent.
(c) "Board" means the California State Board of Education.
(d) "Club" means a group of students which meets on school property
and which is student initiated, student operated and not sponsored by the
educational institution.
(e) "Color" includes the concept "race" as it is used in Title IV and
Title VI of the Federal Civil Rights Act of 1964, respectively commenc-
ing at 42 use 2000c and 20 USC 2000d.
(0 "Department" means the California Department of Education.
(g) "Educational institution" means any public or private preschool,
elementary, or secondary school or institution operated by the local
agency, or any combination of school districts or counties recognized as
the administrative agency for public elementary or secondary schools,
consistent with the definition found in Education Code section 210.1.
(h) "Ethnic group identification" includes the concept of "national ori-
gin" as it is used in Title IV and Title VI of the Federal Civil Rights Act
of 1964, respectively commencing at 42 USC 2000c and 20 USC 2000d.
(i) "Equal opportunity" and "equivalent opportunity" are used synon-
ymously and mean equal or equal in effect.
(j) "Extracurricular activity" means an activity that is sponsored by the
local agency or an organization sanctioned by the local agency. The term
Page 92.2
Register 2005, No. 52; 12-30-2005
Title 5
California Department of Education
^912
■'exiracurricular activity" shall not include any program that is part of the
regular curriculum or that is covered by Article 3 (commencing with Sec-
lion 4920).
(k) "Gender" means sex, and includes a person's gender identity and
gender related appearance and behavior whether or not stereotypically
associated with the person's assigned sex at birth.
(/) "Harassment" means conduct based upon protected status that is se-
vere or pervasive, which unreasonably disrupts an individual's educa-
tional or work environment or that creates a hostile educational or work
environment.
(ni) "Individual with a disability" means a person who has a physical
or mental impairment that substantially limits one or more major life acti-
vities; a record of such an impairment; or is regarded as having such an
impairment.
(n) "Local Agency (LA)" means a school district governing board or
county office of education or a local public or private agency which re-
ceives direct or indirect funding or any other financial assistance from the
state or federal government to provide any school program or activity.
(o) "Mental disability" means any mental or psychological disorder,
such as mental retardation, organic brain syndrome, emotional or mental
illness, and specific learning disabilities.
(p) "National origin" means the country of a person's birth.
(q) "Person" includes but is not limited to employees, temporary em-
ployees, contract employees, applicants for employment, agents and rep-
resentatives of the local agency, students, applicants for admission and
volunteers.
(r) "Physical disability" means any physiological disorder, or condi-
tion, cosmetic disfigurement, or anatomical loss affecting one or more of
the following body systems: neurological, musculoskeletal, special
sense organs, respiratory (including speech organs), cardiovascular, re-
productive, digestive, genito-urinary, hemic and lympathic, skin, and
endocrine.
(s) "'Program' or 'program activity'" is defined to include the defini-
tion of "program and activity" as set forth at Health and Welfare regula-
tion 22 CCR 98010 and to include extra curricular, research, occupation-
al programs, honors, students services and other activities as well as
include the operations of an "educational institution" as defined at Edu-
cation Code section 210.1. All specified institutions are meant to entail
the operations of:
(1)(A) a department, agency, special purpose district, or other instru-
mentality or any educational institution; or
(B) the entity of such local agency that distributes such assistance and
each such department or agency to which the assistance is extended; or
(2)(A) an entire corporation, partnership, or other private organiza-
tion, or an entire sole proprietorship —
(i) if assistance is extended to such corporation, partnership, private
organization, or sole proprietorship as a whole; or
(ii) which is principally engaged in the business of providing educa-
tion, health care, housing, social services, or parks and recreation; or
(B ) the entire plant or other comparable, geographically separate facil-
ity to which state or federal financial assistance is extended, in the case
of any other corporation, partnership, private organization, or sole pro-
prietorship; or
(3) any other entity which is established by two or more educational
institutions or the entities described in paragraph (1) or (2); any part of
which is extended state or federal financial assistance, except that such
term does not include any operation of an entity which is controlled by
a religious organization if the application of this Chapter to such opera-
tion would not be consistent with the religious tenets of such organiza-
tion.
(4) Small providers are not required by this subsection to make signifi-
cant structural alterations to their existing facilities for the purpose of as-
suring program accessibility to the physically disabled, if alternative
means of providing the services are available.
(t) "Race" means one of the anthropological/racial ethnic groups, in-
cluding but not limited to: Asian. Black, American Indian, Hispanic. Pa-
cific Islander, White, or Filipino.
(u) "Rehgion" means one's spiritual beliefs.
(v) "Sex" means the biological condition or quality of being a female
or male human being.
(w) "Sexual orientation" means actual or perceived heterosexualiiy.
homosexuality, or bisexual ity.
(x) "Superintendent" means the Superintendent of Public Instmction
or his or her designee.
(y) "Title IX Coordinator" means the person(s) designated by the local
agency to comply with and carry out the local agency's responsibilities
under Title IX of the Educafion Amendments of 1972.
NOTE; Authority cited: Sections 221.1 and 33031, Education Code; and Section
] 1 138. Government Code. Reference: Section 51.7(b). Civil Code; Sections 20().
201(g), 210. 210.1. 212.5. 220, 233(e) and 260. Education Code: Sections 1 1 135
and 1 1 138, Government Code: Section 422.55 and 422.56. Penal Code: Section
1681, Title 20. .U.S. Code; Section 2000d. Title 42. U.S. Code; Section 106, Title
34 Code of Federal Regulations; and Sections 98210. 98220, 98230. 98250 and
98343, Title 22, California Code of Regulations.
History
1. New section filed 12-16-92; operative 1-15-93 (Register 92, No. 51 ).
2 . Amendment of section and Note filed 6- 1 3-200 1 ; operative 7- 1 3-2(X) 1 ( Reg-
ister 2001, No. 24).
3. Amendment of subsection (k) and amendment of Noth filed 12-29-2(X)5; op-
erative 12-29-2005 pursuant to Government Code section 1 1343.4 (Register
2005, No. 52).
§ 491 1 . Government Code Definitions, Incorporation by
Reference.
Those definiuons of activifies prohibited and persons protected from
discriminafion set forth in Chapters 2 and 3 of Division 8 of Title 22 of
the California Code of Regulafions (commencing with Secfion 98100)
are incorporated into and made applicable to this Chapter as if fully set
forth here.
NOTE: Authority cited: Sections 221.1 and 33031. Education Code; and Section
1 1 1 38. Government Code. Reference: Section 260, Education Code; and Sectit)ns
1 1 1 35 and 11138. Government Code.
History
1. New section filed 12-16-92; operative 1-15-93 (Register 92. No. 51 ).
2. Amendment of Note filed 6-13-2001; operative 7-13-2001 (Register 2001.
No. 24).
§ 4912. Educational Equity Act Definitions, Incorporation
by Reference.
Those definifions set forth in Articles 2 and 3 of Chapter 2 of Part 1 of
Title 1 of the Cahfomia Education Code (commencing with Section 210)
are incorporated into and made applicable to this Chapter as if fully .set
forth here, specifically secfion 210. 1 - "Educational institufion." section
211 - "Governing board," section 212 - "Sex," secfion 212.5 - "Sexual
harassment," secfion 213 - "State financial assistance." and section 214
- "State financial aid."
[The next page is 93.
Page 92.3
Register 2005, No. 52; 12-30-2005
Title 5
California Department of Education
§4921
•
•
NoiTi: Authority cited: Sections 221.1 and 33031. Education Code: and Section
1 1 1 38, Government Code. Reference: Section 260, Education Code; and Sections
1 1 135 and 1 1 138. Government Code.
History
1. New section filed 12-16-92; operative 1-13-93 (Register 92, No. 31).
2. Amendment of section heading, section and NoTt^ filed 6-13-2001 ; operative
7-1.3-2001 (Register 2001, No. 24).
§ 4913. Prohibited Activities, Incorporation by Reference.
In addition to acts or omissions prohibited by other nondiscrimination
laws or regulations, except as provided by Education Code section 220.5,
the acts specifically proscribed by Chapter 2 (commencing with Section
200) of Part I of Title I ofthe California Education Code are incorporated
into and made applicable to this Chapter as if fully set forth here.
NOTH: Authority cited: Sections 221.1 and 33031, Education Code; and Section
1 1 1 38, Government Code. Reference: Sections 220 and 230, Education Code; and
Sections 1 1 135 and 1 1 138, Government Code.
History
1. New section filed 12-16-92; operative 1-1.5-93 (Register 92, No. 51).
2. Amendment of section and NoTb filed 6-13-2001 ; operative 7-13-2001 (Reg-
ister 2001, No. 24).
§ 4914. Prohibited Discrimination on Parental, Family, or
Marital Status.
On the basis of sex. the application of any rule concerning the actual
or potential parental, family, or marital status of a person, or the exclusion
of any person from any program or activity or employment because of
pregnancy or related conditions is prohibited,
NOTE: Authority cited: Sections 221.1 and 33031, Education Code. Reference:
Section 230(e), Education Code.
History
I. New section filed 6-13-2001; operative 7-13-2001 (Register 2001, No. 24).
Article 2.5. Sexual Harassment
§4915. General Prohibitions.
A person in the educational environment of a local agency shall not
sexually harass another person in the work or educational environment
of the local agency. Sexual harassment is a form of sex discrimination
and, as such, may result in disciplinary or other action taken by the local
agency.
NOTE: Authority cited: Sections 221.1 and 33031, Education Code; and Section
1 1 138, Government Code. Reference: Section 212.5, Education Code; Sections
1 1 135 and 12940(h), Government Code; Section 1681, Title 20, U.S. Code; Sec-
tion 2000d, Title 42, U.S. Code; and Section 1 06, Title 34, Code of Federal Regula-
tions.
History
1. New article 2.5 (sections 4915-4917) and section filed 6-13-2001; operative
7-13-2001 (Register 2001, No. 24).
§ 4916. Sexual Harassment Definitions.
(a) "Sexual harassment" means any unwelcome sexual advance, un-
welcome requests for sexual favors, or other unwelcome verbal, visual,
or physical conduct of a sexual nature made by someone from or in the
educational or work setting, whether it occurs between individuals of the
same sex or individuals of opposite sexes, under any of the following
conditions:
(1) Submission to the conduct is explicitly or implicitly made a term
or a condition of an individual's academic status, employment, or prog-
ress.
(2) Submission to, or rejection of, the conduct by the individual is used
as the basis of academic or employment decisions affecting the individu-
al.
(3) The conduct has the purpose or effect of having a negative impact
upon the individual's academic performance, work, or progress or has
the purpose or effect of creating an intimidating, hostile, or offensive
educational or working environment. The conduct is sufficiently severe,
persistent, pervasive or objectively offensive, so as to create a hostile or
abusive educational or working environment or to limit the individual's
ability to participate in or benefit from an education program or activity.
(4) Submission to. or rejection of, the conduct by the individual is used
as the basis for any decision affecting the individual regarding benefits
and services, honors, programs, or activities available at or through the
local agency.
(b) "Verbal sexual harassment" includes, but is not limited to. unwel-
come epithets, comments, or slurs of a sexual nature.
(c) "Physical sexual harassment" includes, but is not limited to, as-
sault, impeding or blocking movement, or any physical interference with
work or school activities or movement when directed at an individual on
the basis of sex.
(d) "Visual sexual harassment" includes, but is not limited to. deroga-
tory posters, cartoons, drawings, obscene gestures, or computer-gener-
ated images of a sexual nature.
(e) "Educational environment" includes, but is not limited to. the fol-
lowing:
(1) The campus or school grounds of the local agency.
(2) Properties controlled or owned by the local agency.
(3) Off-campus, if such activity is sponsored by the local agency, or
is conducted by organizations sponsored by or under the jurisdiction of
the local agency.
Note-, Authority cited: Sections 221 .1 and 33031, Education Code; and Section
11138, Government Code. Reference: Section 212.5, Education Code; Section
1 1 1 35, Government Code; Section 1 68 1 , Title 20, U.S. Code; Section 2000d, Title
42, U.S. Code; and Section 106. Title 34, Code of Federal Regulations.
History
1. New secfion filed 6-13-2001; opt;rative 7-13-2001 (Register 2001, No. 24).
§4917. Notification Requirements.
Local agencies are required to notify students, employees, and parents
of their written policy prohibiting sexual harassment pursuant to Educa-
tion Code sections 231.5 and 48980(h), and in accordance with Educa-
tion Code section 48985. These policies shall include information as to
where to obtain specific procedures for reporting charges of sexual ha-
rassment and available remedies.
NOTE: Authority cited: Sections 221.1 and 33031, Education Code; and Section
11138, Government Code. Reference: Sections 231.5, 262.3, 48980 and 48985,
Education Code; Secfion 1681, Title 20, U.S. Code; Section 2000d, Title 42, U.S.
Code; and Section 106.9, Title 34, Code of Federal Regulations.
History
1. New section filed 6-13-2001; operative 7-13-2001 (Register 2001, No. 24).
Article 3. Nondiscrimination in
Intramural, Interscholastic, or Club Athletics
§ 4920. General Prohibition.
No person shall on the basis of sex. sexual orientation, gender, ethnic
group identification, race, ancestry, national origin, religion, color or
mental or physical disability be excluded from participation in, be denied
the benefits of, be denied equivalent opportunity in, or otherwise dis-
criminated against in interscholastic, intramural, or club athletics.
NOTE: Authority cited: Secfions 221.1 and 33031. Educafion Code; and Section
11138, Government Code. Reference: Sections 200, 230 and 35179, Education
Code; Secfion 1681, Title 20, U.S. Code; Section 2000d, Title 42, U.S. Code; and
Section 106, Title 34, Code of Federal Regulations.
History
1. New secfion filed 12-16-92; operafive 1-15-93 (Register 92, No. 5 1 ).
2. Amendment of article 3 heading, secfion and NOTt filed 6-13-2001 ; operative
7-13-2001 (Register 2001, No. 24).
§ 4921 . Separate Teams.
(a) Local agencies may provide single sex teams where selection for
teams is based on competitive skills.
(b) When a local agency provides only one team in a particular sport
for members of one sex but provides no team in the same sport for mem-
bers of the other sex, and athletic opportunities in the total program for
that sex have previously been limited, members ofthe excluded sex must
be allowed to try out and compete with the local agency team. The same
standards for eligibility shall be applied to every student trying out for a
team, regardless of sex or sexual orientation or other protected group sta-
tus.
Page 93
Register 2004, No. 24; 6 - 1 1 - 2004
§4922
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
NOTE; Authority cited: Sections 221.1 and 33031, Education Code; and Section
1 1 138. Government Code. Reference: Sections 200, 220, 221 .7, 230 and 31.^79,
Education Code: Section 1681, Title 20, U.S. Code; and Section 106, Title 34,
Code of Federal Regulations.
History
1. New section filed 12-16-92; operative 1-15-93 (Register 92, No. 51).
2. Amendment of subsection (b), repealer of subsection (c) and amendment of
NOTi; filed 6-13-2001; operative 7-13-2001 (Register 2001, No. 24).
§ 4922. Equivalent Opportunity.
(a) For purposes of section 230(c) of the Education Code, in determin-
ing whether equivalent opportunities are available to both sexes in athlet-
ic programs, the factors a local agency shall consider, include, but are not
limited to:
(1) Whether the selection of sports and levels of competition offered
effectively accommodate the interests and abilities of both sexes;
(2) The provision and maintenance of equipment and supplies;
(3) Scheduling of games and practice times; selection of the season for
a sport; location of the games and practices;
(4) Travel and per diem allowances;
(5) Opportunities to receive coaching and academic tutoring;
(6) Assignment and compensation of coaches and tutors;
(7) Provision of locker rooms, practice and competitive facilities;
(8) Provision of medical and training facilities and services;
(9) Provision of housing and dining facilities and services;
(10) Publicity.
(b) Unequal aggregate expenditures for members of each sex or un-
equal expenditures for male and female teams, if a recipient operates or
sponsors separate teams, shall not constitute noncompliance with this
section. However, the failure to provide necessary funds for teams for
one sex in assessing equivalent opportunity for members of each sex
shall be considered.
NOTE: Authority cited: Sections 221.1 and 33031. Education Code; and Section
1 1 138, Government Code. Reference: Sections 221.7, 230 and 35179, Education
Code; Section 1 681 , Title 20, U.S. Code; and Section 106, Title 34, Code of Feder-
al Regulations.
History
1. New section filed 12-16-92; operative 1-15-93 (Register 92, No. 51).
2. Amendment of section and Note filed 6-13-2001; operative 7-13-2001 (Reg-
ister 2001, No. 24).
Article 3.5. Nondiscrimination in
Extracurricular and Club Activities
§ 4925. General Prohibition.
A local agency shall not provide or otherwise carry out any of its extra-
curricular programs or activities separately, or require or refuse partici-
pation therein by any of its students on the basis of sex, sexual orienta-
tion, gender, ethnic group identification, race, ancestry, national origin,
religion, color, or mental or physical disability. Nothing herein shall be
construed to prohibit the use of prerequisites to participation in certain
extracurricular activities where the prerequisites have been demon-
strated to be essential to the success in the particular extracurricular acti-
vities.
NOTE: Authority cited: Sections 221.1 and 33031, Education Code; and Section
11138, Government Code. Reference: Sections 220 and 230, Education Code;
Section 168 1 , Title 20, U.S. Code; Section 2000d, Title 42, U.S. Code; and Section
106, Title 34, Code of Federal Regulations.
History
1. New article 3.5 (sections 4925-4927) and section filed 6-13-2001; operative
7-13-2001 (Register 2001, No. 24).
§ 4926. General Provisions.
Membership in student clubs must be open to all students regardless
of sex, sexual orientation, gender, ethnic group identification, race, an-
cestry, national origin, religion, color, or mental or physical disability.
NOTE: Authority cited: Sections 221.1 and 33031, Educafion Code; and Section
1 1 138, Government Code. Reference: Sections 220, 230 and 35160.5, Education
Code; Section 1681, Title 20, U.S. Code; Secfion 2000d, Title 42, U.S. Code; and
Section 106, Title 34, Code of Federal Regulations.
History
1. New .section filed 6-13-2001; operafive 7-13-2001 (Regi.ster 2001, No. 24).
§ 4927. Equal Access.
Student clubs shall have equal access to facilities of the educational
institution to conduct a meeting and a fair opporUinity to meet within the
limited open forum of the educational institution, if the educational insti-
tution has a limited open forum.
Note: Authority cited: Sections 221.1 and 33031, Educafion Code; and Secfion
1 1 1 38. Government Code. Reference: Secfions 220, 230 and 35160.5. Education
Code: Section 1681, Title 20, U.S. Code; Sections 2000d and 4071, Title 42, U.S.
Code; and Secfion 106, Title 34, Code of Federal Regulations.
History
1 . New section filed 6-13-2001; operative 7-13-2001 (Register 2001, No. 24).
Article 4. Counseling
§ 4930. General Provisions.
(a) No local agency or educational institution or counselor shall dis-
criminate against any person on the basis of sex, sexual orientation, gen-
der, ethnic group identification, race, ancestry, national origin, religion,
color, or mental or physical disability in the counseling or guidance of
pupils.
(b) Nothing in this section shall be construed as prohibiting a local
agency from encouraging members of one sex to enter courses, pro-
grams, activities or occupations which are traditionally entered by the
other sex.
(c) Counseling includes, but is not limited to, academic, vocational,
career, social or psychological counseling which is conducted or spon-
sored by, through, or at an educational institution whether in an informal
or formal program, workshop or other activity, or whether conducted or
sponsored on a routine or sporadic basis.
(d) Counseling includes, but is not limited to, any person, group, or
sub-group, regardless of title or job description, who engages in counsel-
ing of any pupil.
NOTE: Authority cited: Secfion 221.1 and 33031, Educafion Code; and Secfion
1 1 138, Government Code. Reference: Secfions 220 and 230, Education Code;
Secfion 1 68 1 , Title 20, U.S. Code; Secfion 2000d, Title 42, U.S. Code; and Secfion
1 06, Title 34, Code of Federal Regulations.
History
1 . New secfion filed 12-16-92; operative 1-15-93 (Register 92, No. 51).
2. Amendment of section heading, section and Note filed 6-13-2001; operative
7-13-2001 (Register 2001, No. 24).
§ 4931 . Use of Appraisal and Counseling Materials.
(a) An educational institution which uses testing or other materials for
appraising or counseling pupils shall not use different materials for pu-
pils on the basis of their sex, sexual orientation, gender, ethnic group
identification, race, ancestry, national origin, religion, color, or mental
or physical disability. The use of materials that permit or require the im-
permissible differential treatment of pupils on the basis of sex, sexual
orientation, gender, ethnic group identification, race, ancestry, national
origin, religion, color, or mental or physical disability is not permitted
unless such different materials cover the same occupations and interest
areas and the use of such different materials is essential to the elimination
of bias and discrimination.
(b) An educational institution may use different materials if they are
shown to encourage members of any protected categories identified in
subdivision (a) to enter courses, programs, activities, or occupations
which are not traditionally entered by the members of the protected cate-
gories identified in subdivision (a).
(c) Where the use of a counseling or evaluation instrument results in
disproportionate numbers of members of one of the protected categories
identified in subdivision (a) above in any particular course, program, ac-
tivity or occupation, the educational institution shall take such action as
is necessary to ensure that such disproportionate numbers are not the re-
sult of discrimination in the instrument or its application.
(d) Where an educational institution finds that a particular course con-
tains a substantially disproportionate number of individuals of one
•
•
Page 94
Register 2004, No. 24; 6- 1 1 -2004
Title 5
California Department of Education
§4962
•
group, the educational institution shall assure that such disproportion is
nol the result of discrimination in counseling policy or practice, or ap-
praisal materials or discrimination by counselors, or any other employee
of the educational institution.
NOTE: Authority cited: Sections 221.1 and 33031. Education Code; and Section
1 1 138. Government Code. Reference: .Sections 200 and 230. Education Code;
Section 168 1 , Title 20, U.S. Code; Section 2000d, Title 42. U.S. Code; and Section
106. Title 34. Code of Federal Regulations.
History
1. New section filed 12-16-92; operative l-l.S-93 (Register 92, No. 51).
2. Amendment of section and NOTi; tiled 6-1 3-2001; operative 7-13-2001 (Reg-
ister 2001. No. 24),
•
Article 5. Course Access
§ 4940. General Provisions.
(a) A local agency and its educational institutions shall not provide any
course or otherwise carry out any of its educational programs or activities
.separately on the basis of sex. sexual orientation, gender, ethnic group
identification, race, ancestry, national origin, religion, color, or mental
or physical disability or require or refuse participation therein by any of
its students on such basis, including but not limited to, agriculture, health,
physical education, industrial technology, business, career, vocational
and emerging technical educational programs, home economics, work
experience programs, occupational training programs, research opportu-
nities, visual and performing arts, and adult education courses.
(b) Portions of classes which deal with human sexuality may be con-
ducted in separate sessions for males and females.
(c) Local agencies and their educational institutions may make re-
quirements based on vocal range or quality which may result in a chorus
or choruses of one, or predominantly one, sex.
(d) A local agency and its educational institutions shall not permit any
course or activity labeling and scheduling which results in the separation
of students on the basis of sex, sexual orientation, gender, ethnic group
identification, race, ancestry, national origin, religion, color, or mental
or physical disability. In educational institutions where students have the
opportunity to select a specific activity for a physical education course,
the course title and description shall be gender neutral.
(e) While instruction in all physical education classes is coeducational,
nothing in this section shall prohibit the grouping of students during
physical education activities by ability when assessed by objective stan-
dards of individual performance without regard to sex and all students are
involved in the same physical activity or conceptual learning experience
at the same time.
(f) Recruitment. An educational institution may choose to undertake
affirmative recruitment efforts to overcome the effect of conditions
which resulted in limited participation in certain courses by a particular
group of students including but not limited to math, science, emerging
technologies, occupational training, and career vocational and technical
educational program courses.
(g) Prerequisites. Nothing herein shall be construed to prohibit the use
of prerequisites that have been demonstrated to be essential to success in
a given program or course. If a prerequisite is not essential to success in
a given course or program, it shall be abolished as a prerequisite.
(h) Required Courses. In determining required courses for any student,
such determination shall be made without regard to sex, sexual orienta-
tion, gender, ethnic group identification, race, ancestry, national origin,
religion, color, or mental or physical disability, except as otherwise pro-
vided in these regulations.
NOTE: Authority cited; Sections 221.1 and 33031, Education Code; and Section
1 1 138, Government Code. Reference: Sections 220 and 230. Education Code;
Section 1 68 1 , Title 20, U.S. Code; Section 2000d. Title 42, U.S. Code; and Section
106, Title 34, Code of Federal Regulations.
History
1. New section filed 12-16-92; operative 1-15-93 (Register 92, No. 51).
2. Amendment of section heading, section and Note filed 6-13-2001; operative
7-13-2001 (Register 2001, No. 24).
Article 6. Marital and Parental Status
§ 4950. l\/larital and Parental Status of Students.
An educational institution shall not apply any rule concerning a stu-
dent's actual or potential parental, fainily, or marital status which treats
students differently on the basis of sex.
(a) An educational institution shall not exclude or deny any student
from any educational program or activity including class or extracurricu-
lar activity solely on the basis of a student's pregnancy, childbirth, false
pregnancy, termination of pregnancy or recovery therefrom.
(b) An educational institution may require a student to obtain the certi-
fication of a physician or nurse practitioner that the student is physically
and emotionally able to continue participation in the regular program or
activity.
(c) Voluntary Alternative Prograin. Pregnant minors and minor par-
ents shall not be required to participate in pregnant minor programs or
alternative educational programs. Such minors who do voluntarily par-
ticipate in such alternative programs shall be given educational pro-
grams, activities and courses equal to those they would have been in if
participating in the regular program.
(d) Any educational institution shall treat pregnancy, child birth, false
pregnancy, termination of pregnancy and recovery therefrom in the saine
manner and under the same policies as any other temporary disabling
condition.
NOTE: Authority cited: Sections 232 and 33031, Education Code; and .Section
1 1 138, Government Code. Reference: Section 230. Education Code; and 34 CFR
106.
History
1. New section tiled 12-16-92; ope:rative 1-15-93 (Register 92. No. 51 ).
Article 7. Local Agency Compliance
§ 4960. Local Agency Responsibilities.
(a) Each school district and county office of education shall have pri-
mary responsibility to ensure that its programs and activities are avail-
able to all persons without regard to sex, sexual orientation, gender, eth-
nic group identification, race, ancestry, national origin, religion, color,
or mental or physical disability. Each local agency shall investigate com-
plaints of unlawful discrimination in its programs or activities.
(b) Each governing board shall have the ongoing responsibility to pub-
licize the provisions of this Chapter to students, parents, employees,
agents of the governing board and the general public. This policy shall
be posted in all schools and offices including staff lounges and student
government meeting rooms.
NOTE: Authority cited: Sections 221 .1 and 33031, Education Code; and .Section
11138, Government Code. Reference: Section 260, Education Code; Section
1 1 1 35, Government Code; Section 106, Title 34, Code of Federal Regulations; and
Section 98340, Title 22, California Code of Regulations.
History
1. New section filed 12-16-92; ope;rative 1-15-93 (Register 92. No. 51 ).
2. Amendment of section and NoTb filed 6-13-2001 ; operative 7-1 3-2001 (Reg-
ister 2001, No. 24).
§ 4961 . Responsible District Officer.
Each local agency shall identify a single person as the responsible lo-
cal agency officer for ensuring district or office compliance with this
chapter. Each announcement shall include the name, office address and
office telephone number of the responsible local agency officer.
NOTE: Authority cited: Section 1 1 138. Government Code; and Sections 71020
and 71025, Educafion Code. Reference: Sections 1 1 135 and 1 1 138, Government
Code.
History
1. New section filed 12-16-92; operative 1-15-93 (Register 92. No. 51).
§ 4962. Compliance Procedures.
Compliance with the provisions of this division shall be carried out in
accordance with the complaint procedures specified in sections 4601
through 4671 of this Title and Government Code sections 1 1 136 and
11137.
Page 95
Register 2004, No. 24; 6- 1 1-2004
§4963
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
NOTE: Authority cited: Sections 232 and 33031, Education Code: and Section
11138, Government Code. Reference: Sections 1 1 1 35, 1 1 1 36 and 1 1 1 37, Govern-
ment Code.
History
1. New section filed 12-16-92; operative 1-15-93 (Register 92. No. 51 ).
Article 8. Complaint Process Safeguards
§ 4963. Prohibitions.
(a) No person from or in the educational or work environment of a lo-
cal agency shall retaliate against a complainant, witness, or other person
who supports or participates in a sexual harassment investigation.
(b) Any attempt to penalize anyone from or in the educational or em-
ployment environment for initiating a complaint through any form of
retaliation shall be treated as a separate allegation of discrimination.
NOTE; Authority cited: Sections 221.1 and 33031 Education Code; and Section
11 138, Government Code. Reference: Section 212.5, Education Code; Sections
1 1 135 and 12940(h), Government Code; Section 1681, Title 20, U.S. Code; Sec-
tion 2000d, Title 42, U.S. Code; and Section 106, Title 34, Code of Federal Regula-
tions.
History
1. New article 8 (sections 4963-4965) and section filed 6-13-2001; operative
7-13-2001 (Register 2001, No. 24).
§ 4964. Confidentiality.
All complaints or allegations of discrimination or sexual harassment
will be kept confidential during any informal and/or formal complaint
procedures except when disclosure is necessary during the course of an
investigation, in order to take subsequent remedial action and to conduct
ongoing monitoring.
NOTE; Authority cited: Secfions 221.1 and 33031, Education Code; and Section
11138, Government Code. Reference: Section 212.5, Education Code; Sections
11135 and 12940(h), Government Code; Section 1681, Title 20, U.S. Code; Sec-
tion 2000d, Title42, U.S. Code; and Section 106, Title 34, Code of Federal Regula-
tions.
History
1. New section filed 6-13-2001; operative 7-13-2001 (Register 2001, No. 24).
§ 4965. Disciplinary Action.
Harassment on the basis of sex, sexual orientation, gender, ethnic
group identification, race, ancestry, national origin, religion, color, or
mental or physical disability is a form of discrimination, and as such, may
result in disciplinary or other action taken by the local agency. In the case
of an employee, such disciplinary action may include termination. For
students in Grades K-12, the disciplinary consequences shall depend on
the ages of the students and the factual circumstances of the incident(s).
NOTE; Authority cited: Sections 221.1 and 33031, Education Code; and Section
11138, Government Code. Reference: Section 212.5, Education Code; Sections
1 1 135 and 12940(h), Government Code; Section 1681, Title 20, U.S. Code; Sec-
tion 2000d, Title 42, U.S. Code; and Section 106, Title 34, Code of Federal Regula-
tions.
History
1. New section filed 6-13-2001; operative 7-13-2001 (Register 2001, No. 24).
Chapter 6. Certified Personnel
Subchapter 1. General Provisions
Article 1.
Code of Ethics of the Teaching
Profession
History
1. Amendment and renumbering of Article 1 (Sections 5480-5485) to Article 7
(Sections 80130-80132) of Chapter 1 of Part VIII, filed 12-16^77; effective
thirtieth day thereafter (Register 77, No. 51). For prior history, see Register 77,
No. 21; and Register 70, No. 17.
Article 2. Employment and Dismissal
§ 5500. Statement a Condition to Employment.
The governing board shall not employ a person in a position requiring
certification qualifications unless the person first files with the governing
board his statement in writing that he has not entered into a valid contract
of employment with the governing board of another school district which
will in any way conflict with his employment.
NOTE: Authority cited for Article 2: Sections 23919, 33031, 44839 and 44843,
Education Code.
History
1 . New Chapter 1 (§§ 5500-5504) filed 9-23-69; effective thirtieth day thereafter
(Register 69, No. 39).
2. Article 1 (§§ 5500-5504) renumbering to Article 2 filed 4-22-70; effective thir-
tieth day thereafter (Register 70, No. 17).
3. New NOTE filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§ 5501 . Filing of Notice of Employment.
The notice of employment required by Education Code Section 44843
shall identify the school district, shall be signed by the authorized official
or officials of the school district, shall be in the number of copies speci-
fied by the county superintendent, and shall contain at least the following
data for each employee:
(a) Name.
(b) Position filled.
(c) Classification (substitute, temporary, probationary, permanent).
(d) Effective date and terminal date of employment.
(e) Rate of salary (per school month, calendar month, day, hour).
(f) Major accounting class, as shown in Part I of the California School
Accounting Manual, to which the salary will be charged.
The notice may contain such additional data as the governing board
and the county superintendent agree upon.
History
1 . Amendment of section and repealer of NOTE filed 9-23-77; effective thirtieth
day thereafter (Register 77, No. 39).
§ 5502. . Filing of Notice of Physical Examination for
Employment of Retired Persons.
The governing board shall on or before employing a retired person for
a position described in Education Code Section 44839.5 require evidence
that he or she has passed the physical examination required by Education
Code Section 44839.5.
NOTE: Authority cited: Section 44839.5, Education Code. Reference: Secfion
44839.5, Education Code.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Amendment filed 10-1 6-80; effecfive thirtieth day thereafter (Register 80, No.
42).
§ 5503. Physical Examination for Employment of Retired
Persons.
(a) The physical examination prescribed by the State Board pursuant
to Education Code Section 44839.5 is an examination by a physician and
surgeon licensed to pracfice in California that will enable the examining
physician and surgeon to ascertain whether or not the person is free from
infectious or contagious disease, including an examination for tuberculo-
sis made in the manner described in Education Code Section 49406.
The physician's certificate, showing that the employee was examined
and that the person was found free from active tuberculosis and from any
other contagious or infectious disease, shall be filed with the county su-
perintendent of schools and a duplicate or photographic copy shall be
filed with the employing school district. A notice from a public health
agency or unit of the Tuberculosis Association that indicates freedom
from active tuberculosis may be substituted for that part of the physicians
certificate relating to tuberculosis. The examination shall have been
made within six months of filing of the completed certificate with both
the county superintendent of schools and employing school district.
•
•
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Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§5504
•
(b) The certificate shall be in substanlially the following form:
CERTIFICATION OF FREEDOM FROM CONTAGIOUS OR
INFECTIOUS DISEASE
I hereby certify that:
( 1 ) 1 am licensed to practice as a physician and surgeon in California.
(2) On the date shown herein below I examined , who gave
as his (her) date of birth and as his (her) address. On
thai date 1 found him (her) to be free from any contagious or infectious
disease including freedom from active tuberculosis. , 19
Date
Physician and Surgeon
The following authorization signed by the person examined shall be
set forth below the certificate:
AUTHORIZATION
Dr.
You are hereby authorized to give to the State Board of Education, any
county superintendent of schools, the governing board of a school district
to which the undersigned has applied for employment, and representa-
tives of any of them, any and all information you may have regarding my
physical or mental condition, including but not being limited to the histo-
ry, findings, diagnosis, treatment given, present condition, and progno-
sis.
. 19
Dale Signature of Person Examined
NOTE: Authority cited: Section 44839.5, Education Code. Reference: Section
44839.5, Education Code.
History
1 . Amendment of subsection (a) and repealer of NOTE filed 9-23-77; effective
thirtieth day thereafter (Register 77. No. 39).
2. Amendment filed 10-16-80; effective thirtieth day thereafter (Register 80, No.
42).
§ 5504. Medical Certification Procedures.
(a) The governing board of each school district and the county superin-
tendent of .schools office shall provide a pre-employment medical ex-
amination form and related information as prescribed in this section to
persons being employed for the first time in a California school district
or county office in a position requiring certification requirements in ac-
cordance with Section 44839 of the Education Code.
(b) The governing board or office of the county superintendent of
.schools shall also develop a brief statement of functions involved in the
position for which the applicant will be employed and attach it to the
medical certification form for the guidance of the physician. Functions
should be described in terms of activities which may be performed such
as: teaching physical education; being able to readily move about the
classroom and playground; climbing flights of stairs or operating me-
chanical equipment.
(c) The governing board of each school district and the county superin-
tendent of schools office shall use the following medical certificate or a
similar certificate developed locally and approved by the State Depart-
ment of Education:
CERTIFICATE OF MEDICAL EXAMINATION OF
APPLICANTS FOR FIRST EMPLOYMENT IN A
CALIFORNIA SCHOOL DISTRICT OR
COUNTY SUPERINTENDENT OF SCHOOLS OFFICE
School District; County Office
Name
Name:
Last
First
Middle
Address:
Street
City
Zip Code
To the Physician:
The medical examination required of a person employed in a certifi-
cated position for the first time in a California School District or County
Superintendent of Schools Office to determine freedom from any disab-
ling disease unfitfing the person to instruct or associate with children
should be evaluated on the basis of the function which will be required
of the applicant upon employment. A brief description of functions is at-
tached to this form.
Disabling disease should be considered in terms of:
(1) Evidence of lack of ability to demonstrate average physical and
emotional capacity for the functions involved.
(2) Evidence of disability which periodically may disable the individ-
ual; for example, rheumatoid arthritis, uncontrolled diabetes, asthma.
(3) Evidence of long term disability which may progressively deterio-
rate; for example, malignancy. Multiple Sclerosis.
Details
Check Every Item YES NO (Relate to functions to be performed)
1. Is there evidence of disabling disease of
the musculo-skeletal. cardio-vascular,
nervous, gastro-intestinal. gen i to-urinary,
endocrine systems?
2. Is there evidence of disabling disea.se
affecfing vision, hearing or speech?
3. Is there evidence of disabling metabolic
disease?
4. Is there evidence of infectious disease in
a communicable stage?
5. Is there evidence of drug dependency in-
cluding alcoholism?
6. Is there evidence of any other disabling
disease?
On the basis of my medical examinafion on (date) ,
the
above named individual is free from disabling disease, except as noted
above, which I believe unfits the individual to instruct, in the position for
which application is being made, or to associate with children.
/
Signature of Physician
Date
/
Name of Physician (print) License #
To be relumed by the examining physician directly to the school dis-
trict or County Office requesting the examination.
(d) The governing board of each district or county superintendent of
schools office shall determine, on the basis of informaUon on the medical
examination form, whether or not the applicant is free from any disabling
disease unfitting the applicant to perform the functions, required in the
position for which applicafion is being made, or to associate with chil-
dren.
(e) The governing board of a school district or the county superinten-
dent of schools office may require certificated employees to undergo a
periodic medical examination by a licensed physician and surgeon to de-
termine that the employee is free from any communicable disease unfit-
ting the employee to instruct or associate with children. Such examina-
tion shall be at the expense of the school district and may be recorded in
a locally developed medical refen-al form.
NOTE: Authority cited: Secfion 44843, Education Code. Reference: Section
44843, Education Code.
History
1 . New section filed 1-17-75; effective thirtieth day thereafter (Register 75, No.
3).
2. Amendment of section and repealer of NOTE filed 9-23-77; effective thirtieth
day thereafter (Register 77, No. 39).
3. Renumbering of Secfion 5505 to Section 5504 filed 1 1-9-79; effective thinieth
day thereafter (Register 79, No. 45). For history of former Section 5504. see
Register 78, No. 45.
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Register 2004, No. 24; 6- 1 1 -2004
§5530
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Subchapter 2. Duties of Certificated and
Noncertificated Personnel
Article 1.
Duties of All Certificated
Personnel
§ 5530. Moral Supervision.
All certificated personnel shall exercise careful supervision of the
moral conditions in their respective schools. The governing board, prin-
cipals, and other certificated personnel shall not tolerate any act of a pupil
described in Section 301.
History
1 . New Chapter 1 (§§ 3530, 5531 , 5550-5556, 5570 and 5590) filed 9-23-69 ef-
fective thirtieth day thereafter (Register 69, No. 39).
§ 5531. Supervision of Extracurricular Activities of Pupils.
All social activities of pupils, wherever held, if conducted under the
name or auspices of a public school or of any class or organization there-
of, shall be under the direct supervision of certificated employees of a dis-
trict or an office of a county superintendent of schools.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
33031(c) and 33352, Education Code.
History
1. Amendment filed 3-7-78; effective thirtieth day thereafter (Register 78, No.
10).
2. New subsection (b) filed 7-30-81; effective thirtieth day thereafter (Register
81, No. 31).
3. Amendment filed 8-26-82; effective upon filing pursuant to Government Code
Section 11 346.2(d) (Register 82, No. 35).
4. Amendment filed 6-29-84; effective upon filing pursuant to Government Code
Section 1 1346.2(d) (Register 84, No. 26).
5. Amendment filed 8-5-85; effective upon filing pursuant to Government Code
Section 1 1346.2(d) (Register 85, No. 32).
6. Amendment filed 11-2-88; operative 12-2-88 (Register 88, No. 46).
§ 5532. Employment of Noncertificated Athletic Coaches.
NOTE: Authority cited: Sections 33031 and 35160, Education Code. Reference:
Section 33352, Education Code.
History
1. New section filed 8-5-85; effective upon filing pursuant to Government Code
Section 11346.2(d) (Register 85, No. 32).
2. Repealer filed 11-2-88; operafive 12-2-88 (Register 88, No. 46).
Article 2. Duties of Principals
§ 5550. Principal.
The governing board of each school district shall employ a principal
for each school of the district who may also be a teacher. One person may
be employed as principal of more than one school. In a one-teacher
school the teacher is the principal.
§ 5551. Administration of School.
The principal is responsible for the supervision and administration of
his school.
History
1 . Organizational headings of CCR were renamed as a result of CCR Reformat
Project as follows: "Chapter" was renamed to "Subchapter"; "Division" was re-
named to "Chapter"; and "Part" was renamed to "Division."
§ 5552. Playground Supervision.
Where playground supervision is not otherwise provided, the princi-
pal of each school shall provide for the supervision by certificated em-
ployees of the conduct and safety, and for the direction of the play, of the
pupils of the school who are on the school grounds during recess and oth-
er intermissions and before and after school.
§ 5553. Dissemination of Information.
(a) The principal of a school shall inform all employees in the school
of the provisions of Articles 2 and 3 of Chapter 1 of Division 2 (pupils).
He shall inform all certificated employees of the provisions of this chap-
ter.
(b)The principal of the school shall inform, or cause to be informed of
the provisions of Articles 2 and 3 of Chapter 1 of Division 2 (pupils) all
pupils of the school in a way that the principal deems appropriate to the
grade level of the pupils.
§ 5554. Records to Be Kept on File by All Principals in the
Office of the School.
Note: Authority cited: Secfion 33031, Education Code. Reference: Section
32001, Education Code.
History
1 . Repealer filed 1 1-7-79; effective thirtieth day thereafter (Register 79, No. 45).
§ 5555. Additional Records Kept by High School
Principals.
NOTE: Authority cited: Section 33031, Education Code. Reference: Secfions
51200, 51269, 60260-60265, and 60400, Education Code.
History
1 . Repealer filed 1 1-7-79; effective thirtieth day thereafter (Register 79, No. 45).
§ 5556. Reports to the State Department of Education.
Note: Authority cited: Section 33031, Educafion Code. Reference: Section
10043, Educafion Code.
History
1 . Repealer filed 1 1-7-79; effective thirtieth day thereafter (Register 79, No. 45).
Article 3. Duties of Teachers
§ 5570. When School Shall Be Open and Teachers
Present.
Unless otherwise provided by rule of the governing board of the school
district, teachers are required to be present at their respective rooms, and
to open them for admission of the pupils, not less than 30 minutes before
the time prescribed for commencing school.
All teachers shall observe punctually the hours fixed by regulation of
the governing board of the school district for opening and closing school.
Article 4. Duties of District
Superintendents
§ 5580. Library Records.
The district superintendent (or principal if there is no superintendent)
shall keep or cause to be kept the following school library records:
(a) Records of the acquisition of all school library materials which,
with reasonable care and use, may be expected to last more than one year.
Such records shall be kept in a book or card file provided for the purpose
and shall include the name of the author, or other appropriate identifica-
tion, the title, and the date recorded.
(b) An index, by name of author, title, and subjects, of all materials de-
scribed in (a). If no author is identifiable, another appropriate entry may
be substituted.
Article 5.
Duties of Temporary Athletic
Team Coaches
§ 5590. Definitions.
(a) "Temporary athleUc team coach" as used in this article implements
the substance of Education Code Sections 35 179.5 and 44919. A "tempo-
rary athletic team coach" is a certificated or noncertificated employee,
other than a substitute employee, hired to supervise or instruct interscho-
lastic athletic activities as a temporary employee in a limited assignment
capacity. The term is applicable to a certificated employee who super-
vises or instructs interscholastic athletic activities in addition to his or her
regular assignment.
•
Page 98
Register 2004, No. 24; 6- 1 1 - 2004
Title 5
California Department of Education
§ 5593
(b) An "athleiic team" as used in this article is any team participating
in any interscholastic athletic competition.
(c) An "interscholastic athletic competition" as used in this article is
an interscholastic competition involving two or more schools.
(d) A "valid cardiopulmonary resuscitation (CPR) card" as used in this
article is an unexpired CPR curd obtained by successfully completing ei-
ther:
( 1 ) One of the courses listed in Section 1 00026 of Title 22 of California
Code of Regulations (CCR) (two options being a course in cardiopulmo-
nary resuscitation sponsored and/or approved by either the American
Heart Association or the American Red Cross); or
(2) Subject to the conditions set out in this subsection below, a course
from an entity which, in the judgment of the governing board of the
school district, has provided the individual with CPR training that com-
plies with the standards set out in Article 3 of Chapter 1.5 of Title 22 of
the CCR, commencing with Section 100019.
(A) "Cardiopulmonary resuscitation" as it is used in this article shall
conform to the definition of "cardiopulmonary resuscitation" as defined
in Section 10006 of Title 22 of the CCR entailing standards promulgated
by the American Heart Association and the American Red Cross.
(B) An expired CPR or first aid card can be revalidated in accordance
with the retraining requirement set out in Section 100025 of Title 22 of
the CCR.
(e) A "valid first aid card" as used in this article is any unexpired first
aid card obtained by successfully completing either:
( 1 ) One of the courses Hsted in Section 1 00026 of Title 22 of the Cali-
fornia Code of Regulations (CCR) (one option being a course in first aid
sponsored and/or approved by the American Red Cross); or
(2) Subject to the conditions set out in this subsection below, a course
from an entity which, in the judgment of the governing board of the
school district, has provided the individual with first aid training that
complies with the standards set out in Article 3 of Chapter 1.5 of Title 22
of the CCR, commencing with Section 100019.
(A) "First aid" as it is used in this article shall conform to the definition
of "first aid" as defined in Section 100008 of Title 22 of the CCR.
(B) An expired CPR or first aid card can be revalidated in accordance
with the retraining requirements set out in Secfion 100025 of Title 22 of
the CCR.
NOTE: Authority cited: Sections 33031 and 35179.5, Education Code. Reference:
Sections 33353. 35179.5 and 44919(b), Education Code.
History
] . Renumbering of former Section 5590 to Section 5580, and new Section 5590
filed 1 1-2-88; operative 12-2-88 (Register 88, No. 46).
§ 5591 . Supervision of Athletic Team Activities.
(a) All athletic team activities, wherever held, if conducted under the
name and auspices of a public school or of any class or organization
thereof, may be under the direct supervision of a temporary athletic team
coach. Effective July 1 , 1988, coaches shall meet the requirements of sec-
tion 5593.
(b) Noncertificated coaches shall have no authority to give grades to
students.
NOTE: Authority cited: Sections 33031 and 35179.5, Education Code. Reference:
Section 35179.5, Education Code.
History
1. New section filed 11-2-88; operative 12-2-88 (Register 88, No. 46).
§ 5592. Use of Noncertificated Temporary Atiiletic Team
Coacli.
The governing board of any school district may use a noncertificated
temporary athletic team coach as defined in Section 5590 to supervise
and instruct in interscholastic athletic programs and activities subject to
the following general conditions:
(a) The district shall not use any noncertificated temporary athletic
team coach who has been convicted of any offense referred to in Educa-
tion Code Sections 44010, 44011, or 44424 or any offense involving
moral turpitude or evidencing unfitness to associate with children.
(b) The district has on file a v^ritten statement from a licensed physi-
cian or other authorized individual approved by the district that the non-
certificated temporary athletic team coach is free from tuberculosis and
any other contagious disease that would prohibit certificated teachers
from teaching. The statement shall be renewed every four years.
(c) The noncertificated temporary athletic team coach complies with
Section 5593.
NOTE: Authority cited: Sections 33031 and 35179.5, Education Code. Reference:
Section 35179.5, Education Code.
History
1. New section filed 1 1-2-88; operative 12-2-88 (Register 88, No. 46).
2. Change without regulatory effect repealing subsection (a) and relettenng fol-
lowing subsections filed 1 1-21-91 pursuant to section 100, title!, California
Code of Regulations (Register 92, No. 8).
§ 5593. Temporary Atiiletic Team Coach Qualifications and
Competencies.
This section applies to any person serving at any grade level as a tem-
porary athletic team coach.
(a) The district shall determine whether a temporary athletic team
coach is knowledgeable and competent in the areas of:
(1) Care and prevention of athletic injuries, basic first aid and emer-
gency procedures;
(2) Coaching techniques;
(3) Rules and regulauons in the athletic activity being coached; and
(4) Child or adolescent psychology, whichever is appropriate to the
grade level of the involved sports activity.
(b) The district shall establish a temporary athletic team coach's quali-
fications in each of the below specified four competency areas.
( 1 ) Care and prevenUon of athleUc injuries, basic sports injury first aid,
and emergency procedures as evidenced by one or more of the following:
(A) Complefion of a college-level course in the care and prevention
of athlefic injuries and possession of a valid cardiopulmonary resuscita-
tion (CPR) card; or
(B) A valid sports injury certificate or first aid card, and a valid cardio-
pulmonary resuscitation CPR card; or
(C) A valid Emergency Medical Technician (EMT) I or II card; or
(D) A valid trainer's cerfificauon issued by the National or California
Athletic Trainers' Associafion (NATA/CATA); or
(E) The person has had practical experience under the supervision of
an athletic coach or trainer, or has assisted in team athletic training and
conditioning, and has both valid CPR and first aid cards.
(2) Coaching theory and techniques in the sport or game being
coached, as evidenced by one or more of the following:
(A) Completion of a college course in coaching theory and techniques;
or
(B) Completion of in-service programs arranged by a school district
or a county office of education; or
(C) Prior service as a student coach or assistant athletic coach in the
sport or game being coached; or
(D) Prior coaching in community youth athletic programs in the sport
to be coached; or
(E) Prior participation in organized competitive athletics at high
school level or above in the sport to be coached.
(3) Knowledge of the rules and regulations pertaining to the sport or
game being coached, the league rules and, at the high school level, regu-
lations of the CIF.
(4) Knowledge of child or adolescent psychology as it relates to sports
participafion as evidenced by one or more of the following:
(A) Completion of a college-level course in child psychology for ele-
mentary school positions and adolescent or sports psychology for sec-
ondary school posiUons; or
(B) Complefion of a seminar or workshop on human growth and devel-
opment of youth; or
(C) Prior acfive involvement with youth in a school or community
sports program.
(c) The school district superintendent may waive compliance with any
one or more of the competencies described in subsection (a) provided
Page 99
Register 2004, No. 24; 6- 1 1 -2004
§5594
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
that the person is enrolled in a program leading to acquisition of a compe-
tency. Until the competencies are met, the prospective coach shall serve
under the immediate supervision of a fully qualified temporary athletic
team coach.
NOTE: Authority cited: Sections 3303 1 and 35 1 79.5, Education Code. Reference:
Sections 33352 and 35179.5, Education Code.
History
I . New section filed 1 1-2-88; operative 12-2-88 (Register 88, No. 46).
§ 5594. Local Board Certification of Athletic Coaches.
At the first regular board meeting or within 30 days after selection of
a temporary athletic team coach, whichever is sooner, the district super-
intendent shall certify to the local board of trustees that the provisions in
Section 5593 have been met. The board shall, by April 1 of each year, cer-
tify to the State Board of Education that the provisions of Section 5593
have been met. Said certification form shall be prescribed by the State
Department of Education.
Note: Authority cited: Sections 33031 and 35179.5, Education Code. Reference:
Section 35179.5(b), Education Code.
History
1. New section filed 1 1-2-88; operative 12-2-88 (Register 88, No. 46).
§ 5595. Recertification of Temporary Athletic Team
Coaches.
Once a district has determined that a coach meets the provisions of
Section 5593, the district may recertify the coach.
NOTE: Authority cited: Sections 33031 and 35179.5, Education Code. Reference:
Section 35179.5. Education Code.
History
1. New section filed 1 1-2-88; operafive 12-2-88 (Register 88, No. 46).
§ 5596. Code of Ethical Conduct.
Each school district shall, no later than 90 days subsequent to the filing
of this chapter with the Secretary of State, implement the following listed
standards of ethical conduct for each temporary, probationary, or perma-
nent employee of a school district providing supervisory and instruction-
al services in interscholastic athletic programs and activities. Any speci-
fied person providing such services to the district shall:
(a) Show respect for players, officials and other coaches.
(b) Respect the integrity and judgment of game officials.
(c) Establish and model fair play, sportsmanship, and proper conduct.
(d) Establish player safety and welfare as the highest priority.
(e) Provide proper supervision of students at all times.
(f) Use discretion when providing constructive criticism and when
reprimanding players.
(g) Maintain consistency in requiring all players to adhere to the estab-
lished rules and standards of the game to be played.
(h) Properly instruct players in the safe use of equipment.
(i) Avoid exerting undue influence on a pupil's decision to enroll in an
athletic program at any public or private post-secondary educational in-
stitution.
(j) Avoid exerting undue influence on pupils to take lighter academic
course(s) in order to be eligible to participate in athletics.
(k) Avoid suggesting, providing, o encouraging any athlete to use non-
prescription drugs, anabolic steroids, or any substance to increase physi-
cal development or performance that is not approved by the United States
Food and Drug Administration, Surgeon General of the United States or
American Medical Association.
(1 ) Avoid recruitment of athletes from other schools.
(m) Follow the rules of behavior and the procedures for crowd control
as established by the local board of education and the league in which the
district participates.
NOTE: Authority cited: Sections 33031 and 35179.7, Education Code. Reference:
Section 35179.7, Education Code.
History
1 . New section filed 1 1-2-88; operafive 12-2-88 (Register 88, No. 46).
Subchapter 3. Rights of Certificated
Personnel
§ 5600. Duty-Free Lunch Period.
The duty-free lunch period for teachers and other certificated em-
ployees required by Education Code Section 44813 shall be not less than
30 minutes. It shall be allowed as near noon as is reasonably possible.
If the principal leaves the school premises during his duty-free lunch
period, he shall leave the vice-principal or other certificated employee
in charge.
Note: Authority cited: Secdon 44813, Educafion Code.
History
1 . New Chapter 3 ( §§ 5600, 5601) filed 9-23-69; effective thirtieth day thereafter
(Register 69. No. 39).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
§ 5601 . Transfer of Accumulated Sick Leave of Certificated
Employees.
As used in this section, "accumulated sick leave" means a leave of ab-
sence for illness or injury that is earned under Education Code Section
44978 but is unused. A transfer of accumulated sick leave (1) from any
of the following — a California school district, county superintendent of
schools, or the State Department of Education to any of the following — a
school district (except a community college district), county superinten-
dent of schools, or the Department of Education; or (2) from the Commis-
sion for Teacher Preparation and Licensing or the Office of the Chancel-
lor of the California Community Colleges to a school district (except a
community college district), or county superintendent of schools is au-
thorized by Education Code Sections 44979. 44980 and 44982, provided
the certificated employee meets the eligibility requirements stated there-
in. The transfer shall be accomplished as follows:
(a) The person who accumulated the leave, using a form furnished or
prescribed by the State Department of Education, requests his former em-
ploying agency to send his new employing agency a written statement of
his accumulated sick leave.
(b) Upon receipt of the request, the former employing agency forth-
with transmits to the new employing agency a statement of the person's
accumulated sick leave certified to be true and correct by the officer or
employee of the former employing agency who is charged with maintain-
ing employee attendance records.
(c) The new employing agency credits the person with the accumu-
lated sick leave set forth in the certified statement. Any transfer of sick
leave to the Department of Education shall be subject to the limitations
specified by Education Code Section 44982.*
NOTE: Authority cited: Secfions 44979, 44980 and 44982, Education Code.
History
1 . Amendment filed 1 2-21-73; effective thirtieth day thereafter (Register 73, No.
51).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
Refer to regulations affecting transfer to California Community Colleges or the
Office of the Chancellor of the California Community Colleges. See regulations
adopted by the Board of Governors of the California Community Colleges, Title
5, CAC, Part VI.
Page 100
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§5722
Subchapter 4. Grants of Financial
Assistance to Certificated Personnel
Article 1.
Scholarship Grants for Teachers
of Reading
§ 571 0. Application for a Scholarship Grant for Teachers
of Reading.
An application for a scholarship grant described in Education Code
Section 54170 shall be made upon forms prescribed and furnished by the
State Department of Education. The application shall:
(a) Specify the institution which the applicant proposes to attend.
(b) Specify the course or courses in which the applicant proposes to
enroll.
(c) State that if the scholarship is granted the applicant will enroll for
credit in the course or courses so specified and will use the money only
for tuition, living expenses, and other necessary educational costs at the
institution.
(d) Specify whether the applicant will attend a regular session or a
summer session, and. in either case, the beginning and closing dales of
classroom work for the session shown in the catalogue of the institution
conducting it.
(e) Have attached the statement of the chief administrative officer of
the district in which the applicant is employed, or by such officer of any
other school district, either that the applicant has been nominated, or if
the applicant successfully completes the course described in the applica-
tion he will be nominated, for the position of specialist teacher by the dis-
trict and will be employed by that district during the following school
year. (For this purpose, it is assumed that the appUcant will pass the ex-
amination for "teacher specialist.")
(f) Have attached to it a statement of the salary at which the applicant
is employed, an estimate of other annual income received, and other in-
formation regarding income and expenses, as a basis of determination by
the Department of the financial need of the applicant.
(g) Include such information as the Superintendent of Public Instruc-
tion may specify as a basis for determining the potential of the applicant
to profit from the proposed course of study and to improve the reading
program in any school in which he is employed to perform services.
NOTE; Authority cited: Sections 54171 and 56053. Education Code. Reference:
Section 56050, Education Code.
History
1 . Amendment of section and NOTE fded 9-23-77; effective thirtieth day thereaf-
ter (Register 77. No. 39).
2. Repealer of Article 1 (Sections 5700-5706) and renumbering of Article 2 (Sec-
tions 5710-5712) to Article 1 filed 1 1-9-79; effective thirtieth day thereafter
(Register 79. No. 45).
§ 571 1 . Review of Application; Recommendation.
An application for a scholarship grant shall be reviewed by the Depart-
ment. Such review and the recommendation of the Superintendent of
Public Instruction shall be made on the basis of the following criteria:
(a) The application is complete.
(b) The course or courses in which the applicant proposes to enroll are
designed to improve the teaching of reading and have been approved by
the State Board of Education.
(c) The course or courses of study in which the applicant will enroll
for credit total at least six semester hours. An application proposing en-
rollment in a course or courses totaling less than six semester hours may
be accepted if the Department finds that the course or courses require an
amount of time spent in classroom or other instruction equal to that usual-
ly required for six semester hours of credit or that the instruction pro-
posed will be of sufficient scope, sequence, and depth to compare favor-
ably with the content of courses for which six semester hours are given.
(d) The need of the district by which the applicant is or will be
employed for specialized programs in the teaching of reading is great.
(e) The applicant has the potential to profit from the proposed course
of study and will make a substantial contribution to the reading program
of any district which he tnay serve.
(f) The financial need of the applicant is such that he would be unlikely
to enroll in, and complete, the course of study without the aid of the schol-
arship.
History
1. Amendment filed 9-23-77; effective thirtieth day thereaher (Register 77. No.
39).
§5712. Use or Return of Scholarship.
Scholarship money shall be used only to meet expen.ses in connection
with attendance at colleges and universities approved by the State Board
for purposes of Secfion 54171 of the Education Code and for enrollment
in courses approved by the Department.
If a scholarship is granted and the $250 is paid to the applicant, but the
applicant is. for any reason, unable or unwilling to proceed with enrol-
lment and completion of the course, the recipient of the award shall repay
the $250 to the State Board, unless the Superintendent of Public Instruc-
tion shall find that the recipient actually enrolled in the course but for rea-
sons beyond his control was unable to complete it.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Reeister 77. No.
39).
Article 2. Loans to Teachers of
Educationally Handicapped Minors for
Specialized Preparation During the Summer
(Section 56060 Loans)
§ 5720. Applicable Provisions of Article 1 .
The provisions of Article 1 of this chapter apply to guaranteed loans
to teachers of educationally handicapped minors authorized by Educa-
tion Code Sections 56060 through 56064 (hereinafter called Section
56060 Loans).
NotE: Authority cited: Section 560f)3, Education Code. Issuing Agency: Superin-
tendent of Public Instruction.
Hlstory
1 . New Article 3 (§§ 5720, 5721 , 5722) filed 3-27-70; effective thirtieth dav there-
after (Register 70, No. 13).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth dav thereaf-
ter (Register 77, No. 39).
3. Renumbering of Article 3 (Sections 5720-5722) to Article 2 filed I 1-9-79; ef-
fective thirtieth day thereafter (Register 79, No. 45).
§ 5721. Approval of Specialized Preparation.
The Superintendent of Public Instrucfion will issue, with the applica-
tion for a loan, a list of institutions offering specialized preparation that
he approves as designed to develop competencies for teaching educa-
tionally handicapped minors. The applicant shall choose specialized
preparation at an institution so listed.
The Superintendent of Public Instruction will consider for listing only
colleges and universities that meet both of the following requireinents:
(a) They are approved by the State Board of Education (or comparable
agency in state other than California) for preparing candidates for a
teaching credential.
(b) They offer a program of specialized preparaUon in teaching educa-
tionally handicapped minors or porfions of such a program in conjunc-
tion with a program of specialized preparation for teaching physically
handicapped or mentally handicapped minors.
§ 5722. Repayment of Loans.
A loan made pursuant to this article shall be repaid to the Department
of Education in accordance with instructions on the application form
(Form No. SE-34) furnished by the Department. The loan shall be repaid
in five (5) equal annual installments, beginning on the first day of July
following the summer the recipient undertook the preparation for which
Page 101
Register 2004, No. 24; 6- 1 1 -2004
§6000
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
the loan was made, and on July 1 of each year thereafter until paid. For
good cause shown by the recipient, the Superintendent of Public Instruc-
tion may postpone the due date of any installment.
In order to receive the 20 percent credit authorized by Education Code
Section 56063 in heu of payment of an installment, the recipient shall
present evidence that he taught educationally handicapped minors in the
California public schools for the school year immediately preceding the
July 1 when that installment is due. For the purposes of Education Code
Section 56063 and this section, a "year" of teaching means teaching for
the minimum school day applicable to the level taught for at least 75%
of the number of days the regular schools of the district were maintained
in the school year.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
Subchapter 5. Instructional Time and Staff
Development Reform Program
§ 6000. Definitions.
For purposes of the Instructional Time and Staff Development Reform
Program pursuant to Education Code sections 44579-44579.4 the fol-
lowing definitions shall apply:
(a) "Certificated classroom teacher" as used in Education Code sec-
tion 44579. 1 (c)( 1 ) means an employee of the school district or county of-
fice of education, employed in a position or positions requiring certifica-
tion qualifications, whose duties require him or her to provide direct
instruction to pupils in classrooms of the schools of that school district
or county office of education. Certificated classroom teacher may in-
clude a substitute only if the employee or employees whom the substitute
is replacing are not included for purposes of the Instructional Time and
Staff Development Reform Program.
(b) "Certificated teaching assistant" as used in Education Code section
44579.1(c)(1) means a classified employee of the school district or
county office of education who possesses a certificate issued pursuant to
Education Code section 10020 and who is assigned to work in the clas-
sroom under the immediate supervision of a certificated classroom teach-
er.
(c) "Classified classroom instructional aide" as used in Education
Code section 44579.1(c)(1) means a classified employee of the school
district or county office of education, employed in a position or positions
as defined in Education Code section 45343 whose duties require him or
her to assist certificated classroom teachers in the classroom in the super-
vision and instruction of pupils.
(d) "Classroom instructional aide and assistant" as used in Education
Code section 44579. 1 (c)(2) means an employee of a charter school who
is assigned to assist a classroom teacher in the classroom in the supervi-
sion and instruction of pupils.
(e) "Classroom teacher" as used in Education Code section
44579. 1 (c)(2) means an employee of a charter school in a position or po-
sitions whose duties require him or her to provide direct instruction to pu-
pils in classrooms of the charter school. Classroom teacher may include
a substitute only if the employee or employees whom the substitute is re-
placing are not included for purposes of the Instructional Time and Staff
Development Reform Program.
(f) "Core curriculum areas" as used in Education Code section
44579. 1 means those areas of study specified in Education Code sections
51210(a) through (g) and 51220(a) through (j).
(g) "Number of teacher-days attendance" as used in Education Code
section 44579.2(a)(3) means the sum of the full staff development days
of attendance of the qualified classroom teachers, classroom instruction-
al aides and teaching assistants of the school district, charter school, or
county office of education.
NOTE: Authority cited: Sections 33031 and 44579.1(b), Education Code. Refer-
ence: Sections 10020. 41401, 44579-44579.4, 45343, 51210 and 51220, Educa-
tion Code.
History
1 . New subchapter 5 (sections 6000-6001 ) and section filed 2-2-98 as an emer-
gency: operative 2-2-98 (Register 98, No. 6). A Certificate of Compliance must
be transmitted to OAL by 6-2-98 or emergency language will be repealed by
operation of law on the following day. For prior history, see Register 77, No. 39.
2. Subchapter 5 (sections 6000-6001) and section repealed by operation of Gov-
ernment Code section n346.1(g) (Register 98, No. 43).
3. New subchapter 5 (sections 6000-6002) and section filed 1 0-23-98 as an emer-
gency; operative 10-23-98 (Register 98. No. 43). A Certificate of Compliance
must be transmitted to OAL by 2-22-99 or emergency language will be re-
pealed by operation of law on the following day.
4. Certificate of Compliance as to 10-23-98 order, including amendment of sub-
section (e). transmitted to OAL 2-9-99 and filed 3-25-99 (Register 99, No. 1 3).
§ 6001 . Records of Attendance.
"Records of attendance" as used in Education Code 44579.1(e) shall
include a certification by a school district official that the contempora-
neous record of attendance correctly represents the full days of atten-
dance claimed for each of the participants claimed in SecUon 6002.
Each school district, charter school and county office of education par-
ticipating in the Instructional Time and Staff Development Reform Pro-
gram shall maintain a certification of the contemporaneous record of at-
tendance of the eligible participants who attended each full staff
development day for which the school district, charter school and county
office of education requests grant funding pursuant to Educafion Code
secfions 44579-44579.4. If a single staff development day is conducted
over several calendar days, the contemporaneous records must evidence
that each eligible school district, charter school or county office of educa-
tion employee who participated in the staff development day was present
for the equivalent of a full-time instructional work day.
NOTE: Authority cited: Sections 33031 and 44579.1(b), Education Code. Refer-
ence: Sections 44579-44579.4, Education Code.
History
1 . New section filed 2-2-98 as an emergency; operative 2-2-98 (Register 98, No.
6). A Certificate of Compliance must be transmitted to OAL by 6-2-98 or emer-
gency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 98,
No. 43).
3. New section filed 10-23-98 as an emergency; operative 10-23-98 (Register 98,
No. 43). A Certificate of Compliance must be transmitted to OAL by 2-22-99
or emergency language will be repealed by operation of law on the following
day.
4. Certificate of Compliance as to 10-23-98 order transmitted to OAL 2-9-99 and
filed 3-25-99 (Register 99, No. 13).
§ 6002. Method of Application for Funds.
To receive funding, eligible school districts, charter schools and
county offices of education shall complete and file with the California
Department of Education an Instructional Time and Staff Development
Reform Program Application for Funding and certification (November
1998).
NOTE: Authority cited: Sections 33031 and 44579.1(b), Education Code. Refer-
ence: Sections 44579.1 and 44579.2, Education Code.
History
1 . New section filed 10-23-98 as an emergency; operative 10-23-98 (Register 98,
No. 43). A Certificate of Compliance must be transmitted to OAL by 2-22-99
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 10-23-98 order, including amendment of sec-
tion, transmitted to OAL 2-9-99 and filed 3-25-99 (Register 99, No. 13).
Subchapter 6. Positions Requiring
Certification Qualifications
History
Amendment and renumbering of Chapter 6 (Sections 5800-5802) to Article 6
(Sections 80125-80127) of Chapter 1 of Part VIII, filed 12-16-77; effective
thirtieth day thereafter (Register 77, No. 51). For prior history, see Register 69,
No. 34.
•
Page 102
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 6103
•
Subchapter 7. No Child Left Behind
Teacher Requirements
Article 1. General
§6100. Definitions.
For purposes of No Child Left Behind (NCLB) Teacher Require-
ments, the following definitions shall apply:
(a) "Advanced Certification" means a teacher who has achieved Na-
tional Board Certification, or has completed the Subject Matter Verifica-
tion Process for Middle and High School Level Teachers in Special Set-
tings (VPSS January. 2007) as defined in section 6105.
(b) "Coursework Equivalent to Undergraduate Major" means thirty-
two non-remedial semester units in a particular discipline from an ac-
credited institution of higher education shall constitute coursework
equivalent to an undergraduate major.
(c) "Credential" means a Preliminary, Professional Clear or Life Cre-
dential, or any teaching credential issued under prior statutes, that autho-
rizes a person to teach in California K-12 schools.
(d) "Elementary, Middle and High School" means the local education-
al agency shall determine, based on curriculum taught, by each grade or
by each course, if appropriate, whether a course is elementary, middle or
high school.
(e) "First Day of School" is the first day of school that students report
to the school per the district school calendar.
(0 "Grade Span": The local educational agency shall determine, based
on curriculum taught, which grades shall be included in the elementary,
middle, or high school grade spans.
(g) "Hard-to-Staff Setting" means a middle or high school SRSA
classroom, a middle or high school special education classroom, or a
middle or high school alternative education program, as specified by
California Education Code section 44865. Alternative education pro-
grams as specified in California Education Code section 44865 are lim-
ited to the following: home teacher, hospital classes, necessary small
high schools, continuation schools, alternative schools, opportunity
.schools, juvenile court schools, county community schools, and district
community day schools.
(h) "Hired" means a teacher is hired when they accept employment at
the school district. The date a teacher is hired is not affected by a change
of assignments or schools within the district. The date a teacher is hired
in a district does not affect a teacher's "new" or "not new" to the profes-
sion status.
(i) "International Teacher" means a credentialed teacher prepared in
a country other than the United States.
(j) "Level 1 Professional Development" means training that will pro-
vide a teacher the requisite understanding of each set of Content Stan-
dards for California Public Schools as outlined in the corresponding
Framework for California Public Schools: Kindergarten through Grade
Twelve. At least 36 hours in the core subject for which the teacher is be-
ing certified is required to substantively address subject matter content
at this level.
(k) "Level 2 Professional Development" means training that will pro-
vide a teacher a more in-depth understanding than was provided in Level
1 of each set of the grades seven through twelve Content Standards for
California Public Schools as outlined in the corresponding Framework
for California Public Schools: Kindergarten through Grade Twelve from
an advance standpoint. At least 36 hours in the core subject for which the
teacher is being certified is required to substantively address subject mat-
ter content at this level.
(/) "SRSA" means Small Rural Schools Achievement Program as de-
fined in the Elementary and Secondary Act of 1965, as amended. Title VL
Parts.
(m) "Teacher New to the Profession" means a teacher is new to the
profession if they have graduated from an accredited institution of higher
education and received a credential, or began an approved intern pro-
gram, on or after July 1 , 2002.
(n) "Teacher Not New to the Profession" means a teacher is not new
to the profession if they graduated from an accredited institution of high-
er education and received a credential, or were enrolled in, or had com-
pleted, an approved intern program before July 1 , 2002.
NOTE: Authority cited: Section 12001, Education Code. Reference: 20 U.SC
6319(a) and 7801(23); Section 44275.4. Education Code: ElenwiiUin ami Scv-
<^-'/;fl't;n\4(7r?/7965, as amended. Title VI, Pan B; Improving TeaeherQualily Slate
Grants Title 11, Part A Non-Regulatory Draft Guidance January 1 6. 2004: and In-
dividuals with Disabilities Education Act (IDEA) of 2004 Federal Register of Au-
gust 14, 2006.
History
1. New subchapter 7 (articles 1-6, sections 6100-6125), article 1 (section 6100)
and section filed 2-27-2004; operative 2-27-2004 pursuant to Government
Code section 1 1343.4 (Register 2004, No. 9).
2. Amendment of subsection (d), new subsection (j) and amendment of Noil filed
11-15-2004; operative ll-I. 5-2004 pursuant to Govemmeni Code section
1 1.^3.4 (Register 2004, No. 47).
3. Amendment of section and Note filed 5-21-2008; operative 6-20-2008 ( Ree-
ister2008. No. 21).
Article 2. Elementary Level Teachers
§6101. Elementary Teachers.
A teacher who meets NCLB requirements at the elementary level is
one who:
(1) Holds at least a bachelor's degree, and
(2) Is currently enrolled in an approved intern program for less than
three years or has a credential, and
(3) Meets the applicable requirements in Section 6102 or 6103.
NOTE: Authority cited: Section 12001, Education Code. Reference: 20 USC
7801(23). 20 USC 6319(a) and Improving Teacher Quality State Grants Title II,
Part A Non-Regulatory Draft Guidance December 19, 2002.
History
1. New article 2 (sections 6101-6104) and section filed 2-27-2004; operative
2-27-2004 pursuant to Government Code section 1 1 343.4 (Register 2(X)4. No.
9).
§ 6102. Elementary Teachers New to the Profession.
A teacher who meets the NCLB requirements and is new to the profes-
sion at the elementary level, in addition to having at least a bachelor's de-
gree and either being currently enrolled in an approved intern program
for less than three years or holding a credential, must have passed a vali-
dated statewide subject matter examination certified by the Commission
on Teacher Credential! ng, including, but not limited to the California
Subject Examination for Teachers (CSET) Multiple Subjects, Multiple
Subject Assessment for Teachers (MSAT), and National Teaching Ex-
ams (NTE).
Note: Authority cited: Section 12001, Education Code. Reference: 20 USC
7801(23), 20 USC 6319(a) and Improving Teacher Quality State Grants Title II,
Part A Non-Regulatory Draft Guidance December 19, 2002.
History
1. New section filed 2-27-2004; operative 2-27-2004 pursuant to Govemmeni
Code section 1 1343.4 (Register 2004, No. 9).
§ 61 03. Elementary Teachers Not New to the Profession.
A teacher who meets NCLB requirements and is not new to the profes-
sion at the elementary level, in addition to having at least a bachelor' s de-
gree and either being currently enrolled in an approved intern program
for less than three years or holding a credential, must have completed one
of the following:
(1) A validated statewide subject matter examination that the Com-
mission on Teacher Credentialing has utilized to determine subject mat-
ter competence for credentialing purposes.
(2) A high objective uniform state standard evaluation conducted pur-
suant to Section 6104 and in conjunction with the teacher's evaluation
and assessment pursuant to Education Code section 44662, to determine
the teacher' s subject matter competence in each of the academic subjects
taught by the teacher.
Page 103
Register 2008, No. 21; 5-23-2008
§6104
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
NOTE; Authority cited: Section 12001, Education Code. Reference: 20 USC
7801(23), 20 USC 6319(a) and Improving Teacher Quahty State Grants Title II,
Part A Non-Regulatory Draft Guidance December 19, 2002.
History
1. New section filed 2-27-2004; operative 2-27-2004 pursuant to Government
Code section 1 1343.4 (Register 2004, No. 9).
§ 6104. High Objective Uniform State Standard Evaluation
(HOUSSE).
(a) The high objective uniform state standard evaluation shall consist
of HOUSSE Part 1 and HOUSSE Part 2.
( 1 ) HOUSSE Part 1 shall be a summation of:
(A) years of experience teaching in the grade span or subject. In no
event shall years of experience account for more than half of the total
points necessary to demonstrate subject matter competency.
(B) core academic coursework in assigned grade span or subject,
(C) in-depth standards aligned professional development, and
(D) service to the profession including but not limited to presenter or
consultant of core content area standards-based professional develop-
ment; core subject-matter mentor; academic curriculum coach; universi-
ty supervising master teacher; instructor at a regionally accredited col-
lege/university in content area/content methodology; Beginning Teacher
Support and Assessment support provider in the core content area; pub-
lished author on core curriculum area; national/state recognition as ''Out-
standing Educator" in content area/grade span; leadership role in the core
content area on a high school accreditation team; facilitator or leader of
a local instructional materials adoption committee in the core subject
taught.
(2) HOUSSE Part 2 shall consist of direct observation and portfolio as-
sessment in the grade span or subject taught. HOUSSE Part 2 will only
be conducted if HOUSSE Part 1 does not identify sufficient experience,
coursework, professional development or service to demonstrate subject
matter competence.
(b) The high objective uniform state standard evaluation observation
and portfolio section (HOUSSE Part 2) may be conducted at the time and
by the means utilized to satisfy Education Code section 44662, except
that (1) subject matter shall be defined as the State Academic Content
Standards adopted by the State Board of Education pursuant to Education
Code section 60605 for the grades and subjects taught, and (2) competen-
cy shall be demonstrated by satisfactorily meeting standards 3 and 5. 1 of
the California Standards for the Teaching Profession adopted by the
Commission on Teacher Credentialing pursuant to Education Code sec-
tion 44225(a). The demonstration of subject matter competence shall in-
clude one or more of the following:
(1) Classroom observation,
(2) Demonstration of knowledge of the appropriate grade-level and
subject State Academic Content Standards, and
(3) Portfolio review of lesson plans and student work for one academic
period as defined by the teacher setting.
(c) Local educational agencies shall conduct the California High Ob-
jective Uniform State Standard Evaluation (HOUSSE) by completing
Form 1 — NCLB Teacher Requirements: Certificate of Compliance (re-
vised December 2007), Form 2 — California High Objective Uniform
State Standard of Evaluation, CALIFORNIA HOUSSE, Part 1 — As-
sessment of Qualifications and Experience (revised December 2007),
and Form 3 — California High Objective Uniform State Standard of
Evaluation, CALIFORNIA HOUSSE, Part 2 — Assessment of Current
Qualifications through Classroom Observation and/or Portfolio Devel-
opment (revised December 2007), as appropriate. Forms 1, 2, and 3 are
hereby incorporated by reference into this section. Local education agen-
cies may attach completed forms containing the same information as
Forms 1 , 2 and/or 3 to those forms rather than transcribing that informa-
tion onto the applicable Form 1, 2, and 3.
(d) A teacher's supervising administrator shall be responsible for
overseeing the high objective uniform state standard evaluation, and
shall consult, if necessary, with a person or persons knowledgeable in the
State Academic Content Standards for the grade span or subject for
which the teacher is demonstrating subject matter competency. A teacher
must demonstrate subject matter competency only once for each grade
span or subject taught.
(e) If the teacher does not satisfactorily meet standards 3 and 5. 1 of the
California Standards for the Teaching Profession as part of the NCLB
evaluation, then subject matter competency shall be demonstrated
through completion of the Peer Assistance and Review Program for
Teachers or other individualized professional development plan, pur-
suant to Education Code section 44664, aimed at assisting the teacher to
meet standards 3 and 5.1 of the California Standards for the Teaching
Profession.
NOTE: Authority cited: Section 12001. Education Code. Reference: 20 USC
7801(23). 20 USC 6319(a); Improving Teacher Quality State Grants Title II, Part
A Non-Regulatory Draft Guidance December 19. 2002; and Individuals with Dis-
abilities Education Act (IDEA) of 2004 Federal Register of August 14, 2006.
History
1. New section filed 2-27-2004; operative 2-27-2004 pursuant to Government
Code section 1 1 343.4 (Register 2004. No. 9).
2. Amendment of section heading, section and Note filed 5-21-2008; operative
6-20-2008 (Register 2008. No. 21).
§ 6105. Subject Matter Verification Process for IVIiddle and
High School Level Teachers in Special
Settings.
(a) To use the Subject Matter Verificafion Process for Middle and High
School Level Teachers in Special Setfings (VPSS, January 2007), the
teacher must be assigned a Hard-to-Staff Setting as defined in section
6100(g):
(1) Have at least a bachelors degree,
(2) Have an Intern Certificate/Credential for no more than three years,
or a Credential, as defined in 6100(c).
(3) Have demonstrated compliance in one NCLB Core Academic Sub-
ject as defined in the NCLB (20 USC 9101 [1 1]) including elementary
muluple subjects.
(b) If a teacher has less than 32 semester non-remedial units but at least
20 total or 1 0 upper division non-remedial semester units (or quarter
unit-equivalent) in a NCLB core academic subject as defined in NCLB
section 9101 [1 1 ], the teacher must complete a Level 2 High Quality Pro-
fessional Development Course as defined in secfion 6100(k) in the
NCLB core academic subject. At least 36 hours is required to substan-
tively address subject matter content at Level 2.
(c) If the teacher has less than 20 total or 1 0 upper division non-reme-
dial semester units (or quarter unit-equivalent) in an NCLB core aca-
demic subject, the teacher must complete a Level 1 High Quality Profes-
sional Development Course as defined in section 6100(j) and Level 2
High Quality Professional Development Course as defined in section
6100(k) in the NCLB core academic subject. At least 36 hours is required
to substantively address subject matter content at Level 1. In addifion.
teachers must also complete the Level 2 requirements, which include at
least an additional 36 hours.
(d) To meet the high quality professional development specifications
for the Subject Matter Verification Process for Middle and High School
Level Teachers in Special Setfings, (VPSS, January 2(X)7) the profes-
sional development will be consistent with state-adopted academic con-
tent standards, curriculum frameworks and adopted texts, and will incor-
porate the Assessment of Subject Matter Competency as outlined in the
document California's Subject Matter Verification Process for Middle
and High School Level Teachers in Special Settings (VPSS, January
2007).
(e) Teachers have up to three years from date of assignment as an eligi-
ble teacher to complete the program.
(f) The superintendent of any district/county shall attest that the pro-
fessional development offered for Level 1 and Level 2 meets the subject
matter specifications as outlined in secfion 6105(b), (c) and (d).
(g) The district/county shall make the master list of approved Level 1
and Level 2 Professional Development available to the public upon re-
quest.
•
Page 104
Register 2008, No. 21; 5-23-2008
Title 5
California Department of Education
§6115
•
Noir;; Aiithoritv cited: Seclion 12001, Education Code. Reference: 20 USC
7801(23). 20 use 6319(a): Improving Teacher Quality State Grants Title II, Part
A Non-Regulatory Draft Guidance December 19, 2002; and Individuals with Dis-
abilities Education Act (IDEA) of 2004 Federal Register of August 14. 2006.
History
1. New section llled 5-21-2008; operative 6-20-2008 (Register 2008, No. 21).
Article 3.
Middle and High School Level
Teachers
§ 611 0. Middle and High School Teachers.
A leaciier who meets NCLB requirements at the middle and secondary
levels is one who:
( 1 ) Holds at least a bachelor's degree, and
(2) Is currently enrolled in an approved intern program for less than
three years or has a full credential, and
(3) Meets the applicable requirements in section 6111 or 61 12.
NOTE: Authoritv cited: Section 12001, Education Code. Reference: 20 USC
7801(23). 20 use 6319(a) and Improving Teacher Quality State Grants Title 11,
Part A Non-Regulatory Draft Guidance December 19, 2002.
History
1. New article 3 (sections 6110-6112) and seclion filed 2-27-2004; operative
2-27-2004 pursuant to Government Code section 1 1 343.4 (Register 2004, No.
9).
2. Amendment of subsection (a)(3) filed 6-5-2006; operative 6-5-2006 pursuant
to Government Code seclion 1 1343.4 (Register 2006. No. 23).
§ 61 1 1 . Middle and High School Teachers New to the
Profession.
(a) A teacher who meets NCLB requirements and is new to the profes-
sion at the middle and high school levels, in addition to having at least
a bachelor's degree and either being currently enrolled in an approved in-
tern program for less than three years or holding a credential in the subject
taught, must have passed or completed one of the following for every
core subject currently assigned:
(1) A validated statewide subject matter examination certified by the
Commission on Teacher Credentialing.
(2) University subject matter program approved by the Commission
on Teacher Credentialing,
(3) Undergraduate major in the subject taught,
(4) Graduate degree in the subject taught, or
(5) Coursework equivalent to undergraduate major.
(b) A new special education teacher who is currently enrolled in an ap-
proved special education intern program for less than three years or who
holds a special education credential, and can demonstrate subject matter
competence in mathematics, language arts, or science, may demonstrate
competence in the other core academic subjects in which the teacher
leaches through the High Objective Uniform State Standard Evaluation
contained in article 2 section 6104 not later than two years after date of
employment.
NOTE: Authority cited: Section 12001, Education Code. Reference: 20 USC
7801(23). 20 USC 6319(a) and Improving Teacher Quality State Grants Title II,
Part A Non-Regulatory Draft Guidance December 19, 2002.
History
1. New section filed 2-27-2004; operative 2-27-2004 pursuant to Government
Code section II. 343 .4 (Register 2004, No. 9).
2. Designation of first paragraph as subsection (a) and new subsection (b) filed
11-15-2005; operative 11-15-2005 pursuant to Government Code section
1 1343.4(c) (Register 2005, No. 46).
§ 61 1 2. Middle and High School Teachers Not New to the
Profession.
A teacher who meets NCLB requirements and is not new to the profes-
sion at the middle and high school levels, in addition to having at least
a bachelor's degree and either being currently enrolled in an approved in-
tern program for less than three years or holding a credential, must have
passed or completed one of the following for every core subject currently
assigned;
( 1 ) A validated statewide subject matter examination that the Com-
mission on Teacher Credentialing has utilized to determine subject mat-
ter competence for credentialing purposes,
(2) University subject matter program approved by the Commission
on Teacher Credentialing,
(3) Undergraduate major in the subject taught.
(4) Graduate degree in the subject taught,
(5) Coursework equivalent to undergrad major,
(6) Advanced certification or credentialing (National Board Certifica-
tion), or
(7) The high objective uniform state standard evaluation pursuant to
article 2. section 6104.
NOTE: Authority cited: Section 12001, Education Code. Reference: 20 USC
7801(23), 20 USC 6319(a) and Improving Teacher Quality Slate Grants Title II.
Part A Non-Regulatory Draft Guidance December 19. 2002.
History
1. New section filed 2-27-2004; operative 2-27-2004 pursuant to Government
Code section 1 1 343.4 (Register 2004, No. 9).
2. Amendment of subsections ( 1 ) and (7) filed 6-5-2006; operative 6-5-2006 pur-
suant to Government Code secfion 1 1.343.4 (Register 2006, No. 23).
§ 6113. Middle and High School Teachers Rural Flexibility.
(a) A teacher hired by a small rural LEA, as defined by the Small Rural
School Achievement (SRSA) program, after the end of the 200.3-04
school year, to teach multiple subjects must meet NCLB requirements in
at least one core academic subject assigned but will have three years from
the date of hire to obtain highly qualified status in all other core academic
subjects assigned to teach.
(b) A teacher hired by a small iTiral LEA, as defined by the Small Rural
School Achievement (SRSA) pt-ogram, before the end of the 2003-04
school year, to teach multiple subjects must meet NCLB requirements in
at least one core academic subject assigned but will have until the end of
the 2006-07 school year to obtain highly qualified status in all other core
academic subjects assigned to teach.
(c) In order to use this flexibility, covered LEAs will need to:
(1) provide high-quality professional development that increases the
teachers' content knowledge in the additional subjects they teach; and
(2) provide mentoring or a program of intensive supervision that con-
sists of structured guidance and regular, ongoing support so that teachers
become highly qualified in the additional core academic subject(s) they
teach.
NOTE: Authority cited: Section 12001, Education Code. Reference: 20 USC
7801(23), 20 USC 6319(a) and Improving Teacher Quality State Grants Title II.
Part A Non-Regulatory Draft Guidance August 5, 2005.
History
1. New section filed 6-5-2006; operative 6-5-2006 pursuant to Government
Code section 1 1343.4 (Register 2006, No. 23).
Article 4. State Certification Not Meeting
NCLB Teacher Requirements
§ 61 15. State Certification Not Meeting NCLB Teacher
Requirements.
A teacher does not meet the NCLB teacher requirements for the core
academic subject taught if:
(1) Teaching with an Emergency Permit, or
(2) Teaching with state or local waivers for the grade or subject taught,
or
(3) Teaching as a pre-intern pursuant to Education Code Section
44305 et seq.
NOTE: Authority cited: Section 12001, Education Code. Reference: 20 USC
6319(a) and 7801(23); Section 44275.4, Education Code; and Improving Teacher
Quality State Grants Title II, Part A Non-Regulatory Draft Guidance January 16,
2004.
History
1 . New article 4 (section 6115) and section filed 2-27-2004; operative 2-27-2004
pursuant to Government Code section 1 1343.4 (Register 2004, No. 9).
2. Amendment of article heading and section heading, repealer of subsection (2).
subsection renumbering and amendment of Note filed 1 1-15-2004; operative
11-15-2004 pursuant to Government Code secfion 11343.4 (Register 2004,
No. 47).
Page 105
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§6116
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 611 6. Teachers with Supplementary Authorizations and
Local Teaching Assignment Options.
Teachers who hold a supplementary authorization or are employed on
a local teaching assignment who meet the NCLB Teacher Requirements
are those who:
(1) hold a California teaching credential; and
(2) have demonstrated subject matter competency for the grade span
and subject matter taught.
Note: Authority cited: Section 12001, Education Code. Reference: 20 USC
63!9(a) and 7801(23); and Improving Teacher Quality State Grants Title 11, Part
A Non-Regulatory Draft Guidance January 1 6, 2004.
History
1 . New section filed 1 1 -1 5-2004; operative 11-1 5-2004 pursuant to Government
Code section 11343.4 (Register 2004, No. 47).
Article 5. One-Time Compliance
§6120. One-Time Compliance.
Once a school district has determined that a teacher meets the NCLB
Teacher Requirements for the grade span and/or subject taught, that
teacher will not be required to demonstrate that they meet the require-
ments again for the same grade span and/or subject taught, even if they
are later hired by another school district in California.
NOTE: Authoritv cited: Section 12001, Education Code. Reference: 20 USC
7801(23), 20 use 6319(a) and Improving Teacher Quality State Grants Title II,
Part A Non-Regulatory Draft Guidance December 19, 2002.
History
1. New article 5 (section 6120) and section filed 2-27-2004; operative 2-27-2004
pursuant to Government Code section 1 1343.4 (Register 2004, No. 9).
Article 6. Teachers from Out-of-State
§ 61 25. Teachers from Out-of-State.
Teachers who have met the subject matter competency requirements
of NCLB in states outside of California shall also be considered to have
met those requirements for that subject and grade span in California.
California's credentialing reciprocity is not affected by the requirements
of NCLB.
The date of issuance of a valid teaching credential issued by states out-
side of California shall be used to identify a teacher as new or not new
to the profession in California.
NOTE: Authority cited: Section 12001, Educafion Code. Reference: 20 USC
6319(a) and 7801(23); Section 44275.4, Education Code; and Improving Teacher
Quality State Grants Title II, Part A Non-Regulatory Draft Guidance January 16,
2004.
History
1 . New article 6 (section 6125) and section filed 2-27-2004; operative 2-27-2004
pursuant to Government Code section 1 1343.4 (Register 2004, No. 9).
2. Amendment of section and Note filed 1 1 -1 5-2004; operative 1 1-15-2004 pur-
suant to Government Code section 1 1343.4 (Register 2004, No. 47).
§ 6126. international Teachers.
A teacher from another country who meets the NCLB Teacher Re-
quirements is one who:
(1) Holds a degree from a foreign college or university that is at least
equivalent to a bachelor's degree offered by an American institution of
higher education.
(2) Has completed a teacher preparation program that meets the
California Commission on Teacher Credentialing requirements for out-
of-country trained teachers.
(3) Demonstrates subject matter competency for the grade span and
subjects taught through the same or equivalent processes and methods re-
quired of California Teachers.
(4) Holds a California teaching credential.
Note: Authority cited: Section 12001, Education Code. Reference: 20 USC
6319(a) and 7801(23); and Improving Teacher Quality State Grants Title II, Part
A Non-Regulatory Draft Guidance January 16, 2004.
History
1. New section filed 1 1-15-2004; operative 11-15-2004 pursuant to Government
Code section 1 1343.4 (Register 2004, No. 47).
Chapter 7. Credentials and Institutions
Preparing Candidates for Credentials
Subchapter 17. Teacher Preparation and
Licensing Law of 1970
History
Amendment and renumbering of Subchapter 17, Articles 1-5 (Sections
590(K5991, not consecutive) to Part VIII. Chapter 1, Articles 1-4 (Sections
80000-80095. not consecutive), filed 12-16-77; effective thirtieth day thereaf-
ter (Register 77, No. 5 1 ). For prior history, see Registers 77, No. 44, No. 33, No.
21, No. 13; Registers 76, No. 49, No. 43, No. 25, No. 21, No. 17, No. 12, No.
5: Resisters 75, No. 27, No. 25, No. 16; Registers 74, No. 51, No. 45; and Regis-
ter 73^, No. 26.
Subchapter 18. All Prior Credentials and
Life Diplomas of Any Kind Whatsoever
Article 1. General Provisions
NOTE: Authority cited: Section 152 and Chapter 2 of Division 10, Education
Code. Reference: Sections 131 17-13 119 and Chapter 2 of Division 10. Education
Code.
History
1. New Subchapter 18 (§§ 6000-6011, 6020, 6025-6035, 6050-6053, 6055,
6058-6060, 6070-6077, 6080-6085, 6090-6097) filed 5-31-63; designated
effective 1-1-64 (Register 63, No. 9).
2. Transfer of Subchapter 18 of Chapter 1 to Division 7, Chapter 1, with editorial
reference corrections, but with same section numbers, filed 1-14-70 as an
emergency; effective upon filing (Register 70, No. 3). For prior history, see
Registers 63, Nos. 9 and 25; 68, No. 48; 69, No. 39.
3. Certificate of Compliance filed 3-23-70 (Register 70, No. 13).
4. Repealer of Article 1 (Sections 6000-601 1) filed 3-26-81; effective thirtieth
day thereafter (Register 8 1 , No. 13). For prior history, see Registers 70, No. 2 1 ;
70, No. 9; 65, No. 22; 65, No. 17 and 65, No. 12.
Article 2. Fees
NOTE: Authority cited: Section 44225(b), Education Code. Reference: Sections
44234, 44280, 44289, and 44353, Education Code.
History
1. Amendment of subsections (a) and (b), and new subsection (c) filed 1 1-29-78;
effective thirtieth day thereafter (Register 78, No. 48). For prior history, see
Register 72, No. 44.
2. Repealer filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
Article 3.
Application for Credentials and
Life Diplomas
NOTE: Authority cited: Sections 44225, 44336 and 44339, Education Code. Ref-
erence: Sections 44225, 44234, 44252, 44335, 44336, 44339 and 44344, Educa-
tion Code.
History
1 . Repealer of Article 3 (Sections 6025-6035, not consecutive) filed 3-26-8 1 ; ef-
fective thirtieth day thereafter (Register 81, No. 13). For prior history, see Reg-
ister 70, No. 21.
Article 4. Health Standards Required of
Applicants for Credentials Authorizing
School Service in California
NOTE: Authority cited: Section 44225, Education Code. Reference: Section
44336, Education Code.
History
1 . Repealer of Article 4 (Sections 6050-6053) filed 3-26-81; effective thirtieth
day thereafter (Register 81, No. 13). For prior history, see Registers 68, No. 48;
63, No. 9; 58, No. 9; 56, No. 5; 18, No. 9 and Register 3.
•
•
Page 106
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Title 5
California Department of Education
i} 9501
Article 5. Renewal of Credentials
NOTH: Aiilhority cited: Section 44225, Education Code. Reference: Section
44331. Hducaiion Code.
History
1 . Repealer of Aiticle 5 (Section 6055) filed 3-26-81 ; effective thirtieth day there-
after ( Recister 8 1 . No. 1 3). For prior history, .see Registers 63. No. 9 and 6 1 . No.
18.
Article 6. Life Diplomas Based on "Prior
Regular Credentials"
NOTE: Authority cited: Section 44225, Education Code. Reference: Sections
44254 and 44255, Education Code.
Hlstory
I. Repealer of Article 6 (Sections 6058-6060) filed 3-26-81; effective thirtieth
day thereafter (Register 8 1 , No. 1 3). For prior history, see Registers 63, No. 9;
61. No. 18 and Reeister 3.
Article 7. Issuance and Denial of
Credentials and Life Diplomas
NOTE: Authority cited: Section 44225, Education Code. Reference: Section
44244. Education Code.
History
1. Repealer of Article 7 (Sections 6070-6077) filed 1-31-80; effective thirtieth
day thereafter (Register 80. No. 5). For prior historv see Registers 78, No. 45,
and 73, No. 3. ''
Article 8. Administrative Hearing upon
Denial of an Application
NOTE: Authority cited: Section 44225, Education Code. Reference: Section
44244, Education Code.
History
1. Repealer of Article 8 (Sections 6080-6085) filed 1-31-80; effective thirtieth
day thereafter (Register 80, No. 5).
Article 9. Suspension and Revocation of
Certification Documents
NOTE: Authority cited: Section 44225, Education Code. Reference: Section
44244, Education Code.
History
1. Repealer of Article 9 (Sections 6090-6097) filed 1-31-80; effective thirtieth
day thereafter (Register 80, No. 5).
Subchapter 18.1. Credentials Authorized
by the Licensing of Certificated Personnel
Law of 1961
History
Repealer of Subchapter 18.1 (Sections 6100-6562, not consecutive) filed
1-1 1-79; effective thirtieth day thereafter (Register 79, No. 2). For history of
former Subchapter 18.1, see Registers 63, Nos. 9 and 25; 64, No. 17; 65, No. 12;
66, Nos. 5 and 23; 67, Nos. 16, 24 and 38; 68, Nos. 7, 23, 39, 44 and 48; 69, Nos.
3, 16, 20 and 2 1 ; 70, Nos. 3, 1 3, 25, 29 and .50; 72, No. 43; and 75, No. 39. Sub-
chapter 18.1 originally tiled 5-31-63; designated effective 1-1-64.
Subchapter 18.2. Restricted Credentials
History
Repealer of Subchapter 18.2 (Sections 6570-6604, not consecutive) filed
1-1 1-79; effective thirtieth day thereafter (Register 79, No. 2). For history of
former Subchapter 1 8.2, see Registers 67, No. 5 1 ; 68, No. 48; and 70, Nos. 3 and
13.
Subchapter 18.3. Internship Credentials
Issued under the Teacher Education
Internship Act of 1967, As Amended
NOTE: Authority cited: Sections 152 and 13225. Education Code.
History
1. Transfer of Subchapter 18.3 of Chapter 1 to Division 7. Chapter 1. with same
section numbers, filed 1-1 4-70 (Register 70, No. 3). For prior history see Recis-
ter 67, No. 51 and 68, No. 48.
2. Certificate of Compliance filed 3-23-70 (Register 70, No. 13).
3. Repealer of Subchapter 18.3 (Sections 6620-6624) filed 9-2.3-82; effective
thirtieth day thereafter (Register 82. No. 39).
Subchapter 18.4. Provisional and
Miscellaneous Credentials
History
1. Repealer of Subchapter 18.4 (Sections 6630-6675, not consecutive) filed
1-1 1-79; effecfive thirtieth day thereafter (Register 79, No. 2). For history of
former Subchapter 18.4, see Regiiiters 70, Nos. 25 and 27; 71, Nos. 25 and'28;
72, Nos. 25 and 40; 78, Nos. 10 and 22.
Subchapter 19. Validation of Service
Without a Credential
History
1. Redesignation from chapter 2 of part 1 (section 6680) to chapter 5 of part VIII
(sections 80600-80606. not consecutive) filed 1-1 1-79; effective thirtieth day
thereafter (Register 79, No. 2). For prior history, see Registers 70, No. 9 and 68,
No. 7.
2. Editorial redesignation only of former chapter 2 to subchapter 19 due to refor-
matting of the California Code of Regulations (Register 90, No. 17).
Subchapter 20. Accreditation of Teacher
Education Institutions for Teacher
Certification Purposes
Note: Authority cited for chapter 3 (sections 6685-6692 and 6694-6699): Sec-
fion 13101, Educafion Code.
History
1. Editorial renumbering of subchapter 3.5. sections 800-807 and 820-826, to di-
vision 7, chapter 3, sections 6685-^692 and 6694-6699, respectively (Register
70, No. 9). For prior history, see Registers 54, No. 1 1 ; No. 12; and 63, No. 18.
2. Repealer of chapter 3 (sections 668.5-6699, not consecutive) filed 9-23-82; ef-
fective thirtieth day thereafter (Register 82, No. 39).
3. Editorial redesignation only of former chapter 3 to subchapter 20 due to refor-
matting of the California Code of Regulations (Register 90, No. 17).
Chapter 9. Instructional Materials*
*For State Board procedures relating to text books, see Div. 20.
Subchapter 1. Elementary Instructional
Materials
Article 1. General Provisions
§ 9500. Definition.
Note; Authority cited: Sections 33031, 60401 and 60500, Education Code. Ref-
erence: Secfions 20241(e)(2) and 60024 Education Code.
History
1. Amendment of section and N filed 9-23-77; effecfive thirtieth day thereafter
(Register 77, No. 39). For prior history, see Register 75, No. 40.
2. Repealer filed 6-17-83; effective thirtieth day thereafter (Register 83, No. 25).
§ 9501 . Ownership of Materials.
NOTE: Authority cited: Sections 33031. 60401 and 60500, Education Code. Ref-
erence: Sections 60295 and 60315, Education Code.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
Page 106.1
Register 2008, No. 21; 5-23-2008
§9502
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
2. Repealer filed 6-1 7-83; effecfi ve thirtieth day thereafter (Register 83. No. 25).
§ 9502. Loan of Instructional Materials.
NOTE: Authority cited: Sections 33031, 60404 and 60300, Education Code. Ref-
erence: Sections 60314 and 60315, Education Code.
History
1 . Repealer filed 6-1 7-83; effective thirtieth day thereafter (Register 83, No. 25).
§ 9503. Distribution of Large Print Textbooks.
History
1 . Repealer filed 6-17-83; effective thirtieth day thereafter (Register 83, No. 25).
§ 9504. Distribution of Braille Textbooks.
Note: Authority cited: Sections 33031, 60401 and 60500, Education Code. Ref-
erence: Section 60312, Education Code.
History
1. Repealer filed 6-1 7-83: effective thirtieth day thereafter (Register 83, No. 25).
§ 9505. Purchase of In-Service Training.
No cash allotment authorized by Education Code Section 60242(b) for
purchase of in-service training shall be expended for salaries or for travel
or per diem expenses of district employees during or attendant to partici-
pation in such in-service training.
NOTE; Authority cited: Section 33031, Education Code. Reference: Section
60242(b), Education Code.
History
1 . Amendment tiled 9-23-77; effective thirtieth dav thereafter (Register 77, No.
39).
2. New NOTE filed 6-17-83; effective thirtieth day thereafter (Register 83, No.
25).
§ 9506. Improvement of Quality and Reliability Through
Learner Verification.
A plan developed by a publisher or manufacturer to improve the quali-
ty and reliability of instructional materials through learner verification
shall include, but not be limited to, the following components:
(a) A design for evaluating the effectiveness of the materials in achiev-
ing a positive impact on pupil learning, including the effectiveness of the
materials with diverse pupil populations and pupils with special needs.
(b) A description of the process for the collection of field testing data.
(c) Provisions for input on the materials from parents, teachers, pupils,
and administrators.
(d) A description of the process by which problems with the materials
will be identified and a description of the anticipated procedures for solv-
ing the problems.
NOTE; Authority cited: Sections 33031 and 60206, Education Code. Reference:
Section 60226, Education Code; and Engelmann v. State Board of Education
(1991). 2 Cal. App. 4th 47, 50.
[The next page is 107.]
•
Page 106.2
Register 2(X)8, No. 21; 5-23-2008
Title 5
California Department of Education
§9510
History
1 . New seclion filed 8-28-%: operative 9-27-96 (Register 96, No. 35)
Article 2. Adoption of Curriculum
Frameworks, Evaluation Criteria and
Instructional Materials — Procedures
§9510. Definitions.
For purposes of curriculum frameworks, evaluation criteria and
instructional materials adoptions, the following definitions shall apply:
(a) "Adoption Report" is the final report reflecting the State Board of
Education's (SBE) action on instructional materials submitted for adop-
tion.
(b) "CDE" is the California Department of Education.
(c) "Content Standards" are those adopted by the SBE, pursuant to
Education Code section 60605, et seq.
(d) "Curriculum Commission" is the Curriculum Development and
Supplemental Materials Commission as referenced in Education Code
section 33530.
(e) "Curriculum Commission Advisory Report" is produced by the
Curriculum Commission to indicate whether each set of instructional
materials submitted for adoption meets the content standards, curriculum
frameworks, evaluation criteria, and social content standards for a partic-
ular adoption. The Curriculum Commission Advisory Report shall in-
clude, at a minimum:
( 1 ) a recommendation for or against the adoption of each set of instruc-
tional materials, and
(2) if applicable, a list of edits and corrections that should be made to
the instructional materials as a condition of adoption.
(0 "Curriculum Commissioner" is an individual appointed to the Cur-
riculum Commission, pursuant to Education Code section 33530.
(g) "Deliberations" means the time set forth in the Schedule of Signifi-
cant Events when Content Review Experts (CREs) and Instructional Ma-
terials Reviewers (IMRs) assemble into review panels and meet in open
publicly-noticed meetings to discuss and make recommendations re-
garding the instructional materials submitted for adoption.
(h) "Edits and corrections" are changes that must be made to submitted
instructional materials to meet the social content standards, to ensure ac-
curacy, or to achieve clarity and that are minimal in number, and include,
but are not limited to:
( 1 ) Misquoted content standards;
(2) Imprecise definitions;
(3) Mislabeled pictures or objects;
(4) Grammatical errors or misspellings;
(5) Simple factual errors;
(6) Computational errors.
(i) "Evaluation criteria" are adopted by the SBE for the evaluation of
submitted instructional materials, pursuant to Education Code section
60005(c)(2).
(j) "Executive Committee" is a subcommittee of the Curriculum Com-
mission that is comprised of the chairperson and vice chairperson of the
Curriculum Commission and three other Curriculum Commissioners
chosen by the Curriculum Commission, with the primary purpose of ad-
vising the Curriculum Commission on issues related to internal gover-
nance of the Curriculum Commission and its subcommittees and adviso-
ry groups.
(k) "Facilitator" is a Curriculum Commissioner, former Curriculum
Commissioner, IMR or CDE employee assigned by the Curriculum
Commission to help each IMR/CRE review panel organize and reach
consensus during deliberations. The SBE must approve the participation
of any facilitator who is not a current Curriculum Commissioner. Facili-
tators shall be trained by CDE staff, Curriculum Commissioners, SBE
members, or other parties approved by SBE, during publicly-noticed
meetings prior to deliberations.
(/) "Free instructional materials" refer to instructional materials pro-
vided at no cost by a publisher to a county office of education, district
board, elementary school, middle school or high school.
(m) "IMR/CRE Report of Findings" is compiled by CDE and contains
the determinations of all the IMR and CRE review panels as to whether
the instructional materials reviev/ed by each panel meet the content stan-
dards, curriculum frameworks, evaluation criteria, and social content
standards for a particular adoption. The report shall include, at a mini-
mum:
( 1 ) a recommendation for or against the adoption of each set of instmc-
tional materials, and
(2) if applicable, a list of edits and corrections that should be made to
the instructional materials as a condition of adoption.
(n) "Invitation to Submit Instructional Materials" (Invitation to Sub-
mit) is the document prepared by the CDE for each instructional materi-
als adoption that:
(1) identifies the applicable content standards, curriculum framework
and evaluation criteria for the adoption;
(2) sets out the statutes, regulations, and timelines that govern the
adoption process; and
(3) invites publishers to participate in the process.
(0) "Learning Resources Display Center" (LRDC) is where instruc-
tional materials, curriculum frameworks and evaluation criteria that are
submitted for adoption shall be available for public viewing, pursuant to
Education Code section 60202.
(p) "Period of adoption" is the length of time established by the SBE,
as set forth in the Schedule of Significant Events, that instructional mate-
rials adopted by the SBE shall be available for procurement, pursuant to
Education Code section 60200(i).
(q) "Publisher" is any company, person, or entity that submits instruc-
tional materials for adoption.
(r) "Rewrites" are extensive changes that would need to be made to
instructional materials in order for them to meet the content standards,
curriculum frameworks, evaluation criteria or social content standards
and include, but are not limited to:
(1) Revising a section, chapter or entire page;
(2) Adding new content;
(3) Moving materials from one grade level to another.
(s) "Schedule of Significant Events" is a timeline adopted by the SBE
for each instructional materials adoption that sets out the dates for key
events that will take place during the adoption. The Schedule of Signifi-
cant Events is included in the Invitation to Submit document and is
posted on the CDE website.
(t) "Social content standards" are those set forth in the publication en-
titled Standards for Evaluating Instructional Materials for Social Con-
tent, 2000 Edition, incorporated by reference.
(u) "Standards and evaluation criteria maps" are templates prepared
by the CDE and approved by the SBE for each adoption that must be com-
pleted by publishers submitting instructional materials for adoption and
are designed to determine if instmctional materials meet the content stan-
dards and evaluation criteria. The standards and evaluation criteria maps
are available on the CDE website.
(v) "Subject Matter Committees" are subcommittees of the Curricu-
lum Commission composed of Curriculum Commissioners, whose
members are selected by the Curriculum Commission, each with the pri-
mary purpose of assisting the Curriculum Commission in making recom-
mendations on matters related to a particular subject matter area and shall
exist for the following subject matter areas:
(1) Foreign Language
(2) History-Social Science
(3) Mathematics
(4) Physical Education
(5) Reading/Language Arts/English Language Development
(6) Science
(7) Visual/Performing Arts
(8) Health
Page 107
Register 2008, No. 10; 3-7-2008
§ 9510.5
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
NOTE: Authority cited: Sections 33031, 60005 and 60206, Education Code. Ref-
erence: Sections 33530, 60010, 60048, 60061, 60200, 60202, 60204 and 60605,
Education Code.
History
1. Amendment of article heading and section headina, new section and amend-
ment of Note filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10). For
prior history of section, see Register 2001, No. 4.
§ 9510.5. Internal Governance of the Curriculum
Commission.
The Curriculum Cominission, through its own bylaws, approved by
the SBE. shall provide for its inteinal governance, including, but not lim-
ited to, the election of its officers and the establishment of its subcommit-
tees and advisory groups.
NOTE: Authonty cited: Sections 33031, 60005, 60204 and 60206, Education
Code. Reference: Section 33003 and 60206, Education Code.
History
1. New section filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 951 1 . Curriculum Framework and Evaluation Criteria
Committee Establishment, Composition and
Membership Qualifications.
(a) At the SBE's request, the Curriculum Commission shall recom-
mend a curriculum framework and evaluation criteria to the SBE.
(b) The SBE may establish a Curriculum Framework and Evaluation
Criteria Committee (CFCC) to assist in the process of developing a cur-
riculum framework and evaluation criteria for a particular content field
and to make a recommendation to the Subject Matter Committee. Curric-
ulum Commission and SBE regarding a curriculum framework and eval-
uation criteria.
(c) When the SBE requests that the Curriculum Commission recom-
mend a curriculum framework and evaluation criteria, the CDE shall
convene four public focus groups of educators in different regions of
California to provide comment to the Curriculum Commission, the
CFCC (if established), and the SBE.
(d) The CFCC shall be composed of a minimum of 9 to a maximum
of 20 members appointed by the SBE.
(e) The Curriculum Commission shall make recommendations to the
SBE on appointing CFCC members according to the qualifications stated
below. The SBE may also consider recommendations from CDE. SBE
staff, members of the SBE and the public according to the qualifications
staled below.
(f) A majority of CFCC members, at the time of appointment, shall be
teachers who teach students in kindergarten or grades 1-12 and have a
"professional" credential (5 CCR 80001) under state law. and meet the
definition of "highly qualified" (20 USC 7801 (23)) under federal law. At
least one such teacher shall have experience in providing instruction to
English Learners, and at least one such teacher shall have experience in
providing instruction to students with disabilities.
(g) CFCC members who are teachers as described in subsection (f)
above shall have experience with, and expertise in. standards-based
educational programs and practices in the content field under consider-
ation.
(h) At least one CFCC member shall be a Content Review Expert
(CRE) and shall meet the qualifications set forth in section 95 1 2.
(i) Other CFCC members may be administrators, parents, local school
board members, teachers not described in the first sentence of subsection
(f) above, and members of the public.
(j) The SBE shall appoint CFCC members who are reflective of the
various ethnic groups, types of school districts, and regions in California.
(k) CFCC members shall receive training and information during pub-
licly-noticed meetings from any of the following as recommended by the
Curriculum Commission and approved by the SBE:
(1) Current and former CDE staff. Curriculum Commissioners, SBE
members and CREs;
(2) Subject matter experts whose qualifications are consistent with
those for CREs as set forth in secrion 9512.
(/) CFCC members shall serve until they make their recommendations
to the Curriculum Commission and SBE.
(m) All CFCC members operate under the guidance and at the pleasure
of the SBE.
Note: Authority cited: Sections 33031, 60005. 60200 and 60206, Education
Code. Reference: Sections 33530 and 60204, Education Code.
History
1. New section filed 9-1 0-92; operative 10-12-92. Submitted to OAL for printing
only pursuant to Education (Tode section 60004 (Register 92, No. 37).
2. Amendment of section and Ncm- filed 8-28-96; operative 9-27-96 (Register
96. No. 35).
3. Amendment of section and Notl filed 1-22-2001; operafive 2-21-2001 (Reg-
ister 2001. No. 4).
4. Amendment of section heading, repealer and new section and amendment of
NoTii filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 9512. Appointment of Instructional Materials Reviewers
and Content Review Experts.
(a) The SBE shall appoint Instructional Material Reviewers (IMRs)
and Content Review Experts (CREs) to serve as advisors to the Curricu-
lum Commission and SBE, in the review of instructional materials sub-
mitted for adoption. At least one CRE shall also be appointed to partici-
pate on each CFCC.
(b) The Curriculum Commission shall make recommendations to the
SBE on appointing IMRs and CREs according to the qualifications stated
below. The SBE may also consider recommendations from CDE, SBE
staff, members of the SBE and the public according to the qualifications
stated below.
(c) A majority of IMRs, at the time of appointment, shall be teachers
who teach students in kindergarten or grades 1-12 and have a "profes-
sional" credential under (5 CCR 80001 ) state law. and meet the definition
of "highly qualified" (20 USC 7801(23)) under federal law, and who
have experience with, and expertise in. standards-based-educational
programs and practices in the content field under consideration. At least
one such teacher shall have experience in providing instruction to Eng-
lish Learners, and at least one such teacher shall have experience in pro-
viding instruction to students with disabihties.
(d) Other IMRs may be administrators, parents, local school board
members, teachers not described in the first sentence of subsection (c)
above, and members of the public.
(e) When the instructional materials, or curriculum frameworks and
evaluation criteria, considered for adoption are in a content field other
than reading/language arts and visual/performing arts, the CREs shall
hold a doctoral degree in that field or related field.
(f) When the instructional materials, or curriculum frameworks and
evaluation criteria, considered for adoption are (1) in the content field of
reading/language arts or visual/performing arts, the CREs shall have a
masters degree or higher in that field and 5 or more years of experience
with, and expertise in, standards-based educational programs and prac-
tices in that field, or (2) in the content field of reading/language arts, a
doctoral degree and expertise in "research on how reading skills are ac-
quired" as defined in Education Code section 44757.5.
(g) The SBE shall appoint IMRs and CREs who are reflective of the
various ethnic groups, types of school districts, and regions in California.
(h) IMRs and CREs shall receive training and information during
publicly-noticed meetings from any of the following as recommended
by the Curriculum Commission and approved by the SBE:
( 1 ) Current and former CDE staff. Curriculum Commissioners, SBE
members and CREs;
(2) Subject matter experts whose qualifications are consistent with
those for CREs as set forth in this section.
(i) IMRs and CREs shall serve until the SBE acts to adopt or not adopt
the submitted instructional materials. CREs who are appointed to serve
on a CFCC shall serve until the CFCC makes its recommendations to the
Curriculum Commission and SBE.
(j) All IMRs and CREs operate under the guidance and at the pleasure
of the SBE.
•
Page 108
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Title 5
California Department of Education
§9516
•
NOTL-: Authority cited: Sections 33031. 60005, 60200 and 60206, Education
Code. Reference: Sections 33330 and 60204. Bdueation Code.
History
1. New section fded 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 9513. Application Process for Curriculum Framework
and Evaluation Criteria Committee Members,
Instructional Materials Reviewers and Content
Review Experts.
(a) At least 90 days before the seheduled date of appointment by the
SBE, the CUE shall distribute application forms, approved as to form by
the SBE. to becorne a CFCC member, an IMR, or a CRE to districts,
county offices. Learning Resources Display Centers (LRDCs) and others
upon request, as well as post the application forms on the CDE website,
to ensure sufficient time for interested parties to complete and submit ap-
phcations to the Curriculum Commission.
(b) The CDE shall assist the Subject Matter Committee and the Curric-
ulum Commission in reviewing all the submitted applications to ensure
applications are complete.
(c) All completed applications, with the exception of personal in-
formation, shall be available for viewing at the CDE and SBE during nor-
mal business hours and at every publicly-noticed meeting at which the
applications are considered.
(d) Prior to the SBE taking any action to appoint applicants, a list of
the applicants" names and respective employers, if applicable, shall be
posted on the CDE website and provided to the SBE. Upon action by the
SBE, the list shall be updated to indicate whether or not each applicant
was appointed.
NOTE: Authority Cited: Sections 33031, 60005, 60200 and 60206, Education
Code. Reference: Sections 33530 and 60204, Education Code.
History
1. New section filed .3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 9514. Prohibited Communications.
(a) Publishers or their representatives shall not communicate with fa-
cilitators, IMRs and CREs, during their tenure, and facilitators, IMRs and
CREs. during their tenure, shall not communicate with publishers or their
representatives, about anything related to the evaluation or adoption of
instructional materials submitted for adoption, other than when publish-
ers are making presentations or public comment in open publicly-not-
iced meetings. When publishers or their representatives, or facilitators,
IMRs or CREs, make a prohibited communication, the SBE may take
corrective action, including disqualification of the publisher, facilitator
and IMR/CRE from further participation in the adoption.
(b) Publishers, or their representatives, shall not communicate with
Curriculum Commissioners about anything related to the evaluation or
adoption of instructional materials, other than during the times for public
comment in open publicly-noticed meetings, or other than through writ-
ten submissions addressed to all Curriculum Commissioners in care of
the Executive Director of the Curriculum Commission, between the date
set forth in the Schedule of Significant Events when instructional materi-
als are delivered to JMRs, CREs and LRDCs and the date when the SBE
takes action to adopt. When publishers or their representatives, or curric-
ulum commissioners make a prohibited communication, the SBE may
take corrective action, including disquahfication of the publisher and the
Curriculum Commissioner from further participation in the adoption.
(c) Notwithstanding the above prohibitions, facilitators, IMRs, CREs,
and Curriculum Commissioners may contact publishers for technical as-
sistance in using electronic instructional materials.
(d) Notwithstanding the above prohibitions, publishers or their repre-
sentatives may communicate with the chairperson, or designee, of the
Curriculum Commission or the chairperson, or designee, of the Subject
Matter Committee involved in the adoption during the time set forth for
deliberations.
Note; Authority Cited: Sections 33031 and 60206, Education Code. Reference:
Sections 33530, 60200 and 60204, Education Code.
History
1. New section filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 9515. Public Inspection of, and Comment on.
Curriculum Framework and Evaluation Criteria.
(a) Prior to recommending a curriculum fratnework and evaluation
criteria to the SBE, the Curriculum Commission shall:
( 1 ) direct the appropriate Subject Matter Committee to consider the
draft curriculum framework and evaluation criteria developed by the
CFCC, if applicable, and submit its recommendation to the Curriculum
Commission;
(2) consider the recommendation from the Subject Matter Committee:
(3) approve a draft curriculum framework and evaluation criteria and
make it available for public review and comment for a ininimum of 60
days. The CDE shall ensure that the draft curriculum framework and
evaluation criteria is posted on the CDE website for the entire period, and
available at the LRDCs during this period: and
(4) hold at least one publicly-noticed meeting to receive comment on
the draft curriculum framework and evaluation criteria as referenced be-
low.
(b) Any comment from a member of the public regarding a draft curric-
ulum framework and evaluation criteria that is received by the Executive
Director of the Curriculum Commission not later than 1 4 days prior to the
date set for the publicly-noticed meeting at which the Curriculum Com-
mission is scheduled to consider whether to recommend the draft curricu-
lum framework and evaluation criteria to the SBE for adoption, will be
distributed to members of the Curriculum Commission not later than 3
days before the meeting. Notice of the 14-day deadline, and the Execu-
tive Director's mail, email, and facsimile addresses, shall be posted on
the CDE website and at the LRDCs at least 60 days before the meeting.
(c) After the Curriculum Commission recommends a curriculum
framework and evaluation criteria to the SBE for adoption, the CDE shall
ensure that the recommended curriculum framework and evaluation cri-
teria is posted on the CDE website for a 60-day period, and available at
the LRDCs during this period, for public review and comment prior to
consideration by SBE for adoption.
(d) Nothing in this section shall restrict a member of the public from
directly addressing a state body at any publicly-noticed meeting, orally
or in writing, relating to a curriculum framework and evaluation criteria.
NOTE: Authority cited: Sections 33031 , 60005 and 60206, Education Code. Ref-
erence: Sections 60202 and 60204, Education Code; Section 1 1125.7. Govern-
ment Code.
History
1. New Article 2.1 (sections 9515-9524) and section adopted by the Department
of Education on 12-5-94. New section submitted to OAL for printing only on
12-6-94, effective 12-30-94. Exempt from Chapter 3.5 of the Government
Code pursuant to Education Code section 60004 (Register 95, No. 3).
2. New subsection (f) and amendment of NoTt- filed 12-8-2004: operative
1-7-2005 (Register 2004, No. 50).
3. Amendment relocating article 2.1 heading from section 9515 to section 9527,
amendment of section heading, repealer and new section and amendment of
Note filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 9516. Public Meetings Held by the Curriculum
Commission and the SBE Regarding
Curriculum Frameworks and Evaluation
Criteria.
(a) Prior to recommending a curriculum framework and evaluation
criteria to the SBE for adoption, the Curriculum Commission shall hold
at least one publicly-noticed meeting. To recommend a curriculum
framework and evaluation criteria to the SBE, the Curriculum Commis-
sion must conduct a roll call vote with at least 9 affirmative votes required
for the recommendation, or at least 10 affirmative votes required for the
recommendation when all 18 coinmissioners vote.
(b) Prior to adopting a curriculum framework and evaluation criteria,
the SBE shall receive the recommendation of the Curriculum Commis-
sion and hold at least one publicly-noticed meeting.
NOTE; Authority cited: Sections 33031, 60005 and 60206, Education Code. Ref-
erence: Sections 60200 and 60204, Education Code.
History
1 . New section adopted by the Department of Education on 1 2-5-94. New section
submitted to OAL for printing only on 12-6-94, effective 12-30-94. Exempt
Page 109
Register 2008, No. 10; 3-7-2008
§9517
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
from Chapter 3.5 of the Government Code pursuant to Education Code section
60004(Register95, No. 3).
2. Amendment of section heading, repealer and new section and amendment of
Note filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 9517. Procedures for Submitting Instructional Materials
for Adoption.
(a) The CDE shall provide a copy of the Invitation to Submit to every
publisher thai submits a request and also make it available on its website.
(b) Publishers shall adhere to all dates and times set forth in the Sched-
ule of Significant Events, as approved by the SBE.
(c) On or before 5:00 p.m. on the date specified in the Schedule of Sig-
nificant Events, publishers shall provide to the CDE a CD-ROM and
hard copy containing the following submission information (Failure to
meet this deadline shall result in disqualification of the instructional ma-
terials from further consideration in the current adoption unless the pub-
lisher can show the CDE that there were extenuating and compelling cir-
cumstances involving natural disasters or independent carriers beyond
the control of the publisher.):
( 1 ) A list of all instructional materials that will be submitted for adop-
tion.
(2) A short narrative description of the instructional materials that will
be submitted. The description should not exceed 6 pages, single spaced.
(3) A description of the technology requirements that will be necessary
to review the submitted instructional materials.
(4) Contact information for the publisher's primary contact for the
adoption, a California contact, and a contact for technology-based mat-
ters.
(d) Upon its determination that the submission information is com-
plete, the CDE will request samples of all instructional materials for eval-
uation.
(e) On or before 5:00 P.M. on the date specified in the Schedule of Sig-
nificant Events, publishers shall provide to the CDE completed standards
and evaluation criteria maps on a CD-ROM and in hard copy for all
instructional materials that have been accepted for evaluation.
(0 On or before 5:00 P.M. on the date specified in the Schedule of Sig-
nificant Events, publishers shall deliver samples of all instructional mate-
rials that have been accepted for evaluation to the evaluators and loca-
tions specified by CDE. Failure to meet this deadline shall result in
disqualification of the instructional materials from further consideration
in the current adoption unless the publisher can show CDE that there
were extenuating and compelling circumstances involving natural disas-
ters or independent carriers beyond the control of the publisher.
(g) Publishers shall deliver all samples free of shipping, handling,
sampling, or other charges.
(h) Publishers shall include in instructional materials submitted for
adoption, only content standards approved by the SBE and specified in
the evaluation criteria for the adoption. Adopted instructional materials
shall not include references to national standards or standards from other
states.
(i) Publishers shall hst, in the teacher's edition and/or in the student's
edifion submitted for adoption, only authors, reviewers, consultants, ad-
visors, field test teachers, and others who actually contributed to the de-
velopment of the materials and the capacity in which they served.
(j) Publishers shall submit all instrucfional materials in the same physi-
cal form that will be offered for purchase during the adoption period with
the following exceptions:
(1) Audio recordings may be submitted in manuscript form;
(2) Artwork may appear in black and white that will ultimately appear
in color in the instructional materials offered for purchase during the
adoption period.
(3) Alternate formats as described in section 9528.
(k) Except as described in sections 9528 and 9529, publishers shall not
change or modify instructional materials after the date specified in the
Schedule of Significant Events for delivery of instructional materials to
IMRs, CREs and LRDCs. Instrucfional materials changed or modified
after this delivery date shall be disqualified from consideration in the
adoption unless the changes or modifications are approved by the SBE.
(/) On or before 5:00 p.m. of the date specified in the Schedule of Sig-
nificant Events, publishers shall submit to the CDE price quotations for
the sale of completed instructional materials, including all transportafion
costs.
(m) Publishers are discouraged from withdrawing their instructional
materials from the adoption after the materials have been submitted. Any
such withdrawal may be noted in the Curriculum Commission Advisory
Report and Adoption Report.
(n) Publishers shall not publicize in markefing materials any part of the
IMR/CRE Report of Findings, Curriculum Commission Advisory Re-
port or the Adoption Report.
NOTE: Authority cited: Sections 33031, 60005 and 60206, Education Code. Ref-
erence: Sections 60200, 60202, 60204, 60221 and 60222, Education Code.
History
1 . New section adopted by the Department of Education on 12-5-94. New section
submitted to OAL for printing only on 12-6-94, effective 12-30-94. Exempt
from Chapter 3.5 of the Government Code pursuant to Education Code section
60004 (Register 95, No. 3).
2. Amendment of first paragraph and subsections (h)-(j), new subsection (k) and
amendment of Note filed 1 2-8-2004; operative 1-7-2005 (Register 2004, No.
50).
3. Amendment of section heading, repealer and new section and amendment of
Note filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 9517.1. Follow-Up Adoptions: Notice to Publishers and
Manufacturers, Intent to Submit, Fee, List of
Adopted Materials. [Repealed]
NOTE: Authority cited: Sections 33031 and 60206, Education Code. Reference:
Sections 60200, 60201, 60202, 60204, 60206, 60221, 60222 and 60227, Educa-
tion Code.
History
1. New section filed 12-8-2004; operative 1-7-2005 (Register 2004, No. 50).
2. Repealer filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 951 7.2. Textbook Weight Standards.
(a) For the purposes of this section, a "textbook" means a book adopted
by a governing board for use by students as the principal learning re-
source for a course.
(b) The following maximum weight standards are in effect for each
student textbook in elementary and secondary schools:
(1) Grades K-4: Three Pounds
(2) Grades 5-8: Four Pounds
(3) Grades 9-12: Five Pounds
(c) Publishers and manufacturers submitting textbooks for adopfion
by the State Board of Education for kindergarten through grade eight that
exceed the maximum weight standards listed above shall provide at least
one alternative for lighter weight materials with identical content. These
lighter weight altemafives may include, but are not limited to, split vol-
umes, electronic editions, softcover editions or other alternate physical
formats. The lighter weight alternative must be identified by the publish-
er when they submit their textbooks to the California Department of
Education (CDE) as part of the instrucfional materials adoption.
(d) For materials for grades nine through twelve, the availability of
lighter weight alternatives must be disclosed to local education agencies
prior to local governing board adopfion of textbooks.
(e) The following are excepfions to the maximum weight standards
listed in subdivision (b) above:
( 1 ) Materials prepared in large-print. Braille, or other materials specif-
ically designed to provide accessibility for students with disabilities. This
includes the materials prepared by the CDE' s Clearinghouse for Special-
ized Media and Technology.
(2) Textbooks that are only used in the classroom, and are not required
to be carried home or to other locafions by students, are not subject to the
maximum weight standards. This exception does not exempt districts
from the requirements of Educafion Code section 60119.
(3) Textbooks that are primarily for use by the teacher are not subject
to the maximum weight standards, unless students are required to carry
Page 110
Register 2008, No. 10; 3-7-2008
Title 5
California Department of Education
§ 9522
•
the materials home or to other locations as part of the intended use of
those textbooks.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section
49415, Education Code.
History
I. New section filed 8-27-2007: operative 9-26-2007 (Register 2007, No. 35).
§ 9518. Social Content Standards for All Instructional
Materials Adoptions.
The social content standards in the publication entitled Standards for
Lvaluatini> Instructional Materials for Social Content, 2000 Edition, ap-
proved by the SBE on January 13, 2000. and maintained on the CDE
website at http://www.cde.ca.gov/ci/cr/cf/lc.asp, are incorporated in this
section by reference and apply to all SBE adoptions of instmctional mate-
rials in all subjects.
NOTE: Authority cited: Sections 3303 1 , 60005, 60048, 60200 and 60206, Educa-
tion Code. Reference: Sections 60040-60044, 60048, 60200 and 60200.2. Educa-
tion Code.
History
1 . New section adopted by the Department of Education on 1 2-5-94. New section
submitted to OAL for printing only on 12-6-94, effective 12-30-94. Exempt
from Chapter 3.5 of the Government Code pursuant to Education Code section
60004(Register95, No. 3).
2. Amendment of .section headins. repealer and new section and amendment of
NoTi; filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 9519. Instructional Materials Review Panels and
Curriculum Commission Advisory Report.
(a) The CDE will propose and the Curriculum Commission shall ap-
prove, for each adoption of instructional materials, the organization of
IMRs and CREs into review panels, the assignment of instructional mate-
rials to be evaluated by each review panel, and the assignment of a facili-
tator to each review panel.
(b) Each review panel shall be composed of 5 to 15 IMRs and CREs,
of which a majority must be IMRs who are teachers, as described in the
first sentence of subsection (c) of section 9512. and at least 1 must be a
CRE.
(c) Each review panel must evaluate instructional materials according
to the SBE adopted content standards, curriculum frameworks, evalua-
tion criteria and social content standards.
(d) At the discretion of the chairperson of the Curriculum Commis-
sion, the chairperson of the Subject Matter Committee involved in the
adoption or the Executive Director of the Curriculum Commission, a
CRE or IMR with special expertise may respond to questions raised by
review panels to which the CRE or IMR has not been assigned.
(e) Each review panel shall decide which instmctional materials to rec-
ommend for adoption.
(f) Each review panel shall make recommendations as to edits and
corrections that should be made to instructional materials.
(g) Review panels shall not recommend rewrites of instructional mate-
rials.
(h) Each review panel is encouraged to reach consensus on recommen-
dations. If necessary, the panel will conduct a vote with a simple majority
necessary to put forward a recommendation.
(i ) The recommendations of the review panels shall be compiled by the
CDE into a document titled "IMR/CRE Report of Findings" that shall be
presented to the Curriculum Commission. At least 10 days before the first
meeting of the Curriculum Commission that follows the issuance of the
IMR/CRE Report of Findings, the CDE shall distribute the IMR/CRE
Report of Findings to the Curriculum Commission and post it on its web-
site.
(j) The Curriculum Commission, the CDE, the SBE, or SBE staff may
call upon IMRs and CREs to assist the Curriculum Commission or the
SBE in understanding how instructional materials meet the content stan-
dards, curriculum frameworks, evaluation criteria and social content
standards. In the event that it is determined that other subject matter ex-
perts should be called upon to assist the Curriculum Commission or the
SBE in understanding how instructional materials meet the content stan-
dards, curriculum frameworks, evaluation criteria and social content
standards, such experts shall have qualifications that are consistent with
those for CREs as set forth is section 9512 and shall be appointed by the
SBE.
NOTE: Authority cited: Sections 33031. 60005 and 60206 , Education Code. Ref-
erence: Sections 60200 and 60204 , Education Code.
History
1. New section adopted by the Department of Education on 12-5-94. New section
submitted to OAL for printing only on 12-6-94, eifective 12-30-94. Exempt
from Chapter 3.5 of the Government Code pursuant to Education Code section
60004(Register95, No. 3).
2. Amendment of section headinc, repealer and new section and amendment ot
Note filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 9520. Written Statements to the Curriculum Commission
Regarding Instructional Materials and
Curriculum Frameworks Submitted for
Adoption. [Repealed]
Note; Authority cited: Sections 33031 and 60004, Education Code. Reference:
Section 60202, Education Code.
History
1 . New section adopted by the Department of Education on 1 2-5-94. New section
submitted to OAL for printing only on 12-6-94, effective 12-30-94. Exempt
from Chapter 3.5 of the Government Code pursuant to Education Code section
60004(Register95, No. 3).
2. Repealer filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 9521 . Public Comments Regarding Content of
Instructional Materials.
(a) Oral and written public comment, whenever submitted, addressing
the content of instructional materials should specifically identify the
instructional material and page number where the subject content ap-
pears and, if pertinent, provide a reason as to why the content is inaccu-
rate or does not meet the content standards, curriculum frameworks,
evaluation criteria or social content standards and, if pertinent, suggest
a correction to the identified problem.
(b) Any written comment from a member of the public regarding the
content of instructional materials that is received by the Executive Direc-
tor of the Curriculum Commission not less than 14 days prior to the first
date set for review panel deliberations in the Schedule of Significant
Events, will be distributed to the review panel that is reviewing the
instructional material that is the subject of the comment not less than 7
days before the first day of deliberations. Nofice of these deadlines, and
the Executive Director's mail, email, and facsimile addresses, shall be
posted on the CDE website and at the LRDCs on the date when instruc-
tional materials being submitted for adoption are to be delivered to the
LRDCs.
(c) Nothing in this section shall restrict a member of the public from
directly addressing a state body, orally or in writing, at any publicly-
noticed meeting relating to the adoption of instructional materials.
(d) During each day of deliberations there shall be at least two opportu-
nities for public comment.
NOTE: Authority cited: Sections 33013, 60005 and 60206, Education Code. Ref-
erence: Secnons 60200 and 60202 , Education Code; Section ] 11 25.7, Govern-
ment Code.
History
1 . New section adopted by the Department of Education on 1 2-5-94. New .section
submitted to OAL for priming only on 12-6-94, effective 12-30-94. Exempt
from Chapter 3.5 of the Government Code pursuant to Education Code section
60004 (Register 95, No. 3).
2. Amendment of section heading, repealer and new section and amendment of
Note filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 9522. Presentation of Public Testimony.
At or before any public meeting related to the evaluation or adoption
of a curriculum framework, evaluation criteria, or instructional materi-
als, at which oral comments from the public are to be received, the chair-
person or presiding member of the hearing body shall determine the total
amount of time that will be devoted to hearing oral comments, and may
determine the time to be allotted to each person or to each side of an issue.
NOTE: Authority cited: Sections 33031. 60005 and 60206, Education Code. Ref-
erence: Section 60200, Education Code; Section 1 1 125.7, Government Code.
Page 111
Register 2008, No. 10; 3-7-2008
§9523
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
History
1 . New section adopted by the Department of Education on 12-5-94. New section
submitted to OAL for printing only on 12-6-94, effective 12-30-94. Exempt
from Chapter 3.5 of the Government Code pursuant to Education Code section
60004 (Register 95, No. 3).
2. Amendment of section heading, repealer and new section and amendment of
Note filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 9523. Display of Instructional Materials for Public
Inspection.
(a) On or before the delivery date designated in the Schedule of Signif-
icant Events, publishers shall send instructional iTiaterials that are being
submitted for adoption to LRDCs at the addresses indicated in the Invita-
tion to Submit. Instructional materials that are submitted for adoption
shall be displayed at the LRDCs at least until the date the SBE adopts
instructional materials.
(b) Beginning with the first adoption that takes place after the Reading/
Language Arts adoption that is currently scheduled to be completed in
November 2008, on or before the delivery date designated in the schedule
of significant events, publishers shall also provide CDE with a URL to
those instructional materials intended for student use that are being sub-
mitted for adoption, and the CDE shall post on its website direct hyper-
links to the URLs provided by the publishers. Tlie instructional materials
posted on each publisher's website shall be identical to the hard copy ver-
sion of the instructional materials submitted for adoption, except that
copyrighted items that do not allow for posting online may be omitted
and replaced by a description of the omitted item, and any online features
that are absent from the hard copy version shall be identified.
(c) LRDCs shall ensure that instructional materials received are on dis-
play within three weeks after the date of receipt unless circumstances be-
yond the control of the LRDC prevent such display, in which case the
instructional materials will be displayed within a reasonable amount of
time.
(d) Instructional materials adopted by the SBE shall be available at
LRDCs for a minimum of two years after the date of adoption.
Note: Authority cited: Sections 33031 and 60005 , Education Code. Reference:
Sections 60202 and 60200(h), Education Code.
History
1. New section adopted by the Department of Education on 12-5-94. New section
submitted to OAL for printing only on 12-6-94, effective 12-30-94. Exempt
from Chapter 3.5 of the Government Code pursuant to Education Code section
60004 (Register 95, No. 3).
2. Amendment of section heading, repealer and new section and amendment of
Note filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 9524. Public Meetings Held by the Curriculum
Commission and the State Board of Education
Regarding Instructional Materials.
(a) Prior to recommending instructional materials to the SBE for adop-
tion, the Curriculum Commission shall do the following:
(1) Not more than 30 days after the issuance of the IMR/CRE Report
of Findings, the Curriculum Commission shall hold a publicly-noticed
meeting during which any interested party may provide the Curriculum
Commission with written or oral comments regarding the submitted
instructional materials and/or the recommendations contained in the
IMR/CRE Report of Findings. The primary purpose of this pubUcly-not-
iced meeting is to afford the Curriculum Commission an opportunity to
receive comment from those who disagree with any part of the IMR/CRE
Report of Findings. The complaining party, and any interested party ad-
verse to the complaining party, shall be provided a full and fair opportuni-
ty to present comments.
(2) Nothing in this section shall prevent the Curriculum Commission
from having additional publicly-noticed meetings that the Curriculum
Commission deems necessary to receive additional input from members
of the public or to utilize IMRs, CREs or other content experts as pro-
vided for in section 9519(j).
(3) Curriculum Commissioners must evaluate instructional materials
according to the SBE adopted content standards, curriculum frame-
works, evaluation criteria, and social content standards
(4) Not less than 30 days after the Curriculum Commission meeting
discussed in subdivision (a)(l ) above, the Curriculum Commission will
hold a publicly-noticed meeting at which time it will adopt its recom-
mendations to the SBE regarding instructional materials, and edits and
corrections. To adopt its recommendations, the Curriculum Commission
must conduct a roll call vote with at least 9 affirmative votes required for
the recommendations, or at least 1 0 affirmative votes required for the rec-
ommendations when all 18 commissioners vote.
(5) The Curriculum Commission's recommendations shall be com-
piled into a document titled "Curriculum Commission Advisory Report."
Those recommendations may be different than those of the review panels
as contained in the IMR/CRE Report of Findings. The Curriculum Com-
mission shall not recommend rewrites of instructional materials. The
Curriculum Commission Advisory Report shall be presented to the SBE
along with the IMR/CRE Report of Findings.
(b) Following the Curriculum Commission meetings described above,
the SBE will hold at least one publicly-noticed meeting before adopting
both instructional materials and edits and corrections and issuing its
Adoption Report.
NOTE: Authority cited: Sections 33031. 60005 and 60206, Educafion Code. Ref-
erence: Sections 60200, 60203 and 60204, Education Code.
History
1 . New section adopted by the Department of Education on 12-5-94. New section
submitted to OAL for printing only on 12-6-94, effective 12-30-94. Exempt
from Chapter 3.5 of the Government Code pursuant to Educafion Code section
60004(Register95, No. 3).
2. Amendment of section heading, repealer and new section and amendment of
Note filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 9525. Post Adoption Edits and Corrections Procedures.
(a) Following the action of the SBE on a specific instructional materi-
als adoption, CDE staff will notify publishers, in writing, of any edits and
corrections adopted by the SBE.
(b) Within 60 days of the SBE adopting instructional materials and
edits and corrections, publishers shall provide to the CDE copies of re-
vised instructional materials, or relevant portions thereof, that reflect all
edits and corrections required by the SBE. If the publisher can show that
circumstances beyond its control prevented it from delivering the revised
instructional materials within the 60 day period, the CDE may grant a rea-
sonable extension to the publisher.
(c) CDE staff will schedule individual meetings with each publisher
to discuss edits and corrections, at which time publishers will be provided
an opportunity to show that the adopted edits and corrections have been
made to the revised instructional materials.
(d) Under direction from the SBE, CDE staff may work with Curricu-
lum Commissioners or CREs to evaluate whether publishers have made
the adopted edits and corrections to their revised instructional materials.
(e) Upon completion of this evaluation, CDE staff will notify each
publisher whether the revised instructional materials comply with the
SBE's action or whether additional revisions need to be made. Within 60
days of this notification, publishers shall provide to the CDE copies of
final printed instructional materials that reflect all edits and corrections
required by the SBE. If the publisher can show that circumstances be-
yond its control prevented it from delivering final printed instructional
materials within the 60 day period, the CDE may grant a reasonable ex-
tension to the publisher.
NOTE: Authority cited: Sections 33031, 60005 and 60206, Educafion Code. Ref-
erence: Section 60200, Education Code.
History
1. New section filed 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
Article 2.1 . Acquisition of Adopted
Instructional Materials
§ 9527. Free Instructional Materials.
(a) In order to comply with the statutory requirement that publishers
provide any instructional materials free of charge in this state to the same
extent as that received by any state or school district in the United States,
Page 112
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Title 5
California Department of Education
§9531
publishers shall post on their website a Hsi of any free instaictional mate-
rials that ihey have agreed to provide to a county office of education, dis-
trict board, elementary school, middle school or high school within 10
days of entering into such an agreement. Publishers shall maintain this
list on their websites through the next biennial price adjustment refer-
enced in Education Code section 60223. at which time the statutory re-
quirement regarding the instnictional materials on the list shall end.
(b) The publisher shall provide the CDE with the URL to their list of
free instructional materials, and the CDE shall post on its website a direct
hyperlink to the URL provided by the publisher.
NOTE: Authority cited: Sections 3303 1 , eOOO.T and 60206, Education Code. Ref-
erence: Section 60061. Education Code.
History
1. New Arlicle 2.2 (sections 9527-9530) and section adopted by the Departinenl
of Education on 12-5-94. New section submitted to OAL for printing only on
12-6-94. effective 12-30-94. Exempt from Chapter 3.5 of the Government
Code pursuant to Education Code section 60004 (Register 95, No. 3).
2. Repealer of article 2. 2 heading, relocation and amendment of article 2.1 heading
from section 95 ! 5 to section 9527, repealer and new section and amendment of
NoTL- Hied 3-3-2008; operative 4-2-2008 (Register 2008, No. 10).
§ 9528. Alternate Formats of Adopted Instructional
Materials.
(a) Publishers may submit alternate formats of adopted instructional
materials to the CDE for approval at any time during the period of adop-
tion.
(b) Alternate formats of adopted instructional materials shall include:
( 1 ) instructional materials that are identical in content to adopted
instructional materials, but that are different in physical format, and
(2) translations of adopted instructional materials into other lan-
guages. Translations of adopted instructional materials into other lan-
guages may include diffei'ent literary selections that are equivalent in
content to those contained in the English version.
(c) SubiTiissions of alternate formats shall be reviewed as follows:
( 1 ) For approval of an alternate physical format, the CDE staff will re-
view submitted materials to confirm that the content is identical to the
adopted instructional materials.
(2) For approval of alternate formats in languages other than English,
the CDE will employ qualified CDE staff or contract with experts in the
alternate language to review the materials to confirm that the translation
is accurate and to determine if the materials are equivalent in content to
the adopted instructional materials. Different literary selections must be
approved by the SBE.
NOTE: Authority cited: Sections 33031, 60005 and 60206, Education Code. Ref-
erence: Sections 60200 and 60222, Education Code.
History
1 . New section adopted by the Department of Education on 12-5-94. New section
subnnitted to OAL for printing only on 12-6-94, effective 12-30-94. Exempt
from Chapter 3.5 of the Government Code pursuant to Education Code section
60004 (Register 95. No. 3).
2. Amendment filed 2-27-97; operative 3-29-97 (Register 97, No. 9).
3. Repealer and new section and amendment of Note tiled 3-3-2008; operative
4-2-2008 (Register 2008, No. 10).
§ 9529. New Editions of Adopted Instructional Materials.
(a) Upon written request by a publisher, the CDE may approve a new
edition of an adopted instructional material to replace the original
adopted edition, provided that:
( 1 ) Changes contained in the new edition are so minimal that both the
new edition and the original adopted edition may be used together in a
classroom environment. No additional content may be included in the
new edition
(2) All changes comply with the social content standards set forth in
the publication entitled Standards for Evaluating Instructional Materials
for Social Content, 2000, as referenced in section 9518 above. The price
of the new edition is equal to or lower than the price of the original
adopted edition.
(b) Upgrades of technology-based materials that do not contain con-
tent changes can be made by publishers without CDE approval, unless
the upgrade results in a new ISBN or identifier.
NOTE: Authority cited: Sections 33031, 60005 and 60206, Education Code Ref-
erence: Sections 60040-60044. 60061, 60222 and 60223. Education Code.
History
1 . New section adopted by the Depanment of Education on 1 2-5-94, New .section
submitted to OAL for printing only on 12-6-94, effective 12-30-94. Exempt
from Chapter 3.5 of the Government Code pursuant to Education Code section
60004 (Register 95, No. 3).
2. Repealer and new section and amendment of NoTi: tiled 3-3-2008: operative
4-2-2008 (Register 2008, No. 10).
§ 9530. School District Ordering of Instructional Materials.
Each school district shall purchase adopted instructional materials di-
rectly from publishers. With respect to the purchase of adopted instruc-
tional materials by a school district, the publisher shall comply with the
following requirements:
(a) Instructional materials furnished and delivered to the school dis-
trict by the publisher shall conform to and be of the same quality of work-
manship as the instructional materials submitted for adoption.
(b) Upon request by any school district, a publisher shall provide a
copy of any manufacturing standards and specifications for instructional
materials with which the publisher is currently in compliance.
(c) Should the publisher discontinue an instructional material before
its adoption expiration date, upon receipt of a written request from a dis-
trict that has purchased the discontinued instructional materials, the pub-
lisher shall buy back froin the school district all of the instructional mate-
rials discontinued and any instructional materials designed to be used
with the discontinued instructional material. The publisher shall buy
back the instructional materials at the price in effect pursuant to the pur-
chase order or agreement at the time when the instructional materials
were purchased.
NOTE: Authority cited: Sections 33031, 60005 and 60206, Education Code. Ref-
erence: Sections 60061 and 60061.5, Education Code.
History
1 . New section adopted by the Department of Education on 1 2-5-94. New section
submitted to OAL for printing only on 12-6-94. effective 12-30-94. Exempt
from Chapter 3.5 of the Government Code pursuant to Education Code section
60004 (Register 95, No. 3).
2. Repealer and new section and amendment of NoTt^ filed 3-3-2008; operative
4-2-2008 (Register 2008, No. 10).
Article 2.3. Instructional Materials Funding
§ 9531. Instructional Materials Funding Realignment
Program: Expenditure Policy Percentages and
24 Month Purchasing Requirement.
(a) As much of the allocation, as is necessary, from the Instructional
Materials Funding Realignment Program (IMFRP) annual appropriation
to local education agencies must be spent to purchase textbooks or basic
instaictional materials adopted subsequent to the adoption of content
standards (Education Code Section 60605) for each pupil, in reading/lan-
guage arts, mathematics, history-social science, and science.
(1) For kindergarten and grades 1 to 8 this shall be textbooks or basic
instructional materials adopted by the State Board of Education (SBE)
pursuant to Education Code Section 60200 inclusive.
(2) For grades 9 to 1 2, this shall be textbooks or instructional materials
adopted by the local governing board pursuant to Education Code Sec-
tion 60400.
(b) For purposes of the hearing requirement specified by Education
Code Section 601 1 9, textbooks or instructional materials used in kinder-
garten and grades 1 to 8 shall be considered "consistent with the content
and cycles of the curriculum framework adopted by the state board" if
students are provided textbooks or instructional materials from the most
recent SBE adoption by the beginning of the first school term that com-
mences no later than 24 months after those materials are adopted by the
SBE pursuant to Education Code Section 60422. The requirements of
this subdivision apply to the determination of whether textbooks or
Page 113
Register 2008, No. 10; 3-7-2008
§9532
BARCLAYS CALIFORNIA CODE OF REGULATIONS
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instructional materials are current, and not to the determination of suffi-
ciency under Education Code Section 601 19(c). This definition of cur-
rency applies to textbooks or instructional materials that have been the
subject of a state board adoption made on or after January 1, 2003.
(c) For purposes of subdivision (b) and Education Code Section
60422(a), the reference to adoption of textbooks or basic instructional
materials by the SBE shall refer to a primary adoption, which is the first
adoption after the adoption of evaluation criteria by the SBE. A primary
adoption is distinguished from a follow-up adoption, which is the second
adoption of textbooks or basic instructional materials conducted by the
SBE using the same evaluation criteria. Textbooks and basic instruction-
al materials adopted in a follow-up adoption are added to the then-exist-
ing list of adopted textbooks and basic instructional materials for a sub-
ject area, and the period of adoption for those materials is the remaining
time of the list for the primary adoption.
Note; Authority cited: Sections 33031 and 60005, Education Code. Reference:
Sections 60040-60045, 60048, 60119, 60200, 60242. 60242.5, 60400, 60421,
60422 and 60605. Education Code.
History
1 . New article 2.3 (sections 9531-9532) and section filed 1-16-2003 as an emer-
gency: operative 1-16-2003 (Register 2003. No. 3). A Certificate of Com-
pliance must be transmitted to OAL by 5-16-2003 or emergency language will
be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-16-2003 order, including amendment of sub-
section (a)(3) and Note, transmitted to OAL 5-12-2003 and filed 6-16-2003
(Register 2003. No. 25).
3. Amendment of section and Note filed 6-8-2005; operative 6-8-2005 pursuant
to Government Code section 11 343.4 (Register 2005, No. 23).
§ 9532. School District or Charter School in its First Year
of Operation or of Expanding Grade Levels at a
School Site.
(a)(1) In order to be eligible to receive funding pursuant to Education
Code section 60421 and consistent with Education Code section 47652,
in the cuirent fiscal year, a charter school in its first year of operation must
commence operation on or before September 30 of that fiscal year. A
charter school in its first year of operation that begins operations after
September 30 of the current fiscal year shall not be eligible to receive
instructional materials funding until the following fiscal year.
(2) For the purposes of this secfion and Education Code section 60421 ,
"operation" shall be defined as providing instruction to pupils enrolled
in the charter school.
(3) For purposes of receiving funding pursuant to Education Code sec-
tion 60421, and consistent with Education Code section 35534, except
as provided in Education Code sections 35535 and 35536, the first year
of operation of a school district shall be July 1 of the calendar year follow-
ing the calendar year in which the school district reorganization action
is completed.
(b)(1) For the purposes of Education Code section 60421 , "expanding
grade levels" shall be defined as additional grades in the current fiscal
year that did not exist as a school site of the school district or charter
school in the prior fiscal year. For charter schools that operate muUiple
sites, expanding grade levels shall also only include any additional
grades that did not exist in the prior fiscal year when considering all of
the individual or satellite sites of the charter school in aggregate. If any
one site of a charter school with multiple sites provides instruction to pu-
pils in a particular grade level, then that grade level shall not be included
in expanding grade levels.
(2) In order to receive funding pursuant to Education Code section
60421, the provision of instruction to pupils enrolled in the expanding
grade levels at a school site of the school district or charter school shall
commence on or before September 30 of the current fiscal year. A school
site of the school district or charter school that commences instruction in
its expanding grade levels after September 30 of the current fiscal year
shall not be eligible to receive funding until the following fiscal year.
(c) For the purposes of this secfion andEducafion Code section 60421,
"school site" shall be defined as a school with a separate County /District/
School (CDS) code, as maintained by the Superintendent of Public
Instruction as of September 30 of the current fiscal year. Charter schools
operating multiple school sites under one charter number provided by the
SBE and one CDS code shall be considered one school site.
(d) A school district or charter school in its first year of operation or
of expanding grade levels at a school site shall provide enrollment esfi-
mates to the California Department of Education by September 30 of the
current fiscal year in order for the school district or charter school to re-
ceive funding in that fiscal year. The enrollment esumates shall be certi-
fied by the school district governing board or the charter school's char-
ter-granting local educational agency (LEA), as appropriate, and the
county office of educafion in which the school district or charter school's
charter granting LEA is located. These enrollment esfimates and the
associated funding shall be adjusted for actual enrollment as reported by
the California Basic Education Data System for the current fiscal year.
Note: Authority cited: Sections 33031 and 60005, Education Code. Reference:
Sections 47652 and 60421, Education Code.
History
1. New section filed 1-16-2003 as an emergency; operative 1-16-2003 (Register
2003. No. 3). A Certificate of Compliance must be transmitted to OAL by
5-16-2003 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 1-16-2003 order transmitted to OAL
5-12-2003 and filed 6-16-2003 (Register 2003, No. 25).
Article 3. Request to Purchase Nonadopted
Core Reading Program Instructional
Materials
§ 9535. Request to Purchase Nonadopted Core Reading
Program Instructional Materials.
If, in the judgment of the governing board of a school district or a
county office of education, none of the instructional materials adopted by
the California State Board of Education in 1 996 promotes the maximum
efficiency of pupil learning in that local educational agency's core read-
ing program, and if that governing board desires to purchase non-
adopted materials with the funds apportioned to it pursuant to Educafion
Code section 6035 1 , it shall request authorization to do so from the Cali-
fornia State Board of Education. The request shall include all of the fol-
lowing:
(a) An overview of the goals and objectives of the local educational
agency's core reading program for kindergarten and grades 1 to 3, inclu-
sive, including a statement about how the goals and objectives were de-
veloped and a descripfion of their consistency with "Teaching Reading:
A Balanced, Comprehensive Approach to Teaching Reading in Frekin-
dergarten Through Grade Three" (Reading Program Advisory), jointly
approved by the State Superintendent of Public Instruction, California
State Board of Educafion, and the California Commission on Teacher
Credentialing, and pubUshed by the California Department of Educafion
in 1996.
(b) A list of the core reading program instrucfional materials proposed
to be purchased, including titles of individual curricular units, literature,
and technology resources.
(c) An analysis of the proposed materials, describing the strengths and
weaknesses of the materials, including the local educafional agency's ru-
brics, criteria, and standards used to evaluate the materials for consisten-
cy with the requirements of this secfion, including, in particular, subdivi-
sions (j) and (k).
(d) A descripfion of the process by which the proposed materials were
evaluated and selected by the local educafional agency.
(e) A descripfion of the local educafional agency's plans for staff de-
velopment for teachers regarding the use of the proposed materials.
(f) A description of how the proposed materials will be used by the lo-
cal educational agency's teachers.
(g) A descripfion of the projected fimeline for the purchase of the pro-
posed materials.
•
Page 114
Register 2008, No. 10; 3-7-2008
Title 5
California Department of Education
§9546
(h) A description of the process used for public display of the proposed
malerials by the local educational agency, with a statement of assurance
from the local educational agency that the materials have been or will be
on public display for at least 30 days prior to their purchase, with all com-
ments received during the display period being made part of the official
records of the local educational agency's governing board.
(i) A statement of assurance from the local educational agency that the
proposed materials are for use in kindergarten or any of grades 1 to 3. in-
clusive.
(j ) A statement of assurance from the local educational agency that the
proposed malerials are based on the fundamental skills required by read-
ing, including, but not limited to. systematic, explicit phonics and spell-
ing, within the meaning of Education Code section 60200.4.
(k) A statement of assurance from the local educational agency that the
proposed materials include, but are not necessarily limited to, phonemic
awareness, systematic explicit phonics, and spelling patterns, accompa-
nied by reading materials that provide practice in the lesson being taught,
within the meaning of Education Code section 60352(d).
(/) Evidence that the local educational agency's governing board:
(1 ) Formally approved the authorization request at a properly noticed
public meeting.
(2) Supports the use of the specified funds for the purpose expressed
in the request.
(3) Verified that the local educational agency considered the Califor-
nia State Board of Education adopted materials for its core reading pro-
gram and considered the reasons given by the California State Board of
Education for not adopting the materials proposed for purchase, if those
malerials were submitted for adoption in 1996.
(4) Verified that the proposed materials comply with Education Code
sections 60040, 60041, 60042. 60044, 60045, and 60046.
(5) Verified that all statements of assurance included within the re-
quest for authorization are taie and correct.
If the request for authorization complies with subdivisions (a) to (/),
inclusive, and establishes to the satisfaction of the California State Board
of Education that none of the instructional materials adopted by the Cali-
fornia State Board of Education in 1996 promotes the maximum efficien-
cy of pupil learning in the applying local educational agency's core read-
ing program, then the request for authorization shall be granted by the
California State Board of Education.
NOTE: Authority cited: Sections 33031, 60206 and 60352(d), Education Code.
Reference: Sections 60351 and 60352(d), Education Code.
History
1 . New article 3 (section 9535) and section filed 1-30-97 as an emergency; opera-
tive 1 -.30-97 (Register 97, No. 5). A Certificate of Compliance must be trans-
mitted to OAL by 5-30-97 or emergency language will be repealed by opera-
tion of law on the following day. For prior history, see Register 83, No. 25.
2. Repealed by operation of Government Code section 1 1346.1(g) (Register 97,
No. 31).
3. New section filed 7-31-97; operative 7-31-97 pursuant to Government Code
section ) 1343.4(d) (Register 97, No. 31).
Article 4. Additions to Lists of Adopted
Instructional Materials in Reading/Language
Arts and Mathematics
§ 9540. Establishment of Policy.
NOTE: Authority cited: Sections 33031, 60005 and 60206, Education Code. Ref-
erence: Section 60200.1(a)(5), Education Code.
History
1 . New article 4 (sections 9540-9550) and section filed 1 1-2-98 as an emergency;
operative 1 1-2-98 (Register 98, No. 45). A Certificate of Compliance must be
transmitted to OAL by 3-2-99 or emergency language will be repealed by oper-
ation of law on the following day. For prior history of article 4 (sections
9550-9551) and article 5 (sections 9560-9566), see Register 75, No. 40. For
prior history of subchapter 2 (sections 9540-9583), see Register 75, No. 40 and
Register 83, No. 25.
2. Certificate of Compliance as to 11 -2-98 order, including amendment of section,
transmitted to OAL 3-2-99 and filed 4-13-99 (Register 99, No. 16).
3. Change without regulatory effect repealing section filed 2-9-2005 pursuant lo
section 100, title 1 , California Code of Regulations (Register 2005. No. 6).
§9541. Definitions.
NOTE: Authority cited: Sections 33031 , 60005 and 60206. Education Code. Ref-
erence: Sections 60010(a), 60200.1(a)(5)(A) and 60605, Education Code.
History
1 . New secnon filed 1 1-2-98 as an emergency; operative 1 1-2-98 (Register 98.
No. 45). A Certificate of Compliance must be transmitted lo OAL by 3-2-99
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to I I -2-98 order, including amendnieni of subsec-
tions (d) and (e), transmitted to OAL 3-2-99 and filed 4-13-99 (Register 99.
No. 16).
3. Change without regulatory effect repealing section filed 2-9-2005 pursuant to
section 100, title I, California Code of Regulations (Register 2005. No. 6).
§ 9542. Additional Submissions Allowed.
NOTE: Authority cited: Sections 33031, 60(X)5 and 60206. Education Code. Ref-
erence: Sections 60200 and 60200.1(a)(5). Education Code.
History
1. New section filed 1 1-2-98 as an emergency; operative 1 1-2-98 (Register 98,
No. 45). A Certificate of Compliamce must be transmitted to OAL by 3-2-99
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 1 1-2-98 order, includine amendment of section,
transmitted to OAL 3-2-99 and filed 4-13-99 (Register 99. No. 16).
3. Change without regulatory effect repealing section filed 2-9-2005 pursuant to
section 100, fitle I, California Code of Regulations (Register 2005, No. 6).
§ 9543. Required Subject Matter Coverage and Basis in
Standards.
Note: Authority cited: Sections 33031, 60005 and 60206, Education Code. Ref-
erence: Section 60200.1(a)(5), Education Code.
History
1. New section filed 1 1-2-98 as an emergency; operative 1 1-2-98 (Register 98,
No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-99
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 1 1-2-98 order, including amendment of first
paragraph, transmitted to OAL 3-2-99 and filed 4- 1 .3-99 (Register 99, No. 1 6).
3. Change without regulatory effect repealing section filed 2-9-2005 pursuant to
section 100, title 1, California Code of Regulafions (Register 2005, No. 6).
§ 9544. instructional Materials Evaluation Criteria.
NOTE: Authority cited: Sections 33031, 60005 and 60206, Education Code. Ref-
erence: Section 60200.1(a)(5), Education Code.
History
1. New section filed 1 1-2-98 as an emergency; operative 1 1-2-98 (Register 98,
No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-99
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 1 1-2-98 order, including amendment of section,
transmitted to OAL 3-2-99 and filed 4-13-99 (Register 99, No. 16).
3. Change without regulatory effect repealing section filed 2-9-2005 pursuant to
section 100, fitle 1, California Code of Regulations (Register 2005, No. 6).
§ 9545. Formal Action by the State Board.
NOTE: Authority cited: Sections 33031 , 60005 and 60206, Education Code. Ref-
erence: Sections 60200(b)(2) and 60200.1(a)(5), Education Code.
History
1. New secfion filed 1 1-2-98 as an emergency; operafive 1 1-2-98 (Register 98,
No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-99
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 1 1-2-98 order, including amendment of section
heading and secfion, transmitted to OAL 3-2-99 and filed 4-13-99 (Register
99, No. 16).
3. Change without regulatory effect repealing section filed 2-9-2005 pursuant to
section 100, fitle 1, California Code of Regulafions (Register 2005, No. 6).
§ 9546. Prerequisites to Formal Action by the State Board.
Note: Authority cited: Sections 33031, 60005 and 60206. Education Code. Ref-
erence: Sections 60200(c)(3) and (4), 60200. 1 (a)(5), 60200.4, 60200.5, 60202 and
60203, Education Code.
History
1. New secfion filed 1 1-2-98 as an emergency; operative 1 1-2-98 (Register 98,
No. 45). A Certificate of Compliamce must be transmitted to OAL by 3-2-99
or emergency language will be repealed by operation of law on the following
day.
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§9547
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
2. Certificate of Compliance as to 1 1-2-98 order, including amendment of section
headins and section, transmitted to OAL 3-2-99 and filed 4-13-99 (Register
99. Nori6).
3. Change without regulatory effect repealing section filed 2-9-2003 pursuant to
section 100, title I, California Code of Regulations (Register 2003. No. 6).
§ 9547. Period of Adoption.
NOTE: Authority cited: Sections 33031 . 60005 and 60206, Education Code. Ref-
erence: Sections 60200 and 60200.1(a)(5), Education Code.
History
1. New section filed 1 1-2-98 as an emergency; operafive 1 1-2-98 (Register 98,
No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-99
or emergency language will be repealed by operation of law on the following
day.
2. Certificate ofCompliance as to 1 1 -2-98 order, including amendment of section,
transmitted to OAL 3-2-99 and filed 4-13-99 (Register 99, No. 16).
3. Change without regulatory effect repealing section filed 2-9-2005 pursuant to
section 100, title 1, California Code of Regulations (Register 2005, No. 6).
§ 9548. Evaluation Criteria Development.
NOTE: Authority cited: Sections 33031, 60005 and 60206, Education Code. Ref-
erence: Sections 60200.1(a)(5) and 60204(b), Education Code.
History
1 . New section filed 1 1-2-98 as an emergency; operative 1 1-2-98 (Register 98,
No. 45). A Certificate ofCompliance must be transmitted to OAL by 3-2-99
or emergency language will be repealed by operation of law on the following
day.
2. Certificate ofCompliance as to 1 1 -2-98 order, including amendinent of section,
transmitted to OAL 3-2-99 and filed 4-13-99 (Register 99, No. 16).
3. Change without regulatory effect repealing section filed 2-9-2005 pursuant to
section 100, title 1, California Code of Regulations (Register 2005, No. 6).
§ 9549. Review Process.
NOTE: Authority cited: Sections 33031, 60005 and 60206, Education Code. Ref-
erence: Sections 60200.1(a)(5) and 60204, Education Code.
History
1. New section filed 1 1-2-98 as an emergency; operative 1 1-2-98 (Register 98,
No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-99
or emergency language will be repealed by operation of law on the following
day.
2. Certificate ofCompliance as to 1 1-2-98 order, including amendment of section,
transmitted to OAL 3-2-99 and filed 4-13-99 (Register 99, No. 16).
3. Change without regulatory effect repealing section filed 2-9-2005 pursuant to
section 100, title 1, California Code of Regulations (Register 2005, No. 6).
§ 9550. Invitation to Submit.
NOTE: Authority cited: Sections 33031, 60005 and 60206, Education Code. Ref-
erence: Section 60200.1(a)(5), Education Code.
History
1 . New section filed 1 1-2-98 as an emergency; operative 1 1-2-98 (Register 98,
No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-99
or emergency language will be repealed by operation of law on the following
day.
2. Certificate ofCompliance as to 1 1-2-98 order, including amendment of section,
transmitted to OAL 3-2-99 and filed 4-13-99 (Register 99. No. 16).
3. Change without regulatory effect repealing section filed 2-9-2005 pursuant to
section 100, title 1 , California Code of Regulations (Register 2005, No. 6).
Chapter 10. Courses of Study
Subchapter 1. High School Courses of
Study
Article 1 . Automobile Driver Education
§10020. General Provisions.
This article goveins the establishment, conduct, and scope of, and es-
tablishes standards for, automobile driver education in high schools, ex-
cept evening high schools.
"Automobile driver education" is classroom instruction described in
Education Code Section 51220(j).
(a) A course in automobile driver education shall include instruction
in the following areas:
(1 ) Driving is your responsibility.
(2) Major causes of accidents.
(3) The driver.
(4) Natural forces affecting driving.
(5) Signs, signals, and highway markings, and highway design fea-
tures which require understatiding for safe operation of motor vehicles.
(6) Caiii'omia Vehicle Code, rules of the road, and other state laws and
local iTiotor vehicle laws and ordinances.
(7) Differences in characteristics of urban and airal driving including
safe use of modem expressways.
(8) Critical vehicle systems and subsystems requiring preventive
maintenance.
(9) Pedestrian safety.
(10) Effects of alcohol and drugs.
(11) Motorcycle safety.
(b) If an allowance will be claimed for the laboratory phase of driver
education based upon the driver education course, the course shall meet
the requirements of Section 10044(a) and Education Code Sections
41906, 41907 and 51851.
(c) If an allowance described in (b) will not be claimed, the course may
be taught by an instructor who holds a credential authorizing the holder
to teach in all grades, 10, 1 1 , and 12. In all other respects, the course shall
meet the requirements of this article and of Education Code Section
51851.
NOTE: Authority cited: Section 51054, Education Code. Reference: Section
51054, Education Code.
History
1 . Amendment of subsection (a) filed 9-24-71; effective thirtieth day thereafter
(Register71,No. 39).
2. Amendment of subsections (b) and (c) filed 7-21-72; effective thirtieth day
thereafter (Register 72, No. 30).
3. Amendment of section and NOTE filed 9-23-77; effecfive thirtieth day thereaf-
ter (Register 77, No. 39).
4. Repealer of Article 1 (Sections 10000-10001) and renumbering of Article 2
(Section 10020) to Article 1 filed 1 1-7-79; effective thirtieth day thereafter
(Register 79, No. 45).
Article 2. Automobile Driver Training
§10040. General Provisions.
This article governs the establishment, conduct, and scope of, and es-
tablishes standards for the laboratory phase of driver education in high
schools, except evening high schools.
The laboratory phase of driver education is instruction in driving mo-
tor vehicles through the actual use of automobile simulators, and multi-
ple-car off-street driving ranges, for the purpose of developing the
knowledge, attitude, habits, and skills necessary for the safe operation of
motor vehicles, with additional emphasis in:
(a) The vehicle, highway and community features:
(1) That aid the driver in avoiding crashes
(2) That protect him and his passengers in crashes
(3) That maximize the salvage of the injured.
(b) Basic and advanced driving techniques including techniques for
handling emergencies.
NOTE: Authority cited: Section 51054. Education Code. Reference: Section
51054, Education Code.
History
1. Amendment filed 9-24-71; effective thirtieth day thereafter (Register 71, No.
39).
2. Amendment filed 7-21-72; effective thirtieth day thereafter (Register 72, No.
30).
3. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77. No. 39).
4. Renumbering of Article 3 (Sections 10040-10044) to Article 2 filed 1 1-7-79;
effective thirtieth day thereafter (Register 79, No. 45).
§ 1 0041 . Standards of Pupil Eligibility.
(a) Only those pupils may receive instruction in the laboratory-phase
of driver education who hold a valid student license issued by school au-
Page 116
Register 2008, No. 10; 3-7-2008
Title 5
California Department of Education
§ 10042
ihoriiies. meet the age and other requirements of Education Code Section
5 1 850 and come within regulations adopted by the governing board un-
der that section, and meet physical and mental qualifications as specified
in Vehicle Code Section 12804. Screening examinations shall include a
test of the hearing and eyesight of the applicant and such other matters
as may be necessary to determine the applicant's mental and physical fit-
ness to operate a motor vehicle upon the highways and whether any
ground exists for refusal of the student license under the Vehicle Code.
Screening examinations shall be subject to the provisions of Sections
590. 591 . 592. and 59.'^ of this title and of Section 49452 of the Education
Code.
(b) Districts shall include in the regulations adopted by the local gov-
erning board provisions to determine who can profit by and who shall re-
ceive instruction in the laboratory-phase of driver education.
(c) In addition, all districts shall include in the regulations a provision
that the student and his parent or guardian shall signify that the student
will utilize his training through parental/student activities directed to li-
censing within six months after the course shall have been completed.
(d) Students who have satisfactorily completed the laboratory-phase
of driver education and who repeat the course shall not be included for
excess cost reimbursement pursuant to Education Code Section
41304(b).
History
1. Amendment filed 9-23-77: effective thirtieth day thereafter (Register 77. No.
39). For prior history, see Register 74, No. 48.
§ 10042. Standards for Automobiles Used.
(a) Equipment. An automobile used for the laboratory phase of driver
education shall at all times have the following equipment:
(1) Dual controls of a type approved by the California Stale Depart-
ment of Education. American Automobile Association dual controls and
those of similar specifications are approved.
(2) Seat belts that conform to the requirements of Motor Vehicle Code
Section 27304.
(3) Outside rear-view mirrors for the driver's side and for the right-
hand front seat.
(4) Heaters and ventilators as needed for the protection of health of the
students and teachers.
(5) Tire chains, if the automobile is being used under conditions where
the Department of Public Works requires them or where local police or
the Highway Patrol recommend them.
(6) First-aid kits, safety flares, and either reflectors or a flashing light
warning system, all maintained in good condition, and readily accessible.
(7) Appropriate tools and minor replacements for emergency repairs.
(8) A spare tire.
[The next page is 117.]
Page 116.1
Register 2008, No. 10; 3-7-2008
Title 5
California Department of Education
§ 10043
(b) Idenlitlcation. Some means shall be used to identify the automobile
with the laboratory phase of driver education. The name of a lender of an
automobile may be placed, on a single line only and only once, on each
side and the rear of the automobile in letters not exceeding one and one-
half (1 1/2) inches in height.
(c) Maintenance. An automobile used in the laboratory phase of driver
education shall receive protective maintenance and repairs in accordance
with recommendations of the manufacturer. Maintenance records shall
be kept for it.
(d) Safety Check. A complete safety check, as recommended by the
manufacturer, shall be completed on each automobile used in the labora-
tory phase of driver education at least once each semester by a competent
and qualified mechanic to insure it is in a safe operating condition.
(e) Replacement. An automobile used in the laboratory phase of driver
education shall be replaced when it cannot be maintained to meet maxi-
mum safety standards.
(0 Restricted Use. A loaned or leased automobile used in the laborato-
ry phase of driver education shall be used only for the laboratory phase
of driver education.
The driver education identification of a district owned automobile
shall be removed or covered whenever the automobile is used for other
purposes. The cost of such other use is not reimbursable.
History
1 . Amendment of subsection (a)(5) filed 10-10-69; effective thirtieth day thereaf-
ter (Register 69, No. 41).
2. Amendment filed 7-21-72; effective thirtieth day thereafter (Register 72, No.
30).
§ 10043. Standards for Laboratory Phase of Driver
Education.
(a) In any laboratory phase of driver education, no pupil shall receive
more than two hours of classroom driver education nor more than four
hours of laboratory phase of driver education (including observation
time) during any 24-hour period. The driver training shall be composed
of no more than two hours of simulator training and no more than two
hours of behind-the-wheel training, including observation time, during
any 24-hour period.
(b) Districts offering the laboratory phase of driver education through
competency-based driver training shall develop an annual plan which
describes the district's program requirements to assure that all students
receive instruction based on assessed individual needs in order to meet
a common level of program performance criteria. The plan shall include,
but shall not be limited to, the following elements:
( 1 ) The following basic driving skills and the measurement criteria to
be used to ensure that students have gained acceptable skill in performing
each of them:
(A) Predriving activities
1. Safety check outside car
a. Tire condition
b. Trunk (spare tire, jack, etc.)
c. Hood properly closed
2. Safety check inside car
a. Seat adjustment
b. Mirror adjustment
c. Doors locked
d. Seat belts fastened
3. Auxiliary equipment
a. Headlights and dimmer switch
b. Instrument panel lights
c. Windshield wipers
d. Defroster
(B) Starting
1 . Foot on brake
2. Parking brake
3. Blind spot check
(C) Moving car
1. Bhnd spot check
2. Driving straight
3. Steering
4. Speed control
5. Stopping car
6. Clutch and gear use
7. Right of way
(D) Turning skills
1 . Curb puUout
2. Left and right turns
3. Mirror use
4. Position in lane
5. Over/understeering
6. Speed control
(E) Lane changing
1. Blind spots
2. Signaling
3. Changing one lane at a time
4. Speed control
5. Traffic
(F) Intersections
l.Bhnd
2. 4-way
3. Railroad crossings
(G) Skilled turning maneuvers
1. U-turns
2. Backing
3. Three-point tum/Y turns
(H) Defensive driving
1 . Space cushion
2. Hazard recognition
3. Visual search
4. Speed selection for conditions
(1) Heavy traffic
1. Exposure to heavy area traffic (freeway, highway, boulevard)
(J) Secure car
1 . Parking brake
2. Shift to park
3. Lock doors
4. Setting wheels and controls
(2) A minimum student training period (in minutes) required to suc-
cessfully complete the competency-based driver training program.
(3) Successful completion, by each competency-based driver training
student, in at least one of the following types of instruction:
(A) A minimum of four hours of on-street behind-the-wheel driving
instruction in a dual control automobile with a qualified instructor and
eight hours in conjunction with the behind-the-wheel instruction for the
purpose of observation. A minimum of twenty minutes of this time shall
be devoted to a behind-the-wheel evaluation, or
(B) A minimum of six hours of instruction in a driving simulator ap-
proved by the department. Two hours of on-street behind the wheel driv-
ing instruction in a dual-control automobile with a qualified instructor
and four hours in conjunction with the behind-the-wheel instruction for
the purpose of observation. A minimum of twenty minutes of this time
shall be devoted to a behind-the-wheel evaluation, or
(C) A minimum of six hours of instruction by a qualified instructor on
an off-street multiple-car driving range consisting of street registered
automobiles approved by the department. Two hours of on-street be-
hind-the-wheel driving instruction in a dual-control automobile with a
qualified instructor and four hours in conjunction with the behind-the-
wheel instruction for the purpose of observation. A minimum of twenty
minutes of this time shall be devoted to a behind-the-wheel evaluation,
or
(D) A minimum of six hours of instruction by a qualified instructor in
combination in a driving simulator approved by the department and an
Page 117
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§ 10045
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
olT-street multiple-car driving range consisting of street registered auto-
mobiles approved by the department. The governing board of the district
shall establish the proportion of time to be utilized in simulators and on
the off-street multiple-car driving range. The minimum time allocated
shall include two hours of on-street behind-the-wheel driving instruc-
tion in a dual-control automobile with a qualified instructor and four
hours in conjunction with the behind-the wheel instruction for the pur-
pose of observation. A minimum of twenty minutes of this time shall be
devoted to a behind-the-wheel evaluation.
(4) Procedures for parent participation through parent orientation acti-
vities, a supervised driving program, or other district-designed pro-
grams.
(5) Any special driving skills to be included in competency-based
driver training plan that are required in order to meet local driving condi-
tions.
NOTE; Authority cited: Section 51852(e), Education Code. Reference: Section
51852(e), Education Code.
History
1. Amendment filed 9-24-71; effective thirtieth day thereafter (Register 71, No.
39).
2. Amendment filed 7-21-72; effective thirtieth day thereafter (Register 72, No.
30).
3. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
4. Repealer of former Section 143 and renumbering of Section 10044 to Section
10043 filed ] 1-7-79; effective thirtieth day thereafter (Register 79, No. 45).
5. Amendment filed 8-20-87; operative 9-19-87 (Register 87, No, 35).
Article 3. Contracting for Automobile
Driver Training
§10045. Scope.
NOTE: Authority cited: Section 41913, Education Code. Reference: Secfion
41913, Education Code.
History
1 . New Article 3.1 (§§ 10045-10049) filed 4-28-76; effective thirtieth day there-
after (Register 76, No. 1 8).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
3. Renumberingof Article 3.1 (Secfions 10045-10049) to Article 3 filed 1 1-7-79;
effective thirtieth day thereafter (Register 79, No. 45).
4. Repealer filed 8-20-87; operative 9-19-87 (Register 87, No. 35).
§ 10046. Approved Private Driver Training School.
NOTE: Authority cited: Secfion 41913, Education Code. Reference: Secfion
41913, Educafion Code.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Repealer filed 8-20-87; operative 9-19-87 (Register 87, No. 35).
§ 10046.5. Application for Approval of Initial and Renewal
Contract.
NOTE: Authority cited: Secfion 41913, Education Code. Reference: Section
41913, Education Code.
History
1. New section filed 9-19-77; effecfive thirtieth day thereafter (Register 77, No.
39).
2. Repealer filed 8-20-87; operative 9-19-87 (Register 87, No. 35).
§ 1 0047. Approval of Contract.
NOTE: Authority cited: Secfion 41913, Education Code. Reference: Section
41913, Education Code.
History
1 . Repealer of secfion and new section filed 9-19-77; effective thirtieth day there-
after (Register 77, No. 39).
2. Repealer filed 8-20-87; operafive 9-19-87 (Register 87, No. 35).
§ 10047.5. Grounds for Contract Disapproval or
Termination.
NOTE: Authority cited: Secfion 41913, Educafion Code. Reference: Section
41913, Education Code.
History
1 . New section filed 9-19-77; effecfive thirtieth day thereafter (Register 77. No.
39).
2. Repealer filed 8-20-87; operative 9-19-87 (Register 87, No. 35).
§ 10047.6. Reconsideration of Disapproval or Termination.
NOTE; Authority cited: Secfion 41913, Education Code. Reference: Section
41913, Education Code,
History
i . New section filed 9-19-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Repealer filed 8-20-87; operative 9-19-87 (Register 87, No. 35).
§10048. Reimbursement.
NOTE: Authority cited: Section 41913, Education Code. Reference: Section
41913. Education Code,
History
1 . Repealer of section and new section filed 9-1 9-77; effecfive thirtieth day there-
after (Register 77, No. 39).
2. Repealer filed 8-20-87; operative 9-19-87 (Register 87, No. 35).
§10049. Reporting.
NOTE: Authority cited: Secfion 41913, Educafion Code. Reference: Secfion
41913, Education Code.
History
1. Repealer filed 8-20-87; operafive 9-19-87 (Register 87, No. 35).
Article 3.1. Physical Education Program
§ 10060. Criteria for Physical Education Program.
Each school district shall appraise the quality of the physical education
program in each senior or four-year high school of the district by the fol-
lowing criteria:
(a) The course of study provides for instruction in a developmental se-
quence in each of the following areas:
(1) Effects of physical activity upon dynamic health.
(2) Mechanics of body movement.
(3) Aquatics.
(4) Gymnastics and tumbling.
(5) Individual and dual sports.
(6) Rhythms and dance.
(7) Team sports.
(8) Combatives for boys.
(b) Assignment of pupils to physical education courses is made on the
basis of individual needs including such factors as health status, skill de-
velopment, and/or grade level.
(c) Instruction is provided for pupils with physical limitations includ-
ing those with inadequate skill development and the physically underde-
veloped. Physical performance tests as required by Section 1041 are used
to identify physically underdeveloped pupils and to appraise the motor
aspects of physical fitness.
(d) Each course includes activities of a vigorous nature adapted to indi-
vidual capacities, and designed to permit maximum development of each
individual pupil.
(e) Each class period includes the teaching of the fundamentals and
techniques of each instructional area conducted during that period.
(f) Class size is consistent with the requirements of good instruction
and safety.
(g) Reporting of pupil achievement is based upon all of the following:
(1) Evaluation of the pupil's individual progress and the measure of
his attainment of the goals specified in each area of instruction listed in
subsection (a) of this section.
(2) Tests designed to determine skill and knowledge.
(3) Physical performance tests.
(4) Any other evaluation procedures required by local governing
board regulations.
(h) Teaching stations are of sufficient number and suitability to pro-
vide instruction in activities conducted under subsection (a) of this sec-
tion.
Page 118
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 10080
(i) Supplies and equipment of sufficient quantity and quality are pro-
vided to allow active participation of each pupil throughout ihe class peri-
od.
Nori^; Authority cited: Section 51054, Education Code. Reference: Section
510.54. Hducalion Code.
History
1 . New NOTE filed 9-23-71; effective ihinieth day thereafter (Resister 77. No.
39),
2. Renumbering of Article 4 (Section 10060) to Article 3.1 filed 1 1-7-79; effec-
tive thirtieth dav thereafter (Resister 79. No. 45).
Article 4. Work Experience Education
§ 10070. District Plan for Work Experience Education.
Secondary school districts conducting Work Experience Education
shall develop a plan in a form prescribed by the State Department of Edu-
cation in accordance with the standards described in this article.
NOTt:: Authority cited: Section 51762. Education Code. Reference: Sections
46300(b) and 51762.5(d), Education Code.
HtSTORY
1. Repealer of Article 4 (Sections 10070-10078) and new Article 4 (Sections
10070-10075) filed 4-21-86: effective thirtieth day thereafter (Register 86.
No. 1 7). For prior history, see Registers 79, No. 45: 77, No. 39: and 76, Nos. 40
and 12.
§ 1 0071 . Formal Training Agreements for Each Type of
Work Experience Education.
Work Experience Education shall consist of one or rnore of the follow-
ing paid and unpaid types of on-the-job experiences which the second-
ary school district may offer through a formal training agreement with
each employer. The written agreement shall identify the responsibilities
of the student, employer, parent or guardian (with respect to minors only)
and the secondary school district shall outline the objectives that the stu-
dent is to accomplish at the training site:
(a) Vocational work experience education. Vocational Work Experi-
ence Education has as its purpose the reinforcement and extension of vo-
cational learning opportunities for students through a combination of re-
lated classroom instruction in Work Experience Education and
supervised paid employment in the occupation for which their vocational
course in school prepares them.
(b) General work experience education. General Work Experience
Education is an instructional course which has as its purpose the applica-
tion of basic skills of reading, writing and computation. General Work
Experience Education students will acquire general and specific occupa-
tional skills through a combination of a supervised paid employment in
any occupational field and related classroom instruction in Work Experi-
ence Education.
(c) Exploratory work experience education. Exploratory Work Expe-
rience Education is nonpaid and has as its general purpose the vocadonal
guidance of the students by affording them opportunities to observe and
sample systematically a variety of conditions of work for the purpose of
ascertaining their interest and suitability for the occupation they are ex-
ploring. Exploratory Work Experience Education includes a combina-
tion of job observations and related classroom instruction in Work Expe-
rience Education. The student may be required to perform, on a limited,
periodic and sampling basis, nonpaid work activities while exploring the
occupation. The employer or work station supervisor may but shall not
be required to teach production or other job skills to the Exploratory
Work Experience Education student. The length of exploratory assign-
ments may vary, depending on the aptitude of the student, the occupation
being explored, the faciUties of the work station, and the job classifica-
tion. A student may not be a part of Exploratory Work Experience Educa-
tion if pay is received for like work at the same work station or similar
job during hours when not assigned as an Exploratory Work Experience
Education student. The student shall not replace a paid employee. The
district shall provide Worker's Compensation Insurance for the student.
A secondary school student in Exploratory Work Experience Education
may be less than 1 6 years of age.
NOTt;: .Authority cited: Section 51762, Education Code. Reference: Sections
51760(a). 51760.3(b), 51762.5(b). 51762.5(d). 51762.5(e) and 51764. Education
Code.
§ 10072. Selection and Approval of Work Stations.
In selecting and approving a work station for an individual student, the
Work Experience Education-Coordinator shall approve work stations
that will enable the student to accomplish meaningful learning objec-
tives.
NOTE: Authority cited: Section 51762. Education Code. Reference: Section
51762..5(a). Education Code.
§ 10073. Related Classroom Instruction.
The Work Experietice Teacher-Coordinator shall conduct the related
classroom instruction. Related classroom instruction shall be developed
for each semester and type of V/ork Experience Education offered, in-
cluding units in appropriate scope and sequence.
NOTE: Authority cited: Section 51762, Education Code. Reference: Section
51762.5, Education Code.
§ 10074. Supervision of Students.
In carrying out the district plan for Work Experience Education, the
Teacher-Coordinator shall provide for supervision of students by pre-
paring individual training plans, observing and consulting with students,
and making a minimum of two on-site contacts per semester with each
work station supervisor and a minimum of one on-site contact during
summer school to evaluate student performance.
NOTE: Authority cited: Section 51762, Education Code. Reference: Section
51762.5(c), Education Code.
§ 10075. Work Experience Education Teacher-Coordinator
Minimum Qualifications.
The Work Experience Education Teacher-Coordinator shall possess
a vahd California secondary-level credential, have two years of occupa-
tional experience outside the field of education, and have knowledge of
the educational purposes, standards, laws and rules and regulations appli-
cable to Work Experience Education.
NOTE; Authority cited: Section 51762, Education Code. Reference: Sections
46300(b), 51762, 51762.5, Education Code.
Article 5. Community Classrooms
§10080. Definition.
(a) "Community Classroom" is an instructional methodology which
utilizes unpaid on-the-job training experiences at business, industry,
and pubhc agency sites to assist students in acquiring those competencies
(skills, knowledge, and attitudes) necessary to acquire entry-level em-
ployment. The intent of the community classroom methodology is to pro-
vide additional resources so concurrent, formalized classroom instruc-
tion can be extended and the acquisition of salable skills enhanced.
(b) "Competency" means the prescribed performance level for a skill,
knowledge, and attitude necessary to accomplish a job task.
(c) "Formal Vocational Instruction" means instruction provided by a
qualified teacher, ufilizing a lesson plan, to a group of students in a clas-
sroom.
(d) "Related Classroom Instruction" means formal vocafional instruc-
tion which is correlated with unpaid on-the-job training experiences.
(e) "Community Classroom Teacher" is the certificated vocational
education instructor, employed by the local educational agency operat-
ing a community classroom instrticdon, conducts the required visitations
to on-the-job training stations, and verifies student acquisition of coin-
petencies identified in the training plan.
(f) "Community Classroom Joint Venture Training Agreement" is a
written document which describes the conditions and requirements to be
met by the local educational agency and management of the community
classroom in the utilization of business, industry, and public agency re-
sources for vocational instrucfion.
Page 119
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§ 10081
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(g) "The Management of the Community Classroom" is the owner or
designated emp]oyee(s). representing tiie entity offering its resources for
vocational instruction, who assists the local educational agency in the op-
eration of community classroom.
(h) "Community Classroom Individualized Training Plan" is a written
document which identifies those competencies the student will acquire
through vocational classroom instaiction and unpaid on-the-job training
experiences.
(i) "Concurrent Classroom Instruction" means classroom instruction
and unpaid on-the-job training experiences are being conducted togeth-
er within the same time frame (quarter, semester, program year, etc.
(i) "Approved Vocational Education Course/Program" means the
State Department of Education has approved the vocational education
course/program by either signing a ROC/P Course Approval Application
(Form VE-77) or local educational agency Program Inventory (Form
VE-30).
(k) "Community Classroom Training Station" is the business/industry
or public agency location where the student receives his/her unpaid on-
the-job training experiences.
(/) "Methodology" means a technique or procedure used for teaching
students skills.
(m) "Supervision/Coordination" are those activities performed by the
community classroom teacher, usually outside of the classroom, that in-
clude but are not limited to advisory committee operation, program pro-
motion, recruitment, selection of training stations, training plan develop-
ment, relating in-school instruction to unpaid on-the-job training,
on-the-job student/employer visitations, and evaluation of student prog-
ress.
NOTE: Authority cited: Sections 52372 and 52372. 1, Education Code. Reference:
Section 52372.1, Education Code.
History
1. New Article 6 (Sections 10090-10092) filed 4-18-75, effective thirtieth day
thereafter (Register 75, No. 16).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
3. Renumbering of Article 6 (Sections 10090-10092) to Article 5 filed 1 1-7-79;
effective thirtieth day thereafter (Register 79, No. 45). 4. Renumbering and
amendment of former Section 10090 to Section 10080 filed 12-3-87; operafive
1-2-88 (Register 87, No. 50).
§ 1 0081 . Academic Credit for Participation in Community
Classroom.
Provision shall be made for evaluating and rating each student's
achievement in Community Classroom. Credit shall be granted for the
satisfactory completion of the following:
(a) Evaluation of participation in related classroom instruction which
is the responsibility of the community classroom teacher.
(b) Evaluation of participation at the unpaid training station which is
the responsibility of the community classroom teacher with the assis-
tance of the management of the community classroom.
NOTE: Authority cited: Sections 52372 and 52372.1, Educafion Code. Reference:
Section 52372.1(a)(7), Education Code.
History
1. New section filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§10082. Student Qualifications.
In order to qualify for participation in Community Classroom, an indi-
vidual must be concurrently enrolled in the approved vocational educa-
tion course/program.
NOTE; Authority cited: Sections 52372 and 52372.1, Educafion Code. Reference:
Section 52372, 52372.1(a)(2) and (c). Education Code.
History
1. New section filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§10083. Teacher Responsibilities.
The community classroom teacher shall:
(a) Provide concurrent formal vocational classroom instruction. In-
struction shall be based on skills, knowledges, attitudes, and related per-
formance levels in the occupation for which instruction is conducted.
(b) Conduct required training station visits to observe students, pro-
vide instruction, and ensure that student acquisition of competencies
identified in the individualized training plan is occurring.
(c) Prepare individualized training plans.
(d) Locate and select training stations to provide students unpaid on-
the-job learning experiences commensurate with their skill training.
(e) Monitor the student's progress by completing the individualize
training plan.
(0 Provide ongoing and final evaluation of the student's achievement
of course instruction objectives.
NOTE: Authority cited: Sections 52372 and 52372.1(a), Education Code. Refer-
ence: Sections 46300(f), 52372.1(a)(1). (2), (3), (4), (c) and (d). Education Code.
History
1 . New section filed 12-3-87; operative 1-2-88 (Register 87. No. 50).
§10084. Records.
The community classroom teacher shall keep on file, copies of the fol-
lowing records:
(a) Joint Venture Training Agreement.
(b) Individualized Training Plan.
(c) Community Classroom teacher unpaid training station visitations
and community classroom site management consultations regarding stu-
dent progress and training plan on-the-job experiences.
(d) Pupil's training hours from the management of the community
classroom.
(e) Students assigned at community classroom sites including loca-
tions, duration of time, dates, and hours.
NOTE; Authority cited: Secfions 52372 and 52372.1(a), Education Code. Refer-
ence: Secnons 52372.1(a)(3), 52372.1(a)(4), (a)(6) and (d). Education Code.
History
1 . New section filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§ 10085. Related Classroom Instruction.
(a) Formal related concurrent vocational classroom instruction shall
be:
( 1 ) Based on the skills, knowledges, attitudes, and related performance
levels in the occupation for which training is conducted.
(2) Provided at a minimum equivalency of three instructional periods
per week. An instructional period must equal at least 50 minutes. A mini-
mum of one instructional period per week shall be scheduled and con-
ducted.
(b) The curriculum for a vocational course/program, utilizing the com-
munity classroom methodology, shall identify how competencies neces-
sary for employment will be taught through concurrent classroom in-
struction and be expanded through unpaid on-the-job training
experiences.
NOTE; Authority cited: Secfion 52372.1(a), Education Code. Reference: Sections
52372.1(a)(2) and (c). Education Code.
History
1 . New section filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§ 10086. Selection and Approval of Community Classroom
Training Stations.
The following criteria shall be used to select and approve a community
classroom training station:
(a) The management of the community classroom training station
shall:
(1) Have a clear understanding of the community classroom method-
ology and a willingness to participate in the training experience.
(2) Cooperate with the vocational education director, or his/her desig-
nee, in preparing a written joint venture agreement.
(3) Participate with the community classroom teacher in preparing an
individualized training plan.
(4) Provide and assist students with unpaid on-the-job training expe-
riences as described in the individualized training plan.
(5) Consult with the community classroom teacher regarding the stu-
dent's progress during the unpaid on-the-job training experiences.
(6) Assist in maintaining accurate records of the pupil's training hours.
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Title 5
California Department of Education
S 10100
(b) The training station shall offer training opportunities in the specific
occupation for which tiie course is approved. Training opportunities at
the station shall expand competencies developed in the classroom in-
struction portion of the student's training.
(c) The training station shall have adequate equipment, materials, and
other resources to provide an appropriate learning opportunity.
(d) Training station conditions shall prevail which will not endanger
the health, safety, welfare, or morals of the pupil.
(e) The training station shall be concurrently engaged in a business op-
eration which requires employment in the occupation for which training
is provided.
NOTti: Authority cited: Section .'i2372.1{a). Education Code. Reference: Sections
44806. 46300(0, 52372.1(a), (3). (4), (6) and (d). Education Code.
History
I. New section filed 12-3-87; operative 1-2-88 (Register 87, No. 30).
§ 10087. Community Classroom Joint Venture Training
Agreements and Plans.
(a) A written joint venture training agreement shall be entered into be-
tween the director, or his/her designee, of the local educational agency
and the manageinent of the community classroom site.
(b) The community classroom teacher, in cooperation with the man-
ageinent of the community classroom site, shall prepare an individual-
ized training plan for each pupil to include, but not be limited to, the fol-
lowing;
( 1 ) Competencies to be included in the instructional objectives of the
approved course/program.
(2) Expected duration of training for competencies necessary for em-
ployiTient.
(3) Identification of competencies to be taught in either related clas-
srooin instruction and/or the unpaid training station.
(4) Verification that the student has acquired the competency demon-
strating a proficiency equivalent to entry-level employment. A copy of
the community classroom training plan shall be maintained at the com-
munity classroom training station.
NOTE: Authority cited: Section 52372.1(a), Education Code. Reference: Section
52372.1(a)(4) and (d), Education Code.
History
1. New section filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§10088. Supervision of Students.
(a) The community classroom teacher shall make at least one visitation
every 3 weeks to consult with the management of the community clas-
sroom, observe students at the training station, provide instruction, and
ensure that student acquisition of competencies identified in the individ-
ualized training plan is occurring.
Each visitation shall include an observation of the student engaged in
unpaid on-the-job training experiences.
(b) The community classroom teacher shall be provided time for su-
pervision/coordination equivalent to one hour per week for every five
community classroom students enrolled. When less than five students are
enrolled, a minimum of one hour per week of supervision/coordination
time shall be provided.
(c) Only the community classroom teacher who provides related clas-
sroom instruction shall provide supervision/coordination for the unpaid
on-the-job training of students.
NOTE: Authority cited: Section 52372.1(a), Education Code. Reference: Section
52372.1(a)(2) and (a)(3). Education Code.
History
1. New section filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§10089. Student-Teacher Ratio.
(a) The maximum number of students per vocational education course
section utilizing the community classroom and/or cooperative vocational
education methodology shaJl not exceed 30 at any time.
(b) The maximum number of students assigned to a vocational educa-
tion instructor, utilizing the community classroom and/or cooperative
vocational education methodology., including both related classroom in-
struction and supervision/coordination, shall not exceed T.'S at any time.
NOTE: Authority cited: Section 52372.1(a). Education Code. Reference: .Section
52372.1(a)(5), Education Code.
History
1. New section filed 12-3-87; operalive 1-2-88 (Register 87. No. 50).
§ 10090. Unpaid On-the-Job Experiences.
(a) The unpaid on-the-job training element of the program shall not:
( i ) Provide the inanagement of the community classroom site with an
immediate benefit.
(2) Allow a student to replace an employee of the community clas-
sroom site or cause the employee's hours to be reduced, nor shall the stu-
dent's training activities preclude the hiring of additional employees.
(3) Include productive work of any kind as defined by State and Feder-
al Labor Regulations (Div. 2. Part 4 commencing with Section 201 1, Cal-
ifornia Labor Code; Fair Labor Stds. Act, 29 U.S. Code, Sections 201 el
seq.).
(b) Unpaid on-the-job training experiences shall only expand compe-
tencies developed in the classroom instruction portion of the vocational
cour,se/program utilizing the community classroom methodology.
NOTE: Authority cited: Section 52372.1(a). Education Code. Reference: Sections
52372.1(a)(6), 52372.1(d) and (e). Education Code.
History
1. Renumbering and amendment of former Section 10090 to Section 10080, and
new Section 10090 filed 12-3-87; operative 1-2-88 (Register 87, No. 50). For
history of former Secfion 10090. see Register 79, No. 45.
§ 1 0091 . Programs Conducted in Community Classrooms.
NOTE: Authority cited: Section 51(354, Education Code. Reference: Section
51054, Education Code.
History
1. Repealer filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§10092. Scope.
The provisions of this article do not apply to community colleges or
to private postsecondary schools under contract pursuant to Education
Code Section 8092.
History
1. Amendment filed 10-30-75; effective thirtieth day thereafter (Register 75, No.
44).
2. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
Article 6.
Cooperative Vocational
Education
§10100. Definitions.
(a) "Cooperative Vocational Education" is an instructional methodol-
ogy which correlates concurrent, formal vocational classroom instruc-
tion with regularly scheduled, paid on-the-job training experience.
Cooperative vocaUonal education assists students to develop and refine
occupational competencies (attitudes, skills, and knowledges) needed to
acquire, adjust, and advance in an occupation.
(b) "Competency" means the prescribed performance level for a skill,
knowledge, and atfitude necessary to accomplish a job task.
(c) "Formal Vocational InstrucUon" means instruction provided by a
qualified teacher, utilizing a lesson plan, to a group of students in a clas-
sroom.
(d) "Related Classroom Instruction" means formal vocational instruc-
tion which is correlated with paid on-the-job training experiences.
(e) "Cooperative Vocational Education Teacher" is the certificated
vocational educafion instructor, employed by the local educational
agency, operating a cooperative vocational education instructional meth-
odology, who provides the formal vocafional classroom instruction, con-
ducts the required visitafions to paid on-the-job training stations, and
verifies student acquisition of competencies identified in the training
plan.
(f) "Cooperafive Vocafional Education Training Agreement" is a writ-
ten document which describes the conditions and requirements to be met
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§ 10101
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
by those parties (school, employer, student, and parent) involved with the
utilization of business and industry resources for vocational instruction.
(g) "Cooperative Vocational Education Individualized Training Plan"
is a written document which identifies those competencies the student
will acquire through vocational classroom instruction and paid on-the-
job experiences.
(h) "Concurrent Classroom Instruction" means classroom instruction
and paid on-the-job training experiences are being conducted together
within the same time-frame (quarter, semester, program year. etc.).
(i) "Approved Vocational Education Course/Program" means the
State Department of Education has approved the vocational education
course/program by either signing a ROC/P Course Approval application
(Form VE-77) or local educational agency Program Inventory (Form
VE-30).
(j) "Cooperative Vocational Education Training Station" is the busi-
ness/industry, location, public or private, where the student receives his/
her regularly, scheduled, paid, on-the-job training experiences.
(k) "Methodology" means a technique or procedure used for teaching
students skills.
(1 ) "Supervision/Coordination" are those activities performed by the
cooperative vocational education teacher, usually outside of the clas-
sroom that include, but are not limited to: advisory committee operation,
program promotion/recruitment, selection of training stations, training
plan development, relating in-school instruction to paid on-the-job
training, on-the-job student/employer visitations, and evaluation of stu-
dent progress.
NOTE: Authority cited: Sections 52372 and 52372.1(a), Education Code. Refer-
ence: Section 52372.1(a), Education Code.
History
1. New Article 7 (Sections 10100-10107) filed 10-22-76; effective thirtieth day
thereafter (Register 76, No. 43).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
3. Renumbering of Article 7 (Sections 10100-10107) to Article 6 filed 1 1-7-79;
effective thirtieth day thereafter (Register 79, No. 45).
4. Repealer of former Section 10100 and renumbering and amendment of former
Section 10101 to Section 10100 filed 10-6-83; effective thirtieth day thereafter
(Register83, No. 41).
5. Amendment filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§ 1 01 01 . Advisory Committee.
NOTE: Authority cited: Section 52372, Education Code. Reference: Section
52372, Education Code.
History
1. Renumbering and amendment of former Section 10101 to Section 10100 and
renumbering and amendment of former Section 10102 to Section 10101 filed
10-6-83; effective thirtieth day thereafter (Register 83, No. 41 ).
2. Repealer filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§ 1 01 02. Academic Credit for Participation in Cooperative
Vocational Education.
Provision shall be made for evaluating and rating each student's
achievement in Cooperative Vocational Education. Credit shall be
granted for the satisfactory completion of the following:
(a) Evaluarion of participation in related classroom instruction which
is the responsibility of the cooperative vocational education teacher.
(b) Evaluation of participation at the paid training station which is the
responsibility of the cooperative vocational education teacher with the
assistance of the employer.
NOTE: Authority cited: Sections 52372 and 52372.1 (a)(7). Education Code. Ref-
erence: Section 52372.1(a)(7), Education Code.
History
1. Renumbering and amendment of former Section 10102 to Section 10101 and
renumbering and amendment of former Section 10103 to Section 10102 filed
10-6-83; effective thirtieth day thereafter (Register 83, No. 41).
2. Amendment filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§ 1 01 03. Student Qualifications.
In order to qualify for participation in cooperative vocational educa-
rion, a student shall:
(a) Be at least 1 6 years of age except, a student with exceptional needs,
including, but not limited to, financial or morivational needs as deter-
mined by the principal or local educational director.
(b) Be a full-time student. For the purpose of this section, a full-time
student means one of the following:
( 1 ) A student enrolled in continuarion/altemarive education.
(2) A student enrolled in a regional occupational center or regional oc-
cupational program.
(3) A student enrolled in the regular school for the minimum day. ex-
cluding cooperative vocational education.
(4) A student enrolled in a summer school approved pursuant to regu-
lations of the State Board.
(c) Have parental or guardian approval if under 18 years of age.
(d) Be currently enrolled in the approved vocational education course/
prograin.
NOTE: Authority cited: Section 52372, Education Code. Reference: Sections
52372 and 52372.1(e), Educafion Code.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Renumbering and amendment of former Section 10103 to Section 10102 and
renumbering and amendment of Section 10104 to Section 10103 filed 10-6-83;
effective thirtieth day thereafter (Register 83, No. 41).
3. Amendment filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§ 1 01 04. Teacher Responsibilities.
The cooperative vocational education teacher shall:
(a) Assist students in career planning and guidance.
(b) Locate and select training stations to provide students on-the-job
training experiences commensurate with their abilities and interests.
(c) Plan on-the-job training station experiences with the employer.
(d) Provide a written evaluation of the paid on-the-job progress of the
student at least once each grading period.
(e) Assist students with continued educational objectives and/or em-
ployment placement.
(f) Provide concurrent, formal, related classroom instruction.
(g) Conduct required training station visits to observe students and en-
sure that student acquisition of competencies identified in the individual-
ized training plan is occurring.
(h) Prepare individualized training plans.
(i) Provide ongoing and final evaluation of the student's achievement
of course/program instructional objectives.
NOTE; Authority cited: Sections 52372 and 52372.1(a), Education Code. Refer-
ence: Sections 46300(f), 52372.1(a)(1), (2), (3), (4) and (6), Education Code.
History
1. Renumbering and amendment of former Section 10104 to Section 10103 and
renumbering and amendment of former Section 10105 to Section 10104 filed
10-6-83; effective thirtieth day thereafter (Register 83, No. 41).
2. Amendment filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§10105. Records.
The cooperative vocational education teacher shall keep on file copies
of the following records:
(a) Evidence of work permits issued.
(b) Training agreements.
(c) Individualized training plans.
(d) Cooperative vocational education teacher on-site training station
visitations and employer consultarions regarding student progress and
training plan paid on-the-job experiences.
(e) Pupil training hours from the employer.
(f) Students enrolled in the cooperative vocational education program,
including the names of firms that served as training stations, the duration
of time the students were employed, and the total number of hours the stu-
dents were employed.
NOTE: Authority cited: Sections 52372 and 52372.1(a), Education Code. Refer-
ence: Section 52372.1(a), Education Code.
History
1. Renumbering and amendment of former Section 10105 to Section 10104 and
renumbering and amendment of former Section 10106 to Section 10105 filed
10-6-83; effective thirtieth day thereafter (Register 83, No. 41 ).
Page 122
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Title 5
California Department of Education
§ 10111
•
2. Aincndiiicnt filed. 12-3-87; operative 1-2-88 (Register 87. No. 50).
§ 10106. Related Classroom Instructions.
(a) Formal related voeational classroom instruction shall be:
( 1 ) Concurrent and directly related to the paid on-ihe-job training of
students.
(2) Organized to ensure that each student will have sufficient number
of hours of related classroom instruction and on-the-job training experi-
ence to provide the student with those competencies necessary for em-
ployment and advancement in the occupational area for which training
is offered.
(3) Provided at a minimum equivalency of three instructional periods
per week. An instructional period must equal at least 50 minutes. A mini-
mum of one instructional period per week shall he scheduled and con-
ducted.
(b) The curriculum for a vocational course/program, utilizing the
cooperative vocational education methodology, shall identify how com-
petencies necessary for employment will be taught through concurrent
classroom instruction and on-the-job training experiences.
NOTE; Authority cited: Section 52372.1, Education Code. Reference: Section
.52372.1(a)(2) and (b). Education Code.
History
1. New section filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§ 10107. Selection and Approval of Training Stations.
The following criteria shall be used to select and approve training sta-
tions.
(a) The employer at the cooperative vocational education training sta-
tion shall:
(1) Have a clear understanding of program objectives and a willing-
ness to participate in the program.
(2) Provide adequate supervision to ensure a planned program of the
students" paid on-the-job training in order that the student may receive
maximum education benefit.
(.3) Consult with the cooperative vocational education teacher regard-
ing the paid on-the-job progress of the student.
(4) Cooperate with the vocational education director or his or her de-
signee in preparing a written training agreement.
(5) Participate with the cooperative vocational education teacher and
the student in preparing an individualized training plan.
(6) Provide a minimum of 8 hours of paid employment per week to as-
sist students to acquire those competencies necessary for employment
and advancement in the occupational area for which training is offered.
(7) Assist in maintaining accurate records of the students' training
hours.
(8) Provide Workers" Compensation Insurance for students employed
through the Cooperative Vocational Education Program.
(b) The training station shall offer training opportunities in the specific
occupation for which the course is approved. Training opportunities at
the paid station shall be in the occupation for which related instruction
is provided.
(c) Training station working conditions shall not endanger the health,
safety, welfare or morals of the students.
(d) The training station shall have adequate equipment, materials and
other resources to provide an appropriate learning opportunity.
NOTE; Authority cited: Sections 52372 and 52372.1(a), Education Code. Refer-
ence: Sections 44806, 46300(f), 51 769, 52372, 52372. 1 (a)( 1 ), (a)(3), (a)(4), (a)(6)
and (b). Education Code.
History
1. Amendment filed 10-6-83; effective thirtieth day thereafter (Register 83, No.
41).
2. Amendment filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§ 10108. Cooperative Vocational Education Training
Agreements and Individualized Training Plans.
(a) The vocational education director or his/her designee shall prepare
a written training agreement which delineates the responsibilities of each
employer and local education agency.
(b) The cooperative vocational education teacher in cooperation with
the training station employer and student shall prepare an individualized
training plan for each pupil to include, but not be limited to, the follow-
ing:
( 1 ) Competencies to be presented in the instructional objectives of the
approved course/program.
(2) Expected duration of training for competencies necessary for em-
ployment.
(3) Identification of competencies to be taught in either related clas-
sroom instruction and/or the paid training station.
(4) Verification that the student has acquired the competency by dem-
onstrating a proficiency equivalent to entry-level employment and/or
advanced occupational areas. A copy of the individualized training plan
shall be maintained at the cooperative vocational education training sta-
tion.
NOTE: Authority cited: Sections 46300(f) and 52372. 1 (a). Education Code. Refer-
ence: Sections 46300(f). 52372.1(a)(4) and (b). Education Code.
History
1. New section filed 12-3-87; operative 1-2-88 (Regi.ster 87, No. 50).
§ 10109. Supervision of Students.
(a) The cooperative vocadonal education teacher shall make at least
one visitation every four weeks to each employer to ensure that the train-
ing agreement provisions are being met and student acquisition of com-
petencies identified in the individualized training plan are occurring.
One out of every two visits to the training station must include an ob-
servation of the student engaged in on-the-job training experiences.
(b) The cooperative vocational education teacher shall be provided
time for supervision/coordinadon equivalent to one hour per week for ev-
ery five cooperative vocational education students enrolled. When less
than five students are enrolled, a minimum of one hour per week of super-
vision/coordination time shall be provided.
(c) Only the cooperative vocational education teacher who provides
related classroom instruction shall provide supervision/coordination for
the paid on-the-job training of students.
NOTE: Authority cited: Section 52372.1(a), Education Code. Reference: Section
52372.1(a)(2) and (a)(3). Education Code.
History
1. New section filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§ 1 01 1 0. Student-Teacher F^atio.
(a) The maximum number of students per vocational education course
section utilizing the community classroom and/or cooperative vocational
education methodology shall not exceed 30 at any time.
(b) The maximum number of students assigned to a vocational educa-
tion instructorutilizing the community classroom and/or cooperative vo-
cational education methodology, including both related classroom in-
struction and supervision/coordination, shall not exceed 75 at any time.
NOTE: Authority cited: Section 52372.1, Education Code. References: Section
52372.1 (a)(5). Education Code.
History
I. New section filed 12-3-87; operative 1-2-88 (Register 87, No. 50).
§ 1 01 1 1 . Paid On-the-Job Experiences.
(a) The paid on-the-job training experience shall be:
(1) Regularly scheduled.
(2) In the specific occupation for which the course/program is ap-
proved.
NOTE: Authority cited: Section 52372.1(a). Education Code. Reference: Section
52372.1(a)(6) and (b). Education Code.
History
1. New section filed 12-3-87; operative 1-2-88 (Register 87, no. 50).
Page 123
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§ 10500
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Chapter 10.2. Adult Education
Subchapter 1. Adult Schools and Classes
for Adults (General)
such records and shall make such reports relating to such schools and
classes as may be required by the Field Services Section and be subject
to inspection.
(b) Course outlines in all subjects shall be on file available for review.
History
1. Amendment filed 12-23-77; effective thirtieth day thereafter (Register 77, No.
Article 1. General Provisions
§10500. Scope.
NOTE: Authority cited for Chapter 1: Sections 33031, 41841.3, 52501, 52506,
52515-52517 and 52570. Education Code. Reference: Sections 48040, 41841 .5,
and Chapter 1 0 of Part 28 of Division 4. Education Code.
History
1. New Chapter 1 (§§ 10500-10508. 10520-10525, 10530-10533, 10540-10544,
10560-10563) filed 3-23-70; effective thirtieth day thereafter (Register 70,
No. 13).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
3. Amendment filed 12-23-77: effective thirtieth day thereafter (Register 77, No.
52).
4. Repealer filed 10-6-83; effective thirtieth day thereafter (Register 83, No. 41 ).
§10501. Definitions.
(a) "Facilities Clearly Identified" is the posting of an appropriate sign
in a publicly visible location identifying the location as a classroom site
of the adult school, or listing the location in a public announcement, doc-
uments, or brochures.
(b) "Adult," for purposes of attendance counting, means a person 1 6
years of age or older.
Note: Authority cited: Sections 33031 and 52517, Education Code. Reference:
Sections 52610 and 52517. Education Code.
History
1. Amendment of subsection (a) and repealer of NOTE filed 9-23-77; effective
thirtieth day thereafter (Register 77, No. 39).
2. Amendment filed 12-23-77; effective thirtieth day thereafter (Register 77, No.
52).
3. Amendment filed 10-6-83; effective thirtieth day thereafter (Reeister 83, No.
41).
§10502. Maintenance.
History
1 . Repealer filed 10-6-83; effective thirtieth day thereafter (Register 83, No. 41).
§10503. Educational Purpose.
History
1. Amendment filed 12-23-77; effective thirtieth day thereafter (Register 77, No.
52).
2. Repealer filed 10-6-83; effective thirtieth day thereafter (Register 83, No. 41 ).
§10504. Use of Films.
History
1 . Amendment filed 12-23-77; effective thirtieth day thereafter (Register 77. No.
52).
2. Repealer filed 10-6-83; effective thirtieth day thereafter (Register 83, No. 41 ).
§ 10505. Recreational Classes Not Permitted.
History
1. Repealer filed 12-23-77; effective thirtieth day thereafter (Register 77, No. 52).
§ 10506. Classes in Connection with Organizations.
History
1 . Repealer filed 12-23-77; effective thirtieth day thereafter (Register 77, No. 52).
§ 10507. Attendance and Enrollment.
History
1 . Repealer filed 1 2-23-77; effective thirtieth day thereafter (Register 77, No. 52).
§ 10508. Records and Reports.
(a) The program administrators, counselors and teachers of each
school district maintaining adult schools and classes for adults shall keep
Article 2. Approval of Adult Schools and
Classes
§ 1 0520. Approval of Adult Schools.
NOTE: Authority cited: Sections 33031, 41841.5. 52.501, 52506. 52515, .52516,
52517, 52570, Education Code. Reference: Sections 52500-52615, Education
Code.
History
1 . Amendment filed 1 2-23-77; effective thirtieth day thereafter (Register 77, No.
52).
2. Repealer filed 1 1-7-79; effective thirtieth day thereafter (Register 79, No. 45).
§ 1 0521 . Approval of Classes for Adults.
History
1 . Amendment filed 1 2-23-77; effective thirtieth day thereafter (Register 77, No.
52).
2. Repealer filed 10-6-83; effective thirtieth day thereafter (Register 83, No. 41).
§ 10522. Areas of Instruction Approved.
History
1 . Amendment filed 12-23-77; effecfive thirtieth day thereafter (Register 77, No.
52).
2. Repealer filed 10-6-83; effecfive thirtieth day thereafter (Register83, No. 41).
§ 10523. Areas of Instruction Requiring Supplementary
Information.
History
1 . Amendment filed 1 2-23-77; effective thirtieth day thereafter (Register 77, No.
52).
2. Repealer filed 1 0-6-83; effective thirtieth day thereafter (Register 83. No. 41 ).
§ 10524. Attendance and Enrollment.
Each program area as authorized in Education Code Section 41976
shall be designed for and attended primarily by adults.
NOTE: Authority cited: Secfion 33031, Education Code. Reference: Sections
41976 and 52500, Education Code.
History
1 . Amendment filed 12-23-77; effective thirtieth day thereafter (Register 77, No.
52).
2. Amendment filed 10-6-83; effective thirtieth day thereafter (Register 83, No.
41).
§ 10525. Compliance with Regulations.
History
1. Amendment filed 12-23-77; effective thirtieth day thereafter (Register 77, No.
52).
2. Repealer filed 10-6-83; effective thirtieth day thereafter (Register 83, No. 41).
Article 3. Standards for Adult Schools
§ 10530. Counseling and Guidance Services.
An approved adult school shall provide counseling and guidance ser-
vices adequate to meet the needs of the students attending classes of such
school.
§10531. Duration.
History
1 . Amendment filed 1 2-23-77; effective thirtieth day thereafter (Register 77, No.
52).
2. Repealer filed 10-6-83; effective thirtieth day thereafter (Register 83, No. 41).
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Title 5
California Department of Education
§ 10600
•
•
§10532. Curricula.
History
1. Amendment filed 12-23-77; effective thirtieth day thereafter (Rceister 77. No,
2. Repealer tiled 10-6-83; effective thirtieth day thereafter (Register 83. No. 41 ).
§10533. Curricula.
Hlstory
I . Repealer tiled 10-6-83; effective thirtieth day thereafter (Register 83, No. 41 ).
§ 10534. Apportionments. Required Proportional Level of
Service.
NOTR; Authority cited: Section 41976(b). Bdiication Code. Reference: Section
41976(b). Education Code.
History
1. New section filed 6-18-80; effective thiitieth day thereafter (Register 80, No.
25).
2. Repealer filed 10-6-83; effective thirtieth day thereafter (Register 83. No. 41).
History
1. Renumbering of Sections 10561, 10.%2, 10563 to Section 1 0.560 and amend-
ment filed 12-2.3-77; effective thirtieth day thereafter (Register 77, No. 52).
Article 4.
Standards for Particular Classes
for Adults
History
1, Repealer of Article 4 (Sections 10540-10.544) filed 10-6-83; effective thirtieth
day thereafter (Register 83, No. 41).
Article 5. Standards of Administration
§10560. General.
(a) Each class for adults shall be maintained in connection with the
school fuiTiishing the administrative, counseling and guidance, and su-
pervisory services for the class.
(b) Administration — Under 100 A.D.A. In school districts that had a
total of less than 100 units of average daily attendance in classes for
adults during the preceding fiscal year, the governing board shall make
a minimal assignment of properly credentialed personnel for administra-
tion, counseling and guidance, supervision, evaluation and curriculum
development in the adult education program equivalent to one day per
year for each unit of average daily attendance during the preceding fiscal
year.
(c) Administration — Over 100 A.D.A. In a school district maintaining
classes for adults in connection with a high school which had a total aver-
age daily attendance of 100 or more units in classes for adults during the
preceding fiscal year, a separate adult school or schools shall be estab-
lished by the governing board of the district as a separate administrative
unit.
Theadministratorof each adult school shall be a properly credentialed
person who is not a principal or a full-time vice principal of an elementa-
ry or secondary school.
The governing board shall make a minimal assignment of properly
credentialed personnel exclusively for administration, supervision, eval-
uation, curriculum development and counseling and guidance in an adult
school as follows:
A.D.A. in the particular
adult school during the
preceding fiscal year
100 through 199 One-half time of one administrator
200 through 299 One full-time administrator
300 through 399 One full-time administrator and
one-fourth time of one other person
400 and over One full-time administrator and
one-half time of one person for
each 200 units of such A.D.A. in
excess of 200
(d) Administration — Schools and Classes for Adults in County Tuber-
culosis or Poliomyelitis Hospitals or Sanitoriums.* The administration
and counseling for adult schools and classes for adults maintained at a
county tuberculosis or poliomyelitis ward, hospital, or sanitorium shall
be the same as that employed in other adult schools and classes for adults
of the district.
* For other regulations applicable to such clas.ses, see Section .3751.
§ 1 0561 . Administration— Under 1 00 A.D.A.
History
1. Renumbering of Sections 10561, 10.562, 10563 to Section 10.560 and amend-
ment filed 12-2.3-77; effective thirtieth day thereafter (Register 77, No. 52).
§ 1 0562. Separate Adult Schools.
History
1. Renumbering of Sections 10561, 10562. 10563 to Section 10560 and amend-
ment filed 12-23-77; effective thirtieth day thereafter (Register 77, No. 52).
§ 10563. Administration.* Schools and Classes for Adults
in County Tuberculosis or Poliomyelitis
Hospitals or Sanitoriums.
History
1. Renumbering of Sections 10561, 10562. 10.563 lo .Section 10560 and amend-
ment filed 12-23-77; effective thirtieth day thereafter (Register 77, No. 52).
* For other regulations applicable to such classes, see Section 375 1 .
Subchapter 2. Classes for Adults in County
Jails, Industrial Farms, and County or Joint
County Road Camps
NOTE: Authority cited for Chapter 2 : Section 41 84 1 , Education Code. Speci lie au-
thority cited: Sections 33031, 41841.5, 52501, 52506, 52515-52517, and 52570,
Education Code. Reference: Sections 48040, 4 1 84 1 .5, and Chapter 1 0, Part 28. Di-
vision 4, Education Code.
History
1. New Chapter 2 (§§ 10580 through 10591 ) filed 3-23-70; effective thirtieth day
thereafter (Register 70, No. 13).
2. Amendment ofNOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
3. Amendment filed 12-2.3-77; effective thirtieth day thereafter (Register 77. No.
52).
4. Repealer of Chapter 2 (Sections 10580-10583. 10585-10591, not consecutive)
filed 10-6-83; effective thirtieth day thereafter (Register 83, No. 41 ).
Subchapter 3. Adult Education Innovation
and Alternative Instructional Delivery
Article 1. Administration
§10600. Allowable Expenditures.
For purposes of the adult education innovation and alternative instruc-
tional delivery program, allowable expenditures are those costs defined
in Education Code section 52616.4(a). All expenditures must be ade-
quately supported by source documentation, including tiine records and
other contemporaneous records documenting employee time spent
working on the adult education innovation and alternative instructional
delivery program. Records of non-personnel expenditures shall include
documentation that the service, supply or equipment was used solely for
the adult education innovation and alternative instructional delivery pro-
gram. Record keeping shall comply with Education Code sections 41010
and 41011.
NOTE: Authority cited: Section 52522(d), Education Code. Reference: Sections
41010, 41011, 52506, .52522 and 52616.4(a). Education Code.
History
1 . New subchapter 3, article 1 and section filed 4-4-94 as an emergency ; operative
4-4-94 (Register 94, No. 14). A Certificate of Compliance must be transmitted
to OAL by 8-2-94 or emergency language will be repealed by operation of law
on the following day.
2. Repealed by operation of Government Code section 1 1346.2(g) (Register 94,
No. 36).
3. New subchapter 3, article 1 and section refiled 9-7-94; operative 9-7-94 (Reg-
ister 94, No. 36).
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§ 10605
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Title 5
§ 1 0605. Range of Allowable Expenditures.
School districts shall expend no more than $2,050 nor less than $9 per
student enrolled in the adult education innovation and alternative instruc-
tional delivery program.
NOTE: Authority cited: Section 52522(d), Education Code. Reference: Sections
41010, 42238. 52506 and 52616, Education Code.
History
1 . New section filed 4-4-94 as an emergency; operative 4^-94 (Register 94. No.
14). A Certificate of Compliance must be transmitted to OAL by 8-2-94 or
emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of GovemmenI Code section 11346.2(2) (Register 94,
No. 36).
3. New section refiled 9-7-94; operative 9-7-94 (Register 94, No. 36).
§ 10610. Reporting Requirements.
(a) Each applicant school district shall describe in its application to the
state, the accountability procedures to be used in lieu of attendance re-
cords. The accountability procedures shall describe the source documen-
tation which may include, but need not be limited to records of student
enrollment, student-teacher contacts, student progress, and value-added
student growth as verified through assessment.
(b) School districts participating in the adult education innovation and
alternative instructional delivery program, by December 1 following the
end of each school year, shall provide to the State Superintendent of Pub-
lic Instruction an auditable fiscal report, a report of student participation,
and a program evaluation report.
(1) The annual fiscal report shall include all allowable expenditures of
the adult education innovation and alternative instructional delivery pro-
gram as determined in Section 10600 of this arficle.
(2) Student participation reports shall include data converted to con-
form to the average student rate for successfully completing similar, tra-
diUonal courses. Students who do not complete an entire course will
qualify for partial participation credit based on the percentage of work
completed as verified by post testing or completed student course work.
(3) The evaluation report shall include the requirements specified in
Secfion 10615 of this article.
NOTE: Authority cited: Section 52522(d), Education Code. Reference: Sections
52506, 52522 and 5261 6.4(a), Educafion Code.
History
1 . New section filed 4-4-94 as an emergency; operative 4-4-94 (Register 94, No.
14). A Certificate of Compliance must be transmitted to OAL by 8-2-94 or
emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 1 1346.2(g) (Reeister 94,
No. 36).
3. New section refiled 9-7-94; operative 9-7-94 (Register 94, No. 36).
§ 10615. Program Evaluation.
(a) In their applications, school districts participating in the adult edu-
cation innovation and alternative instructional delivery program shall de-
scribe their evaluation procedures, including clearly defined and measur-
able objectives for improving delivery of adult education instruction.
(b) School districts shall report in their annual evaluation, the actual
number of students served as well as the progress made in reaching goals
and completing objectives and acfivities. Progress can be determined
through a variety of mechanisms, such as standardized student testing,
student competency attainment, increased student retention, and student
employment status.
(c) The State Superintendent of Public Instruction shall use the evalua-
tion process and reports to determine the school district's program im-
pact on the adult educafion instructional delivery system, and may use
evaluation results to modify or deny a school district' s applicafion to con-
tinue the innovation and alternative instrucfional delivery program in fu-
ture years.
NOTE: Authority cited: Section 52522(d), Education Code. Reference: Sections
52506 and 52522, Education Code.
History
1 . New section filed 4-4-94 as an emergency; operative 4-4-94 (Register 94, No.
14). A Certificate of Compliance must be transmitted to OAL by 8-2-94 or
emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 1 1346.2(g) (Register 94,
No, 36).
3. New section refiled 9-7-94 with editorial conection of subsection (a); operative
9-7-94 (Register 94, No. 36).
Chapter 1 1 . Special Programs
Subchapter 1. Continuation Education
Article 1. Standards for Programs
§ 1 1 000. Director of Continuation Education.
The governing board of each school district maintaining compulsory
continuation classes, a continuation high school, or an alternate program
authorized under Section 48432 shall provide a director of confinualion
education who shall be responsible for the organization and administra-
fion of the district program of continuation educafion and guidance,
placement, and follow-up.
Note: Authority cited for Article 1: Section 48432, Eduction Code.
History
1 . New Article 1 (§§ II 000 through 1 1 006) filed 1 2-1 8-69; effective thirtieth day
thereafter (Register 69, No. 51).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77. No. 39).
§ 1 1 001 . Programs of Guidance, Placement, and
Follow-Up.
The guidance, placement, and follow-up services are to be provided
on a regular basis and shall include the following:
(a) Personal Guidance. All pupils shall be provided with individual
counsel in matters affecting their personal, social, and educafional ad-
justment.
(b) Occupational Guidance. All pupils shall be provided with neces-
sary occupational information that individually and reahstically prepares
them for future employment opportunities.
(c) Placement. All pupils shall be assisted in securing suitable employ-
ment whenever the pupil can benefit from such employment.
(d) Follow-up. The district shall provide all pupils with follow-up ser-
vices as follows:
(1) Visitation of employed pupils at places of employment to deter-
mine the effectiveness of the guidance and placement services.
(2) Regular home contacts and parent conferences in cases where a
student is not succeeding in a continuafion program.
(3) Regular contacts with all students enrolled only 4 hours per week
and all pupils suspended from confinuafion education with the intent of
eventually returning them to the full-time continuation education pro-
gram.
§ 11002. Instruction Based on Individual Needs.
The programs of instrucfion in confinuafion education shall be based
upon individual needs as determined by the findings of the counseling
and coordination services.
§11003. Coordination Programs.
The governing board of each school district maintaining continuafion
educafion schools or classes shall set up a plan to coordinate the pupils'
instrucfion and training in the school with the home, employment, and
other agencies and shall designate one or more persons as coordinators.
§ 1 1 004. Separate Continuation High Schools.
(a) The continuation high school shall be estabhshed as a separate ad-
ministrafive unit by resolufion of the governing board.
(b) An applicafion for the establishment of any new confinuafion high
school shall be approved by the State Department of Education as a con-
dition to the recognifion of the school as a separate continuafion high
school for apportionment purposes.
(c) The governing board shall appoint as principal of the school a per-
son who holds a credential authorizing service as principal of a high
•
•
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Title 5
California Department of Education
§11212
•
school. The principal may serve as the director of continuation education
il' he holds an administrative credential.
(d) A continuation high school shall be conducted tor not less than 1 75
days during a school year.
(e) In each continuation high school there shall be provided a curricu-
lum that will enable the students to meet the requirements for graduation
prescribed pursuant to Education Code Sections 51224 and 51225.
History
I. Amendmeni of subsection (e) filed 9-23-77: effective thirtieth day thereafter
(Register 77, No. .^9).
§ 11 005. Records and Reports.
(a) The Director of Education shall keep records and reports required
for the annual report prescribed by the State Department of Education.
(b) The annual report shall contain a statement of the director of con-
tinuation education that the district, during the current school year has
complied with Education Code Section 48432 and this article.
History
1. Amendment of subsection (b) filed 9-23-77; effective thirtieth dav thereafter
(Register 77, No. 39).
§11006. Apportionments.
A district shall not be entitled to receive any apportionment of funds
on account of attendance in continuation education high schools or
classes unless the district has complied fully with the provisions of this
article.
2. Amendment of subsection (a) and NOTE filed 9-23-77; elTectivc thirlieth day
thereafter (Register 77, No. 39).
Article 2. Exemption from Maintaining
Continuation Education Classes
§11010. Exemption.
An application for exemption from the requirement of maintaining
special continuation education classes, as permitted by Education Code
Section 48432, shall describe the district's plan to provide instruction for
pupils subject to continuation education. The application shall be sub-
mitted to the State Department of Education, Bureau of Elementary and
Secondary Education, State Education Building, Sacramento, Califor-
nia, by June 30 for the following school year. If granted, the exemption
shall apply to that school year only.
NOTE: Authority cited for Article 2: Section 48436, Education Code.
History
1. New Article 2 (S 1 1010) filed 12-18-69;effective thirtieth day thereafter (Reg-
ister 69, No. 51).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
'■' For scholarship grants to teachers of reading, see Section 571 Off.
Subchapter 2. Special Elementary School
Reading Instruction Programs*
■"For scholarship grants to teachers of reading, see Section 5710.
Article 1. General Provisions
§ 1 1 200. Scope of Chapter.
This chapter applies:
(a) To all "Special Elementary School Reading Instruction Programs"
that are established pursuant to and authorized by the Miller-Unruh Ba-
sic Reading Act of 1965, as amended, hereinafter called "the Act" (Sec-
tions 54100-54173 of the Education Code).
(b) To all districts that apply for allowances for the employment of spe-
cialist teachers in reading or for a salary allotment for professional school
librarians.
NOTE: Authority cited for Article 1 : Section 54103, Education Code.
History
I . New Article 1( Ji§ 1 1 200-1 1 202) filed 12-1 8-69; effective thirtieth day thereaf-
ter (Register 69, No. 51).
§ 1 1 201 . Reading Testing Program.
The reading testing program required by the Act in Grades
shall be conducted as provided in Sections 1050-1056.
and3
§ 1 1 202. Scholarship Grants for Teachers of Reading.
Scholarship grants for teachers of reading authorized by the Act shall
be applied for, granted, and used in accordance with Sections
5710-5712.
Article 2. Nomination and Designation of
Specialist Teacher in Reading
§ 1 1 21 0. Nomination for the Position of Specialist Teacher.
A governing board that nominates, pursuant to Education Code Sec-
tion 54120, a qualified certificated employee of the district for the posi-
tion of specialist teacher shall submit the nomination to the Commission
for Teacher Preparation and Licensing (hereinafter in this Article called
the Commission). The nomination shall be on a form supplied, and sub-
mitted in the manner prescribed, by the Bureau. Either the governing
board of a school district or a certificated employee of a school district
may request the Commission for the form.
NOTE: Authority cited for Article 2: Section 54103. Education Code.
History
1. New Article 2 (§§11210-11215) filed 12-1 8-69;effective thirtieth day thereaf-
ter (Register 69. No. 51).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
§11211. Petition by Certificated Employee to Be
Appointed a Specialist Teacher.
A certificated employee may petition the Commission to be nomi-
nated a specialist teacher. The petition shall be submitted on the form and
in the manner specified in Section 11210.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§ 1 1 21 2. Appointment of Panels of Observers.
The Commission shall appoint members to each observer panel re-
quired by Education Code Section 54120. and shall designate the chair-
man of each panel. The Commission shall use any of the following crite-
ria, or in the judgment of the Commission the equivalent thereof, as the
basis for the selection of each person appointed as a member of an ob-
server panel:
(a) In the judgment of the Commission the person has had sufficient
preparation and experience directly related to the reading instruction of
young pupils in the public schools or private schools of equivalent status
to demonstrate familiarity with reading problems and knowledge of the
various teaching skills and methodologies necessary to improve the qual-
ity and effectiveness of reading instruction.
(b) In the judgment of the Commission, the person has had sufficient
preparation and experience at the college or university level, or sufficient
other experience, directly related to the reading instruction of young pu-
pils to demonstrate familiarity with reading problems and knowledge of
the various teaching skills and methodologies necessary to improve the
quality and effectiveness of reading instruction.
(c) The person is recognized by the Commission as an expert in the
field of the teaching of reading, possessing familiarity with reading prob-
lems and knowledge of the various teaching skills and methodologies
necessary to improve the quality and effectiveness of reading instruction
of young pupils. Among other persons, a person who holds a certificate
of "Specialist Teacher" in Reading under Education Code Section 54 1 04
is deemed to be so recognized for the purposes of this section.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Regi.ster 77, No.
39).
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§ 11213
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Title 5
§ 11 21 3. Conduct of Panel Observations.
The chairman of each panel, in cooperation with the chief administra-
tive official of the school district in which the teacher to be observed is
employed, shall schedule observation visitations. The panel chairman
shall notify the teacher, the school district, and the other members of the
panel of the time and date when the observation will be made. An obser-
vation visitation shall consist of direct observation by the panel of the
teacher in his own classroom situation and shall be of sufficient duration
to allow the teacher to demonstrate, through the selection and use of ap-
propriate teaching techniques, his effectiveness in teaching young school
pupils. The observation shall include, but need not be limited to, the read-
ing period. The panel, in each instance, is authorized to interview the
teacher and to seek additional information through persons who have
first-hand information of the pedagogical skills possessed.
§ 1 1214. Report by Chairman of Observer Panel.
When a panel has completed its observation of the performance of a
teacher, it shall, by a two-thirds vote of the members of the panel, nomi-
nate or deny nomination of the teacher for the position of specialist teach-
er. Within 10 days of such completion, the chairman of the panel, on
forms provided by the State Department of Education, shall declare the
decision, certify it to be the decision of the panel, and forward one copy
of the completed form to the teachers observed by the panel, one copy to
that teacher's governing board, and one copy to the Commission. The
Commission shall notify a teacher nominated by the panel of the time and
place of the written examination required by Education Code Section
54122.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§ 1 1 21 5. Examination for Specialist Teacher in Reading
and Fees.
The Commission shall administer the examination program required
by Education Code Section 54122. Applicants shall take the examination
designated by the State Board. The applicant is required to pay the cost
of administering and scoring the examination. Dates of the examination
and other information may be obtained from the Commission upon re-
quest.
Each nominee successfully completing the examination shall pay for
issuance of the certificate the amount fixed by the Commission for
Teacher Preparation and Licensing in Section 6020 for issuance of a cre-
dential.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
Article 3. Minimum Standards of Course
Content for Basic Reading Program and
Criteria for Approval of Application
§ 1 1 220. Minimum Standards of Course Content for Basic
Reading Program.
The minimum standards of course content for a basic reading program
are the following:
(a) Systematic instruction for pupils in basic skills of word recogni-
tion, including phonics, and comprehension of meaning such as set forth
in the basic reading texts adopted by the State.
(b) Systematic and continuous practice provided the pupils in applying
skills in reading for self-directed purposes.
(c) Presentation to pupils of a wide variety of literature appropriate to
the ages, abilities, and interests of children in the program.
(d) Continuous assessment of language skills and abilities of pupils.
(e) Instruction and practice for pupils in the use of oral language as
communication of meaning and expression of thought.
(f) Instruction, practice, and drill for children in use of oral language
as reinforcement of skills necessary for correct hearing and speaking of
the English language.
(g) Utilization of a wide variety of sensory experiences for pupils to
provide a store of basic concepts with which to build meaning and inter-
est.
(h) Demonstration for teachers of a variety of teaching methods.
(i) Assistance to teachers in techniques of informal observation of
child behavior as a means of discovering reading disabilities.
(j) Assistance to teachers in planning effective organization for in-
stniction.
NOTE: Authority cited for Article 3: Section 54161, Education Code.
History
1. New Article 3 (§§ 11220 and 11221) filed 12-18-69; effective thirtieth day
thereafter (Register 69. No. 51 ).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77. No. .39).
§ 1 1 221 . Criteria for Approving District Applications for
Funds Pursuant to Section 5789.
History
1 . Repealer filed 5-1 7-74; effective thirtieth day thereafter (Register 74, No. 20).
Article 4. Allowances to Districts for
Employment of Specialist Teachers and
Salaries of Librarians
§ 1 1 230. Application for Allowance.
An application by the governing board for an allowance for the em-
ployment of specialist teachers in reading (hereinafter called "specialist
teacher") and for the salary allotment for professional school librarians
under the provisions of Education Code Section 54165 for the regular
school year shall be made in accordance with the instructions provided
on forms furnished by the Superintendent of Public Instruction.
NOTE; Authority cited for Article4: Sections 54160, 54163 and 54164, Education
Code. Issuing Agency: Superintendent of Public Instruction.
History
1 . New Article 4 (§§ 1 1 230-1 1 237) filed 2-24-70; effecfive thirtieth day thereaf-
ter (Register 70, No. 9).
2. Amendment filed 5-17-74; effective thirtieth day thereafter (Register 74, No.
20).
3. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
§ 1 1 231 . Contents of the Application.
The application shall be in two parts. Part I shall contain information
necessary to determine eligibility, teacher quotas, priorities, and allow-
ances. Part II shall contain the information required in Section 11221.
Part I shall be in two sections.
(a) Prior Year's Program.
Section 1 shall be completed only for a program to be maintained at
the level of the prior year's program and shall provide the information
necessary:
(1) To determine continued eligibility,
(2) To compute allowances up to the number of specialist teachers and
the number of specialist teachers served by librarians that were reported
and approved on the annual certification of participation in the act (Form
J-1 OA) of the year immediately preceding the year for which the applica-
tion is made.
(b) New and Expanded Programs.
Section 2 shall be completed by districts wishing to start a program un-
der the act and by districts already in the program who wish to expand
beyond the level of the prior year. Section 2 shall provide the information
necessary:
(1) To establish eligibility.
(2) To determine priority.
(3) To compute the allowances for specialist teachers' and librarians'
salaries.
•
•
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•
(c) Certilications.
The application sfiall contain a certification by the governing board
that the application has been prepared in accordance with applicable laws
and regulations and that all requirements regarding the employment and
payment of reading specialist teachers are met.
History
1. Amendment filed 5-17-74; elTeetive thirtieth day (hereafter (Register 74, No.
20).
§ 11 232. Reporting for Allowances.
After notice of approval of the application and after the start of the
school year, each district shall furnish, on forms provided by the State Su-
perintendent of Public Instruction, a preliminary certification of actual
participation in the act. The report shall include the following informa-
tion for the approved state funded program:
(a) Each specialist teacher's name and Specialist Teacher in Reading
certificate number.
(b) The school or schools in which each teacher serves.
(c) The priority order (Education Code Section 54163) under which
the teacher is authorized.
(d) The salary of each teacher including the specialist teacher stipend
authorized by Education Code Section 54156.
(e) The number of specialist teachers served by librarians.
(f) The total salaries of librarians serving specialist teachers.
From the information received on this preliminary certification of ac-
tual participation and as early in the school year as possible, an apportion-
ment of allowances will be made.
History
1 . Amendment tiled 9-23-77; effective thirtieth day thereafter (Register 77,
§ 11233. Final Certification of Actual Participation.
At the end of the school year, each district shall furnish, on forms pro-
vided by the State Superintendent of Public Instruction, a final certifica-
tion of actual participation in the act. The report shall include the follow-
ing information for the approved state funded program:
(a) Each specialist teacher's name and Specialist Teacher in Reading
certificate number.
(b) The school or schools in which each teacher served.
(c) The actual salary paid each teacher including the reading specialist
stipend.
(d) The number of specialist teachers served by librarians.
(e) The total actual salaries paid the librarians serving specialist teach-
ers.
(f) An explanation of the circumstances where this report information
differs substantially from the information on the preliminary certification
of actual participation in the Miller-Unruh Reading Improvement Act.
§ 1 1 234. Repayment to the State Department of Education.
If it is determined that the school district failed to conduct the program
in full or in part as certified on the preliminary certification of actual par-
ticipation required by Section 1 1232, the State Superintendent of Public
Instruction shall order the governing board of the district to draw a war-
rant in favor of the Department of Education for the amount of the dis-
crepancy so determined. If the governing board fails to draw the warrant
as ordered, the Superintendent of Public Instruction shall notify the State
Controller to withhold such amounts from funds the district would other-
wise be eligible to receive as apportionments from the State School Fund
in the succeeding fiscal year.
§ 1 1 235. Definition of Average Daily Attendance.
Average daily attendance for the purposes of computing the quota of
specialist teachers means the average daily attendance of the second re-
port period of the fiscal year immediately preceding the year the special-
ist teachers are to be employed.
§ 1 1 236. Newly Formed Districts.
For a newly formed or reorganized district, or a district a part or all of
which was included in a newly formed or reorganized district, the Super-
intendent of Public Instruction shall ascertain the average daily atten-
dance and test scores for each affected district as it existed during the pre-
ceding school year, and determine the appropriate portion thereof to be
credited to the new or reorganized district. The total of such portions shall
be the appropriate amount to be considered as preceding year data for the
newly formed or reorganized district, and the corresponding adjustments
shall be made for the former district or districts, as the case may be. The
determination shall be based upon information supplied by the governing
boards concerned, verified by the county superintendent of schools, and
attached to the application form.
If a component district or school of a newly formed or reorganized dis-
trict is a participant in the act the year just prior to the effective date of
the reorganization, the program level of the component district or school
becomes a part of the first priority of the newly formed or reorganized
district, with the requirement that the specialist teachers and librarians
serving these teachers remain with the primary student body being served
prior to the reorganization.
§ 1 1237. Determining Priority for Small Schools.
Whenever one specialist teacher is to serve more than one school pur-
suant to Education Code Section 54140(a) and (b), the priority required
by Education Code Section 54163(b) shall be determined by the com-
bined totals of the pupils in grades 2 and 3.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77. No.
39).
Subchapter 3. Mentor Teacher Program
§ 1 1 250. District Participation in the Mentor Teacher
Program.
(a) Each school district governing board wishing to participate in the
Mentor Teacher Program shall adopt a resolution at a public meeting, set-
ting forth the goals, purposes, and planned operation of the district's
mentor program and evidencing the board's having considered including
parents, pupils, or other public representatives in the selection process.
(b)Applications by school districts for participation in the Mentor
Teacher Program will be accepted by the State Department of Education
only if planned mentor activities as stated in the resolution specified in
subdivision (a) and appended to the district's application are consistent
with those set out in Education Code Section 44496.
NOTE: Authority cited: Section 44491(a), Education Code. Reference: Sections
44492(d), 44492.5, 44493(a), 44496. Education Code.
History
1. New Chapter 3 (Sections 11250-1 1257) filed 3-26-84; effective thirtieth day
thereafter (Register 84, No. 13). Eor prior history, see Registers 77, No. 39; 7 1 .
No. 30 and 69, No. 51.
§ 1 1 251 . Establishment of Selection Committees.
(a) A school district may have more than one selection committee so
as to nominate candidates on an individual site, program area, subject
area, or other alternative basis.
(b) One more than 50 percent of the members of each selection com-
mittee shall be classroom teachers; the remainder shall be school admin-
istrators.
(c) Classroom teacher members of the selection committee shall be
chosen by secret ballot election conducted among all probationary and
permanent classroom teachers serving in the site, program area, subject
area, or other subdivision from which candidates may be nominated, or
districtwide if there is only one districtwide selection committee.
(d) School administrator selection committee members shall be cho-
sen by school administrators who have been designated for this role by
the governing board.
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§ 11252
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Title 5
NOTE: Aiitliority cited: Section 44491(a). Education Code. Reference: Section
44495(a), Education Code.
§ 11 252. Application of Individual Teachers for Mentor
Teacher Designation.
(a) Any classroom teacher who meets the following qualifications is
eligible to seek classification as a mentor teacher.
( 1 ) Holds a valid California teacher credential.
(2) Has achieved permanent status or, in a district with an average dai-
ly attendance of fewer than 250 pupils, has been employed by the district
as a credentialed classroom teacher for at least three con.secutive school
years prior to the school year for which nominations are to be made.
(3) Has substantial recent classroom teaching instructional experi-
ence.
(b) Written applications for participation in the mentor program shall
be submitted to the selection committee prior to a reasonable deadline es-
tablished by the governing board.
(c) An application shall include written consent by the applicant to re-
lease of personnel information relating to his or her teaching experience
and performance to selection committee members.
NOTE: Authority cited: Section 44491(a), Education Code. Reference: Sections
44490. 44491(b) and 44493, Education Code.
§ 1 1 253. Review of Applications and Nominations by the
Selection Committees.
(a) Before nominating any candidate, the selection committee shall re-
view the applicant's personnel information relating to his or her teaching
experience and performance.
(b) The selection committee may nominate for mentor teacher classifi-
cation any applicant who meets the qualifications of Section 1 1252, pro-
vided the committee determines upon review of all the information be-
fore it that the applicant has demonstrated exemplary teaching ability
including, but not limited to, effective communication skills, subject
matter knowledge, and mastery of a range of teaching strategies neces-
sary to meet the needs of pupils in different contexts.
(c) Each nominee shall receive the vote of at least one more than half
the members of the selection committee.
(d) The governing board may determine a date by which nominations
must be made in order to allow a reasonable time prior to the commence-
ment of the succeeding fiscal year for the governing board to review
nominations.
NOTE: Authority cited: Section 44491(a), Education Code. Reference: Sections
44490, 44491(b) and 44495, Education Code.
§ 11254. Review of Nominees and Designation of Mentor
Teachers by the Governing Boards.
(a) Prior to designation of any nominee as a mentor teacher, the gov-
erning board may gather such further information as it deems necessary
to evaluate the nominee according to the criteria in Sections 44490 and
44491(b).
(b) The district governing board may meet in closed session to consid-
er the appointment of any nominee to be a mentor teacher in the same
manner that it may consider the appointment or employment of other em-
ployees.
NOTE; Authority cited: Section 44491(a), Education Code. Reference: Sections
44490 and 44495(d), Education Code.
§ 1 1 255. Renomination As Mentor Teacher.
Review and renomination shall be initiated and conducted in the same
manner as provided in Sections 11252 and 11253. First consideration
shall be given to mentor teachers if they continue to qualify for renomina-
tion and have served effectively as mentor teachers.
NoTE: Authority cited: Section 44491(a), Education Code. Reference: Section
44494(c), Education Code.
History
I . Editorial correction filed 4-2-84; designated effective 4-25-84 (Register 84,
No. 13).
§ 1 1 256. Duties and Responsibilities of Mentor Teachers.
(a) The duties and responsibilities of each mentor teacher shall be de-
termined on an individual basis.
(b)The time and manner in which each mentor teacher shall render ser-
vice in the program shall be determined on an individual basis.
(c ) "Direct instruction of pupils," except as it applies to resource teach-
ers, shall be construed to require a mentor teacher to instruct his or her
regularly assigned pupils.
NOTE: Authority cited: Section 44491(a), Education Code. Reference: Section
44496, Education Code.
§ 1 1 257. Duration of Mentor Teacher Designation.
(a) The duration of a designation as mentor teacher shall normally be
for a period of three consecutive years. Designations having a duration
of less than three years shall be one or two years only and may be renewed
by the governing board, without review and renomination, until the
three-year maximum is reached.
(b) Except in school year 1983-84, proration of the mentor teacher an-
nual stipend shall occur only when nonprogrammatic circumstances,
such as extended absence for health reasons, prevent the mentor teacher
from completing the designated memorial period.
(c) If for any reason a mentor is unable to complete the designated
mentorial period, the governing board may select a replacement from
committee-nominated alternates, if any.
NOTE: Authority cited: Section 44491(a), Education Code. Reference: Section
44495(d), Education Code.
Subchapter 4.
English Language Learner
Education
§11300. Definitions.
"School term" as used in Education Code section 330 means each
school's semester or equivalent, as determined by the local governing
board, which next begins following August 2, 1998. For multitrack or
year round schools, a semester or equivalent may begin on different days
for each school track.
NOTE: Authority cited: Section 33031, Education Code. Reference: Section 330,
Education Code.
History
1. New subchapter 4 (sections 11300-11305) and section filed 7-23-98 as an
emergency; operative 7-23-98 (Register 98, No. 30). A Certificate of Com-
pliance must be transmitted to OAL by 1 1-20-98 or emergency language will
be repealed by operation of law on the following day. For prior history of sub-
chapter 4, see Register 77, No. 39.
2. Certificate of Compliance as to 7-23-98 order, including amendment of sub-
chapter heading, transmitted to OAL 11-19-98 and filed 12-30-98 (Register
99, No. 1).
§ 11301. Knowledge and Fluency in English.
(a) For purposes of "a good working knowledge of English" pursuant
to Education Code Section 305 and "reasonable fluency in English" pur-
suant to Education Code Section 306(c), an English learner shall be trans-
ferred from a structured English immersion classroom to an English lan-
guage mainstream classroom when the pupil has acquired a reasonable
level of English proficiency as measured by any of the state-designated
assessments approved by the California Department of Education, or any
locally developed assessments.
(b) At any time, including during the school year, a parent or guardian
may have his or her child moved into an English language mainstream
classroom.
(c) An English learner may be re-enrolled in a structured English im-
mersion program not normally intended to exceed one year if the pupil
has not achieved a reasonable level of English proficiency as defined in
Section 1 1301 (a) unless the parents or guardians of the pupil object to the
extended placement.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections 305
and 306(c), Education Code.
History
1. New section filed 7-23-98 as an emergency; operative 7-23-98 (Register 98,
No. 30). A Certificate of Compliance must be transmitted to OAL by 1 1-20-98
Page 130
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Title 5
California Department of Education
§11308
or emergency language will be repealed by operation of law on the following
clay.
2. Certificate of Compliance as to 7-23-98 order transmitted to OAL 1 1-19-98
and tiled 12-30-98 (Register 99. No. 1).
§ 1 1 302. Duration of Services.
School districts shall coniiniie to provide additional and appropriate
educational services to English learners in kindergarten through grade 1 2
for the purposes of overcoming language barriers until the English learn-
ers have:
(a) demonstrated English-language proficiency comparable to that of
the school district's average native English-language speakers; and
(b) recouped any academic deficits which may have been incurred in
other areas of the core curriculum as a result of language barriers.
NOTl.: Authority cited: Section 33031 . Education Code. Reference: Sections 305,
.306 and 310. Education Code; U.S. Code. Title 20, Section 1703(f); Castaneda v.
Pukcml (.Sth Cir. 1981) 648 F.2d 989. 1009-101 1 ; and Gome:, v. Illinois Slate
Board of EdinvrioiiathCn. 1987)811 E2d 1030, 1041-1042.
History
1 . New section filed 7-23-98 as an emergency: operative 7-23-98 (Register 98,
No. 30). A Certificate of Compliance must be transniiued to OAL by 1 1-20-98
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 7-23-98 order transmitted to OAL 1 1-19-98
and filed 12-.30-98 (Register 99. No. 1).
§11303. Reclassification.
The reclassification procedures used to reclassify a pupil from English
learner to proficient in English shall include, but not be limited to, a re-
sponsible administrative mechanism for the effective and efficient con-
duct of the language reclassification process, which shall include each of
the following procedural components:
(a) Assessment of language proficiency using the English language
development test, as provided for by Education Code section 60810 pur-
suant to the procedures for conducting that test provided in Subchapter
7.5 (commencing with Section 11.510).
(b) Participation of the pupil's classroom teacher and any other certifi-
cated staff with direct responsibility for teaching or placement decisions
of the pupil.
(c) Parental involvement through:
( 1 ) Notice to parent(s) or guardian(s) of language reclassification and
placement, including a description of the reclassification process and the
parent's opportunity to participate: and
(2) Encouragement of the participation of parent(s) or guardian(s) in
the school district's reclassification procedure, including seeking their
opinion and consultation during the reclassification process.
(d) Until the statewide, empirically-established range of performance
in basic English/language arts skills is established as required by Educa-
tion Code section 313(d)(4), evaluation of the pupil's performance as
specified in Section 1 1302(b).
NOTE: Authority cited: Section 33031, Education Code. Reference: Section 313,
Education Code.
History
1. New section filed 7-23-98 as an emergency; operative 7-23-98 (Register 98,
No. 30). A Certificate of Compliance must be transmitted to OAL by 1 1-20-98
or emergency language will be repealed by operadon of law on the following
day.
2. Amendment of subsection (a)(3) filed 8-10-98 as an emergency; operative
8-1 0-98 (Register 98, No. 33). A Certificate of Compliance must be transmitted
to OAL by 1 2-7-98 or emergency language will be repealed by operation of law
on the following day.
3. Certificate of Compliance as to 7-23-98 order and 8-10-98 order, including
amendment of subsections (b) and (c), transmitted to OAL 1 1-19-98 and filed
12-30-98 (Register 99, No. 1).
4. Renumbering of former section 1 1 303 to section 1 1 309 and new section 1 1 303
filed 1-8-2003; operative 1-8-2003 pursuant to Government Code secfion
1 1343.4 (Register 2003, No. 2).
§11304. Monitoring.
School districts shall monitor the progress of pupils reclassified to en-
sure correct classification and placement.
NOTE; Authority cited: Section 33031, Education Code. Reference: Section 313,
Education Code; U.S. Code, Title 20, Section 1703(f); Casleneda v. Pickard (5th
Cir. 1981) 648 F.2d 989. 1009-101 hand 6\w;^- v. Illinois- Stale Board of luliira^
lion (7th Cir. 1987) 81 1 F.2d 1030. 1041-1042.
History
1. New section filed 7-23-98 as an emergency; operative 7-2.3-98 (Register 98.
No. 30). A Certificate of Compliance must be transmitted to OAL by 11-20-98
or emergency language will be repealed by operation of law on the ft)llowing
day.
2. Certificate of Compliance as to 7-23-98 order transmitted to OAL 1 1-19-98
and filed 12-30-98 (Register 99. No. 1 ).
3. Renumbering of former section 1 1304 to section 1 1310 and new section 11304
filed 1-8-2003; operative 1-8-2003 pursuant to Government Code section
1 1343.4 (Register 2003, No. 2).
§11305. Documentation.
School districts shall maintain documentation of inultiple criteria in-
formation, as specified in Section 1 1 303(a) and (d), and participants and
decisions of reclassification in the pupil's perinanent records as speciHed
in Section 11303(b) and (c).
NOTE: Authority cited: Sections 33031 and 49062, Education Code. Reference:
Section 313 and 49062, Education Code; U.S. Code, Title 20, Section 1703(f);
Casleneda v. Pickard (5th Cir. 1 98 1 ) 648 E.2d 989. 1 009- 1 0 1 1 : and Gome: v. Illi-
nois Stale Board of Education (lihCn 1987)811 E.2d 10.30, 1041-1042.
History
1. New section filed 7-23-98 as an emergency; operative 7-2.3-98 (Register 98.
No. 30). A Certificate of Compliance must be transmitted to OAL by M -20-98
or emergency language will be repealed by operation of law on the following
day.
2. Certificate of Compliance as to 7-23-98 order, including amendment ot subsec-
tion (b), transmitted to OAL 1 1-1 9-98 and filed 12-30-98 (Register99. No. 1).
3. Renumbering of former section 11305 to section 1 1315 and new section I 1305
filed 1-8-2003; operative 1-8-2003 pursuant to Government Code section
1 1343.4 (Register 2003, No. 2).
§11306. Annual Assessment.
School districts reporting the presence of English learners shall con-
duct an annual assessment of the English language development and aca-
demic progress of those pupils.
NOTE: Authority cited: Secfion 33031, Education Code. Reference: Sections 3 1 3,
60640 and 60810, Education Code.
History
1. New secfion filed 1-8-2003; operative 1-8-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 2).
§11307. Census.
(a) All pupils whose primary language is other than English who have
not been previously assessed or are new enrollees to the school district
shall have their English language skills assessed within 30 calendar days
from the date of initial enrollment.
(b) The census of English learners, required for each school district
shall be taken in a form and manner prescribed by the State Superinten-
dent of Public Instruction in accord with uniform census taking methods.
(c) The results of the census shall be reported by grade level on a
school-by-school basis to the Department of Education not later than
April 30 of each year.
NOTE: Authority cited: Secfions 33031 and 62000.2, Education Code. Reference:
Sections 313 and 62002, Educafion Code.
HtSTORY
1. New section filed 1-8-2003; operative 1-8-2003 pursuant to Government
Code secfion 1 1343.4 (Register 2003, No. 2).
§ 1 1 308. Advisory Committees.
(a) School district advisory cominittees on programs and services for
English learners shall be established in each school district with more
than 50 English learners in attendance. School advisory committees on
education programs and services for English learners shall be established
in each school with more than 20 English learners in attendance. Both
school district and school advisory committees shall be established in ac-
cordance with Education Code section 62002.5.
(b) The parents or guardians of English learners shall elect the parent
members of the school advisory committee (or subcommittee, if ap-
propriate). The parents shall be provided the opportunity to vote in the
election. Each school advisory committee shall have the opportunity to
elect at least one member to the School District Advisory Committee, ex-
cept that school districts with more than 30 school advisory committees
may use a system of proportional or regional representation.
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Title 5
(c) School District Advisory Committees shall advise the school dis-
trict governing board on at least the following tasks:
( 1 ) Development of a district master plan for education programs and
services for English learners. The district master plan will take into con-
sideration the school site master plans.
(2) Conducting of a district wide needs assessment on a school-by-
school basis.
(3) Establishment of district program, goals, and objectives for pro-
grams and services for English learners.
(4) Development of a plan to ensure compliance with any applicable
teacher and/or teacher aide requirements.
(5) Administration of the annual language census.
(6) Review and comment on the school district reclassification proce-
dures.
(7) Review and comment on the written notifications required to be
sent to parents and guardians pursuant to this subchapter.
(d) School districts shall provide all members of school district and
school advisory committees with appropriate training materials and
training which will assist them in carrying out their responsibilities pur-
suant to subsection (c). Training provided advisory committee members
in accordance with this subsection shall be planned in full consultation
with the members, and funds provided under this chapter may be used to
meet the costs of providing the training to include the costs associated
with the attendance of the members at training sessions.
NOTE: Authority cited: Sections 33031 and 62000.2, Education Code. Reference:
Sections 313, 62002 and 62002.5, Education Code.
History
1. New section filed 1-8-2003; operative 1-8-2003 pursuant to Government
Code section 11 343 .4 (Register 2003, No. 2).
§ 11309. Parental Exception Waivers.
(a) In order to facilitate parental choice of program, all parents and
guardians must be informed of the placement of their children in a struc-
tured English immersion program and must be notified of an opportunity
to apply for a parental exception waiver. The notice shall also include a
description of the locally-adopted procedures for requesting a parental
exception waiver, and any locally-adopted guidelines for evaluating a
parental waiver request.
(b) School districts shall establish procedures for granting parental ex-
ception waivers as permitted by Education Code sections 310 and 31 1
which include each of the following components:
( 1 ) Parents and guardians must be provided with a full written descrip-
tion and upon request from a parent or guardian, a spoken description of
the structured English immersion program and any alternative courses of
study and all educational opportunities offered by the school district and
available to the pupil. The descriptions of the program choices shall ad-
dress the educational materials to be used in the different options.
(2) Pursuant to Education Code section 31 1(c), parents and guardians
must be informed that the pupil must be placed for a period of not less
than thirty (30) calendar days in an English language classroom and that
the school district superintendent must approve the waiver pursuant to
guidelines established by the local governing board.
(3) Pursuant to Education Code sections 311(b) and (c), the school
principal and educational staff may recommend a waiver to a parent or
guardian. Parents and guardians must be informed in writing of any rec-
ommendation for an alternative program made by the school principal
and educational staff and must be given notice of their right to refuse to
accept the recommendation. The notice shall include a full description of
the recommended alternative program and the educational materials to
be used for the alternative program as well as a description of all other
programs available to the pupil. If the parent or guardian elects to request
the alternative program recommended by the school principal and educa-
tional staff, the parent or guardian must comply with the requirements of
Education Code section 310 and all procedures and requirements other-
wise applicable to a parental exception waiver.
(4) Parental exception waivers shall be granted unless the school prin-
cipal and educational staff have determined that an alternative program
offered at the school would not be better suited for the overall educational
development of the pupil.
(c) All parental exception waivers shall be acted upon by the school
within twenty (20) instructional days of submission to the school princi-
pal. However, parental waiver requests under Education Code section
3 1 1(c) shall not be acted upon during the thirty (30)-day placement in an
English language classroom. These waivers must be acted upon either no
later than ten (10) calendar days after the expiration of that thirty
(30)-day English language classroom placement or within twenty (20)
instructional days of submission of the parental waiver to the school prin-
cipal, whichever is later.
(d) In cases where a parental exception waiver pursuant to Education
Code sections 31 1(b) and (c) is denied, the parents and guardians must
be informed in writing of the reason(s) for denial and advised that they
may appeal the decision to the local board of education if such an appeal
is authorized by the local board of education, or to the court.
(e) For waivers pursuant to Education Code section 3 1 1 (a) and for stu-
dents for whom standardized assessment data is not available, school dis-
tricts may use equivalent measures as determined by the local governing
board.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections 305,
310 and 311, Education Code.
History
1. Renumbering and amendment of former section 1 1303 to new section 1 1309
filed 1-8-2003; operative 1-8-2003 pursuant to Government Code section
1 1343.4 (Register 2003, No. 2).
§ 1 1 31 0. State Board of Education Review of Guidelines
for Parental Exception Waivers.
(a) Upon written request of the State Board of Education, school dis-
trict governing boards shall submit any guidelines or procedures adopted
pursuant to Education Code section 31 1 to the State Board of Education
for its review.
(b) Any parent or guardian who applies for a waiver under Education
Code section 3 1 1 may request a review of the school district's guidelines
or procedures by the State Board of Education. The sole purpose of the
review shall be to make a determination as to whether those guidelines
or procedures comply with the parental exception waiver guidelines set
forth in Section 11309.
NOTE: Authority cited: Section 33031 , Education Code. Reference: Sections 305,
310 and 311, Education Code.
History
1. Renumbering and amendment of former section 1 1304 to new section 1 1310
filed 1-8-2003; operative 1-8-2003 pursuant to Government Code section
1 1343.4 (Register 2003, No. 2).
§ 1 1 31 5. Community-Based English Tutoring (CBET)
Programs.
In distributing funds authorized by Education Code sections 315,
3 1 5.5, 3 16, 3 1 6.5. and 3 1 7, the State Superintendent of Public Instruction
(SSPI) shall allocate the funds and school districts shall disburse the
funds at their discretion consistent with the following:
(a) The funds made available by Education Code sections 315, 315.5,
316, 316.5, and 317 shall be apportioned by the SSPI to school districts
offering Community-Based English Tutoring (CBET) based upon the
number of limited English proficient (LEP) pupils identified in the Annu-
al Language Census Survey from the prior year.
(b) The governing boards of school districts may disburse these funds
at their discretion to carry out the purposes of this section. School district
governing boards shall require providers of adult English language in-
struction which receive funds authorized by Education Code sections
315, 315.5, 316, 316.5, and 317 to maintain evidence that adult program
participants have pledged to provide personal English language tutoring
to California school pupils with limited English proficiency.
(c) School districts may use these funds for expenses related to the
CBET program, such as direct program services, community notifica-
•
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•
•
lion, transportation services, and background checks on CBET tutors as
authorized by Education Code sections 35021-35021.4 and 45349.
NOTF;: Authority cited: Sections 3 1 6 and 3303 1 , Education Code. Reference: Sec-
tions 313, 3I-S. 315.5, 316. 316.5, 317, 35021, 35021.1, 35021.4, 45349 and
52164, Education Code.
History
1 . Renumbering and amendment of former section 11 305 to new section 11315
tiled l-S-2003; operative 1-8-2003 pursuant to Govemmenl Code .section
1 1.343.4 (Register 2003, No. 2).
2. Ainendmeni of section heading, section and NOTi£ Filed 5-5-2008; operative
6-4-2008 (Register 2008. No. 19).
§ 11 31 5.5. Duties of School Districts.
A school district applying for CBET funding shall provide certifica-
tion to the State Board of Education (SBE) that:
(a) It has read and is familiar with the California Code of Regulations,
title 5. sections 11315 and 1 1315.5; and
(b) It will develop a CBET plan pursuant to Education Code sections
3 1 5.5, 3 16.5 and 317. The plan shall be approved by the governing board
of the school district and shall be reviewed and revised as necessary, or
at a minimum of once every three years.
NOTE: Authority cited: Sections 316 and 33031 , Education Code. Reference: Sec-
tions 315, 315.5, 316, 316.5 and 317, Education Code.
History
I . New section fded 5-5-2008: operative 6-4-2008 (Register 2008, No. 19).
§ 1 1 31 5.6. Data Collection and Reporting.
(a) A school district participating in the CBET program shall maintain
data that includes, but is not limited to:
( 1 ) improvement in English literacy of adult English language learners
participating as adult tutors in the CBET program;
(2) improvement in attendance of pupils participating in the tutoring
program;
(3) achievement progress of K-12 pupils, who were tutored by adult
CBET tutors, as measured by the California English Language Develop-
ment Test (CELDT) administered under Education Code section 60810;
and
(4) achievement progress of K-12 pupils, who were tutored by adult
CBET tutors, as measured by the California Standards Tests (CSTs) ad-
ministered under Education Code section 60640; and
(5) District-level assessments pursuant to Education Code section
317.
(b) A participating school district shall report the data maintained pur-
suant to subdivision (a) to the SBE upon request.
(c) In no event shall assessment results collected under subdivision (a)
be communicated, in any way, to persons not already legally authorized
to have that information.
NOTE: Authority cited: Sections 3 16 and 3303 1 , Education Code. Reference: Sec-
tions 313, 315, 315.5, 316, 316.5, 317, 60640 and 60810, Education Code.
History
1 . New section filed 5-5-2008; operative 6^^2008 (Register 2008, No. 19).
§ 1 1 31 6. Notice to Parents or Guardians.
All notices and other communications to parents or guardians required
or permitted by these regulations must be provided in English and in the
parents' or guardians' primary language to the extent required under
Education Code section 48985.
NOTE; Authority cited: Section 33031, Education Code. Reference: Section 313
and 48985, Education Code.
History
1. New section filed 1-8-2003; operative 1-8-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 2).
Subchapter 5. English Language Centers
History
1 . Repealer of Chapter 5 (Sections 1 1400-1 1422) filed 9-23-77; effective thir-
tieth day thereafter (Register 77, No. 39). For prior history, see Register 69, No.
51.
Subchapter 6. Summer Schools (Other
Than Classes for Adults, Adult Schools, and
Evening High Schools)
§ 1 1 470. Application of Chapter.
This chapter applies to all summer schools receiving slate reimburse-
ment, except classes for adults, adult schools, and evening high schools.
NOTE: Authority cited: Sections 33031 , 37250, 5 1 73 1 . 5 1 76 1 , and 52355, Educa-
tion Code. Reference: Sections .372;SO, 372.52, 517.30-51732 and 51761. Educa-
tion Code.
History
1 . New Chapter 8 (§§ 1 1 470-1 1 474) filed 2-24-70; effective thirtieth day thereaf-
ter (Register 70, No. 9).
2. Amendment of NOTE filed 9-2.3-77; effective thirtieth day thereafter ( Re<jister
77, No. 39).
3. Repealerof Chapter 6 (Sections 1 1440-1 1444) and renumbering of Chapter 8
(Sections 11470-11475) to Chapter 6 filed 11-7-79; effective thirtieth day
thereafter (Register 79, No. 45).
4. Amendment filed 4-13-83; effective thirtieth day thereafter (Recister 83. No.
16).
§ 1 1 471 . Approval Required.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
37252, 37253, 42239 and 51730-51732, Educafion Code.
History
1. Amendment filed 4-13-83; effective thirtieth day thereafter (Register 83, No.
16).
2. Repealer of section and amendment of NOTt filed 9-28-95; operative 9-28-95
pursuant to Government Code section 1 1343.4(d) (Register 95, No. 39).
§11472. Courses Authorized.
In addition to mathematics and science authorized by Education Code
section 37253(a), summer school courses may be offered in any of the
areas of study specified in Education Code sections 5 1 2 10(a) through (g)
for grades 1 to 6 and 51220(a) through (j) for grades 7 to 12.
NOTE; Authority cited: Section 37253(d), Education Code. Reference: Sections
37253, 51210, 51220 and 51730-51732, Education Code.
History
1. Repealer filed 4-13-83; effective thirtieth day thereafter (Register 83. No. 16).
2. New section filed 5-16-95 as an emergency; operative 5-16-95 (Register 95,
No. 20). A Certificate of Compliance must be transmitted to OAL by 9-1 3-95
or emergency language will be repealed by operation of law on the following
day.
3. Repealed by operation of Government Code section 1 1346.1(g) (Register 95,
No. 39).
4. New section filed 9-28-95; operative 9-28-95 pursuant to Government Code
section 1 1343.4(d) (Register 95, No. 39).
5. Amendment filed 3-19-96; operative 4-18-96 (Register 96, No. 12).
§ 1 1 473. Level of Difficulty.
NOTE: Authority cited; Sections 33031, 37250, 51731, 51761 and 52355, Educa-
tion Code. Reference: Sections 37250, 37252, 517.30-51732 and 51761, Educa-
tion Code.
History
1 . Repealer filed 4-1 3-83; effective thirtieth day thereafter (Register 83, No. 1 6).
§ 11474. Time and Duration.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
37252, 37253, 42239 and 5173(K51732. Education Code.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77. No.
39).
2. Amendment filed 4-13-83; effective thirtieth day thereafter (Register 83, No.
16).
3. Repealer of section and amendment of Note filed 9-28-95; operative 9-28-95
pursuant to Government Code section 1 1343.4(d) (Register 95, No. 39).
§ 11475. Work Experience Education.
NOTE: Authority cited: Sections 33031. 37250, 51731, 51761 and 52355, Educa-
tion Code. Reference: Sections 37250, 37252, 51730-51732 and 51761, Educa-
tion Code.
History
1. New section filed 5-18-72; effective thirtieth day thereafter (Register 72, No.
21).
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§ 11500
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
2. Repealer filed 4-1 3-83; effective thirtieth day thereafter (Register 83, No. 16).
Subchapter 7. Regional Occupational
Centers and Regional Occupational
Programs
§11500. Scope.
The provisions of this chapter apply to all Regional Occupational Cen-
ters and Regional Occupational Programs established and maintained
under the authority of Article 1 (commencing with Section 52300).
Chapter 9. Part 28. Division 4, Title 2=^= of the Education Code.
NOTE; Authority cited for Chapter 9: Section ] 52 (3303 1 * ), 745 1 .6 (52306 ''• ) and
7451.7 (52309*), Education Code. Reference: Chapter 14 (Sections 7450-7466)
of Division 6 of Part 2 (Article J Sections 52300-52330, Chapter 9, Part 28, Divi-
sion 4, Title 2*), Education Code.
History
1 . New Chapter 9 (§§ 1 1 500 through 1 1 5 1 1 ) filed 4-23-7 1 ; effective thirtieth day
thereafter (Register 71, No. 17).
2. Amendment filed 12-7-76; designated effective 7-1-77 (Register 76, No. 50).
3. Repealer of Chapter 7 (Sections 1 1460-1 1461) and renumbering of Chapter 9
(Sections 11500-11508) to Chapter 7 filed 11-7-79; effective thirtieth day
thereafter (Register 79, No. 45). *
§11501. Definitions.
(a) A Regional Occupational Center is a vocational or technical train-
ing program established and maintained in a separate, identifiable physi-
cal facility pursuant to Article 1 , Chapter 9, Part 28, Division 4, Title 2*
of the Education Code.
(b) "Region served" means the area of a county or counties which con-
stitutes the attendance area of the high school district or districts that form
the membership of a Regional Occupational Center and Program.
(c) A "school unit" within a participating district includes, but is not
limited to: a community college, a high school, a continuation high
school or continuation classes, an adult school or classes for adults, or a
private school.
(d) "Course/class" means any credit or noncredit instructional unit in
a subject area or field of organized knowledge, usually provided on a se-
mester, year, or other prescribed length-of-time basis.
(e) "Section" means a multiple of identical classes in a specific subject
having the same goals, objectives, and outcomes.
(0 "Curriculum" means the courses of study, courses, subjects,
classes, section, and organized group acfi vines provided by a school and/
or Regional Occupational Center or Regional Occupational Program.
(g) "Unnecessary duplication of courses and programs" means that
two local educational agencies or programs, including Regional Occupa-
tional Centers or Regional Occupational Programs offer the same voca-
tional or adult course or program to the same type of student population
using similar operational characteristics as to prerequisites unless one
agency reports that it cannot meet the needs of all students requiring such
courses and programs.
(h) "Supplanting" occurs when a course, class, or a section has been
dropped by a school unit and is replaced by another educational agency,
including a Regional Occupational Center or Regional Occupational
Program, without major revision of the curriculum, student population
served, and/or projected course outcomes.
(i) "Regional adult and vocational education councils" are those coun-
cils described in Article 2 (commencing with Section 8020), Chapter 1 ,
Part 6, Division 1. Title 1* of the Education Code.
(j) "Individual vocational counseling and guidance services" means
services designed to:
( 1 ) Identify and encourage the enrollment of individuals in courses of-
fered by a Regional Occupational Center or Regional Occupational Pro-
gram.
(2) Provide the individuals with information necessary to make mean-
ingful and informed occupational choices.
(3) Assist students pursuing a program of vocational instruction in the
Regional Occupational Center or Regional Occupational Program.
(k) A "county labor council, as used in subsection (a)(4) of Section
52306''^ of the Education Code," means the Central Labor Council or the
Central Buildings and Trades Council having jurisdiction in the area
served by the Regional Occupational Center or Regional Occupational
Program.
NOTE; Authority cited: Section 52309, Education Code. Reference: Section
52309. Education Code.
History
1 . New subsection (0 filed 4-19-74; effective thirtieth day thereafter (Register 74,
No. 16).
2. Repealer of former Secfion 11501, amendment and renumbering of Section
1 1503 to 11501 filed 12-7-76; designated effective 7-1-77 (Register 76, No.
50).
3. Amendment of subsection (c) filed 9-19-79; effective thirtieth day thereafter
(Register 79, No. 38).
§ 1 1 502. Applications for Establishment of Regional
Occupational Centers or Regional
Occupational Programs.
County Superintendents or cooperating school districts desiring to es-
tablish a Regional Occupational Center or a Regional Occupational Pro-
gram shall submit an application to the State Board of Education that in-
cludes such detail as to both explain and justify the intended operation,
including compliance with all requirements in this Chapter and those de-
lineated in Chapter 14 of Division 6 of the Education Code.
History
]. Repealer of former Section 1 1502, amendment and renumbering of Section
1 1505 to 1 1502 filed 12-7-76; designated effective 7-1-77 (Register 76, No.
50).
§ 1 1 503. Course Approval.
curriculum provided by a Regional Occupational Center or a Regional
Occupational Program shall be subject to the approval of the State De-
partment of Education and shall comply with all requirements and stan-
dards set forth in the California State Plan for Vocational Education and
this Chapter.
The State Department of Education shall periodically review ap-
proved courses for compliance with the California Five- Year State Plan
for Vocational Education and this Chapter. A course found to be out of
compliance shall be placed on conditional approval.
The State Department of Education shall withdraw course approval if
a conditionally approved course is not brought into compliance.
All course approval records such as those documenting compliance
with Section 1 1504(a) through (1 ) shall be maintained in the administra-
tive office of each Regional Occupational Center or Regional Occupa-
tional Program for a period of three years and shall be subject to review
and audit by the State Department of Education.
NOTE: Authority cited: SecUon 52309, Education Code. Reference: Section
52309, Education Code.
History
1 . Amendment and renumbering of Section 1 1507 to 1 1503 filed 1 2-7-79; desig-
nated effective 7-1-77 (Register 76, No. 50).
2. Amendment filed 9-19-79; effecfive thirtieth day thereafter (Register 79, No.
38).
§ 1 1 504. Course Appropriateness and Criteria for Course
Approval.
(a) The only courses which are appropriate for a Regional Occupation-
al Center and a Regional Occupational Program to offer are those courses
which provide vocational or technical training for students who are not
presently served through such courses offered by the high schools, com-
munity colleges, and adult schools in the region served by the Regional
Occupational Center or Regional Occupational Program.
Generalized training courses are not appropriate. For the purpose of
this section, "generalized courses" includes courses in general education,
industrial arts, and basic adult education.
(b) Opportunity for enrollment shall be available to eligible students
in the region served.
(c) The course does not unnecessarily duplicate course offerings al-
ready available in the region served. Consideration will be given to action
taken by regional adult and vocational education councils.
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S 11504
•
(d) The course does not unnecessarily duplicate vocational education-
al opportunities offered by community colleges serving the same geo-
graphical region.
(e) The course provides vocational education opportunities for a great-
er number of students than would otherwise be possible.
(f) Evidence indicates that more efficient use is made of facilities, per-
sonnel and services than when the course is provided for the students of
a school unit. Such evidence shall include, but is not hmited to the follow-
ing:
( 1 ) The facility used and equipment in the Regional Occupational Cen-
ter or Regional Occupational Program is better related to the needs of
business, industry, and students.
(2) The facilities, equipment, and vocational instructional personnel
of the Regional Occupational Center or Regional Occupational Program
will be utilized by more students than would be utilized by a local high
school unit.
(g) Opportunity is increased for vocational education services to stu-
dents regardless of their geographical location or residence in the region
served.
(h) Use of supportive resources for vocational education, including,
but not limited to. industry cooperation and community facilities is in-
creased.
(i) There is evidence that use is being made of subject area advisory
committees in determining courses appropriate for Regional Occupa-
tional Centers or Regional Occupational Programs. Such evidence shall
include, but not be limited to, the following:
(1) The majority of the comnrittee membership shall represent the oc-
cupation for which instruction is given.
(2) Documentation of advisory committee minutes, with recommen-
dations in regard to the course being offered, shall be on file.
(j) The courses offered in a Regional Occupational Center or Regional
Occupational Program shall only be for providing training, upgrading,
and retraining in recognized occupations and/or emerging occupations
to meet the labor demand as determined and verified by the Regional Oc-
cupational Center or Regional Occupational Program.
(k) The course shall not unnecessarily reduce or supplant the vocation-
al education efforts of any participating district but shall become an ex-
tension or augmentation of vocational education opportunities and enrol-
lments in the participating districts.
(/) Instruction in the course is being provided by an instructor meeting
the requirements pursuant to Education Code Section 52323, the Califor-
nia State Plan for Vocational Education, and providing immediate super-
vision and control as defined by Section 10091 of this title.
•
[The next page is 135.]
Page 134.1
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Title 5
California Department of Education
H1510
•
•
NOTL: Authoritv cited: Section 52309. Education Code. Reference: Section
.52309. Hducation Code.
History
1 . Amendment and renumbering of Section 1 1508 to 1 1504 filed 12-7-76; desig-
nated effective 7-1-77 (Register 76. No. 50).
2. Repealer of .subsection (I) and renumbering of subsection (m) to subsection (1)
filed 9-19-79; effective thiitieth day thereafter (Register 79, No. 38).
§11505. Counseling and Guidance.
A Regional Occupational Centeror a Regional Occupational Program
shall provide individual vocational coun.seling atid guidance directly
supportive of. and contributory to, the instructional programs that consti-
tute the course offerings of the Regional Center or Regional Occupation-
al Program. The counseling and guidance services funded pursuant to the
provisions of Article 1 , Chapter 9, Part 28. Division 4. Title 2* of the Edu-
cation Code shall not be construed as general support for guidance and
counseling services for the total school enrollment or for the total voca-
tional education enrollment in a .school.
History
1 . Amendment and renumbering of Section 1 1509 to 1 1505 filed 12-7-76; desig-
nated effective 7-1-77 (Register 76. No. .50).
§11506. Evaluation.
Each Regional Occupational Center or Regional Occupational Pro-
gram shall submit to the Department of Education in such detail, at such
time, and in such manner as the Department of Education deems neces-
sary, an evaluation of the Regional Occupational Center or Regional Oc-
cupational Program. This evaluation shall include but not be limited to
the following information:
(a) Analysis of the cost of individual centers, programs, and services.
(b) Enrollments defined in terms of high school students, post-high
school students, and adults.
(c) Number of trainees employed in specific entry-level occupations.
(d) Number of trainees continuing training in other institutions.
(e) Dropout rates and placement data.
(f) Activities pursuant to Education Code Sections 52305(c), 52306
and 52307.
History
1 . New subsection (f) filed 4-19-74; effective thirtieth day thereafter (Register 74,
No. 16).
2. Renumbering of Section 1 1510 to 1 1506 filed 12-7-76; designated effective
7-1-77 (Register 76, No. 50).
3. Amendment of subsection (f) filed 9-2.3-77; effecUve thirtieth day thereafter
(Register 77, No. 39).
§11507. Administration.
Each Regional Occupational Center or Regional Occupational Pro-
gram shall be organized and administered in such manner that there will
be a clear and separate audit trail of all income and expenditures, of all
agreements and contracts, of enrollments, and of all other statistical in-
formation pertaining to fiscal and instructional accountability.
History
1. Renumbering of Section 1 151 1 to 1 1507 filed 12-7-76; designated effective
7-1-77 (Register 76. No. 50).
§ 11508. Establishing and Operating Business,
Commercial, Trade, Manufacturing or
Construction Activities.
(a) Regional occupational centers and regional occupational programs
iTiay establish and operate business, commercial, trade, manufacturing or
construction activities which may include the sale of products or services
to private or public corporations or companies, or to the general public
as authorized in subdivision (c) of Education Code Section 52305.
(b) Where the activities described in subsection (a) of this section in-
clude the sale of products or services to private or public corporations or
companies, or to the general public, the regional occupational center or
regional occupational program shall request prior approval from the
State Department of Education. Application for approval shall be sub-
mitted on a form prescribed by the Superintendent of Public Instruction
and the proposal therein shall comply with all the conditions .set forth in
Education Code Sections 52306 and 52307.
Hlstory
1 . New secfion filed 4-19-74; effective thirtieth day thereafter (Resiister 74. No.
16).
2. Renumbering of Section 11512 to 1 1508 filed 12-7-76; designated effective
7-1-77 (Register 76, No. .50).
3. Amendment of section and repealer of NOTE filed 9-23-77; effective thirtieth
day thereafter (Register 77, No. 39).
Subchapter 7.5. California English
Language Development Test
Article 1. General
§11510. Definitions.
For the purposes of the test required by Education Code Section
313(a), referred to as the California English Language Development
Test, the following definitions shall apply:
(a) "'Accommodation" is any variation in the assessment environment
or process that does not fundamentally alter what the test measures or af-
fect the comparability of scores. "Accommodations" may include varia-
tions in scheduling, setting, aids, equipment, and presentation format.
(b) An "administration" means a pupil's attempt to take all sections of
the California English Language Development Test, including listening,
speaking, reading, and writing.
(c) "Alternate Assessment" is an alternate means to measure the Eng-
lish language proficiency of pupils with disabilities whose Individual-
ized Education Program Team has determined that they are unable to par-
ticipate in the California English Language Development Test even with
accommodations, variations, or modifications.
(d) "Annual assessments" are administrations of the California Eng-
lish Language Development Test to enrolled pupils who are currently
identified as English learners.
(e) "Annual assessment window" begins on July 1 and ends on Octo-
ber 3 1 of each school year.
(f) "Date of first enrollment" is the date on which the pupil is scheduled
to be in attendance in a California public school for the first time.
(g) "Department" is the California Department of Education.
(h) "District coordinator" is an employee of the school district desig-
nated by the superintendent of the district to oversee the administration
of the CELDT within the district.
(i) "Excessive materials" is the difference between the sum of the
number of tests scored and 90 percent of the tests ordered by the district.
(j) "Grade level" is the grade assigned to the pupil by the school district
at the time of testing.
(k) "Home language survey" is a form administered by the school dis-
trict to be completed by the pupil's parent or guardian at the time of first
enrollment in a Califomia public school indicating language use in the
home which, if completed, fulfills the school district's obligation re-
quired by Education Code Section 52164.1.
(/) "Initial assessment" is the administration of the Califomia English
Language Development Test to a pupil whose primary language is other
than English, as determined by the Home Langtiage Survey, and who has
not previously been assessed for English language proficiency in a
Califomia public school.
(m) "Modification" is any variation in the assessment environment or
process that fundamentally alters what the test measures or affects the
comparability of scores.
(n) "Primary" language is the language first leamed by the pupil, most
frequently used at home, or most frequently spoken by the parents or oth-
er adults in the home when speaking with the pupil.
(o) "Proctor" is an employee of a school district who has received
training specifically designed to prepare him or her to assist the test ex-
aminer in administration of the Califomia English Language Develop-
ment Test.
Page 135
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§ 11511
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(p) "Pupil" is a person enrolled in a California school district in kinder-
garten through grade 1 2, or in ungraded programs, including those pupils
placed in a nonpublic school through the Individualized Education Pro-
gram (lEP) process pursuant to Education Code Section .'^6365.
(q) "Records of results" are:
(1 ) Student test results from the pupil's cumulative file;
(2) Parent notification letter of student results;
(3) Previous or current school district pupil electronic data files;
(4) Student Proficiency Level Reports; and
(5) Verification from prior school district.
(r) "School districts" include elementary, high school, and unified
school districts, county offices of education, and any charter school that
for assessment purposes does not elect to be part of the school district or
county office of education that granted the charter, and any charter school
chartered by the State Board of Education.
(s) "Scribe" is an employee of the school district, or a person assigned
by a nonpublic school to implement a pupil's lEP and is required to tran-
scribe a pupil's responses to the format required by the test. The pupil's
parent or guardian is not eligible to be a scribe.
(t) "Site coordinator" is an employee of the school district designated
by the district coordinator or the superintendent, or a person assigned by
a nonpublic school to implement a student's lEP, who oversees the ad-
ministration of the CELDT at each test site at which the examination is
given.
(u) "Test" is the California English Language Development Test.
( v) "Test Examiner" is an employee of the school district who is profi-
cient in English and has received training specifically designed to pre-
pare him or her to administer the test.
(w) "Test materials" are materials necessary for administration of the
California English Language Development Test, including but not lim-
ited to audio-cassettes, test manuals, pupil test booklets, forms for re-
cording pupil responses and background information, video tapes, an-
swer keys, scoring rubrics, special test versions, and any other materials
developed and provided by the contractor.
(x) "Variation" is a change in the manner in which a test is presented
or administered, or in how a test taker is allowed to respond, and includes,
but is not limited to, accommodadons and modificafions.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections 306,
3L3, 52164.1 and 60810, Education Code.
History
1. New subchapter 7.5 (articles 1^), article 1 (section 11510) and section filed
lO^t-2001; operative 11-3-2001 (Register 2001, No. 40).
2. Amendment of subsection (f), repealer of subsection (j) and amendment of
Note filed 4-14-2003; operative 4-14-2003 pursuant to Government Code
section 1 1343.4 (Register 2003, No. 16).
3. Amendment filed 6-9-2005; operative 6-9-2005 pursuant to Government
Code section 11 343 .4 (Register 2005, No. 23).
Article 2. Administration
§11511. Initial and Annual Assessments.
(a) Initial assessments shall be administered as follows:
(1) Any pupil whose primary language is other than English as deter-
mined by the home language survey and who has not previously been
idenfified as an English learner by a California public school or for whom
there is no record of results from an administration of an English lan-
guage proficiency test, shall be assessed for English language proficien-
cy with the test within 30 calendar days after the date of first enrollment
in a California public school, or within 60 calendar days before the date
of first enrollment, but not before July 1 of that school year.
(b) Annual assessments shall be administered as follows:
The English language proficiency of all currently enrolled English
learners shall be assessed by administering the test during the annual as-
sessment window.
(c) Both Initial and Annual assessments shall be administered in accor-
dance with the test contractor's direcfions, except as provided for in Sec-
tions 11516, 11516.5, and 11516.6.
(d) For both Initial and Annual assessments, the school district is re-
sponsible for the cost of excessive materials ordered by the school dis-
trict. In no event shall the cost to the school district for replacement or
excessive materials exceed the amount per test booklet and accompany-
ing material that is paid to the test contractor by the California Depart-
ment of Education as part of the contract with the test contractor for the
current year.
NOTE: Authority cited: Section 3.3031, Education Code. Reference: Sections
306(a), 313 and 37200. Education Code.
History
1. New article 2 (sections 1 151 1-11514) and section filed 10-4-2001; operative
1 1-3-2001 (Register 2001, No. 40).
2. Amendment of section heading and section filed 6-9-2005; operative
6-9-2005 pursuant to Government Code section 1 1343.4 (Register 2005, No.
23).
§ 1 1 51 1 .5. Reporting to Parents.
For each pupil assessed using the test, each school district shall notify
parents or guardians of the pupil's results within 30 calendar days follow-
ing receipt of results of testing from the test contractor. The noufication
shall comply with the requirements of Education Code Section 48985.
NOTE: Authority cited: Section 33031, Educafion Code. Reference: Sections
306(a), 313 and 48985, Education Code.
History
1. New section filed 10-4-2001; operative 1 1-3-2001 (Register 2001, No. 40).
2. Amendment filed 6-9-2005; operative 6-9-2005 pursuant to Government
Code section 1 1343.4 (Register 2005, No. 23).
§ 1 1 51 1 .6. Reporting Test Scores.
No aggregate or group scores or reports that are compiled pursuant to
Education Code Section 6085 1 shall be reported electronically, in hard
copy, or in other media, to any audience other than the school or school
district where the pupils were tested, if the aggregate or group scores or
reports are composed of three (3) or fewer individual pupil scores. In each
instance in which no score is reported for this reason, the notation shall
appear: "The number of pupils in this category is too small for statistical
accuracy or privacy protection." In no case shall any group score be re-
ported that would deliberately or inadvertently make public the score or
performance of any individual student.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
49076, 60810 and 60812, Education Code; 20 USC Section 1232(g).
History
1. Amendment filed 6-9-2005; operative 6-9-2005 pursuant to Government
Code section 1 1343.4 (Register 2005, No. 23).
§ 11512. District Documentation and Pupil Records.
(a) The school district shall maintain a record of all pupils who partici-
pate in each administration of the test. This record shall include the fol-
lowing information for each administration:
( 1 ) The name of each pupil who took the test.
(2) The grade level of each pupil who took the test.
(3) The date on which the administration of the test was completed for
each pupil.
(4) The test results obtained for each pupil.
(b) The school district shall enter in each pupil's record the following
informaUon for each administration of the test:
(1) The date referred to by subdivision (a)(3).
(2) The pupil's test results.
(c) The record required by subdivision (a) shall be created and the in-
formation required by subdivision (b) of this section shall be entered in
each pupil's record prior to the subsequent administration of the test.
(d) In order to comply with the accountability requirements under Title
III of No Child Left Behind, part A, Section 3 1 22 of the Elementary and
Secondary Education Act (Public Law 107-110), whenever a pupil
transfers from one school district to another, the pupil's CELDT records
including the informaUon specified in Section 11512(a) shall be trans-
•
•
•
Page 136
Register 2005, No. 23; 6- 10-2005
Title 5
California Department of Education
§ 11513.5
•
I'crred by the sending district wiiiiin 20 calendar days upon a request from
the receiving district where the pupil is now enrolled.
NOTl::: Authority cited: Section 33031. Hducation Code. Reference: Sections
3()6(a). 313(b). 49068 and 60810(d), Education Code; and 20 USC Sections
6841-6842,
History
1. New section Hied 10-4-2001: operative 1 1-3-2001 (Register 2001, No. 40).
2. Amendment of subsections (a) and (c). new subsection (d) and amendment of
N(nt. filed 6-9-200,S; operative 6-9-200.S pursuant to Government Code sec-
lion 1 1,343.4 (Register 200.S, No. 23).
§ 11 51 2.5. Data for Analysis of Pupil Proficiency.
(a) Each school district shall provide the test contractor the following
information for each pupil tested for purposes of the analyses and report-
ing required pursuant to Education Code sections 60810(c) and 60812.
and for accountability requirements under Title III of No Child Left Be-
hind, Part A, Section 3122 of the Elementary and Secondary Education
Act (Public Law 107-110):
(1) Pupil's full name;
(2) Dale of birth;
(3) County, district, school code;
(4) Date that testing was completed;
(5) Grade level;
(6) Gender;
(7) Primary language;
(8) Program participation;
(9) Special education and 504 plan status;
(10) Primary Disability;
(11) Ethnicity;
(12) Year first enrolled in a United States school;
(13) School mobility.
( 14) CELDT scores from the previous test administration;
(15) Purpose; an initial assessment or an annual assessment;
(16) District and County of residence for pupils with disabilities;
(17) Grade level from the previous CELDT administration;
(18) Use of test modifications and/or accommodations;
(19) Use of Alternate Assessment(s); and
(20) California School Information Services (CSIS) student number
once assigned.
(b) The demographic information required by subdivision (a) is for the
purposes of aggregate analyses and reporting only.
NOTE: Authority cited: Section 33031. Education Code. Reference: Sections 313,
60810 and 60812. Education Code; and 20 USC Sections 6841-6842.
History
1. New section filed 10-4-2001; operative 11-3-2001 (Register 2001, No. 40).
2. Amendment of subsection (a)(l 1) and amendment of Note filed 4-14-2003;
operative 4-14-2003 pursuant to Government Code section 1 1343.4 (Register
2003, No. 16).
3. Amendment of section and Note filed 6-9-200.*); operative 6-9-2005 pursuant
to Government Code section 1 1343.4 (Register 2005, No. 23).
§ 11513. California English Language Development Test
District Coordinator.
(a) On or before April I, or 90 calendar days before the beginning of
the annual assessment window of each school year, the superintendent
of each school district shall designate from among the employees of the
school district a California English Language Development Test district
coordinator. The superintendent shall notify the test contractor of the
identity and contact information for the California English Language De-
velopment Test district coordinator. The California English Language
Development Test district coordinator, or the school district superinten-
dent or his or her designee, shall be available throughout the year and
shall serve as the liaison between the school district and the CaHfomia
Department of Education for all matters related to the test. At the discre-
tion of the district superintendent, the contact information may include
an electronic email address.
(b) The California English Language Development Test district coor-
dinator's responsibilities shall include, but are not limited to, the follow-
ing:
(1) Responding to correspondence and inquiries from the contractor
in a timely manner and as provided in the contractor's instructions.
(2) Determining school district and individual school test and test ma-
terial needs in conjunction with the test contractor.
(3) Overseeing the acquisition and distribution of tests and test materi-
als to individual schools and sites.
(4) Maintaining security over the test and test data using the procedure
set forth in Section 1 1514. The California English Language Develop-
ment Test district coordinator shall sign the Test Security Agreement set
forth in Section 1 1514 with the lest contractor prior to receipt of ihc test
materials. A copy of the Test Security Agreement shall be maintained at
the district office for 12 inonths from the date signed.
(5) Overseeing the administration of the test to pupils.
(6) Overseeing the collection and return of all completed test materials
and test data to the contractor.
(7) Assisting the test contractor in the resolution of any discrepancies
in the test information and materials.
(8) Ensuring that all test materials are received from school test sites
within the school district in sufficient time to satisfy the requirements of
subdivision (10).
(9) Ensuring that all tests and test materials received from .school test
sites within the school district have been placed in a secure school district
location upon receipt of those tests.
(10) Ensuring that all test materials are inventoried, packaged, and la-
beled in accordance with instructions from the test contractor. The com-
pleted test materials shall be returned to the test contractor at the date spe-
cified monthly by the test contractor for initial assessments of pupils but
no later than ten (10) working days after the clo.se of the testing window
for the annual assessment.
(11) Ensuring that the tests and test materials are retained in a secure,
locked location, in the unopened boxes in which they were received from
the test contractor, from the time they are received in the school district
until the time they are delivered to the test sites.
(12) Overseeing the collection of all pupil data to comply with Sec-
tions 11512 and 1^512.5.
( 1 3) Immediately notifying the test contractor of any security breaches
or testing irregularities in the district before, during, or after the adminis-
tration of the test.
NOTE: Authority cited: Section 33031 , Education Code. Reference: Sections 3 1 3
and 60810(d), Education Code.
History
1. New section filed 10-4-2001; operaUve 11-3-2001 (Register 2001, No. 40).
2. Amendment filed 6-9-2005; operative 6-9-2005 pursuant to Government
Code secfion 1 1343.4 (Register 2005, No. 23).
§ 11513.5. California English Language Development Test
Site Coordinator.
(a) Annually, the superintendent of the school district shall designate
a California English Language Development Test site coordinator for
each test site, including, but not limited to, each charter school, each court
school, and each school or program operated by a school district, from
among the employees of the school district. The California English Lan-
guage Development Test site coordinator, or the site principal or his or
her designee, shall be available to the California English Language De-
velopment Test district coordinator for the purpose of resolving issues
that arise as a result of the administration of the test.
(b) The California English Language Development Test site coordina-
tor's responsibilities shall include, but not be limited to, all of the follow-
ing:
(1) Determining site test and test material needs.
(2) Arranging for test administration at the site.
(3) Completing the Test Security Agreement and Test Security Affida-
vit prior to the receipt of test materials.
(4) Delivering test materials only to those persons who have executed
Test Security Agreements and who are administering the test.
Page 137
Register 2005, No. 23; 6-10-2005
§11514
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(5) Overseeing test security requirements, including collecting and de-
livering all completed Test Security Affidavit forms to the district office
from the test examiners and other site personnel involved with testing.
(6) Maintaining security over the test and test data as required by Sec-
tion 11514.
(7) Overseeing the acquisition of tests from the school district and the
distribution of tests to the test examiner(s).
(8) Overseeing the administration of the test to pupils at the test site.
(9) Overseeing the collection and return of all testing materials to the
California English Language Development Test district coordinator.
(10) Assisting the California English Language Development Test
district coordinator and the test contractor in the resolution of any discre-
pancies between the number of tests received from the California English
Language Development Test district coordinator and the number of tests
collected for return to the California English Language Development
Test district coordinator.
(11) Overseeing the collection of all pupil data required by Sections
11512 and 11512.5.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections 313
and 60810(d), Education Code.
History
1 . New section filed 10-4-2001; operative 1 1-3-2001 (Register 2001, No. 40).
2. Amendment of section and Note filed 6-9-2005; operative 6-9-2005 pursuant
to Government Code section 1 1343.4 (Register 2005, No. 23).
§11514. Test Security.
(a) The California English Language Development Test site coordina-
tor shall ensure that strict supervision is maintained over each pupil while
the pupil is being administered the test.
(b) Access to the test materials is limited to pupils being administered
the test and employees of the school district directly responsible for ad-
ministration of the test who have signed the Test Security Affidavit set
forth in subdivision (g).
(c) All California English Language Development Test district and
test site coordinators shall sign the Test Security Agreement set forth in
subdivision (d).
(d) The Test Security Agreement shall be as follows:
CALIFORNIA ENGLISH LANGUAGE DEVELOPMENT TEST
TEST SECURITY AGREEMENT
(1)1 will take all necessary precautions to safeguard all tests and test
materials by limiting access to persons within the school district with a
responsible, professional interest in the test's security.
(2) I will keep on file the names of persons having access to tests and
test materials. I will require all persons having access to the materials to
sign the Test Security Affidavit that will be kept on file in the school dis-
trict office.
(3) I will keep the tests and test materials in a secure, locked location,
limiting access to only those persons responsible for test security, except
on actual testing dates.
By signing my name to this document, I am assuring that I will abide
by the above conditions.
By:
Title:
School District:
Date:
(e) Each California English Language Development Test site coordi-
nator shall deliver the tests and test materials only to those persons actual-
ly administering the test on the date of testing and only upon execution
of the Test Security Affidavit set forth in subdivision (g).
(f) All persons having access to the test, including but not limited to
the California English Language Development Test site coordinator, test
examiners, and test proctors, shall acknowledge the limited purpose of
their access to the test by signing the Test Security Affidavit set forth in
subdivision (g).
(g) The Test Security Affidavit shall be completed by each test ex-
aminer and test proctor.
CALIFORNIA ENGLISH LANGUAGE DEVELOPMENT TEST
SECURITY AFFIDAVIT
1 acknowledge that I will have access to the test for the purpose of ad-
ministering the test. I understand that these materials are highly secure,
and it is my professional responsibility to protect their security as fol-
lows:
(1)1 will not divulge the contents of the test to any other person
through verbal, written, or any other means of communication.
(2) I will not copy any part of the test or test materials unless necessary
to administer the test.
(3) I will keep the test secure until the test is actually distributed to pu-
pils.
(4) I will limit access to the test and test materials by test examinees
to the actual testing periods when they are taking the test.
(5) I will collect and account for all materials following each period
of testing and will not permit pupils to remove test materials from the
room where testing takes place.
(6) 1 will not disclose the contents of, or the scoring keys to, the test
instrument.
(7) I will not review any test questions, passages or other test items
with pupils before or after testing.
(8) I will administer the test(s) in accordance with the directions for
test administration set forth in the contractor's manual for test adminis-
tration.
(9) I will return all test materials to the designated California English
Language Development Test site coordinator upon completion of the
test.
( 1 0) 1 will not interfere with the independent work of any pupil taking
the test and I will not compromise the security of the test by means includ-
ing, but not limited to:
(A) Providing pupils with access to test questions prior to testing.
(B) Copying, reproducing, transmitting, distributing or using in any
manner inconsistent with test security all or any portion of any secure
California English Language Development Test booklet or document.
(C) Coaching pupils during testing or altering or interfering with the
pupil's responses in any way.
(D) Making answer keys available to pupils.
(E) Failing to follow security rules for distribution and return of secure
tests as directed, or failing to account for all secure test materials before,
during, and after testing.
(F) Failing to follow test administration directions specified in test ad-
ministration manuals.
(G) Participating in, directing, aiding, counseling, assisting in, or en-
couraging any of the acts prohibited in this section.
I have been trained to administer the test.
Signed:
Print Name:
Position:
School:
School District:
Date:
(h) To maintain the security of the test, all California English Lan-
guage Development Test district and test site coordinators are responsi-
ble for inventory control and shall use appropriate inventory control
forms to monitor and track test inventory.
(i) The security of the test materials that have been duly delivered to
the school district by the test contractor is the sole responsibility of the
school district until all test materials have been inventoried, accounted
for, and delivered to the common or private carrier designated by the test
contractor.
(j) Secure transportation within a school district is the responsibility
of the school district once materials have been duly delivered to the
school district by the test contractor.
NOTE; Authority cited: Section 33031, Education Code. Reference: Section 313,
Education Code.
•
•
Page 138
Register 2005, No. 23; 6-10-2005
Title 5
California Department of Education
§ 11516.7
History
1. New section filed 10-4-2001 : operative 1 1-3-2001 (Register 2001, No. 40).
2. Amendnient tiled 6-9-200.^: operative 6-9-2005 pursuant to Government
Code section 1 1 343.4 (Register 2005, No. 23).
Article 3. Test
Variations/Accommodations/Modifications
§11516. Variations.
(a) School district may provide all pupils the following variations:
(1) Test directions that are simplified or clarified in English for the
Reading and Writing sections.
(2) Sufficient time to complete the test as provided in the directions for
test administration.
(b) School districts may provide all pupils the following variations if
regularly used in the classroom:
( 1 ) Special or adaptive furniture;
(2) Special lighting or acoustics, visual magnifying, or audio amplifi-
cation equipment;
(3) An individual carrel or study enclosure;
(4) Covered overlay, masks, or other means to maintain visual atten-
tion to the test consistent with contractor's test directions;
(5) Test individual in a separate room provided that the pupil is directly
supervised by an employee of the school district or nonpublic school who
has signed the Test Security Affidavit; and
(6) Manually Coded English or American Sign Language to present
directions for administration (does not apply to test questions).
(c) If a school district proposed the use of a variation on the test that
is not listed in this section. 1 1516.5, or 1 1516.6, the school district may
submit a request to the department for review of proposed variation in ad-
ministering the test.
NOTE: Authority cited: Section 33031 . Education Code. Reference: Sections 306,
313 and 37200, Education Code; and 20 USC Section 631 1.
History
1. New article 3 (sections 11 516-1 1516.5) and section filed 10-4-2001; operative
1 1-3-2001 (Register 2001, No. 40).
2. Amendnient of ailicle heading and section heading, repealer and new section
and amendment of Note filed 6-9-2005; operative 6-9-2005 pursuant to Gov-
ernment Code section 1 1343.4 (Register 2005. No. 23).
§11516.5. Accommodations.
(a) Pupils with disabilities shall be permitted to take the test with those
accommodations listed in subsections (b) through (e), if specified in the
pupil's lEP or Section 504 plan for use on the test, standardized testing,
or for use during classroom instruction and assessments.
(b) Presentation accommodations:
(1) Braille transcriptions provided by the test contractor;
(2) Large print versions reformatted from regular print version;
(3) Test items enlarged through electronic means;
(4) Audio or oral presentation of questions or items for the writing sec-
tion;
(5) Use of Manually Coded English or American Sign Language to
present test questions for the writing section;
(6) Test over more than one day for a test or test part to be administered
in a single setting;
(7) Supervised breaks within a section of the test; and
(8) Administration of the test at the most beneficial time of day to the
student.
(c) Response accommodations:
( 1 ) For grades 3-12, Listening, Reading and Writing sections, student
marks responses in test booklet and the responses are transferred to the
answer document by a school or school district employee who has signed
the Test Security Affidavit;
(2) For grades 2-i2, Listening, Reading and Writing sections, re-
sponses dictated to a scribe for selected response items or multiple-
choice items;
(3) For kindergarten and grades 1-12. Speaking section, responses
dictated to a scribe for selected response iteiTis or multiple-choice items;
(4) For the Writing section, responses dictated to a scribe, audio re-
corder or speech to text converter and the pupil indicates all spelling and
language conventions; and
(5) For the Writing section, use word processing software with the
spell and grammar check tools turned off.
(d) For the Writing section, use of an assistive device that does not in-
terfere with the independent work of the pupil.
(e) Setting accommodations include:
(1) Test at home or in hospital, by a lest examiner.
(f) If the eligible pupil's or adult student's lEP team or Section 504
plan proposes a variation for use on the test that has not been listed in this
section, 1 1516, or 1 1516.6, the school district may submit a request to the
department for review of the proposed variation in administering the test.
NOTE; Authority cited: Section 33031. Education Code. Reference: Sections
306(aj. 313 and 37200, Education Code; and 20 USC Section 631 1 .
History
1. New section filed 10-4-2001; operative 1 1-3-2001 (Register 2001. No. 40).
2. Amendment of section heading, section and Note filed 6-9-2005: operative
6-9-2005 pursuant to Government Code section 1 1343.4 (Register 2()()5. No.
23).
§ 1 1 51 6.6. Modifications for Pupils with Disabilities.
(a) Pupils with disabilities shall be permitted to take the test with the
following modifications if specified in the pupil's lEP or Section 504
plan for use on the test, standardized testing, or for use during classroom
instruction and assessments.
(b) The following are modifications because they fundamentally alter
what the examination measures or affect the comparability scores. Modi-
fications include but are not limited to the following procedures:
(1) For the Reading section, questions or items read aloud to the stu-
dent or audio presentation;
(2) For the Listening/Speaking and Reading section, use of Manually
Coded English or American Sign Language to present test questions;
(3) For the Wrifing secfion, essay responses dictated orally, in Manual-
ly Coded English, or in American Sign Language to a scribe, audio re-
corder, or speech to test converter (scribe provides spelling, grammar,
and language conventions);
(4) Use of a dictionary;
(5) For the Writing section, use of word processing software with spell
and grammar check tools enabled on the essay responses;
(6) For the Writing section, use of an assistive device that interferes
with the independent work of the student, including mechanical or elec-
tronic devices that are not used solely to record the pupil's responses, in-
cluding but not limited to transcribers, scribes, voice recognition or voice
to text software, and that identify a potential error in the pupil's response
or that correct spelling, grammar, or conventions.
(c) A pupil who takes the test with one or more modifications shall re-
ceive a scored marked "not valid" for the sections of the test on which
modifications were used accompanied by the notation that a score
marked "not valid" was obtained through use of alternate procedures
which may affect the validity of the test.
(d) If the pupil's or adult student's lEP or Secfion 504 plan proposes
a variation for use on the test that has not been listed in this section,
1 1516, or 115 16.5, the school district may submit a request for review of
proposed variafions in administering the test.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
306(a), 313 and 37200, Education Code; 20 USC Secfion 6311.
History
1. New section filed 6-9-2005; operative 6-9-2005 pursuant to Government
Code section 11343.4 (Register 2005, No. 23).
§ 1 1 51 6.7. Alternate Assessments for Pupils with
Disabilities.
(a) F*upils with disabilities who are unable to participate in the entire
CELDT or a secfion of the test with variafions. accommodations or modi-
fications shall be administered alternate assessments for English lan-
guage proficiency as set forth in the pupil's lEP.
Page 138.1
Register 2005, No. 23; 6-10-2005
§ 11517
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(b) Pupils who participate in the Test Program using alternate assess-
ment procedures shall receive a score marked not valid for the sections
of the test in which alternate assessments were administered.
NOTE: Authority cited: Section 33031 , Education Code. Reference: 20 USC Sec-
tion 631 1: .34 CFR Section 300.138(b)(l)(2).
History
1. New section filed 6-9-2005; operative 6-9-2005 pursuant to Government
Code section 1 1.343.4 (Register 2005, No. 23).
NOTE: Authority cited: Sections 33031 and 60810, Education Code. Reference:
Sections 313 and 60810, Education Code.
History
1. New section filed 6-9-2005; operative 6-9-2005 pursuant to Government
Code section 1 1.343.4 (Register 2005, No. 23).
Article 4. Apportionment
§ 11 51 7. Apportionment to School Districts.
The amount of funding to be apportioned to the school district for the
costs of administering the test shall be the amount established by the State
Board of Education to enable school districts to meet the requirements
of administering the test to pupils in kindergarten to grade 12, inclusive,
in the school district. The number of tests administered shall be deter-
mined by the certification of the school district superintendent pursuant
to Section 11517.
NOTE: Authority cited: Sections 33031 and 60810, Education Code. Reference:
Sections 313 and 60810, Education Code.
History
1. New article 3 (section 11517) and section filed 10-4-2001; operative
11-3-2001 (Register 2001, No. 40).
2. Amendment of subsections (a) and (c) and amendment of Note filed
4-14-2003; operative 4-14-2003 pursuant to Government Code section
1 1343.4 (Register 2003, No. 16).
3. Amendment of section heading, repealer and new section and amendment of
Note filed 6-9-2005; operative 6-9-2005 pursuant to Government Code sec-
tion 1 1343.4 (Register 2005, No. 23).
§ 11517.5. Apportionment Information Report.
(a) Annually, each school district shall receive an Apportionment In-
formation Report that shall include the following information for those
tests administered during the previous fiscal year (July 1 through June
30):
( 1 ) The number of pupils assessed with the CELDT as indicated by the
number of answer documents submitted to and scored by the test contrac-
tor for each administration.
(2) The Department shall distribute the Reports to districts no later
than November 15 following each testing window.
(b) To be eligible for apportionment payment, school district must
meet the following conditions:
(1 ) The superintendent of each school district has certified the accura-
cy of the apportionment information report for tests administered during
the prior fiscal year (July 1 through June 30), which is either:
(A) Postmarked by December 31, or
(B) If postmarked after December 31, the apportionment information
report must be accompanied by a waiver request as provided by Educa-
tion Code Section 33050. For those apportionment information reports
postmarked after December 31, apportionment payment is contingent
upon the availabiUty of an appropriation for this purpose in the fiscal year
in which the tests were administered.
(C) The amount of funding to be apportioned to the school district for
the tests shall be calculated by multiplying the amount per administration
established by the State Board of Education to enable school districts to
meet the requirements of Education Code Section 60810 by the number
of pupils in the school district tested with the CELDT during the previous
fiscal year as determined by the apportionment information report and as
certified by the school district superintendent pursuant to subdivision
(b)(1)(B).
Subchapter 8. High School Proficiency
Certificates
Article 1. Certificate of Proficiency
§11520. Definitions.
(a) "Parent" as used in Education Code Section 48410(e), relating to
verified parental approval, means the natural parent, or adoptive parent
or guardian, having legal custody of the pupil.
NOTE: Authority cited: Sections 48410, 48412 and 51426, Education Code.
History
1. New Article 1 (Secfions 1 1520-11 522) filed 1 1-21-75; effecfive thirtieth day
thereafter (Register 75, No. 47).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
3. Editorial correction to title of Article 1 (Register 79, No. 4).
4. Renumbering of Chapter 10 (Secfions 11520-11532) to Chapter 8 filed
ll-7-79;effectivethirtiethdaythereafter(Register79,N. 45). For prior history
of Chapter 10, see Register 74, No. 3.
§ 1 1 521 . Placement on Pupil Transcript.
A school district shall, for each pupil who demonstrates proficiency
as provided in Education Code Section 48410(e), indicate the pupil's ac-
complishment and the date of the proficiency certificate award on the pu-
pil" s official transcript.
History
1. Amendment filed 7-18-78; effective thirtieth day thereafter (Register 78, No.
29).
§ 1 1 522. Requirement for Exemption from School
Attendance Form.
Each school district shall develop a form which evidences parental
consent for exemption from further compulsory school attendance pur-
suant to Education Code Section 48410(e). The form shall be made avail-
able upon request to 16- and 1 7-year-old pupils who have demonstrated
proficiency. The form shall contain at least the following information:
(a) A general explanation of the pupil's rights of exemption from com-
pulsory school attendance and of re-enrollment in the public high
schools.
(b) The date of issuance of a certificate of proficiency.
(c) The signature of the parent and the date.
(d) The signature of a school administrator who has personally con-
firmed the authenticity of the parent's signature and the date.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Amendment filed 7-18-78; effective thirtieth day thereafter (Register 78, No.
29).
§ 1 1 523. Examination Announcements.
The school district superintendent shall require the principal of each
school maintaining either or both of grades 1 1 and 1 2 to distribute to each
pupil in those grades an announcement explaining the CaUfomia High
School Proficiency Examination provided for under Education Code
[The next page is 139.
Page 138.2
Register 2005, No. 23; 6-10-2005
Title 5
California Department of Education
§ 11532
Section 48412. Upon receipt of tiie announcements from the State De-
partment of Education or its contractor, distribution shall be made in time
sufficient to enable interested pupils to meet all examination registration
requirements for the fall test of that year.
NOTE; Authority cited: Sections .^3031 and 48412, Education Code. Reference;
Sections 4841()(e) and 48412, Education Code.
HlstORY
1. New section filed 9-1 3-78 as an einercency; effective upon filing (Register 78,
No. 37).
2. Cenificate of Compliance filed 1 1-16-78 (Register 78, No. 46).
Article 2. High School Equivalency
Certificate (G.E.D.) — for Persons 18 Years of
Age or Older
§11530. Definitions.
(a) "Resident of this State" means a person who either presently lives
in the State of California, or who has his domicile in California in accor-
dance with the criteria established in Government Code section 244.
(b) "A general educational development test" means a specific series
of the General Educational Development Test adopted by the General
Educational Development Testing Service of the American Council on
Education.
(c) "A score equal to the .standard of performance expected" means the
following: For examinees that take the GED in the English Language
prior to January 1 , 2002 and for examinees that take the GED in the Span-
ish language prior to January 1 , 2003, the standard for passage is a stan-
dard score of not less than 40 on each of the 5 tests and a total standard
score of not less than 225 on the 5 tests of the battery. Beginning January
1 , 2002, the standard for passage for the English Language version of the
battery is a standard score of not less than 410 on each of the 5 tests and
a total average standard score of not less than 450 for the entire battery.
Beginning January 1 . 2003, the standard for passage for the Spanish lan-
guage version of the GED is a standard score of not less than 410 on each
of the 5 tests and a total average standard score of not less than 450 for
the entire battery.
(d) "Testing center approved by the Department of Education" means
a testing center recognized as an official testing facility by the American
Council on Education, General Educational Development Testing Ser-
vice and its Overseas Branch.
(e) "Fee" to accompany each application for an equivalency certificate
shall be $20.00 and shall be nonrefundable irrespective of whether or not
a California High School Equivalency Certificate is granted. This fee
shall be charged only once for a given series of the General Educational
Development Test.
(f) "Certificate" means a document containing the words "California
High School Equivalency Certificate."
NOTE: Authority cited: Section 51426, Education Code. Reference: Sections
.S1420, 51421 and 51425, Education Code.
History
1. New chapter 10 (sections 115.30 through 11532) filed 1-18-74; effective thir-
tieth day thereafter (Register 74, No. 3).
2. Heading and designation of sections 11530-11532 as article 2 filed 1 1-21-75;
effective thirtieth day thereafter (Register 75, No. 47).
3. Amendment of Note filed 9-23-77; effective thirtieth day thereafter (Register
77. No. 39).
4. Amendment of subsection (b) filed 5-21-82; effective thirtieth day thereafter
(Register82, No. 21).
5. Amendment of subsection (c) filed 6-21-84; effective thirtieth day thereafter
(Register 84, No. 25).
6. Amendment of subsection (e) filed 5-27-86 as an emergency; effective upon
filing (Register 86, No. 22). A Certificate of Compliance must be transmitted
to OAL within 1 20 days or emergency language will be repealed on 9-24-86.
7. Certificate of Compliance filed 8-7-86 (Register 86, No. 32).
8. Amendment of subsection (e) filed 6-8-90; operative 7-1-90 pursuant to Edu-
cation Code section 51421 (Register 90, No. 31).
9. Amendment of subsection (c) filed 11-6-91; operative 12-6-91 (Register 92,
No. 8).
10. Amendment of subsection (e) filed 4-10-96; operative 5-10-96 (Register 96,
No. 15).
1 1. Amendment filed 1-24-2002 as an emergency; operative 1-24-2002 (Regis-
ter 2002, No. 4). A Certificate of Compliance must be transmitted to OAL by
5-24-2002 or emergency language will be repealed by operation of law on the
following day.
12. Certificate of Compliance as to 1-24-2002 order, including amendment of
subsection (c), transmitted to OAL 5-1-2002 and filed 6-1 1-2002 (Register
2002, No. 24).
1 3. Amendment of subsection (e) filed 9-22-2004; operative 9-22-2004 pursuant
to Government Code section 1 1343.4 (Register 2004, No. 39).
§ 11531. Approval of General Educational Development
Testing Centers.
(a) A General Educational Development Testing Center may be ap-
proved by the Superintendent of Public Instruction to administer tests for
purposes of Education Code Section 51420 provided it has complied
with all of the following:
(1) Fulfilled the requirements of the General Educational Develop-
ment Testing Service.
(2) Provided the State Department of Education with all required in-
forination indicating:
(A) Name of Institutional Chief Administrative Officer and title,
(B) Name of Chief Examiner and Alternate Examiner(s) and their
titles.
(C) Name of testing facility,
(D) Contracting agency or school district.
(E) Address of the testing center.
(3) Agreed to comply with all test security requirements provided by
the State Department of Education and to maintain all required records
regarding tests and testing activities.
(4) Agreed to provide each examinee with his or her test scores.
(5) Agreed to inspection by authorized representatives of the State De-
partment of Education or other agency performing the same function out-
side of California.
(b) The Superintendent of Public Instruction may suspend or revoke
the approval, or deny renewal of an approval, of any center for failure or
refusal to maintain any one or more of the standards described in subdivi-
sion (a) of this section.
NOTE; Authority cited: Section 51426, Education Code. Reference: Sections
51420, 51422 and 51423, Education Code.
HrSTORY
1. Amendment filed 5-21-82; effective thirtieth day thereafter (Register 82, No.
21).
2. Amendment filed 1-24-2002 as an emergency; operative 1-24-2002 (Register
2002, No. 4). A Certificate of Compliance must be transmitted to OAL by
5-24-2002 or emergency language will be repealed by operation of law on the
following day.
3. Certificate ofCompliance as to 1-24-2002 order transmitted to OAL 5-1 -2002
aiid filed 6-1 1-2002 (Register 2002, No. 24).
§ 1 1532. Eligibility to Take a GED Test.
(a) A person is eligible to take a general educational development test
no sooner than 60 days prior to the date he or she is eligible to receive a
certificate pursuant to Education Code Section 51420(c).
(b) The 60 day limitation in subdivision (a) does not apply to any per-
son who is 17 years of age or older who has been out of school for at least
60 days and who submits a letter of request for the test from the military,
a postsecondary educational institution or a prospective employer.
(c) Any person who is 17 years of age or older who is incarcerated in
a California state or county correctional facility and who meets the fol-
lowing criteria is eligible to take the GED test:
(1) The person does not have a realistic chance of completing the re-
quirements for a high school diploma.
(2) The person has adequate academic skills to successfully complete
the GED test battery.
(3) The person understands the options available regarding acquisition
of a high school diploma, the high school equivalency certificate or the
high school proficiency certificate, and the requirements, expectations,
benefits and limitations of each option.
(4) The person has sufficient commitment time left to complete the en-
tire GED test battery before release; or if released before completion of
the test, may complete testing at an authorized testing center.
Page 139
Register 2004, No. 39; 9-24-2004
§ 11535
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
NOTE: Authority cited: Section 51426, Education Code. Reference: Sections
51420 and 51422. Education Code.
History
1 . New section filed 1 2-3 1-84; effective thirtieth day thereafter (Register 85, No.
1 ). For prior history, see Register 83, No. 4 1 .
2. New subsection (c) filed 6-1 1-92; operative 7-13-92 (Register 92, No. 24).
Subchapter 9. Vocational Education
Contracts
Article 1. General Provisions
§11535. Definitions.
For purposes of this chapter, the following definitions shall apply:
(a) Course. "Course" means an instructional unit of an area or field of
organized knowledge, usually provided on a semester, year, or pre-
scribed length-of-time basis.
(b) Program. A "program" is an organized sequence of courses of in-
struction leading to a defined objective, degree, certificate, diploma, or
license.
(c) Student. A "student" is any individual enrolled in a public entity
who may benefit from the vocational instruction under contract with a
private postsecondary school and has either reached his or her 16th birth-
day or junior class standing in a public secondary school, or who has been
recommended by the chief school administrator of the public entity to
participate in instruction provided by a private entity.
NOTE: Authority cited: Sections 33031 and 8092, Education Code. Reference:
Section 8092, Education Code.
History
1. New Chapter 11 (Sections 11535-11540, 11542, 11544 and 11545) filed
3-7-74; effective thirtieth day thereafter (Register 74, No. 10).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
3. Renumbering of Chapter 1 1 (Sections 11535-11545) to Chapter 9 filed
1 1-7-79; effective thirtieth day thereafter (Register 79, No. 45).
4. Repealer of former Section 1 1 535 and renumbering and amendment of former
Section 1 1538 to Section 11 535 filed 10-6-83; effective thirtieth day thereafter
(Register83, No. 41).
§ 1 1 536. Application for Approval.
Application for approval shall be submitted on a form prescribed by
the Superintendent of Public Instruction.
NOTE: Authority cited: Sections 8092 and 33031, Education Code. Reference:
Section 8092, Education Code.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Repealer of former Section 1 1 536 and renumbering and amendment of former
Section 1 1539 to Section 1 1536 filed 10-6-83; effective thirtieth day thereafter
(Register 83, No. 41).
Article 2. Contracting Standards
§11537. Standards.
The following standards shall be employed by the Department of Edu-
cation in determining the appropriateness of vocational education to be
provided by private postsecondary schools through contracts with public
agencies:
(a) Employment/training needs and job opportunities have been iden-
tified that directly relate to the instruction to be offered under contract.
(b) The proposed program or course does not unnecessarily duplicate
offerings available in the region served.
(c) The program or course provides vocational education opportuni-
ties for a greater number of students than would otherwise be possible.
(d) Each student eligible for enrollment must meet the criterion as de-
fined in subdivision (c) of Section 11 535.
(e) The contracted services shall not reduce or supplant existing voca-
tional education efforts of the public entity but shall become an extension
or augmentation of vocational education opportunities and enrollments
in the participating public entities.
(f) All programs and courses of instruction shall meet the standards set
forth in the California State Plan for Vocational Education.
(g) The public entity establishes and maintains, in accordance with the
provisions of the California School Accounting Manual, a clear and sepa-
rate audit trail of all fiscal, enrollment, and statistical data. Such records
shall be maintained for not less than five years and shall be made avail-
able for audit.
NotE: Authority cited: Sections 8092 and 33031, Education Code. Reference:
Section 8092, Education Code.
History
1. Repealer of former Section 1 1537 and renumbering and amendment of Section
1 1 542 to Section 1 1 537 filed 10-6-83; effective thirtieth day thereafter (Regis-
ter 83, No. 41).
Article 3. Contract Provisions
§ 1 1 538. Terms and Conditions.
Each contract shall expressly include, but not be limited to, the follow-
ing provisions:
(a) Methods for identifying costs and payment procedures for com-
pliance with subdivisions (2) and (3) of Education Code Section 8092.
(b) Performance objectives for each instructional area.
(c) Designation of responsibility for maintaining records of student at-
tendance and achievement. Such records shall be available for review at
any time by the State Department of Education.
(d) Instruction shall be provided only under the immediate supervision
and control of teachers who hold valid California credentials authorizing
the vocational subject to be taught.
(e) That the contractor provide indemnity and defense for the State and
public entity, and their respective officers and employees, against any
and all claims and liability for death, injury, loss and damage arising out
of, or in any manner connected with, the performance of the contract.
Such indemnity and defense may be provided either by an appropriate
hold harmless clause or a policy of liability insurance coverage, the cost
of which is to be borne by the contractor. Such policy shall name the State
and public entity, along with their respective officers and employees, as
additional insured.
(f) Except when prohibited by law the contractor provide, at his own
expense, workers' compensation insurance coverage for any student
who performs services or manufactures or assembles products that repre-
sent actual or potential income for the contractor.
(g) That the contractor is in compliance with Title VI of the Civil
Rights Act of 1964, Title IX of the Higher Education Act of 1972, and
all applicable local, state and federal health and safety regulations.
(h) Procedures relating to: transfer of students between the public enti-
ty and contractor; number of class hours sufficient to meet the stated per-
formance objectives; and withdrawal of students prior to completion of
a course or program.
(i) Terms and conditions relating to enrollment period and cancella-
tion and termination of the contract.
History
1. Amendment of subsection (a) filed 9-23-77; effective thirtieth day thereafter
(Register 77, No. 39).
2. Renumbering and amendment of former Secfion 1 1538 to Section 11 535 and
renumbering and amendment of former Section 1 1545 to Section 1 1538 filed
10-6-83; effective thirtieth day thereafter (Register 83, No. 41).
§11540. Reporting.
History
1. Repealer filed 10-6-83; effecfive thirtieth day thereafter (Register 83, No. 41).
§11544. Support.
History
1 . Repealer filed 10-6-83; effective thirtieth day thereafter (Register 83, No. 41 ).
Page 140
Register 2004, No. 39; 9-24-2004
Title 5
California Department of Education
§11611
Subchapter 10. Bilingual Education
Article 1. Bilingual Teacher Corps Program
§11600. Program.
The purpose of the Bilingual Teacher Corps program is to recruit and
insure the training of bilingual teachers and school administrators.
The Superintendent of Public Instruction shall provide stipends to qu-
alified individuals who pursue an educational program at a cooperating
institution of higher education which is directed toward a teaching cre-
dential qualifying the holder to teach limited and non-English-speaking
children.
NOTE; Authonty cited for Chapter 12: Sections .'S21.S1 and 52152, Education
Code.
History
1 . New Chapter 12 (Sections 1 1600-1 1604) filed 2-28-75; effective thirtieth day
thereafter (Register 75. No. 9).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
3. Renumbering of Chapter 12 (Secfions 11600-1 1604) to Chapter 10 filed
1 1-7-79; effective thirtieth day thereafter (Register 79, No. 45).
§11601. Definitions.
(a) "Cooperating institution of higher education" means any Califor-
nia State University or College, the University of California, or commu-
nity college.
(b) "Qualified individual" means any person who is:
( 1 ) Enrolled in a cooperating institution of higher education for a mini-
mum of nine units per semester or eight quarter units per quarter for a
minimum total of 18 semester units or 24 quarter units in the academic
year, and is
(2) Employed as a teacher aide to provide direct bilingual instructional
services in a public school for a minimum of 10 hours per week while par-
ticipating in the Bilingual Teacher Corps program.
(c) "Necessary expenses" means transportation expenses generated by
traveling from the college site to the public school and back again, and
other tuition and book costs directly resulting from enrollment in the pro-
gram leading to a credential qualifying the individual to teach limited and
non-English-speaking children.
NOTE: Authority cited: Section 52151, Education Code. Reference: Sections
52 1 50 and 52 151, Education Code.
History
1. Amendment filed 5-21-75; effective thirtieth day thereafter (Register 75, No.
21).
2. Amendment filed 10-19-78 as an emergency; effective upon filing (Register
78. No. 42).
3. Certificate of Compliance filed 12-26-78 (Register 78, No. 52).
§11602. Funding.
The Superintendent of Public Instaiction may allocate up to 10% of
the funds appropriated for the Bilingual Teacher Corps program to coop-
erating institutions of higher education in order to conduct program plan-
ning, development, and administration.
§11603. Stipend.
A cooperative institution of higher education shall receive a stipend
for payment to each participant in the approved program who maintains
a minimum of 1 2 units per semester or quarter in the academic year. Such
stipend shall be renewable each year. Participants who maintain less than
1 2 units per semester or quarter shall receive a pro-rata share of the maxi-
mum stipend.
The stipend shall supplement and not supplant any other financial aid.
NOTE: Authority cited: Section 52151, Education Code. Reference: Sections
52150 and 52151, Education Code.
History
1 . Amendment filed 5-21-75; effective thirtieth day thereafter (Register 75, No.
21).
2. Amendment filed 10-19-78 as an emergency; effective upon filing (Resiistcr
78, No. 42).
3. Certificate of Compliance filed 12-26-78 (Register 78, No. 52).
§11604. Evaluation.
Each cooperating institution of higher education shall submit an annu-
al evaluation report in the manner and form prescribed by the Superinten-
dent of Public Instruction.
Subchapter 11. Regional Adult and
Vocational Education Councils
Article 1. General Provisions
§ 1 1 61 0. Selection of Members to a Council.
(a) Prime Sponsor Representation. A prime sponsor for the balance of
State shall make the selection only in the event that the council region
does not include a local prime sponsor. Where the council region in-
cludes two or more local prime sponsors, that local sponsor serving the
largest number of CETA participants in that region shall make the .selec-
tion.
(b) Private School Representation. The county superintendent of
schools who called the initial organizational meeting shall notify all pri-
vate postsecondary educational institutions in the council region and re-
quest that they cooperatively select one representative.
In the event that a private postsecondary school does not exist within
the region of a council, the council shall identify, as far as reasonably pos-
sible, all such private schools located within a reasonable distance out-
side the council boundary that draw upon the population of the council
region for students. The council shall then invite those identified private
schools to select a representative for membership on the council.
(c) District Representation. In the event that the region of a council en-
compasses only one secondary school or community college district, the
particular district shall select all four members. Where the region encom-
passes two or more secondary school or community college districts,
nominations for selection of members by elecfion shall be made in the
following manner: each secondary school and community college dis-
trict shall make nominations as follows: each of two districts may nomi-
nate no more than three persons; each of three districts may nominate no
more than two persons; each of four districts may nominate no more than
two persons; and each of five or more districts may nominate one person
only.
Note: Authority cited: Section 8023, Education Code. Reference: Section 8024.
Education Code.
History
1. New Chapter 13 (Sections 1 1610-11631) filed 3-31-76; effective thirtieth day
thereafter (Register 76, No. 14).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
3. Renumbering of Chapter 13 (Sections 11610-11631) to Chapter 11 filed
1 1-7-79; effecfive thirtieth day thereafter (Register 79, No. 45).
4. Repealer of former Section 11610, and renumbering and amendment of former
Section 1 1616 to Section 1 161 0 filed 7-12-83; effective thirtieth day thereafter
(Register 83, No. 29).
§ 1 1 61 1 . Criteria for Review of Courses.
(a) In reviewing plans to offer courses and programs, a council must
necessarily examine the content of the courses and programs. However,
the recommendations submitted to the Superintendent and Chancellor
shall be addressed to the elimination of unnecessary duplication of
courses and programs.
(b) The council shall not make recommendations relative to course
content, course title, method of instrucfion or qualifications of instruc-
tors. Each council shall include, in its review, appropriate labor market
supply and demand, population and other data to make its determina-
tions.
Page 141
Register 2004, No. 24; 6- 1 1 -2004
§ 11614
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(c) For purposes of Education Code Section 8030, a local educational
agency includes a regional occupational center and a regional education-
al program.
Note-. Authority cited: Section 8029, Education Code. Reference: Sections 8029
and 8030, Education Code.
HtSTORY
1 . Repealer of former Section 11611. and renumbering and amendment of former
Section 1 1621 to Section 11611 filed 7-12-83; effective thirtieth day thereafter
(Register 83, No. 29). For prior history, see Register 77, No. 39.
Article 2. Formation of Regional Council
Boundaries
NOTE: Authority cited: Section 8023, Education Code. Reference: Sections
8020-8034, Education Code.
History
1. Repealer of Article 2 (Section 11612) filed 7-12-83; effective thirtieth day
thereafter (Register 83, No. 29).
Article 3. Criteria for Council Boundary
Determination
NOTE: Authority cited: Section 8023, Education Code. Reference: Sections
8020-8034, Education Code.
History
1. Repealer of Article 3 (Section 11613) filed 7-12-83; effective thirtieth day
thereafter (Register 83, No. 29).
Article 4. Organization of Councils
§ 11614. Initial Organizational Meeting.
NOTE: Authority cited: Section 8023, Education Code. Reference: Sections
8020-8034, Education Code.
History
1. Repealer filed 7-12-83; effective thirtieth day thereafter (Register 83, No. 29).
§11615. Membership Eligibility.
NOTE: Authority cited: Secfion 8023, Education Code. Reference: Sections
8020-8034, Education Code.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Repealer filed 7-12-83; effective thirtieth day thereafter (Register 83, No. 29).
§ 1 1 61 6. Selection of Members to a Council.
NOTE: Authority cited: Section 8023, Education Code. Reference: Section 8024,
Education Code.
History
1. Renumbering and amendment of Section 11616 to Section 11610 filed
7-12-83; effective thirtieth day thereafter (Register 83, No. 29).
§11617. Vacancies.
NOTE: Authority cited: Section 8023, Education Code. Reference: Sections
8020-8034, Education Code.
History
1. Repealer filed 7-12-83; effective thirtieth day thereafter (Register 83, No. 29).
§ 1 1 61 8. Attendance at Meetings.
NOTE: Authority cited: Secfion 8023, Education Code. Reference: SecUons
8020-8034, Education Code.
History
1. Repealer filed 7-12-83; effective thirtieth day thereafter (Register 83, No. 29).
§11619. Council Organization.
Note: Authority cited: Section 8023, Education Code. Reference: Sections
8020-8034, Educafion Code.
History
1. Amendment of subsecfion (i) filed 9-23-77; effecfive thirtieth day thereafter
(Register 77, No. 39).
2. Repealer filed 7-12-83; effecfive thirtieth day thereafter (Register 83, No. 29).
Article 5. Council Functions
§ 1 1 620. Review of Courses and Programs and Approval
of Plans for Courses and Programs.
NOTE: Authority cited: Section 8023, Education Code. Reference: Sections
8020-8034, Education Code.
History
1. Amendment of subsecfion (a) filed 9-23-77; effective thirtieth day thereafter
(Register77, No. 39).
2. Repealer filed 7-12-83; effective thirtieth day thereafter (Register 83, No. 29).
§ 1 1 621 . Criteria for Review of Courses.
NOTE: Authority cited: Section 8029, Educafion Code. Reference: Sections 8029
and 8030, Education Code.
History
1. Amendment of subsection (c) filed 9-23-77; effective thirtieth day thereafter
(Register 77, No. 39).
2. Renumbering and amendment of Section 11621 to Section 11611 filed
7-12-83; effective thirtieth day thereafter (Register 83, No. 29).
§ 1 1622. Procedures for Reviewing Educational Courses
and Programs.
NOTE: Authority cited: Section 8023, Educafion Code. Reference: Secfions
8020-8034, Educafion Code.
History
1. Repealer filed 7-12-83; effective thirtieth ay thereafter (Register 83, No. 29).
§ 1 1 623. Criteria for Determining Necessary Duplication.
NOTE: Authority cited: Section 8023, Education Code. Reference: Sections
8020-8034, Education Code.
History
1 . Repealer filed 7-12-83; effective thirtieth day thereafter (Register 83, No. 29).
§ 11624. Delineation of Function Agreements.
NOTE: Authority cited: Section 8023, Education Code. Reference: Secfions
8020-8034, Education Code.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Repealer filed 7-12-83; effective thirtieth day thereafter (Register 83, No. 29).
§ 1 1 625. Short Term Plans for Vocational and Adult
Continuing Education.
NOTE: Authority cited: Section 8023, Education Code. Reference: Sections
8020-8034, Education Code.
History
1 . Amendment filed 9-23-77; effecfive thirtieth day thereafter (Register 77, No.
39).
2. Repealer filed 7-12-83; effective thirtieth day thereafter (Register 83, No. 29).
§ 1 1 626. Routing of Material to the Council.
NOTE: Authority cited: Section 8023, Education Code. Reference: Sections
8020-8034, Education Code.
History
1 . Repealer filed 7-12-83; effective thirtieth day thereafter (Register 83, No. 29).
§ 1 1 627. Report of Council Activities.
Note: Authority cited: Section 33031, Education Code. Reference: Secfions
8020-8121, Educafion Code.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Repealer filed 1 1-9-79; effecfive thirtieth day thereafter (Register 79, No. 45).
§ 1 1 628. Fiscal Procedures.
NOTE; Authority cited: Secfion 8023, Education Code. Reference: Sections
8020-8034, Education Code.
History
1 . Repealer filed 7-12-83; effective thirtieth day thereafter (Register 83, No. 29).
Article 6. Appeals from Decision of the
Council
NOTE: Authority cited: Section 8023, Education Code. Reference: Sections
8020-8034, Educafion Code.
Page 142
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
S 11701
History
1 . Repealer of Article 6 (Sections 1 1 629- 1 1 63 1 ) filed 7-12-83; effective thirtieth
day thereafter (Register 83, No. 29).
•
Subchapter 12. Alternative Schools
NOTE: Authority cited: Sections 33031 and 5851 1, Education Code. Reference:
Sections 58500^58512. Education Code.
History
1 . New Chapter 14 (Sections 1 1650-1 1654) filed 8-20-76; effective thirtieth day
thereafter (Register 76, No. 34).
2. Amendment of Section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
3. Renumbering of Chapter 14 (Sections 11650-11654) to Chapter 12 filed
1 1-7-79; effective thirtieth day thereafter (Register 79, No. 45).
4. Repealer of Chapter 12 (Sections 1 1650-1 1654) filed 1-20-83; effective thir-
tieth day thereafter (Register 83, No. 4).
Subchapter 13. Independent Study
Article 1. General Provisions
§11700. Definitions.
(a) ■'Full-lime equivalent certificated employees" means any combi-
nation of full-time certificated employees and part-time certificated em-
ployee assignments that aggregate to the amount of instructional time
specified in the contract of a full-time certificated classroom teacher of
the district or county office of education.
(b) "General supervision" means the supervising teacher's
(1) continuing oversight of the study design, implementation plan, al-
location of resources, and evaluation of pupil or adult education student
progress for any pupil's or adult education student's independent study;
and
(2) personal determination or personal review of the determination
made by another certificated teacher of the time values for apportionment
purposes of each pupil's or adult education student's work products.
(c) "Independent study" means an alternative to classroom instruction
consistent with the district's course of study.
(d) "Independent study is an optional educational alternative in which
no public may be required to participate" means
(1) with regard to school districts or county offices of education, that
(A) they are not required to offer independent study, and
(B) school districts or county offices of education that do offer inde-
pendent study are not obliged to permit a pupil or adult education student
to engage in independent study if school officials given responsibility for
the decision determine that independent study is not an appropriate alter-
native for the pupil or adult education student; and,
(2) with regard to pupils or adult education students,
(A) a pupil's or an adult education student's choice to commence, or
to continue in, independent study must not be coerced, and
(B) in the case of a pupil who is referred or assigned to any school,
class, or program pursuant to Education Code sections 48915 or 48917,
and to the extent that independent study is not prohibited, instruction may
be provided to the pupil through independent study only if the pupil has
the continuing option of classroom instruction.
(e) "Method utilized to evaluate" means any specified procedure
through which a certificated teacher personally assesses the extent to
which achievement of the pupil or adult educaUon student meets the ob-
jectives of an assignment.
(f) "Methods of study" means the pupil or adult education student acti-
vities selected by the supervising teacher as the means to reach the educa-
tional objectives set forth in the written agreement.
(g) "Missed assignment" means any specified independent study as-
signment that has not been turned in, or evidenced as completed, by a pu-
pil or adult education student by the due date for the assignment.
(h) "Regular school program" means the classroom-ba.sed instruc-
tional program or its equivalent that a pupil or adult education student
would have attended had the pupil or adult education student not elected
independent study.
(i) "Specific resources" include all resources, including materials and
services, reasonably necessary to the achievement of the objectives in the
written agreement, and shall not be construed to exclude resources nor-
mally available to all pupils or adult education students on the same terms
as the terms on which they are normally available to all pupils or adult
education students.
(j) "Supervising teacher" means the certificated teacher employed by
the school district or county office of education and assigned, as noted
in the written agreement, the responsibility for coordinating, evaluating,
and providing general supervision of a pupil's or adult education stu-
dent's independent study pursuant to Education Code section
51747.5(a).
(k) "Type of program" means statutory program category for purposes
of attendance accounting.
(/) "Work product" means that which results from a pupil's or adult
education student's efforts and actions to complete or perform the assign-
ments given and which is subsequently evaluated by a certificated teach-
er.
NOTE: Authority cited: Section 51749.3, Education Code, Reference: Sections
48200, 48663, 48916.1, 49067, 51745, 51746, 51747 and 51747.5. Education
Code.
History
1 . New Chapter 1 5 (Sections 1 1 700- 1 1703 ) filed 1 0-22-76; effective thirtieth day
thereafter (Register 76, No. 43).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
3. Renumbering of Chapter 15 (Sections 11700-11703) to Chapter 13 filed
1 1-7-79; effective thirtieth day thereafter (Register 79, No. 45).
4. Amendment filed 4-13-83; effective thirtieth day thereafter (Register 83, No.
16).
5. Amendment filed 10-15-90; operative 10-15-90 pursuant to Government
Code section 1 1346.2(d) (Register 90, No. 47).
6. Amendment of subchapter 1 3 heading, section and NoTti filed 1 2-1 2-97; opera-
tive 1-1 1-98 (Register 97, No. 50).^
§ 1 1 700.1 . Additional Definitions Applicable to Charter
Schools.
(a) "Cerfificated employees," in charter schools, means employees
meeting the requirements of subdivision (/) of Education Code Section
47605.
(b) "Classroom instruction," v/ith reference to a charter school, means
classroom instruction provided either by the charter school or by another
public school that the pupil is eligible to attend.
(c) "School district" or "district." for the purposes of this subchapter
and of Article 5.5 (commencing with Section 5 1745) of Chapter 5 of Part
28 of the Educfion Code, means a school district or a charter school, un-
less the context clearly indicates otherwise.
NOTE: Authority cited: Sections 33031 and 47612.5(b), Education Code. Refer-
ence: Sections 47605(/), 47612.5(b) and 51745-51749.3, Education Code.
History
1. New section filed 12-23-99 as an emergency; operative 1-3-2000 pursuant to
Government Code section 11343.4(c) (Register 99, No. 52). A Certificate of
Compliance must be transmitted to OAL by 5-2-2000 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1 2-23-99 order transmitted to OAL 3-28-2000
and filed 5-2-2000 (Register 200<3, No. 18).
§ 1 1 701 . District Responsibilities.
In setfing policy pursuant to subdivisions (a) and (b) of Education
Code secfion 51747, the local governing board shall consider, in a public
hearing, the scope of its existing or prospective use of independent study
as an instructional strategy, its purposes in authorizing independent
study, and factors bearing specifically on the maximum realistic lengths
of assignments and acceptable number of missed assignments for specif-
ic populations of pupils or adult education students. Adopted policies
shall reflect an awareness that excessive leniency in their terms can result
in pupils falling so far behind their age peers as to increase, rather than
decrease, the risk of their dropping out of school.
Page 143
Register 2006, No. 14; 4-7-2006
§ 11701.5
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
NOTE; Authority cited: Section 51749.3, Education Code. Reference; Section
51747(a) and (b). Education Code.
History
1 . Repealer filed 4-1 3-83; effective thirtieth day thereafter (Register 83, No. 16).
2. New section filed 10-15-90; operative 10-15-90 pursuant to Government
Code section 1 1346(d) (Register 90, No. 47).
3. Amendmentof section and Note filed 12-12-97; operative 1-11-98 (Register
97, No. 50).
§ 11 701 .5. Equitable Provision of Resources and Services.
Consistent with the statutory authorization to offer independent study
as an alternative instruetional strategy to meet the educational needs of
pupils or adult education students,
(a) the independent study option is to be substantially equivalent in
quality and in quantity to classroom instruction, thereby ensuring that a
pupil or adult education student who engages in independent study on a
full-time basis, or on a part-time basis in conjunction with part- or full-
time classroom study, will be enabled to complete the district or county
office of education adopted course of study within the customary time
frame for completion of that course of study;
(b) pupils or adult education students who choose to engage in inde-
pendent study are to have the same access to existing services and re-
sources as the other pupils or adult education students of the school in
which the independent study pupil or adult education student is enrolled;
and
(c) pupils or adult education students who choose to engage in inde-
pendent study are to have equality of rights and privileges with the pupils
or adult education students of the district or county office of education
who choose to continue in the regular school program.
NOTE: Authority cited: Secfion 51749.3, Education Code. Reference: Sections
35293, 37202, 46100, 51745, 51746 and 51747.3, Educafion Code.
History
1. New section filed 12-12-97; operative 1-1 1-98 (Register 97, No. 50).
Article 2. Standards for Independent Study
§ 1 1702. Requirements for Agreements.
(a) Each signature required for an independent study agreement shall
be dated. An agreement is not in effect until it is complete as to all terms,
signed and dated.
(b) The curriculum and methods of study specified in an independent
study agreement shall be consistent with the district or county office of
education policies and procedures for curriculum and instruction as
adopted by the governing board.
NOTE: Authority cited: Section 51749.3, Education Code. Reference: Sections
51013, 51050, 51745, 51746 and 51747, Education Code.
History
1 . Amendment filed 4-13-83; effective thirtieth day thereafter (Register 83, No.
16).
2. Amendment filed 10-15-90; operative 10-15-90 pursuant to Government
Code secfion 11 346.2(d) (Register 90, No. 47).
3. Amendment of section heading, repealer and new section and amendment of
Note filed 12-12-97; operative 1-1 1-98 (Register 97, No. 50).
§11703. Records.
(a) Maintaining records to meet audit requirements is the responsibil-
ity of the local district or county superintendent's office. These records
may be on site(s).
(b) Records shall include but not be limited to:
(1) A copy of adopted governing board policy and procedures.
(2) A separate listing of the pupils and adult education students, by
grade level, program and school, who have engaged in independent
study, identifying units of the curriculum undertaken and units of the cur-
riculum completed by each of those pupils in kindergarten and grades 1
to 8, inclusive, and identifying course credits attempted by and awarded
to each of those pupils in grades 9 to 12 inclusive and each of those stu-
dents in adult education, as specified in their written agreements.
(3) A file of all agreements, including representative samples of each
pupil's or adult education student's work products bearing signed or ini-
tialed and dated notations by the supervising teacher indicating that he
or she has personally evaluated the work, or that he or she has personally
reviewed the evaluations made by another certificated teacher.
(4) A daily or hourly attendance credit register, as appropriate to the
program in which the pupils or adult education students are enrolled, sep-
arate from classroom attendance records, and maintained on a current ba-
sis as time values of pupil or adult education student work products are
personally judged by a certificated teacher, and reviewed by the supervis-
ing teacher if they are two different persons.
NOTE: Authority cited: Section 51749.3, Education Code. Reference: Sections
51747, 51747.5 and 51748. Education Code.
History
1 . Amendment filed 1 1-7-79; effective thirtieth day thereafter (Register 79, No.
45).
2. Amendment filed 4-13-83; effecfive thirtieth day thereafter (Register 83, No.
16).
3. Amendment of subsections (b)(2) and (b)(3) filed 10-15-90; operative
10-15-90 pursuant to Government Code secfion 1 1346.2(d) (Register 90, No.
47).
4. Amendment of subsections (b)-(b)(4) and amendment of Note filed 12-1 2-97;
operative 1-1 1-98 (Register 97, No. 50).
•
Article 3.
Provisions Unique to Charter
Schools
§ 1 1 704. Pupil — Teacher Ratio.
In a charter school, for the purposes of Education Code section
5 1 745.6, the ratio of average daily attendance for independent study pu-
pils to full-time equivalent (FTE) certificated employees responsible for
independent study shall not exceed a pupil-teacher ratio of 25:1 or the
ratio of pupils to full-time equivalent certificated employees for all other
educational programs operated by the largest unified school district, as
measured by average daily attendance, as reported at the second principal
apportionment in the prior year, in the county or counties in which the
charter school operates. Units of average daily attendance for indepen-
dent study that are ineligible for apportionment as provided in subdivi-
sion (b) of Education Code section 51745.6 shall also be ineligible for
funding pursuant to Chapter 6 (commencing with section 47630) of Part
26.8 of the Education Code. For purposes of this section, a "full-time cer-
tificated employee" means an employee who is required to work a mini-
mum six-hour day and 1 75 days per fiscal year. Part-time positions shall
generate a partial FTE on a proportional basis.
NOTE: Authority cited: Sections 33031 and 47612.5(b), Education Code. Refer-
ence: Sections 47612.5(b) and 51745.6, Educafion Code.
History
1 . New article 3 (section 1 1704) and section filed 12-23-99 as an emergency; op-
erative 1-3-2000 pursuant to Government Code secfion 1 1343.4(c) (Register
99, No. 52). A Certificate of Compliance must be transmitted to OAL by
5-2-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 12-23-99 order transmitted to OAL 3-28-2000
and filed 5-2-2000 (Register 2000, No. 18).
3. Amendment filed 12-6-2005; operative 12-6-2005 pursuant to Government
Code section 1 1343.4 (Register 2005, No. 49).
4. Change without regulatory effect amending section filed 4-4-2006 pursuant to
section 100. title 1. California Code of Regulations (Register 2006, No. 14).
§ 11705. High School Graduation Requirements.
For the purposes of subdivision (e) of Education Code section 51745,
a charter school that includes any of grades 9 to 12, inclusive, shall be
deemed to be an alternative school of every high school district and uni-
fied school district within which it operates.
NOTE: Authority cited: Sections 33031 and 47612.5(b). Reference: Sections
47612.5(b) and 51745, Educafion Code.
History
1 . New section filed 2-10-2000 as an emergency; operafive 2-10-2000 (Register
2000, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-9-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 1 2-23-99 order transmitted to OAL 3-28-2000
and filed 5-2-2000 (Register 2000, No. 1 8).
•
Page 144
Register 2006, No. 14; 4-7-2006
Title 5
California Department of Education
§ 11800
Subchapter 14. School Resource Centers
Article 1 . School Resource Centers
§11710. Definitions.
(a) "Staff Development" is ongoing education and training activities
whicii are planned, carried out. and evaluated for the purpose of improv-
ing the job related skills of principals, teachers, instructional aides, clas-
sroom volunteers, and other student support personnel who regularly
serve students in kindergarten through grade twelve. Staff development
includes training and education in the following areas:
( 1 ) Program planning, development, implementation, and evaluation;
(2) Disciplines or bodies of knowledge;
(3) Instructional skills and abilities; and
(4) Human development and counseling skills.
The purpose of staff development is to improve the effectiveness of
instruction in order to promote student achievement in a wide variety of
basic, academic, personal, social, and career skills and competencies.
(b) A "School Resource Center" is a staff development delivery sys-
tem which is organized to provide the following services to schools,
school districts, and county schools offices:
(1) Assist school personnel to conduct an accurate assessment of
school staff development needs and to help them to become fully aware
of these needs;
(2) Assist with the design of staff development programs which will
address assessed needs of schools;
(3) Identify and match available staff development resources with the
assessed needs of schools;
(4) Train key school personnel to deliver training to school groups;
(5) Provide training to individual schools; and
(6) Provide training to individuals or groups of individuals from vari-
ous schools to meet assessed needs related to their school objectives.
(c) "Training" consists of staff development activities which assure
that trainees develop or extend job-related skills and areas of knowledge
and understanding, and that guided practice or follow-up activities will
be used to strongly encourage the successful application of the newly ac-
quired skills and knowledge in the job setting.
(d) "Grantee Agency" is an agreed upon school district or county of-
fice of education acting on its own, or on behalf of a consortium which
selected it as its representative. The agency shall be responsible for re-
ceiving and disbursing funds under this Act.
(e) "Center Personnel" as used in Section 44680.5(b) is limited to the
center project director or manager and other full-time professional em-
ployees of the center.
NOTE: Authority cited: Section 44680.9, Education Code.
History
1. New Chapter 16 (Sections 11710-11715) filed 3-17-78; effective thirtieth day
thereafter (Register 78, No. 20).
2. Renumbering of Chapter 16 (Sections 11710-11715) lo Chapter 14 filed
1 1-7-79; effective thirtieth day thereafter (Register 79, No. 45).
§ 1 1 71 1 . Interagency Agreements for Centers.
A school resource center application may be submitted to the Superin-
tendent of Public Instruction by a county office of education, a school dis-
trict, or one of these on behalf of a consortium which shall include school
districts and county offices of education and may include institutions of
higher education. Prior to submitting this application, the participating
agencies and institutions shall duly enter into legal interagency contracts
to support and participate in such a consortium with a grantee agency.
§ 1 1 71 2. Assurance Requirement for Resource Center
Application.
Each application to establish a resource center(s) shall include assur-
ances that the following standards have been met, or will be met;
(a) Tlie staff development program proposed in the application is de-
signed to provide the appropriate services listed in Education Code Sec-
tion 11710(b).
(b) The proposed evaluation design adequately provides for ongoing
program review and modification of the staff development program, in-
cluding intended outcomes as outlined in the application.
§ 1 1 71 3. Selection Process and Criteria.
(a) For the 1978-79 fiscal year, one center will be funded in each of
six regions as established by the Superintendent of Public Instruction and
each center will receive a grant of at least $80,000.
(b) Those applications to establish centers which meet the requirement
of Section 1 1712shallberankedandapprovedby the State Board of Edu-
cation on the basis of the following criteria, listed in descending order of
importance:
( 1 ) The extent to which the staff development program proposed in an
application is designed to achieve objectives for the center as specified
in Education Code Section 44680.2.
(2) The degree of commitment of a district, or the parties to a consor-
tium, as evidenced by: policies; allocation of staff; allocation of fiscal
and material resources including the provision of release time pursuant
to Education Code Section 44670.5(d); the integration of existing re-
sources and services; and prospective utilization of the .services of the
center.
(3) The extent and degree of collaboration among the parties in a con-
sortium.
(4) The potenfial impact a center will have regionally.
(5) The extent to which the staff development program proposed in an
application is designed to provide all of the appropriate services listed in
Section 11710(b).
§ 1 1 71 4. Governance of Center Projects.
(a) A school district or county office of educafion which serves as a
grantee agency for a school resource center consortium shall adopt, pub-
lish and disseminate legally consfituted policies and procedures devel-
oped by the consortium on:
(1) Personnel recruitment, selecuon, placement and retention;
(2) Staff development programis; and
(3) Accounfing pracfices consistent with the current edition of the Cal-
ifornia School Accounting Manual.
(b) Each school district or county office of educafion which agrees to
participate in the development of an interagency consorfium for the pur-
pose of applying for funds to operate a school resource center shall con-
cur in wrifing that the personnel and fiscal policies and procedures of the
grantee agency shall prevail in resource center operations.
§ 11715. Relationship of Regulations Covering School
Resource Centers with Those Covering the
Teacher Centers Program Established
Pursuant to Public Law 94-482 of 1976.
(a) Nothing in these regulations is to be construed as prohibiting simul-
taneous applicafion and use of funds under both Education Code Sections
44680 through 44680.91 and the appropriate sections covering the
Teacher Centers Program established pursuant lo Public Law 94-482 of
1976.
(b) The State Board of Education will approve applications for funding
of Teacher Centers Programs using criteria which are based upon regula-
tions promulgated under Public Law 94^82 of 1 976 together with those
hsted in Educafion Code Secfion 11713.
Subchapter 15. Comprehensive Health
Education
§ 1 1 800. Criteria for Approval of Plans.
EvaluaUon and approval of district plans for comprehensive health
education submitted by school districts that wish to receive reimburse-
ment for inservice teacher training provided in accordance with Section
Page 145
Register 2004, No. 24; 6-11-2004
§ 11801
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
51920 of the Education Code will be based on standards and criteria es-
tablished by the State Board of Education and made available to all
school districts.
NOTE: Authority cited: Section 51911, Education Code. Reference: Section
.S19I1, Education Code.
History
1 . New Chapter 1 7 (Sections 1 1 800 and 11 801 ) filed 1 1-16-78; effective thirtieth
day thereafter (Register 78. No. 46).
2. Renumhering of Chapter 17 (Sections 11800-11801) to Chapter 1.5 filed
1 1-7-79; effective thirtieth day thereafter (Register 79, No. 45).
§11801. Application.
Each district submitting a plan for comprehensive health education
shall apply on such forms and at such times as the Department of Educa-
tion shall determine.
NOTE: Authority cited; Section 51911, Education Code. Reference; Section
5191 1. Education Code.
Subchapter 16. Pregnant Minor Program
§11820. Definitions.
NOTE: Authority cited: Section 2551.3, Education Code. Reference: Section
2551.3, Education Code.
History
1 . New Chapter 1 6 (Sections 1 1 820- 1 1 834, not consecutive) filed 8-26-82 ; effec-
tive thirtieth day thereafter (Register 82, No. 35).
2. Amendment of subsection (b) filed 6-21-84; effective thirtieth day thereafter
(Register 84, No. 25).
3. Change without regulatory effect repealing subchapter 16 (sections
1 1820-1 1834) and repealing section filed 1-8-2002 pursuant to section 100,
title 1, California Code of Regulations (Register 2002, No. 2).
§ 1 1 822. Statement of Assurance.
NOTE: Authority cited: Section 2551.3, Education Code. Reference: Section
2551.3, Education Code.
History
1 . Change without regulatory effect repealing section filed 1 -8-2002 pursuant to
section 100, title 1, California Code of Regulations (Register 2002, No. 2).
§ 11823. General Program Provisions.
NOTE: Authority cited: Section 2551.3, Educafion Code. Reference: Section
2551.3, Education Code.
History
1 . Change without regulatory effect repealing section filed 1-8-2002 pursuant to
section 100, title 1 , California Code of Regulations (Register 2002, No. 2).
§11827. Placement Procedures.
NOTE: Authority cited; Section 2551.3, Education Code. Reference; Section
2551.3, Education Code.
History
1. Change without regulatory effect repealing section filed 1-8-2002 pursuant to
section 100, title 1, California Code of Regulations (Register 2002, No. 2).
§ 1 1 828. Parent Notification.
NOTE: Authority cited: Section 2551.3, Education Code. Reference: Section
2551.3, Education Code.
History
1. Change without regulatory effect repealing section filed 1-8-2002 pursuant to
section 100, title 1, California Code of Regulafions (Register 2002, No. 2).
§11829. Eligibility.
NOTE: Authority cited: Section 2551.3. Education Code. Reference: Secfion
2551.3, Education Code.
History
1. Change without regulatory effect repealing section filed 1-8-2002 pursuant to
section 100, title 1, California Code of Regulations (Register 2002, No. 2).
§ 1 1 831 . Staff Development.
NOTE: Authority cited: Section 2551.3, Education Code. Reference: Section
2551.3, Education Code.
History
1. Change without regulatory effect repealing section filed 1-8-2002 pursuant to
section 100, title 1, California Code of Regulafions (Register 2002, No. 2).
§ 1 1 832. Program Advisory Council.
NOTE: Authority cited: Section 2551.3. Education Code. Reference: Section
2551.3, Education Code.
Hi.story
1 . Change without regulatory effect repealing section filed 1-8-2002 pursuant to
sectitm 100, title 1, California Code of Regulations (Register 2002, No. 2).
§ 1 1 833. Safeguarding of Funds.
NOTE: Authority cited: Secfion 2551.3, Education Code. Reference: Section
2551.3. Educafion Code.
History
1. Change without regulatory effect repealing secfion filed 1-8-2002 pursuant to
section 100, title 1, California Code of Regulations (Register 2002, No. 2).
§11834. Reporting Requirements.
NOTE: Authority cited: Secfion 2551.3. Education Code. Reference: Section
2551.3, Education Code.
History
1 . Change without regulatory effect repealing section filed 1-8-2002 pursuant to
section 100, title 1, California Code of Regulafions (Register 2002, No. 2).
Subchapter 17. Grant Program for
Restructuring in Public Education
Article 1. Planning Grant Application
§ 1 1 840. Procedures for Filing a Planning Grant
Application.
NOTE: Authority cited: Section 33031, Education Code. Reference: Secfions
58901, 58914 and 58916, Educafion Code.
History
1. New section filed 3-28-91 as an emergency; operative 3-28-91 (Register91,
No. 16). A Certificate of Compliance must be transmitted to OAL by 7-26-91
or emergency language will be repealed by operation of law on the following
day.
2. Repealed by operafion of Government Code secfion 1 1346.1(g) (Register 91,
No. 46).
§11841. Criteria.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
58901, 58914 and 58916, Educafion Code.
History
1. New section filed 3-28-91 as an emergency; operative 3-28-91 (Register 91,
No. 16). A Certificate of Compliance must be transmitted to OAL by 7-26-91
or emergency language will be repealed by operation of law on the following
day.
2. Repealed by operation of Government Code section 1 1346.1(g) (Register 91,
No. 46).
§ 11842. Scoring the Applications.
NOTE: Authority cited: Section 33031, Educafion Code. Reference: Sections
58901, 58914 and 58916, Education Code.
History
1. New section filed 3-28-91 as an emergency; operative 3-28-91 (Register 91,
No. 16). A Certificate of Comphance must be transmitted to OAL by 7-26-91
or emergency language will be repealed by operafion of law on the following
day.
2. Repealed by operafion of Government Code section 1 1346.1(g) (Register 91,
No. 46).
Article 2. Demonstration Grant
Applications
§11843. Scoring Applications.
(a) The score for each demonstration grant application is based on the
proposal as a whole rather than the sum of its individual school part, dis-
trict or consortium part, and collaborative compact part (description of
the school's efforts to consult with key stakeholders such as the district,
governing board, collective bargaining units, businesses, public institu-
tions of higher education, public and private nonprofit social services and
child development agencies, and other organizations as appropriate).
(b) The application, submitted on behalf of any school, shall describe
the vision guiding their restructuring effort and the actions the school and
Page 146
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 11844
districl or consortium propose to take to integrate the primary elements
ol' restnictLiring. For pmposes oi' this article, "vision" means what the
applicant wants students to be able to know and do, and how the school
needs to be structured and organized to accomplish this. The vision pro-
vides an overarching picture of what could be rather than what is, and it
is the source from which the goals and action plan follow.
(c) The application shall describe, with a rationale:
( 1 ) What will be done to restmcture public education in the school and
districl;
(2) Why such action is important; and
(3) How the action plan will be carried out.
(d) Each application will be reviewed and scored as a whole entity on
a t\)ur part scale, with four being the highest score. Specific criteria for
scoring wil I be based on the degree to which the proposal as a whole dem-
onstrates:
( 1 ) an imderstanding of the goal and focal point of restructuring:
(A) a focus on learning and students;
(B) quality of analysis of the primary issues and problems the school
faces regarding student performance; and
(C) understanding of the depth and quality of change needed to trans-
form learning, teaching, curriculum, and assessment;
(2) an understanding of the critical elements of restructuring and how
they work together to transform learning:
(A) an integrated and comprehensive vision which includes all of the
restructuring elements in a manner which shows promise for materially
improving the learning of all students and for engaging all students in a
rigorous, meaningful learning experience;
(B) the required elements of a restructuring plan are:
1. an active, thinking-centered rather than skill-centered curriculum,
involving multiple and diverse instructional strategies, and performan-
ce-based student assessment for ALL students, especially those at risk;
2. outcome-based accountability systems that include agreement on
multiple and diverse, performance-based outcomes which drive the de-
sign of school structures and policies at every level of the system (district,
school, department, classroom, individual, students, teachers);
3. professional collaboration, development and decision-making fo-
cused on learning and teaching, and involving all members of the school
community;
4. organizational patterns and processes that encourage expanded in-
volvement of parents, and greater inclusion and collaboration among the
various stakeholders in the decision-making process (school staff mem-
bers, parents, the business community, institutions of higher education,
social service agencies, and others as appropriate to the particular school
setting);
.S. technology as a tool to enhance learning and instruction and to
strengthen management of the school; and
6. ongoing, objective evaluation of:
a. individual student progress in learning and in social and emotional
growth;
b. the effectiveness of actions taken to meet long-range goals; and
c. continuous feedback which uses evaluation results to reconsider and
redesign the learning environment for greater success.
7. A restructuring demonstration proposal that includes grades 1 1 or
1 2 must include new and expanded opportunities for 11 th and 12th grade
students to attend classes in colleges and universities, enroll in special-
ized schools and programs, and to participate in internships or other field
work with business, industry, schools, and community organizations.
8. A restructuring demonstration proposal that includes preschool pro-
grams and/or school-age parenting and infant development programs
that have received separate, targeted funding for such programs must in-
clude an explanation of how these programs fit into the overall restructur-
ing effort.
(3) a clear and convincing picture of the specific actions needed to
move toward the vision:
(A) completeness and validity of the action plan;
(B) clear and convincing links between the vision and the particular
strategies, structures, actions and activities to be undertaken;
(C) a detailed and specific action plan, particularly related to the time-
line, budget, evaluation systems, professional development, and gover-
nance structure, depth and quality of the strategies, actions and activities;
and
(4) an understanding of how to manage change, provide for growth
and development, and sustain systems for continuously reevaluating and
improving the learning and teaching environment evidenced by:
(A) a rational, sound approach to managing the change process;
(B) systems for continuous evaluation of progress toward long-range
goals and of feedback to guide change efforts;
(C) potential for successfully carrying out fundamental change across
several interrelated dimensions;
(D) actions, roles, responsibilities for stakeholders which are clearly
described; and
(E) specific descriptions of the kinds and sources of support, leader-
ship, staff development, and the conditions needed to maximize the
chances of successful change.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
58901, 58903, 58904, 58905, 58906, 58907, 58908. 58909, 58910, 58915, 58916
and 58923, Education Code.
History
1. New section filed 5-20-92 as an emergency; operative 5-20-92 (Register 92.
No. 21). A Certificate of Compliance must be transmitted to OAL 9-17-92 or
emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-20-92 order including amendment of section
transmitted to OAL 9-17-92 and filed 10-27-92 (Register 92, No. 44).
§11844. Interviews.
(a) Final selection will include an interview with panelists composed
of the advisory committee representatives identified pursuant to Educa-
tion Code section 58916 and other individuals representing a variety of
roles (school and district and county level administrators, teachers, busi-
ness persons and university faculty) who are knowledgeable about re-
structuring. The highest scoring schools in the categories described in
Education Code section 58906(a) will be invited to participate in an oral
interview to determine the level of community wide support and school-
site leadership for the proposed restructuring proposal.
(1) Community wide support includes the specific resources, support,
conditions or leadership to be provided by those whose participation is
crucial to the restructuring effort, such as teachers, the school district, the
governing board, certificated and classified bargaining units, parents, the
non-parent public, business, community organizations, institutions of
higher education, and others as appropriate.
(2) Schoolsite leadership includes evidence of collaborative decision-
making and governance structures focused on learning and teaching; op-
portunities for expanded participation by parents in the change process;
processes for building the capacity and knowledge of all members of the
school site to enable them to develop and successfully carry out their re-
structuring vision and action plan; and a commitment of all the school's
resources to the restructuring effort.
(b) The score of each oral interview is based on the interview as a
whole rather than on the quality of answers to individual questions. The
score will be based on a four part scale, with four being the highest score.
Specific criteria for scoring will be based on:
(1) communitywide support as described in subsection 1 1844(a)(1);
(2) schoolsite leadership as described in subsection 1 1844(a)(2); and
(3)(A) understanding of the goal and focal point of restructuring, (B)
understanding of the critical elements of restructuring, (C) understanding
of the specific actions needed to move toward the restructuring vision,
and (D) understanding of how to manage change, as described in subsec-
tion 11843(d).
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
58904 and 58906, Education Code.
Page 147
Register 2005, No. 42; 10-21-2005
§ 11900
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
History
. New section filed 5-20-92 as an emergency; operative 3-20-92 (Register 92.
No. 21). A Certificate of Compliance must be transmitted to OAL 9-17-92 or
emergency language will be repealed by operation of law on the following day.
. Certificate of Compliance as lo 5-20-92 order including amendment of subsec-
tions (a)( 1 ) and (b)(3) transmitted to OAL 9-1 7-92 andYiled 1 0-27-92 (Regis-
ter 92, No. 44).
Subchapter 18.
Grant Program for Healthy
Start
Article 1. Grants
§11900. Definitions.
Throughout this subchapter, unless otherwise indicted by the context:
(a) "Applicant" is a California local educational agency or consortium
of local educational agencies involved in local agency collaboration that
submits an application on behalf of qualifying schools for Healthy Start
funds.
(b) "Application" is that document submitted in response to the Re-
quest for Applications.
(c) "Application narrative" is that portion of the application wherein
the applicant provides a written description of local conditions and the
proposed Healthy Start initiative.
(d) "Client-centered outcomes" means specific improvements in the
academic performance, health status and psycho-social functioning of
children and families.
(e) "Comprehensive, integrated, school-linked services" means the
establishment of a comprehensive, integrated system of services which
includes school, health and human service providers, and community
groups and provides assistance to children and families across multiple
service areas.
(0 "Elements" are the requisite components that each application for
funds must contain.
(g) "Local agency collaboration," as stated in Education Code section
8806, ensures on-going consultation and collaboration with local agen-
cies and involves, at a minimum, parents or guardians and teachers of eh-
gible pupils and representatives of each member agency or private part-
ner who will provide, or is anticipated to provide, services pursuant to the
Healthy Start Support Services for Children Act (Education Code section
8800 et seq.).
(h) "Request for Applications" is the California Department of Educa-
tion announcement for competitive award of grants for the Healthy Start
Program.
NOTE; Authority cited: Section 8804(b) and (i), Education Code. Reference: Sec-
tions 8804 and 8806, Education Code.
History
1. New subchapter 1 8 (sections 1 1900-1 1910, not consecutive) filed 6-23-92 as
an emergency; operative 6-23-92 (Register 92, No. 26). A Certificate of Com-
pliance must be transmitted to OAL 10-21-92 or emergency language will be
repealed by operation of law on the following day.
2. New section refiled 1 1-24-92 as an emergency; operative 1 1-24-92 (Register
92, No. 48). A Certificate of Compliance must be transmitted to OAL 3-24-92
or emergency language will be repealed by operation of law on the following
day.
3. New section, including amendments to subsections (a) and (b), refiled 3-26-93
as an emergency; operative 3-26-93 (Register 93, No. 13). A Certificate of
Compliance must be transmitted to OAL 7-26-93 or emergency language will
be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-26-93 order including amendment of section
heading and text transmitted to OAL 7-23-93 and filed 9-1-93 (Register 93,
No. 36).
5. Amendment filed 10-19-2005; operative 11-18-2005 (Register 2005, No. 42).
§ 1 1 905. Operational Grants.
Operational grants applicants must be demonstrate:
(a) That the students and families they intend to serve have exceptional
health, social, education, and/or economic needs, as described in Educa-
tion Code section 8801;
(b) That the applicant understands these needs and available re-
sources;
(c ) That the goals for students and families in the applicable communi-
ty are clearly stated;
(d) That specific client-centered outcomes are identified that the
applicant seeks to achieve;
(e) That the proposed programs will emphasize the provision of ser-
vices which are prevention-oriented;
(f) Evidence that the applicant represents a local agency collaboration
which will be functioning on behalf of children, youth, and their families,
and that those participating in the local agency collaboration support the
application;
(g) Evidence that the participants in the local agency collaboration of-
fer a comprehensive plan for the activities that participating agencies will
undertake; and
(h) That the applicant has maximized the use of existing financial and
programmatic resources to implement fundamental changes to improve
access to services and achieve the desired goals and client-centered out-
comes.
(i) That the applicant shall comply with all state and federal laws per-
taining to confidentiality of student records and privacy, including, but
not limited to FERPA (Family Educational Right to Privacy Act, 20
U.S.C. 1232g) and PPRA (Protection of Pupil Rights Act, 20 U.S.C.
1232h), as well as state and federal laws pertaining to the confidentiality
of medical records, including but not limited to, HIPAA (Health Insur-
ance Portability and Accountability Act, 42 U.S.C. I320d, et seq.).
NOTE: Authority cited: Sections 8804(b) and (i), Education Code. Reference: Sec-
tions 8801, 8804 and 8806, Education Code.
History
1. New secdon filed 6-23-92 as an emergency; operative 6-23-92 (Register 92,
No. 26). A Certificate of Compliance must be transmitted to OAL 10-21-92 or
emergency language will be repealed by operation of law on the following day.
2. New section refiled 1 1-24-92 as an emergency; operative 1 1-24-92 (Register
92, No. 48). A Certificate of Compliance must be transmitted to OAL 3-24-92
or emergency language will be repealed by operation of law on the following
day.
3. New section refiled 3-26-93 as an emergency; operative 3-26-93 (Register 93,
No. 1 3). A Certificate of Compliance must be transmitted to OAL 7-26-93 or
emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-26-93 order including amendment of secfion
heading, text and Note transmitted to OAL 7-23-93 and filed 9-1-93 (Register
93, No. 36).
5. New subsection (i) filed 10-19-2005; operative 1 1-18-2005 (Register 2005,
No. 42).
§ 1 1 91 0. Planning Grants.
Planning grant applicants must outline a plan which identifies the steps
required for the applicant to achieve all of the elements of Section 1 1905.
NOTE: Authority cited: Sections 8804(b) and (i), Educafion Code. Reference: Sec-
tions 8804 and 8806, Education Code.
History
1. New section filed 6-23-92 as an emergency; operative 6-23-92 (Register 92,
No. 26). A Certificate of Compliance must be transmitted to OAL 10-21-92 or
emergency language will be repealed by operation of law on the following day.
2. New section refiled 1 1-24-92 as an emergency; operative 1 1-24-92 (Register
92, No. 48). A Certificate of Compliance must be transmitted to OAL 3-24-92
or emergency language will be repealed by operation of law on the following
day.
3. New section refiled 3-26-93 as an emergency; operafive 3-26-93 (Register 93,
No. 13). A Certificate of Compliance must be transmitted to OAL 7-26-93 or
emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-26-93 order including renumbering of former
section 1 1 9 1 0 to section 11925 and adoption of new section transmitted to OAL
7-23-93 and filed 9-1-93 (Register 93, No. 36).
§ 1 1 91 5. Review of Applications for Operational and
Planning Grants.
(a) Only those applications which are complete in their entirely (col-
laborative approval. Healthy Start Support Services budget, and applica-
tion narrative) will be considered for funding.
(b) Submission deadline dates must be strictly adhered to and shall be
those specified in the Request for Applications.
(c) The application narrative may not exceed 25 pages for operational
grant applications; 12 pages for planning grant applications.
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Title 5
California Department of Education
$ 11925
(d) All application narrative that meets tiie Tollowing format specifica-
tions will be considered in its entirety:
( 1 ) The pages are single-sided, 8-1/2 inches by 1 1 inches.
(2) The top, bottom, left, and right margins are 1 inch minimum.
(3) The font is 12 point and does not exceed 6 lines per inch.
(e) Attachments to the narrative may include documents that support
the narrative, not to exceed i 0 pages. Attachments that are simply a con-
tinuation of the narrative will not be considered. Attachments may in-
clude but are not limited to student profile data (e.g., test scores, atten-
dance, mobility, discipline, ethnicity, immunization status at the time of
enrollment, etc.) and letters of support from parents. Memoranda of un-
derstanding that document the specific commitments from the local
agency collaboration members may be attached to the application narra-
tive and are excluded from the 10-page attachment limitation.
(0 Each complete and timely application will be reviewed and as-
sessed according to the criteria in subdivisions (g) and (h) below.
(g) Operational grant applications will be evaluated for the degree to
which the application:
(1 ) Demonstrates an understanding of Healthy Start (Education Code
section 8800 et seq.) objectives by addressing each of the elements cited
in section 1 1 905 in a clear and logical manner using appropriate support-
ive data;
(2) Demonstrates an understanding of student and/or family needs by
describing underlying conditions and causes based on appropriate data
sources including but not limited to students, families, and local public
and private agencies that provide services;
(3) Assesses the strengths and limitations of existing community ser-
vices and utilities, redirects, restructures, or integrates local agency and
community resources.
(4) Actively addresses local needs including any unique cultural
needs;
(5) Delineates fiscal and governance responsibilities of collaborative
members;
(6) Describes achievable and client-centered outcomes;
(7) Demonstrates that there will be a specific mechanism in place to
refer students and families in need of assistance and to ensure that the
supports are available for the individual students and families to access
the needed services;
(8) Establishes a procedure for ongoing feedback regarding client-
centered outcomes and local agency collaboration outcomes to clients
and local agency collaboration participants;
(9) Establishes comprehensive, integrated school-linked services;
and
(10) Establishes or tests innovative or new forms of service delivery
and collaboration, including but not limited to, amount and sources of re-
quired funding, redirection or restructuring of staffing and funding, prio-
rities for whom to serve, and agencies responsible for providing services.
(h) Planning grant applications will be evaluated for the degree to
which the application demonstrates:
( 1) An understanding of Healthy Start (Education Code section 8800
et seq.) objectives by addressing each of the elements cited in section
1 1910 in a clear and logical manner using appropriate supportive data;
(2) A plan for building a collaborative comprehensive, integrated
school-linked services delivery system which will include ongoing par-
ticipation of parents, teachers, community groups, and service providers;
(3) Specific planning activities for soliciting input from ethnic and lin-
guistic groups in the community;
(4) A plan for reaching the specified goals based on a preliminary un-
derstanding of current student, facility, and community conditions, need-
ed improvements, and steps to accomplish client-centered outcomes;
and
(5) Evidence of efforts to include broad community support and a
range of available resources.
NOTE: Authority cited: Sections 8804(b) and (i). Education Code. Reference: Sec-
tions 8804 and 8806, Education Code.
History
1. Certificate of Compliance as to 3-26-93 order including adoption of new sec-
tion transmitted to OAL 7-23-93 and filed 9-1-93 (Regi.ster 93, No. 36).
2. Amendment of subsections (d)(3). (f), (<!)(]) and (ir)(7) filed l()-l9-2()()5; op-
erative 1 1-18-2005 (Register 2005, No. 42).
§ 1 1 920. Awarding of Grants.
(a) All applications will be ranked in accordance with their assessed
score.
(b) Grant awards will be awarded on the basis of an applicant's rank
and any other factors established by Education Code section 8804.
(c) If an LEA has been funded for an operational grant on behalf of an
identified school, the LEA is not eligible for a subsequent operational
grant for the same school.
NOTE: Authority cited: Sections 8804(b) and (i). Education Code. Reference: Sec-
tions 8804 and 8806, Education Code.
History
1 . Certificate of Compliance as to 3-26-93 order including adoption of new sec-
tion transmitted to OAL 7-23-93 and filed 9-1-93 (Regi.ster 93, No. .%).
2. New subsecfion (c) filed 10-19-2005: operative 1 1-18-2005 (Register 2005,
No. 42).
§11925. Use of Funds.
(a) An applicant must submit a budget and a budget narrative support-
ing the amount of funding requested and documenting the required
match.
(b) In general, purposes for which Healthy Start funds may be used in-
clude, but are not limited to:
(1) Staff salaries.
(2) Contracting for professional consultants or service providers to de-
sign programs or provide technical assistance.
(3) Training and cross-training.
(c) Operational grants: No more than 50 percent of operational grant
monies may be used to purchase direct services. Funds may be used for,
but are not limited to, the following:
(1) Contracting with pubhc and private agencies for delivery of ser-
vices.
(2) Purchasing equipment dedicated to Healthy Start use, including
computer equipment, necessary for program management and data col-
lection and evaluation, not to exceed 10 percent of the total annual oper-
ating budget.
(3) Facilities rental, lease, or purchase costs, not to exceed 1 5 percent
of the total annual operating budget, for space that is dedicated to Healthy
Start use.
(4) Start-up funds may be used for. but are not limited to. the following
costs:
(A) Facility renovations, not to exceed $50,000.
(B) Equipment purchase.
(C) Hiring staff.
(D) Contracting for professional consultants or service providers to
design programs, or provide technical assistance.
(d) Planning grants: Planning grant monies may be used to purchase
equipment required to implement the planning process and dedicated to
Healthy Start use, not to exceed 10 percent of the total planning grant.
Planning grant monies may not be used for capital expenditures or facil-
ity rental or lease.
(e) Healthy Start funds may not be used for expenses related to out-of-
state travel.
(f) State and/or federal categorical funds may not be used toward meet-
ing the in-kind match requirement specified in Education Code section
8804(c).
NOTE: Authority cited: Sections 8804(b) and (i), Education Code. Reference: Sec-
tions 8804 and 8806, Education Code.
History
1. Certificate of Compliance as to 3-26-93 order including renumbering and
amendment of former section 11910 to section 11925 transmitted to OAL
7-23-93 and filed 9-1-93 (Register 93. No. 36).
Page 149
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§ 11930
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 11 930. Grant Award Appeal Process.
(a) Applicants who wish to appeal the grant award decision regarding
the application must submit a letter of appeal to the State Superintendent
of Public Instruction or designee.
(b) The letter of appeal must:
( 1 ) Be received by the date specified in the Request for Applications:
(2) Describe the factors which caused the applicant to conclude that
the readers did not follow the prescribed rating standards and explain
why the score is in conflict with the rating standards described in section
11915 or the grant award process described in section 1 1920; and
(3) Identify specific information in the application that the applicant
believes was overlooked or misinterpreted.
(c) The apphcation will be reevaluated by California Department of
Education staff or designees. The final decision on any recommendations
to revise the original score of an application and/or fund the application
will be made in writing by the State Superintendent of F*ublic Instruction,
or designee. In the event that the state budget has not been approved for
the next fiscal year, notification may be postponed until after state budget
approval.
NOTE: Authority cited: Sections 8804(b) and (i). Education Code. Reference: Sec-
tions 8804 and 8806, Education Code.
History
1 . Certificate of Compliance as to 3-26-93 order including adoption of new sec-
tion transmitted to OAL 7-23-93 and filed 9-1-93 (Register 93, No. 36).
2. Amendment filed 10-19-2005; operative 11-1 8-2005 (Register 2005, No. 42).
§ 11935. Waivers to Program Regulations.
NOTE: Authority cited: Sections 8804(b) and (i). Education Code. Reference: Sec-
tions 8804, Education Code.
History
1. Certificate of Compliance as to 3-26-93 order including adopfion of new sec-
tion transmitted to OAL 7-23-93 and filed 9-1-93 (Register 93, No. 36).
2. Repealer filed 10-19-2005; operative 1 1-18-2005 (Register 2005, No. 42).
Subchapter 19. Charter Schools
Article 1 .
Charter School Regular Average
Daily Attendance
§ 1 1 960. Regular Average Daily Attendance for Charter
Schools.
(a) As used in Education Code section 47612, "attendance" means the
attendance of charter school pupils while engaged in educational activi-
ties required of them by their charter schools, on days when school is ac-
tually taught in their charter schools. "Regular average daily attendance"
shall be computed by dividing a charter school's total number of pupil-
days of attendance by the number of calendar days on which school was
actually taught in the charter school. For purposes of determining a char-
ter school's total number of pupil-days of attendance, no pupil may gen-
erate more than one day of attendance in a calendar day.
(b) The State Superintendent of Public Instruction shall proportionate-
ly reduce the amount of funding that would otherwise have been appor-
tioned to a charter school on the basis of average daily attendance for a
fiscal year, if school was actually taught in the charter school on fewer
than 1 75 calendar days during that fiscal year.
(c)(1) Beginning in 2004-05, a pupil who is over the age of 19 years
may generate attendance for apportionment purposes in a charter school
only if both of the following conditions are met:
(A) The pupil was enrolled in a public school in pursuit of a high
school diploma (or, if a student in special education, an individualized
education program) while 1 9 years of age and, without a break in public
school enrollment since that time, is enrolled in the charter school and is
making satisfactory progress towards award of a high school diploma (or,
if a student in special education, satisfactory progress in keeping with an
individualized education program) consistent with the definition of satis-
factory progress set forth in subdivision (b) of Section 1 1965.
(B) The pupil is not over the age of 22 years.
(2) This subdivision shall not apply to a charter school program speci-
fied in Education Code section 47612.1. A charter school program as
specified in Education Code section 47612.1 may be either:
(A) the whole of a charter school, if the school has an exclusive part-
nership agreement with one or more of the programs specified in Educa-
tion Code section 47612.1 and serves no other pupils; or
( B ) an instructional program operated by a charter school that is exclu-
sively dedicated to pupils who are also participating in one of the pro-
grams specified in Education Code section 47612.1, provided that ar-
rangement is set forth in an exclusive partnership agreement between the
charter school and one or more of the programs specified in Education
Code section 47612.1.
(d) No individual who is ineligible to generate attendance for appor-
tionment purposes in a charter school pursuant to subdivision (c) may be
claimed as regular attendance for apportionment purposes by a local
education agency that is authorized by law to grant charters. This subdi-
vision shall not apply to claims other than claims for regular attendance
for apportionment purposes.
NOTE: Authority cited: Secfion 33031, Education Code. Reference: Sections
41420, 46301 and 47612, Educafion Code.
History
1 . New subchapter 19 and section filed 9-7-93 as an emergency; operative 9-7-93
(Register 93, No. 37). A Certificate of Compliance must be transmitted to OAL
by 1-10-94 or emergency language will be repealed by operation of law on the
following day.
2. New subchapter 19 and section refiled 12-23-93 as an emergency; operative
1-6-94 (Register 93, No. 52). A Certificate of Compliance must be transmitted
to OAL by 5-6-94 or emergency language will be repealed by operation of law
on the following day.
3. Certificate of Compliance as to 12-23-94 order transmitted with amendments
to OAL 5-4-94 and filed 6-15-94 (Register 94, No. 24).
4. Amendment of section heading and subsecfion (a), repealer of subsection (c)
and amendment of Note filed 7-1-98 as an emergency; operafive 7-1-98 (Reg-
ister 98, No. 27). A Certificate of Compliance must be transmitted to OAL by
10-29-98 or emergency language will be repealed by operation of law on the
following day.
5. Certificate of Compliance as to 7-1-98 order transmitted to OAL 1 0-13-98 and
filed 1 1-13-98 (Register 98, No. 46).
6. New subsections (c)(l)-(d) filed 2-10-2004; operative 3-11-2004 (Register
2004, No. 7).
Article 1.2. Closure Procedures
§ 1 1962. Definition of Procedures for School Closure.
As used in Education Code sections 47605(b)(5)(P) and
47605. 6(b)(5)(Q), "procedures" means, at a minimum, each of the fol-
lowing:
(a) Designation of a responsible entity to conduct closure-related acti-
vities.
(b) Notification of the closure of the charter school to parents (guard-
ians) of pupils, the authorizing entity, the county office of education (un-
less the county board of education is the authorization entity), the special
education local plan area in which the school participates, the retirement
systems in which the school's employees participate (e.g.. Public Em-
ployees' Retirement System, State Teachers' Retirement System, and
federal social security), and the California Department of Education, pro-
viding at least the following:
(1) The effective date of the closure;
(2) The name(s) of and contact information for the person(s) to whom
reasonable inquiries may be made regarding the closure;
(3) The pupils' school districts of residence; and
(4) The manner in which parents (guardians) may obtain copies of pu-
pil records, including specific information on completed courses and
credits that meet graduation requirements.
(c) Provision of a list of pupils in each grade level and the classes they
have completed, together with information on the pupils' district of resi-
dence, to the responsible entity designated in subdivision (a).
(d) Transfer and maintenance of all pupil records, all state assessment
results, and any special education records to the custody of the responsi-
ble entity designated in subdivision (a), except for records and/or assess-
Page 150
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Title 5
California Department of Education
§ 11963.1
ment results that the charter may require to be transferred to a different
entity.
(e) Transfer and maintenance of personnel records in accordance with
applicable law.
(f) Completion of an independent final audit within six months after
the closure of the school that may function as the annual audit, and that
includes at least the following:
( 1) An accounting of all financial assets, including cash and accounts
receivable and an inventory of property, equipment, and other items of
material value.
(2) An accounting of the liabilities, including accounts payable and
any reduction in apportionments as a result of audit findings or other in-
vestigations, loans, and unpaid staff compensation.
(3) An assessment of the disposition of any restricted funds received
by or due to the charter school.
(g) Disposal of any net assets remaining after all liabilities of the char-
ter school have been paid or otherwise addressed, including but not lim-
ited to, the following:
( 1 ) The return of any grant funds and restricted categorical funds to
their source in accordance with the terms of the grant or state and federal
law, as appropriate, which may include submission of final expenditure
reports for entitlement grants and the filing of any required Final Expen-
diture Reports and Final Performance Reports.
(2) The return of any donated materials and property in accordance
with any conditions established when the donation of such materials or
property was accepted.
(h) Completion and fihng of any annual reports required pursuant to
Education Code section 47604.33.
(i) Identification of funding for the activities identified in subdivisions
(a) through (h).
NOTE: Authority cited: Section 33031. Education Code. Reference: Section
47607, Education Code.
History
i. New article 1.2 (sections 11962-1 1962.1 ) and section filed 4-9-2007; opera-
tive 5-9-2007 (Register 2007, No. 15).
§ 11 962.1 . Definitions Related to the Duties of a Chartering
Authority.
(a) "Notification" as used in Education Code section 47604.32(e)
means the transmission to the California Department of Education of at
least the following:
(1) A de.scription of the circumstances of the closure;
(2) The effective date of the closure; and
(3) The location of pupil records and personnel records.
(b) "Personnel records" as used in subdivision (a) means any records
the charter school has relevant to its employees, including, but not limited
to, records related to performance and grievance as specified in Labor
Code section 1 [9S.5.
(c) "Pupil records" as used in subdivision (a) has the same meaning as
per Education Code section 49061(b).
(d) "Timely" as used in Education Code section 47604.32(e) means re-
ceipt of the evidence transmitted pursuant to subdivision (a) within ten
calendar days of the official action taken by the chartering authority.
NOTE: Authority cited: Section 33031. Education Code. Reference: Section
47604.32, Education Code.
History
1. New section filed 4-9-2007; operative 5-9-2007 (Register 2007, No. 15).
Article 1.5. Classroom- and
Nonclassroom-Based Instruction in Charter
Schools
§ 1 1963. Definition of Classroom-Based Instruction.
(a) In accordance with the definition of classroom-based instruction
specified in Education Code section 47612.5(e)(1), and for purposes of
identifying and reporting that portion of a charter school's average daily
attendance that is generated through nonclassroom-based instruction
pursuant to Educafion Code sections 476.34.2(c) and 47612..5(e)(2).
classroom-based instruction in a charier school occurs only when all foui
of the following conditions are met.
(1) The charter schoors pupils are engaged in educational activities
required of those pupils, and the pupils are under the immediate supervi-
sion and control of an employee of the charter school who is authorized
to provide instruction to the pupils within the meaning of Education Code
secfion 4760.5(/).
(2) At least 80 percent of the instructional time offered at the charter
school is at the schoolsite.
(3) The charter school's schoolsite is a facility that is used principally
for classroom instruction.
(4) The charter school requires its pupils to be in attendance at the
schoolsite at least 80 percent of the minimum instmctional time required
pursuant to Education Code section 47612..5(a)( 1).
(b) The requirement to be "at the schoolsite" is satisfied if either of the
following conditions is met.
(1) The facility in which the pupils receive instruction is:
(A) Owned, rented, or leased by the charier school principally for
classroom instrucdon;
(B) Provided to the charter school by a school district pursuant to
Education Code secfion 47614 principally for classroom instmction; or
(C) Provided to the charter school free-of-charge principally for
classroom instrucfion pursuant to a written agreement.
When not being used by the charter school for classroom instruction,
the facility may be rented, leased, or allowed to be used for other pur-
poses (e.g., for evening adult classes not offered by the charter school,
local theater producfions, or community meetings) and still be deemed
to be principally for classroom instruction.
(2) The charter school facility meets the criteria in paragraph (1) of
subdivision (b) and the pupils are on a field trip during which the pupils
remain under the immediate supervision and control of the employee of
the charter school and are carrying out an educational activity required
of the pupils.
(c) The requirement to be "at the schoolsite" is not safisfied if the pu-
pils are in a personal residence (i.e.. a dwelling), even if space in the resi-
dence is set aside and dedicated to instructional purposes and/or the char-
ter school rents or leases space in the residence for the provision of
instrucfion. As used in this subdivision, a personal residence shall not in-
clude a facility that is licensed by a state or local government agency to
operate as a facility in which pupils not related to the facility's owners
are provided custodial care and supervision (e.g., a licensed children's
institution or a boarding school).
(d) The definifions in this secfion are solely for the purpose of deter-
mining if a charter school must submit a determinafion of funding request
pursuant to Education Code section 47634.2.
NOTE; Authority cited: Sections 33031, 47612.5 and 476.'^4.2, Education Code.
Reference: Sections 47605, 47612.5 and 47634.2, Education Code.
History
1. New article 1.5 (sections 11 963- 1 1963.6) and section filed 10-28-2003; opera-
tive 10-28-2003 pursuant to Government Code section 11343.4 (Register
2003, No. 44). For prior history of article 1.5, sections 1 1963-1 1963.4. see Reg-
ister 2002. No. 42.
§ 11963.1. Nonclassroom-Based Instruction in Charter
Schools.
This article does not change the requirement that nonclassroom-based
instrucfion in charter schools comply with the provisions of Article 5.5
(commencing with Secfion 51745) of Chapter 5 of Part 28 of the Educa-
fion Code.
NOTE: Authority cited: Sections 33031 and 47612.5, Education Code. Reference:
Article 5.5 (commencing with Section 51745) of Chapter 5 of Part 28; and Section
47612.5, Education Code.
History
1. New section filed 10-28-2003; operative 10-28-2003 pursuant to Government
Code section 11 343 .4 (Register 20O3, No. 44).
Page 151
Register 2007, No. 15; 4-13-2007
§ 11963.2
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 11 963.2. Average Daily Attendance for
Nonclassroom-Based Instruction in Charter
Schools.
(a) A charter school may receive funding for nonclassroom-based
instruction only if a determination of funding is made pursuant to Educa-
tion Code section 47634.2. A determination of funding is a specific per-
centage approved by the State Board of Education for each affected char-
ter school by which the charter school's reported nonclassroom-based
average daily attendance must be adjusted by the Superintendent of Pub-
lic Instruction prior to the apportioning of funds based upon that average
daily attendance. A determination of funding shall only be approved by
the State Board for a charter school if the charter school has submitted
a request.
(b) A determination of funding request approved by the State Board
of Education shall be 70 percent, unless a greater or lesser percentage is
determined appropriate by the State Board of Education in accordance
with section 1 1963.4. In no case shall an approved determination of fund-
ing exceed 100 percent.
NOTE: Authority cited: Sections 33031 and 47634.2. Education Code. Reference:
Sections 47612.5, 47634.2 and 51745.6, Education Code.
History
1 . New section filed 1 0-28-2003; operative 1 0-28-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 44).
2. Amendment of section and NOTE filed 12-6-2005; operative 12-6-2005 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 49).
§ 11963.3. Determination of Funding Request Forms and
Calculations.
(a) For purposes of submitting a determination of funding request, the
California Department of Education shall issue a form or set of forms to
collect the information specified in this subdivision. Unless otherwise in-
dicated, charter schools submitting a determination of funding request
shall complete the form or forms in accordance with the definitions used
in the 2005 edition of the California School Accounting Manual (which
can be obtained from the California Department of Education web site
at: http://www.cde.ca.gov/fg/ac/sa). The form or forms shall be devel-
oped by the California Department of Education in consultation with the
Advisory Commission on Charter Schools. The form or forms shall in-
clude all of the following and, to the extent the form or forms include
more than the following, the form or forms shall require the approval of
the State Board of Education and comply with applicable provisions of
the Administrative Procedure Act.
( 1 ) The name, charter number, authorizing entity, address, contact
name and title, telephone number, fax number, and email address, if any,
for the charter school.
(2) The percentage requested by the school as its determination of
funding.
(3) The number of fiscal years for which the determination of funding
is requested, which shall not exceed five years.
(4) The date the charter was initially granted and the date the charter
or charter renewal will expire.
(5) For charter schools that operated in the prior fiscal year, all of the
following:
(A) The school's total resources, including all federal revenue, with
federal Public Charter School Grant Program start-up, implementation,
and dissemination grants separately identified; all state revenue; all local
revenue with in-lieu property taxes separately identified; other financing
sources; and the ending balance from the prior fiscal year.
(B) The school's total expenditures for instruction and related ser-
vices, by object of expenditure, which shall include all of the following:
1 . Activities dealing with the interaction between teaching staff and
students, without regard to the instrucfional locafion or medium.
2. Services that provide administrative, technical, and logistical sup-
port to facilitate and enhance instrucfion.
3. Services in direct support of students.
4. School-sponsored extra-curricular or co-curricular activities de-
signed to provide motivation and enjoyment and improvement of skills.
5. Instructional materials, supplies, and equipment.
(C) The school's total expenditures for schoolsite and administrative
site operations and facilities, by object of expenditure, which shall in-
clude all of the following:
1 . Activities concerned with securing and keeping open and working
the physical plants, grounds, and equipment necessary for the operation
of the school.
2. Facility rents, leases, and utilities.
3. Facilities acquisition and construction.
(D) The school's total expenditures for administration and all other ac-
tivities, by object of expenditure, which shall include all of the following:
1 . Activities concerned with establishing and administering policy for
operating the entire charter school, such as the governing board, director,
and administrafive staff.
2. Other general administration activities, such as payroll and account-
ing services, auditing and legal .services, property and liability insurance,
personnel, charter-wide telephone service, and data processing services.
3. Supervisorial oversight fees charged by the chartering authority.
4. Other expenditures not reported elsewhere, such as those for com-
munity services and enterprise activities and cumulative administrative
overhead from related party transactions.
(E) Other outgo and other uses, including debt service payments and
transfers.
(F) The excess (or deficiency) of revenues over expenditures calcu-
lated by subtracting the total of subparagraphs (B), (C), (D), and (E),
from the total resources reported pursuant to subparagraph (A), and a list
of the amount of reserves for: facilities acquisiuon or construction, eco-
nomic uncertainties, the amount required by the charter-authorizing en-
tity, or other reserves. Reserves in excess of the greater of fifty-thousand
dollars or five percent of total expenditures may be allowed for economic
uncertainties or long-term expenditures such as capital projects if the ex-
cess reserves are satisfactorily explained pursuant to section 1 1963.4(b).
(6) For charter schools that did not operate in the prior fiscal year, the
revenue and expenditure information required in paragraph (5) shall be
provided using reasonable estimates of current-year annualized reve-
nues and expenditures.
(b) In addition to the form or forms prescribed pursuant to subdivision
(a), a complete determination of funding request shall also include the
following information. Only a determination of funding request that is
complete may be acted upon by the State Board of Education.
( 1 ) A certification signed by the charter school' s director, principal, or
governing board chairperson of the following:
(A) That the information provided is true and correct to the best of the
ability and knowledge of the individual authorized to do so by the charter
school's governing board.
(B) That the charter school's nonclassroom-based instruction is con-
ducted for and substantially dedicated to the instructional benefit of the
school's students.
(C) That the governing board of the charter school has adopted and im-
plements conflict of interest policies.
(D) That all of the charter school's transactions, contracts, and agree-
ments are in the best interest of the school and reflect a reasonable market
rate for all goods, services, and considerations rendered for or supplied
to the school.
(2) The charter school's pupil-teacher rafio as calculated pursuant to
title 5, section II 704 of the California Code of Regulations.
(3) A Usting of entities that received in the previous fiscal year (or will
receive in the current fiscal year) $50,000 or more or 10 percent or more
of the charter school's total expenditures identified pursuant to subpara-
graphs (B). (C), (D), and (E) of paragraph (5) of subdivision (a), the
amount received by each entity; whether each of the contract payments
is based on specific services rendered or upon an amount per unit of aver-
age daily attendance or some other percentage; and an identification of
which entities, if any, have contract payments based on a per unit average
daily attendance amount or some other percentage.
Page 152
Register 2007, No. 15; 4-13-2007
Title 5
California Department of Education
§ 11963.4
(4) An identification of the members comprising the charter school's
governing board (i.e., parent, teacher, etc.) and a description of how those
members were selected; whether the governing board has adopted and
implemented conflict of interest policies and procedures; and whether
any of the governing board members are affiliated in any way with any
of the entities reported pursuant to paragraph (3) and if so, how.
(5) An explanation of ail transfers reponed pursuant to subparagraph
(E) of paragraph (5) of subdivision (a).
(6) A list and the amount of each of the other reserves reported pur-
suant to subparagraph (F) of paragraph (5) of subdivision (a).
(7) To the extent that a charter school desires to have facility costs con-
sidered as an instructional cost, the total annual facility-related and op-
erational cost, total facility square footage occupied by the charter
school, total classroom-based average daily attendance (if applicable) as
reported at the prior-year second principal apportionment, and the total
student hours attended by nonclassroom-based pupils at the school site
shall be provided.
(8) The number of full-time equivalent employees who possess a valid
teaching certificate, permit, or other document equivalent to that which
a teacher in other public schools would be required to hold issued by the
Commission on Teacher Credentialing and who work in the charter
school in a position required to provide direct instruction or direct
instructional support to students. For purposes of these regulations, "di-
rect instructional support" includes, but is not limited to. activities that
are directly related to student instruction that are performed by qualified
certificated persons such as curriculum coordinators, individualized
education plan coordinators, librarians, counselors, psychologists, and
nurses.
(c) The California Department of Education shall perform the follow-
ing using the resource and expenditure data provided pursuant to subdivi-
sion (a).
( I ) A calculation showing the charter school's total expenditures for
salaries and benefits for all employees who possess a valid teaching cer-
tificate, permit, or other document equivalent to that which a teacher in
other public schools would be required to hold issued by the Commission
on Teacher Credentialing (and who work in the charter school in a posi-
tion required to provide direct instruction or direct instructional support
to students) as a percentage of the school's total public revenues. For the
purposes of this subdivision:
(A) "Employees" shall include special education teachers who possess
a valid teaching certificate, permit, or other document equivalent to that
which special education teachers in non-charter public schools would be
required to hold issued by the Commission on Teacher Credentialing,
and who provide direct instrucfion or direct instructional support to pu-
pils of the charter school pursuant to a contract with a public or private
entity.
(B) "Employees" shall include individuals who possess a valid cerUfi-
cate. permit, or other document equivalent to that which the individuals
would be required to possess in a non-charter public school, issued by
the Commission on Teacher Credentialing, and who are employed by a
local education agency (LEA), provided all of the following conditions
are met: the LEA is the employer of all the charter school's staff; the gov-
erning board of the LEA is the governing authority for the charter school
(i.e.. the charter school is not a corporate entity separate from the LEA);
and the LEA's employees are assigned exclusively to work at the charter
school providing direct instruction or direct instructional support to stu-
dents or, to the extent that the LEA's employees are assigned to work at
the charter school on a part-time basis, the charter school pays for the ser-
vices rendered by the employee providing direct instruction or direct
instructional support to students on a documented, fee-for-service basis
and not, for example, on the basis of a fixed annual amount, fixed per-
centage of average daily attendance revenue, or other basis that is not re-
lated to documented services actually rendered to the charter school. Un-
der no circumstances shall certificated employees of an LEA be
considered employees of a charter school for purposes of this subpara-
graph unless the charter school pays for the services rendered by the
LEA's employees on a documented, fee-for-service basis.
(C) For purposes of this section, "employee" also means qualified per-
sons that provide direct instruction or direct instaictional support, that are
hired directly by the charter school through an employment services con-
tract based on a documented, fee-for-service basis.
(D) The school's total public revenue is based on the amounts reported
pursuant to subparagraph (A) of paragraph (5) of subdivision (a) and
equals the sum of: all federal revenue, less any Public Charter School
Grant Program start-up. implementation, and dissemination grant funds;
state revenue; and local revenue from in-lieu property taxes.
(2) A calculation showing the charter school's total expenditures on
instruction and related services as a percentage of the school's total reve-
nues. For the purposes of this subdivision, the school's total revenues do
not include the ending balance from the prior fi.scal year.
NOTE: Authority cited: Sections 33031 and 47634.2, Education Code. Reference:
Sections 476)2.5. 47634.2 and 51745.6, Education Code.
History
1 . New section filed 10-28-2003; operative 10-28-2003 pursuant to Government
Code section 11 343.4 (Register 2003, No. 44).
2. Amendment of section and Noth filed 12-6-2005; operative 12-6-2005 pur-
suant to Government Code section 1 1 343.4 (Register 2005, No. 49).
§ 11963.4. Evaluation of Determination of Funding
Requests Regarding Nonciassroom-Based
instruction.
(a) When a complete determiination of funding request is received
from a charter school, it shall be reviewed by the California Department
of Education and presented to the Advisory Commission on Charter
Schools, along with credible informafion pertaining to the request ob-
tained from any other source. The Advisory Commission shall develop
a recommendation pursuant to this section to the State Board of Educa-
tion regarding the request, and that recommendation shall be presented
to the State Board of Education by the California Department of Educa-
tion. The following criteria shall guide the process of reviewing and de-
veloping a recommendation on the request. The California Department
of Education shall report any difference of opinion between the Califor-
nia Department of EducaUon and the Advisory Commission as to the rec-
ommendation presented to the State Board of Education.
(1 ) If the percentage calculated pursuant to paragraph ( I ) of subdivi-
sion (c) of section 1 1963.3 equals at least 35 percent but less than 40 per-
cent, and the percentage calculated pursuant to paragraph (2) of subdivi-
sion (c) of section 11963.3 equals at least 60 percent but less than 70
percent, the Advisory Commission on Charter Schools shall recommend
to the State Board of Education approval of the request at 70 percent, un-
less there is a reasonable basis to recommend otherwise. If the recom-
mended percentage is lower than the requested percentage, the recom-
mendafion to the State Board shall include the reasons justifying the
reducuon and, if appropriate, describe how any deficiencies or problems
may be addressed by the charter school.
(2) If the percentage calculated pursuant to paragraph ( 1 ) of subdivi-
sion (c) of section 1 1963.3 equals or exceeds 40 percent, and the percent-
age calculated pursuant to paragraph (2) of subdivision (c) of section
1 1963.3 equals at least 70 percent but less than 80 percent, the Advisory
Commission on Charter Schools shall recommend to the State Board of
Educafion approval of the request at 85 percent, unless there is a reason-
able basis to recommend otherv/ise. The recommendation to the Stale
Board shall include the reasons justifying a percentage that is greater than
70 percent and, if the recommended percentage is lower than the re-
quested percentage, the reasons justifying the reducuon and, if appropri-
ate, describe how any deficiencies or problems may be addressed by the
charter school.
(3) If the percentage calculated pursuant to paragraph ( 1 ) of subdivi-
sion (c) of section 1 1963.3 equals or exceeds 40 percent, the percentage
calculated pursuant to paragraph (2) of subdivision (c ) of section 1 1 963 .3
equals or exceeds 80 percent, and the ratio of average daily attendance
Page 153
Register 2007, No. 15; 4-13-2007
§ 11963.5
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
for independent study pupils to full-time certificated employees respon-
sible for independent study does not exceed a pupil-teacher ratio of 25: 1
or the equivalent ratio of pupils to full-time certificated employees for
all other educational programs operated by the largest unified school dis-
trict, as measured by average daily attendance, in the county or counties
in which the charter school operates, the Advisory Commission on Char-
ter Schools shall recommend to the State Board of Education approval
of the request at 100 percent (i.e. full funding), unless there is a reason-
able basis to recommend otherwise. If the recommended percentage is
lower than the requested percentage, the recommendation to the State
Board shall include the reasons justifying the reduction and, if appropri-
ate, describe how any deficiencies or problems may be addressed by the
charter school.
(4) If the percentage calculated pursuant to paragraph (1 ) of subdivi-
sion (c) of section 1 1963.3 is less than 35 percent, or the percentage cal-
culated pursuant to paragraph (2) of subdivision (c) of section 1 1963.3
is less than 60 percent, then the charter school's nonclassroom-based
instruction is not substantially dedicated to the instructional benefit of the
students, and the Advisory Commission on Charter Schools shall recom-
mend that the State Board of Education deny the request, unless there is
a reasonable basis to recommend otherwise. The recommendation to the
State Board shall include the reasons justifying the denial and, if ap-
propriate, describe how any deficiencies or problems may be addressed
by the charter school. Denial of a determination of funding request by the
State Board of Education shall result in no funding being apportioned for
average daily attendance identified by the charter school as being gener-
ated through nonclassroom-based instruction pursuant to Education
Code section 47634.2(c).
(5) Any request for a funding determination received prior to the effec-
tive date of these regulations will be reviewed pursuant to the criteria in
effect at the time of submittal.
(b) The Advisory Commission on Charter Schools and/or the Califor-
nia Department of Education may ask the charter school to provide addi-
tional information in order to make possible a more detailed review or to
develop a reasonable basis for a recommendation other than those pre-
scribed in subdivision (a). With the consent of the Superintendent of Pub-
lic Instruction, the request for additional information shall be considered
a reasonable inquiry to which the charter school must respond pursuant
to Education Code section 47604.3.
(c) Any multi-year funding determination approved by the State
Board of Education may be modified by the State Board of Education,
in terms of both the multi-year approval and the percentage of funding
authorized, if any information that may change the conclusion to approve
the original multi-year funding determination is found.
(d) Prior to a recommendation by the Advisory Commission on Char-
ter Schools (that a determination of funding request be denied or ap-
proved at a percentage lower than that requested) being forwarded to the
State Board of Education, the affected charter school shall be given thirty
(30) calendar days in which to amend its determination of funding re-
quest and/or to provide additional information in support of the request.
Based upon consideration of the amended request or any additional in-
formation that may be provided, the Advisory Commission may modify
its recommendation to the State Board.
(e) A reasonable basis for the Advisory Commission on Charter
Schools to make a recommendation other than one that results from the
criteria specified in subdivision (a) may include, but not be limited to, the
following: the information provided by the charter school pursuant to
paragraphs (2) through (8), inclusive, of subdivision (b) of section
11963.3. documented data regarding individual circumstances of the
charter school (e.g., one-time or unique or exceptional expenses for faci-
lities, acquisition of a school bus, acquisition and installation of comput-
er hardware not related to the instructional program, special education
charges levied on the charter school by a local educational agency, re-
stricted state, federal, or private grants of funds awarded to the charter
school that cannot be expended for teacher salaries, or contracted instruc-
tional services other than those for special educafion), the size of the char-
ter school, and how many years the charter school has been in operation.
The Advisory Commission on Charter Schools shall give charter schools
with less than a total of one hundred ( 1 00) units of prior year second peri-
od average daily attendance or that are in their first year of operation seri-
ous consideration of full funding.
NoTE; Authority cited: Sections 33031 and 47634.2, Education Code. Reference:
Sections 47604.3, 47612.5 and 47634.2, Education Code.
History
1 . New section filed 10-28-2003; operative 10-28-2003 pursuant to Government
Code section II 343.4 (Register 2003, No. 44).
2. Amendment of section and Note filed 12-6-2005; operafive 12-6-2005 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 49).
§ 11963.5. Determination of Funding Requests for
Nonclassroom-Based Virtual or On-Line
Charter Schools.
A virtual or on-line charter school is one in which at least 80 percent
of teaching and student interaction occurs via the Internet.
(a) A virtual or on-line nonclassroom-based charter school may re-
ceive approval of a funding determination with no maximum pupil-
teacher ratio if the charter school has and maintains an 8 or above Aca-
demic Performance Index (API) rank in either its statewide or similar
schools ranking and has no less than a 6 in the other of these two rankings.
(b) In order to be funded pursuant to (a) above, a virtual or on-line
charter school, must demonstrate that:
(1) The school has met its overall and subgroup API growth targets.
(2) Instructional expenditures are at least 85 percent of the overall
school budget. A substantial portion of these expenditures (at least 25
percent of the charter school's general purpose entitlement and categori-
cal block grant as defined in Educafion Code section 47632), are spent
on technology that directly benefits students and teachers and results in
improved student achievement.
(3) Computer-based instruction and assessment is provided to each
student and includes the use of an on-line instructional management pro-
gram, which at a minimum includes standards-based guided lessons, les-
son plans, initial testing of students, periodic assessment of student
achievement, and the use of other measurements of student progress over
a period of time.
(4) Teachers are provided with technology tools and print media,
which at a minimum must include: standards-aligned instrucUonal mate-
rials, computer, printer, monitor, Internet service, telephone, staff devel-
opment that provides for the monitoring of student progress, and a means
of electronic communicadon for frequent student contact.
(5) All students are provided an individualized learning plan that is
based on inifial testing of the students and that is monitored either re-
motely or in person, by the teacher to evaluate student progress.
(6) All students are provided access to a computer, Internet service,
printer, monitor, and standards-aligned materials based on State Board
adopted academic content standards for each grade level and for each
subject studied.
(7) All students eligible for special educafion supports and services re-
ceive those supports and services in accordance with their individualized
education program.
(8) Charter school admission pracfices will not favor high performing
students or recruit a student population that is of a higher socioeconomic
group or lower racial or ethnic representation than the general population
of the county orcounfies served. Admission practices not reflecfive of the
county or counties served shall be cause for denial by the State Board of
Educafion under this secfion.
NOTE: Authority cited: Sections 33031 and 47634.2, Education Code. Reference:
Sections 47604.3, 47612.5, 47632, 47634.2, 51747.3, 52052 and 60640-60643,
Education Code.
History
1. New section filed 1 0-28-2003; operative 10-28-2003 pursuant to Government
Code section 1 1 343.4 (Register 2003, No. 44).
Page 154
Register 2007, No. 15; 4-13-2007
Title 5
California Department of Education
§ 11965
2. Renumbering of former section 1 1963..*^ to section 1 1963.6 and new section
1 1 963.3 filed 1 2-6-2005: operative 1 2-6-2005 pursuant to Government Code
section 1 1343.4 (Register 2005, No. 49).
§ 11963.6. Submission and Action on Determination of
Funding Requests Regarding
Nonclassroom-Based Instruction.
(a) An approved determination of funding for a new charter school in
its first year of operation shall be submitted by December 1 and shall be
for two fiscal years. Within 90 days after the end of its first fiscal year of
operation, a charter school shall submit unaudited actual expense reports
and a funding determination form based on the school's actual second-
year budget. If the Advisory Commission on Charter Schools determines
that the actual expenditures of the charter school or the second year fund-
ing determination form do not support the funding determination for the
second year, the Advisory Commission on Charter Schools shall recom-
mend that the State Board of Education revise the funding determination.
(b) For the 2005-06 fiscal year only, a determination of funding re-
quest approved by the State Board of Education for any nonclassroom-
based charter school that is not in its first year of operation shall be for
the 2005-06 fiscal year and additionally a minimum of one year but a
maximum of four years prospectively (for a total funding determination
of not more than five years).
(c) Any determination of funding request approved by the State Board
of Education for an existing nonclassroom-based charter school from the
2006-07 fiscal year forward shall be prospective (not for the current
year), in increments of a minimum of two years and a maximum of five
years in length. Beginning with the 2007-08 fiscal year, nonclassroom-
based charter schools that had a funding determination in the prior year
must submit a funding determination request by Febnjary 1 of the fiscal
year prior to the year the funding determination will be effective, when
a new request is required under these regulations.
(d) A determination of funding shall be subject to review each time a
material change is made in the school's charter with respect to nonclas-
sroom-based instruction, and may be subject to review each time the
school's charter is renewed, and/or in accordance with any condidons the
State Board of Education may impose at the time of the determination of
funding request approval. A material change in the school's charter with
respect to nonclassroom-based instruction is any significant change that
affects the level of resources devoted to nonclassroom-based instruction,
the courses to be offered through nonclassroom-based instrucfion, and/
or the delivery of educaUonal services to pupils receiving nonclassroom-
based instruction. The charter school shall notify the California Depart-
ment of Education no later than thirty (30) days after the material change
is made.
(e) A charter school may submit a request for funding determination
up to one year prior to the fiscal year in which the request will initially
be effective. The State Board may grant the request for up to five years
following the effective date of the request.
(f) Not more than 120 days following the receipt of a complete deter-
mination of funding request, the California Department of Education
shall present the request and the recommendation of the Advisory Com-
mission on Charter Schools to the State Board of EducaUon in accor-
dance with subdivision (a) of section 11963.4.
(g) If, during the effecuve period of a determination of funding, a char-
ter school wishes to seek a higher or lower determination of funding, it
shall do so by the filing of a new determination of funding request. Dur-
ing the effective period of a charter school's determination of funding,
no more than one additional determination of funding request (which
would replace the determination of funding then in effect) may be sub-
mitted by the charter school in the same fiscal year.
NOTE: Authority cited: Sections 33031 and 47634.2, Education Code. Reference:
Sections 47604.3, 47612.5, 47634.2 and 51745.6, Education Code.
History
1 . New section filed 1 0-28-2003; operative 10-28-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 44).
2. Renumbering of former section 1 1963.6 to section 1 1963.7 and renumbering of
former section 11963.5 to section 1 1963.6, including amendment of section and
NoTi-:, filed 12-6-2005; operative 12-6-2005 pursuant to Government Code
section 1 1343.4 (Register 2005, No. 49).
§ 11963.7. Termination of a Determination of Funding
Regarding Nonclassroom-Based Instruction.
Any multi-year funding determination approved by the State Board
of Education may be modified by the State Board of Education, in terms
of both the multi-year approval and the funding authorized.
The State Board of Education may terminate a determination of fund-
ing if updated or additional information requested by the California De-
partment of Education and/or the Advisory Commission on Charter
Schools is not made available by a charter school within thirty (30) calen-
dar days or if credible information from any source supports termination.
If the latter is the case, the charter schools shall be given thirty (30) calen-
dar days prior to the termination of funding to provide additional in-
formation to support the school's determination of funding.
NOTE: Authority cited: Sections 33031 and 47634.2. Education Code. Reference:
Sections 47612.5 and 47634.2, Education Code.
History
1. Renumbering of former section 11963.6 to new section 1 1963.7, including
amendment of section and Notk, filed 12-6-2005; operative 12-6-2005 pur-
suant to Government Code section 1 1 343.4 (Register 2005. No. 49).
Article 2. General Provisions
§11965. Definitions.
(a) "Private school" as that term is used in Education Code section
47602(b) means a school that meets the requirements set forth in Educa-
tion Code sections 48222 and 48223.
(b) For each charter school, "satisfactory progress," as that term is
used in Education Code section 47612, means uninterrtipted progress ( 1 )
towards completion, with passing grades, of the substance of the course
of study that is required for graduation from a non-charter comprehen-
sive high school of the school district that authorized the charter school's
charter, that the pupil has not yet completed, (2) at a rate that is at least
adequate to allow the pupil to successfully complete, through full-time
attendance, all of that uncompleted coursework within the aggregate
amount of time assigned by the chartering agency for the study of that
particular quantity of coursework within its standard academic schedule.
If the charteiing agency is not a school district having at least one non-
charter comprehensive high school, the applicable high school gradua-
tion requirements and associated time assignments shall be those for the
comprehensive high school(s) of the largest unified school district, as
measured by average daily attendance, in the county or counties in which
the charter school operates.
For individuals with exceptional needs, as defined in Education Code
section 56026, "satisfactory progress," as that term is used in Education
Code section 47612, means unintemjpted maintenance of progress to-
wards meeting the goals and benchmarks or short-term objectives speci-
fied in his or her individualized education program made pursuant to U.S.
Code, Title 20, Section 1414(d) until high school graduation require-
ments have been met, or until the pupil reaches an age at which special
education services are no longer required by law.
Note: Authority cited: Sections 33031 , 47602(b) and 47612(b), Education Code.
Reference: Sections 47602(b) and 47612(b), Education Code; and Section
1414(d), Title 20, U.S. Code.
History
1. New article 2 (sections 11 965-1 1968) and section filed 2-8-99 as an emergen-
cy; operative 2-8-99 (Register 99, No. 7). A Certificate of Compliance must be
transmitted to OAL by 6-8-99 oremergency language will be repealed by oper-
ation of law on the following day.
2. Repealer of article 2 (sections 1 1965-1 1968) and section by operation of Gov-
ernment Code section 11346.1(g) (Register 99, No. 31).
3. New article 2 (sections 11965-11968) and section filed 7-28-99; operative
7-28-99 pursuant to Government Code section 1 1343.4(d) (Register 99. No.
31).
4. New subsection (a) designator and new subsection (b) and amendment of Noti-
filed 1 1-18-99 as an emergency; operative 1 1-18-99 (Register 99. No. 47). A
Certificate of Compliance must be transmitted to OAL by 3-17-2000 or emer-
gency language will be repealed by operation of law on the following day.
Page 154.1
Register 2007, No. t5; 4-13-2007
§ 11966 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
5. Certificate of Compliance as to ] 1-18-99 order, including amendment of sub- attendance then reported is for pupils wliose attendance is eligible for
£er 2000 No ^sT^^ ^^^"^^"ed to OAL 2-2-2000 and filed 2-22-2000 (Reg- p^^^^Y^^ funding pursuant to Education Code section 47602(b). The Super-
intendent of Public Instruction shall not apportion state funds to any char-
ter school that fails to make the certification required by this section.
§ 11966. Certification. Note: Authority cited: Sections 33031 and 47602(b), Education Code. Refer-
On each occasion that a charter school reports attendance to the Call- '^"'-^'^' ^^^^'^^^ 47602(b), Education Code.
fomia Department of Education for purposes of the calculation of state , ^, .-, j., n ,^o '•'■^"^^ . ^ , .,. „ . ^„ .
n ,■ r , f . . r-r- • V p 1 I i. i u • 1 . Ncw scctiou filcd 2-8-99 as au emercencv; ODcrative 2-8-99 (Rcgistcr 99, No.
funding for the charter school, an official of the charter school who is re- 7 , ^ Certificate of Compliance must be transmitted to OAL by 6-8-99 or emer-
sponsible for reporting attendance shall specifically certify that all of the gency language will be repealed by operation of law on the following day.
[The next page is 155.
Page 154.2 Register 2007, No. 15; 4-13-2007
Title 5
California Department of Education
§ 11967.5.1
•
•
2. Repealed by operation of Govemmeni Code seclion 1 1346.1(2) (Register 99.
No, 31).
3. New seetion filed 7-28-99; operative 7-28-99 pursiianl to Government Code
seetion 1 1343.4(d) (Register 99, No. 31).
§ 1 1 967. Appeals on Charter Petitions That Have Been
Denied.
(a) A charter school petition that has been previously denied by the
governing board of a school district must be received by the county board
of education not later than 180 calendar days after the denial. A charter
school petition that has been previously denied by a county board of edu-
cation must be received by the State Board of Education not later than 1 80
calendar days after the denial. Any petition received by the county board
of education or State Board of Education more than 1 80 days after denial
shall not be acted upon by the county board of education or State Board
of Education.
(b) When fihng a petition with the county board of education or the
State Board of Education for the establishment of a charter school, peti-
tioner(s) shall provide the following:
( 1 ) A complete copy of the charter petition as denied, including the sig-
natures required by Education Code section 47605.
(2) Evidence of the governing board's action to deny the petition (e.g.
meeting minutes) and the governing board's written factual findings spe-
cific to the particular petition, when available, setting forth specific facts
to support one or more of the grounds for denial set forth in Education
Code section 47605(b).
(3) A signed certification stating that petitioner(s) will comply with all
applicable law.
(4) A description of any changes to the petition necessary to reflect the
county board of education or the State Board of Education as the charter-
ing entity as applicable.
(c) The county board of education or State Board of Education shall
deny a petition for the establishment of a charter school only if that board
makes written factual findings, specific to the particular petition, setting
forth specific facts to support one or more of the grounds for denial set
forth in Education Code section 47605(b)(l)-(5).
(d) Not later than 60 days after receiving a complete petition package,
and following review of the petition at a duly noticed public meeting, a
county board of education shall grant or deny the charter petition. This
time period may be extended by an additional 30 days if the county board
of education and the petitioner(s) agree to the extension.
(e) Not later than 90 days after receiving a complete petition package,
the State Board of Education shall schedule, at its next regular board
meeting, an action item to grant or deny the charter petition. This date
may be extended by an additional 30 days if the State Board of Education
and the petitioner(s) agree to the extension.
(f) In considering charter petitions that have been previously denied,
the county board of education or State Board of Education are not limited
to a review based solely on the reasons for denial stated by the school dis-
trict, but must review the charter school petition pursuant to Education
Code section 47605(b).
NOTIi: Authority cited: Sections 33031 and 47605(j)(5), Education Code. Refer-
ence: Section 47605(j), Education Code.
History
1 . New section filed 2-8-99 as an emergency; operative 2-8-99 (Register 99, No.
7). A Certificate of Compliance must be transmitted to OAL by 6-8-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 1 1346.1(g) (Register 99,
No. 31).
3. New section filed 7-28-99; operative 7-28-99 pursuant to Government Code
section 1 1.343.4(d) (Register 99, No. 31).
4. Amendment of section and Note filed 6-22-2005; operative 6-22-200.5 pur-
suant to Government Code section 11 343.4 (Register 2005, No. 25).
§ 11 967.5. Review and Approval of Charter School
Petitions by the State Board of Education.
The State Board of Education shall utilize the criteria set forth in Sec-
tion 1 1 967.5. 1 . in reviewing the elements of a charter petition submitted
for its approval in accordance with the provisions of Education Code sec-
tion 47605(b) and (j). The purpose of the criteria is to convey lo charter
petitioners the State Board of Education's understanding of the meaning
of the elements specified in Education Code section 47605(b). or other-
wise to convey essential information about the elements. The criteria are
intended to require no charter provisions in excess of those that the State
Board of Education believes necessary to determine whether each ele-
ment specified in Education Code section 47605(b) has been .satisfactori-
ly addressed. Where the criteria call for judgments to be made, the judg-
ments will be made in such a manner as to be reasonable, rational, and
fair to the petitioners and other parties potentially affected by the charter-
ing of the school by the State Board of Education.
History
1. New section filed 3-1-2002; operative 3-31-2002 (Register 2002. No. 9).
§ 1 1 967.5.1 . Criteria for the Review and Approval of
Charter School Petitions by the State Board of
Education.
(a) For purposes of Education Code section 47605(b), a charter peti-
tion shall be "consistent with sound educational practice" if, in the State
Board of Education's judgment, it is likely to be of educational benefit
to pupils who attend. A charter school need not be designed or intended
to meet the educational needs of every student who might possibly seek
to enroll in order for the charter to be granted by the State Board of Educa-
tion.
(b) For purposes of Education Code section 47605(b)( 1 ), a charter
petition shall be "an unsound educational program" if it is either of the
following:
(1) A program that involves activities that the State Board of Educa-
tion determines would present the likelihood of physical, educational, or
psychological harm to the affected pupils.
(2) A program that the State Board of Education determines not to be
likely to be of educational benefit to the pupils who attend.
(c) For purposes of Education Code section 47605(b)(2). the State
Board of Education shall take the following factors into consideration in
determining whether charter petitioners are "demonstrably unlikely to
successfully implement the program."
(1) If the petitioners have a past history of involvement in charter
schools or other education agencies (public or private), the history is one
that the State Board of Education regards as unsuccessful, e.g., the peti-
tioners have been associated with a charter school of which the charter
has been revoked or a private school that has ceased operation for reasons
within the petitioners' control.
(2) The petitioners are unfamiiliar in the State Board of Education's
judgment with the content of the petition or the requirements of law that
would apply to the proposed charter school.
(3) The petitioners have presented an unrealistic financial and opera-
tional plan for the proposed chatter school. An unrealistic financial and
operational plan is one to which any or all of the following applies:
(A) In the area of administrative services, the charter or supporting
documents do not adequately:
1 . Describe the structure for providing administrative services, includ-
ing, at a minimum, personnel transactions, accounting and payroll that
reflects an understanding of school business practices and expertise to
carry out the necessary administrative services, or a reasonable plan and
time line to develop and assemble such practices and expertise.
2. For any contract services, describe criteria for the selection of a con-
tractor or contractors that demonstrate necessary expertise and the proce-
dure for selection of the contractor or contractors.
(B) In the area of financial administration, the charter or supporting
documents do not adequately:
1. Include, at a minimum, the first-year operational budget, start-up
costs, and cash flow, and financial projections for the first three years.
2. Include in the operational budget reasonable esumates of all antici-
pated revenues and expenditures necessary to operate the school, includ-
ing, but not limited to, special education, based, when possible, on histor-
ical data from schools or school districts of similar type, si/e, and
location.
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§ 11967.5.1
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
3. Include budget notes that clearly describe assumptions on revenue
estimates, including, but not limited to, the basis for average daily atten-
dance estimates and staffing levels.
4. Present a budget that in its totality appears viable and over a period
of no less than two years of operations provides for the amassing of a re-
serve equivalent to that required by law for a school district of similar size
to the proposed charter school.
5. Demonstrate an understanding of the timing of the receipt of various
revenues and their relative relationship to timing of expenditures that are
within reasonable parameters, based, when possible, on historical data
from schools or school districts of similar type, size, and location.
(C) In the area of insurance, the charter and supporting documents do
not adequately provide for the acquisition of and budgeting for general
liability, workers compensations, and other necessary insurance of the
type and in the amounts required for an enterprise of similar purpose and
circumstance.
(D) In the area of facilities, the charter and supporting documents do
not adequately:
1 . Describe the types and potential location of facilities needed to oper-
ate the size and scope of educational program proposed in the charter.
2. In the event a specific facility has not been secured, provide evi-
dence of the type and projected cost of the facilities that may be available
in the location of the proposed charter school.
3. Reflect reasonable costs for the acquisition or leasing of facilities
to house the charter school, taking into account the facilities the charter
school may be allocated under the provisions of Education Code section
47614.
(4) The petitioners personally lack the necessary background in the
following areas critical to the charter school's success, and the petitioners
do not have plan to secure the services of individuals who have the neces-
sary background in these areas:
(A) Curriculum, instruction, and assessment.
(B) Finance and business management.
(d) For purposes of Education Code section 47605(b)(3), a charter
petition that "does not contain the number of signatures required by sub-
division (a)" of Education Code section 47605 shall be a petition that did
not contain the requisite number of signatures at the time of its submis-
sion to a school district pursuant to Education Code section 47605(a).
The State Board of Education shall not disregard signatures that may be
purported to have been withdrawn or to have been determined to be inval-
id after the petition was denied by the school district.
(e) For purposes of Education Code section 47605(b)(4), a charter
petition that "does not contain an affirmation of each of the conditions
described in subdivision (d)" of Education Code section 47605 shall be
a petition that fails to include a clear, unequivocal affirmation of each
such condition, not a general statement of intention to comply. Neither
the charter nor any of the supporting documents shall include any evi-
dence that the charter will fail to comply with the conditions described
in Education Code section 47605(d).
(f) For purposes of Education Code section 47605(b)(5), the State
Board of Education shall take the following factors into consideration in
determining whether a charter petition does not contain a "reasonably
comprehensive" description of each of the specified elements.
(1) The descripfion of the educafional program of the school, as re-
quired by Education Code section 47605(b)(5)(A), at a minimum:
(A) Indicates the proposed charter school's target student population,
including, at a minimum, grade levels, approximate numbers of pupils,
and specific educational interests, backgrounds, or challenges.
(B) Specifies a clear, concise school mission statement with which all
elements and programs of the school are in alignment and which conveys
the petitioners" definition of an "educated person in the 21st century, be-
lief of how learning best occurs, and a goals consistent with enabling pu-
pils to become or remain self-motivated, competent, and lifelong learn-
ers.
(C) Includes a framework for instructional design that is aligned with
the needs of the pupils that the charter school has identified as its target
student population.
(D) Indicates the basic learning environment or environments (e.g.,
site-based matriculation, independent study, community-based educa-
tion, technology-based education).
(E) Indicates the instructional approach or approaches the charter
school will utilize, including, but not limited to, the curriculum and
teaching methods (or a process for developing the curriculum and teach-
ing methods) that will enable the school's pupils to master the content
standards for the four core curriculum areas adopted by the State Board
of Education pursuant to Education Code section 60605 and to achieve
the objectives specified in the charter.
(F) Indicates how the charter school will idenfify and respond to the
needs of pupils who are not achieving at or above expected levels.
(G) Indicates how the charter school will meet the needs of students
with disabihties, English learners, students achieving substantially
above or below grade level expectations, and other special student popu-
lations.
(H) Specifies the charter school's special education plan, including,
but not limited to, the means by which the charter school will comply
with the provisions of Education Code secfion 47641 , the process to be
used to identify students who qualify for special education programs and
services, how the school will provide or access special education pro-
grams and services, the school's understanding of its responsibilifies un-
der law for special education pupils, and how the school intends to meet
those responsibilities.
(2) Measurable pupil outcomes, as required by Education Code sec-
tion 47605(b)(5)(B), at a minimum:
(A) Specify skills, knowledge, and attitudes that reflect the school's
educational objectives and can be assessed, at a minimum, by objective
means that are frequent and sufficiently detailed enough to determine
whether pupils are making satisfactory progress. It is intended that the
frequency of objective means of measuring pupil outcomes vary accord-
ing to such factors as grade level, subject matter, the outcome of previous
objective measurements, and information that may be collected from an-
ecdotal sources. To be sufficiently detailed, objective means of measur-
ing pupil outcomes must be capable of being used readily to evaluate the
effectiveness of and to modify instruction for individual students and for
groups of students.
(B) Include the school's Academic Performance Index growth target,
if applicable.
(3) The method by which pupil progress is to be measured, as required
by Education Code section 47605(b)(5)(C), at a minimum:
(A) Utilizes a variety of assessment tools that are appropriate to the
skills, knowledge, or attitudes being assessed, including, at a minimum,
tools that employ objective means of assessment consistent with para-
graph (2)(A) of subdivision (f) of this secfion.
(B) Includes the annual assessment results from the Statewide Testing
and Reporting (STAR) program.
(C) Outlines a plan for collecting, analyzing, and reporting data on pu-
pil achievement to school staff and to pupils' parents and guardians, and
for ufilizing the data continuously to monitor and improve the charter
school's educational program.
(4) The governance structure of the school, including, but not limited
to, the process to be followed by the school to ensure parental involve-
ment in supporting the school's effort on behalf of the school's pupils,
as required by Education Code secfion 47605(b)(5)(D), at a minimum:
(A) Includes evidence of the charter school's incorporafion as a non-
profit public benefit corporafion, if applicable.
(B) Includes evidence that the organizafional and technical designs of
the governance structure reflect a seriousness of purpose necessary to en-
sure that:
1 . The charter school will become and remain a viable enterprise.
•
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Page 156
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Title 5
California Department of Education
§ 11967.5.1
•
2. There will be active and effective representation of interested par-
ties, including, but not limited to parents (guardians).
3. The educational program will be successful.
(5) The qualifications to be met by individuals to be employed by the
school, as required by Education Code section 47605(b)(5)(E), at a mini-
mum:
(A) Identify general qualifications for the various categories of em-
ployees the school anticipates (e.g., administrative, instructional,
instructional support, non-instructional support). The qualifications
shall be sufficient to ensure the health, and safety of the school's faculty,
staff, and pupils.
(B) Identify those positions that the charter school regards as key in
each category and specify the additional qualifications expected of indi-
viduals assigned to those positions.
(C) Specify that the all requirements for employment set forth in appli-
cable provisions of law will be met, including, but not limited to creden-
tials as necessary.
(6) The procedures that the school will follow to ensure the health and
safety of pupils and staff, as required by Education Code section
47605(b)(5)(F), at a minimum:
(A) Require that each employee of the school furnish the school with
a criminal record summary as described in Education Code section
44237.
(B) Include the examination of faculty and staff for tuberculosis as de-
.scribed in Education Code section 49406.
(C) Require immunization of pupils as a condition of .school atten-
dance to the same extent as would apply if the pupils attended a non-
charter public school.
(D) Provide for the screening of pupils' vision and hearing and the
screening of pupils for scoliosis to the same extent as would be required
if the pupils attended a non-charter public school.
(7) Recognizing the limitations on admissions to charter schools im-
posed by Education Code section 47605(d). the means by which the
school will achieve a racial and ethnic balance among its pupils that is
reflective of the general population residing within the territorial juris-
diction of the school district to which the charter petition is submitted, as
required by Education Code section 47605(b)(5)(G), shall be presumed
to have been met, absent specific information to the contrary.
(8) To the extent admission requirements are included in keeping with
Education Code section 47605(b)(5)(H), the requirements shall be in
compliance with the requirements of Education Code section 47605(d)
and any other applicable provision of law.
(9) The manner in which annual, independent, financial audits shall be
conducted, which shall employ generally accepted accounting prin-
ciples, and the manner in which audit exceptions and deficiencies shall
be resolved to the satisfaction of the chartering authority, as required by
Education Code section 47605(b)(5)(I), at a minimum:
(A) Specify who is responsible for contracting and overseeing the in-
dependent audit.
(B) Specify that the auditor will have experience in education finance.
(C) Outline the process of providing audit reports to the State Board
of Education, California Department of Education, or other agency as the
State Board of Education may direct, and specifying the time line in
which audit exceptions will typically be addressed.
(D) Indicate the process that the charter school will follow to address
any audit findings and/or resolve any audit excepfions.
(10) The procedures by which pupils can be suspended or expelled, as
required by Education Code section 47605(b)(5)(J), at a minimum:
(A) Identify a preliminary list, subject to later revision pursuant to sub-
paragraph (E), of the offenses for which students in the charter school
must (where non-discretionary) and may (where discretionary) be sus-
pended and, separately, the offenses for which students in the charter
school must (where non-discretionary) or may (where discretionary) be
expelled, providing evidence that the petifioners' reviewed the offenses
for which students must or may be suspended or expelled in non-charter
public schools.
(B) Identify the procedures by which pupils can be suspended or ex-
pelled.
(C) Identify the procedures by which parents, guardians, and pupils
will be informed about reasons for suspension or expulsion and of their
due process rights in regard to suspension or expulsion.
(D) Provide evidence that in preparing the lists of offenses specified
in subparagraph (A) and the procedures specified in subparagraphs (B)
and (C), the petifioners reviewed the lists of offenses and procedures that
apply to students attending non-charter public schools, and provide evi-
dence that the charter petitioners believe their proposed lists of offenses
and procedures provide adequate safety for students, staff, and visitors
to the school and serve the best interests the school's pupils and their par-
ents (guardians).
(E) If not otherwise covered under subparagraphs (A), (B). (C), and
(D):
1. Provide for due process for all pupils and demonstrate an under-
standing of the rights of pupils with disabilifies in regard to suspension
and expulsion.
2. Outline how detailed policies and procedures regarding suspension
and expulsion will be developed and periodically reviewed, including,
but not limited to, periodic review and (as necessary) modification of the
lists of offenses for which students are subject to suspension or expul-
sion.
(11) The manner by which staff members of the charter schools will
be covered by the State Teachers' ReUrement System, the Public Em-
ployees' Retirement System, or federal social security, as required by
Educadon Code secfion 47605(b)(5)(K), at a minimum, specifies the
positions to be covered under each system and the staff who will be re-
sponsible for ensuring that appropriate arrangements for that coverage
have been made.
(12) The public school attendance alternatives for pupils residing
within the school district who choose not to attend charter schools, as re-
quired by Educafion Code section 47605(b)(5)(L). at a minimum, specify
that the parent or guardian of each pupil enrolled in the charter school
shall be informed that the pupils has no right to admission in a particular
school of any local educafion agency (or program of any local education
agency) as a consequence of enrollment in the charter school, except to
the extent that such a right is extended by the local education agency.
(13) The descripfion of the rights of any employees of the school dis-
trict upon leaving the employment of the school district to work in a char-
ter school, and of any rights of return to the school district after employ-
ment at a charter school, as required by Educafion Code section
47605(b)(5)(M), at a minimum, specifies that an employee of the charter
school shall have the following rights:
(A) Any rights upon leaving the employment of a local education
agency to work in the charter school that the local education agency may
specify.
(B) Any rights of return to employment in a local education agency af-
ter employment in the charter school as the local educafion agency may
specify.
(C) Any other rights upon leaving employment to work in the charter
school and any rights to return to a previous employer after working in
the charter school that the State Board of Education determines to be rea-
sonable and not in conflict with any provisions of law that apply to the
charter school or to the employer from which the employee comes to the
charter school or to which the employee returns from the charter school.
(14) The procedures to be followed by the charter school and the entity
granting the charter to resolve disputes relating to provisions of the char-
ter, as required by Education Code section 47605(b)(5)(N), at a mini-
mum:
(A) Include any specific provisions relafing to dispute resolution that
the State Board of Education determines necessary and appropriate in
recognifion of the fact that the State Board of Education is not a local
education agency.
(B) Describe how the costs of the dispute resolufion process, if needed,
would be funded.
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§ 11967.6
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(C) Recognize that, because it is not a local education agency, the State
Board of Education may choose resolve a dispute directly instead of pur-
suing the dispute resolution process specified in the charter, provided that
if the State Board of Education intends to resolve a dispute directly
instead of pursuing the dispute resolution process specified in the charter,
it must first hold a public hearing to consider arguments for and against
the direct resolution of the dispute instead of pursuing the dispute resolu-
tion process specified in the charter.
( D) Recognize that if the substance of a dispute is a matter that could
result in the taking of appropriate action, including, but not limited to, re-
vocation of the charter in accordance with Education Code section
47604.5, the matter will be addressed at the State Board of Education's
discretion in accordance with that provision of law and any regulations
pertaining thereto.
(15) The declaration of whether or not the charter school shall be
deemed the exclusive public school employer of the employees of the
charter school for the purposes of the Educational Employment Relations
Act (Chapter 10.7 (commencing with Section 3540) of Division 4 of Title
1 of the Government Code), as required by Education Code section
47605(b)(5)(O), recognizes that the State Board of Education is not an
exclusive public school employer and that, therefore, the charter school
must be the exclusive public school employer of the employees of the
charter school for the purposes of the Educational Employment Relations
Act (Chapter 1 0.7 (commencing with Section 3540) of Division 4 of Title
1 of the Government Code).
(g) A "reasonably comprehensive" description, within the meaning
subdivision (0 of this section and Education Code section 47605(b)(5)
shall include, but not be limited to, information that:
( 1 ) Is substantive and is not, for example, a listing of topics with little
elaboration.
(2) For elements that have multiple aspects, addresses essentially all
aspects the elements, not just selected aspects.
(3) Is specific to the charter petition being proposed, not to charter
schools or charter petitions generally.
(4) Describes, as applicable among the different elements, how the
charter school will:
(A) Improve pupil learning.
(B) Increase learning opportunities for its pupils, particularly pupils
who have been identified as academically low achieving.
(C) Provide parents, guardians, and pupils with expanded educauonal
opportunities.
(D) Hold itself accountable for measurable, performance-based pupil
outcomes.
■(E) Provide vigorous competition with other public school options
available to parents, guardians, and students.
NOTE: Authority cited: Sections 33031 and 47605(j)(5), Education Code. Refer-
ence: Section 47605, Education Code.
History
1. New section filed 3-1-2002; operative 3-31-2002 (Register 2002, No. 9).
§ 1 1 967.6. Submission of Statewide Benefit Charter
School Petitions to the State Board of
Education.
(a) A petition to establish a statewide benefit charter school pursuant
to Education Code section 47605.8 shall:
(1) Comply with all statutory requirements otherwise applicable to
charter schools, except those relating to geographic and site limitations
(See Education Code section 47605.8).
(2) If applicable, comply with all requirements of law relative to the
provision of independent study.
(A) A charter that does not expressly provide for independent study
shall not be interpreted as allowing independent study beyond that which
is incidental and required to address the temporary needs of particular
students.
(B) If the independent study (nonclassroom-based instruction) ex-
ceeds the percentage specified in Education Code section 47612.5, it
shall be funded only in keeping with a determination of funding approved
pursuant to Education Code secfion 47634.2.
(3) Describe how an annual independent audit of the statewide benefit
charter school will be conducted in keeping with applicable statute and
regulation and indicate how the statewide benefit charter school's indi-
vidual schools will be appropriately included in the audit process.
(4) Incorporate a plan that provides for initial commencement of
instruction in at least two schools, which shall be in at least two different
school districts or two different counfies. The plan for instruction shall
describe how the instructional services will provide a statewide benefit,
as specified in section 1 1967.6(b) that cannot be provided by a charter
school operating in only one school district, or only in one county. Exist-
ing charter schools previously approved by a charter authorizer may not
be included in a petifion to establish a statewide benefit charter school.
(5) Include an assurance that the instrucfional services for similar stu-
dent populations described in the charter will be essentially similar at
each school and, thus, that each pupil's educational experience will be
reasonably the same with regard to instrucfional methods, instructional
materials, staffing configuration, personnel requirements, course offer-
ings, and class schedules.
(6) Describe how the statewide benefit charter school will participate
as a member of a special educafion local plan area, and ensure a coordi-
nated structure for the provision of necessary programs and services spe-
cific to students with Individual Educafion Programs (lEPs).
(7) Demonstrate success in operating charter schools previously ap-
proved in California as evidenced by improved pupil academic perfor-
mance and annual financial audits with no audit findings or exceptions.
Data that shall be considered in determining the likelihood of a charter
operator to successfully operate a statewide benefit charter school in-
clude, but are not limited to, a statewide or similar schools ranking of 8
or higher on the Academic Performance Index, evidence of having met
growth targets over time, and other alternative indicators of success as
defined in the alternative accountability system pursuant to subdivision
(h) of Educafion Code secfion 52052.
(8) Describe how local community input for each school included in
the plan was solicited (or will be solicited). Satisfacfion of this paragraph
shall involve the holding of at least one publicly noticed meefing for each
school, with a summary of the input received at the meefing(s) being pro-
vided.
(9) Contain sufficient signatures either of parents, guardians, or of
teachers in keeping with Educafion Code secfion 47605(a)(1) for each
school proposed in the first year.
(10) Include an assurance that the school district and county superin-
tendents where each school will be located will be notified at least 120
days prior to commencement of instrucfion.
(11) Address all charter elements specified in Education Code section
47605 adapted appropriately for application at the statewide level.
( 1 2) Contain or address any provisions or condifions specified by the
State Board of Education at the fime of charter approval.
(13) Contain a plan for operafions of the statewide benefit charter
school that describes the distinction between centralized and individual
school level responsibilifies and includes a staffing plan to implement the
activities at the designated level. The plan shall address statewide benefit
charter school operafions including, but not limited to:
(A) Academic program,
(B) Facilities and school operafions,
(C) Legal and programmatic compliance,
(D) Financial administration,
(E) Governance, and
(F) Decision-making authority.
( 1 4) Provide a list of each school that will be operated by the statewide
benefit charter school that includes:
(A) A timeline for the commencement of instruction at each school.
Commencement of instruction must begin during the term of the charter.
(B) The general location of each school and the school district and
county in which each school is to be located.
•
•
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California Department of Education
§ 11969
(C) A description of the potential facilities to be used at each school.
(D) The approximate number of pupils that can safely be accommo-
dated by each school facility.
(b) "Instructional services of a statewide benefit", as referenced in
Education Code section 47605.8(b), shall include, but not be limited to.
the following factors:
( 1 ) Unique factors and circumstances related to the statewide benefit
charter school's educational program that can only be accomplished as
a statewide benefit charter and not as a single district- or single county-
authorized charter, including specific benefits to each of the following:
(A) The pupils who would attend the statewide benefit charter school.
(B) The communities (including the school districts and the counties)
in which the individual schools would be located (e.g., in terms of pupil
demographics and performance),
(C) The slate, to the extent applicable, and
(D) The statewide benefit charter school itself (e.g., in fund raising,
community partnerships, or relationships with institutions of higher
education).
(2) Neither an administrative benefit to a charter operator, nor a desire
by a charter operator to provide services in more than one district and
county, shall be considered sufficient in and of itself to constitute a state-
wide benefit.
(c) A statewide benefit charter school, regardless of the number of in-
dividual schools, is treated as a school district for all purposes, including
but not limited to, compliance monitoring, data reporting and collection,
student performance data, oversight, and apportionments. For purposes
of compliance monitoring and oversight, the State Board, in its review,
will look at each individual school's independent progress in meeting
federal and state growth targets.
(d) Following its submission, a petition to establish a statewide benefit
charter school may be modified or new schools added that were not in-
cluded in the original petition only with the approval of the State Board
of Education.
(e) Each statewide benefit charter school shall provide an annual re-
port to the Stale Board of Education reflecting student achievement data,
performance benchmarks, and other pertinent data supporting stated
charier goals.
NOTE: Authority cited: Sections 3303 1 and 47605.8, Education Code. Reference:
Sections 47605, 47605.8, 47612.5 and 47634.2, Education Code.
History
1. New section filed 6-22-2005; operative 6-22-2005 pursuant to Government
Code section 1 1 343.4 (Register 2005, No. 25).
§ 11 967.7. Evaluation of Facilities for Statewide Benefit
Charter Schools.
(a) The statewide benefit charter school shall notify the California De-
partment of Education at least 60 days prior to proposed commencement
of instruction at each individual school, including submission of all docu-
mentation required in section 1 1967.6(a)(l4). Within 30 days of the re-
ceipt of a complete and documented notice pursuant to this section, the
California Department of Education shall evaluate the facilities for the
proposed educational program for compliance with local building per-
mits and codes and notify the statewide benefit charter school and any
affected local education agency of its determination. The charter school
or any affected local education agency may appeal the Department's de-
termination within 10 calendar days of the date of the determination, and
the matter will be placed on the agenda of the next regularly scheduled
meeting of the State Board of Education. If no action is taken by the State
Board of Education, the California Department of Education's deter-
mination shall stand. A school may not open in a facility without a posi-
tive determination.
(b) A school in its first year of operation may only commence instruc-
tion between July 1 and September 30 of the year in which it proposes
to commence operation.
NOTE: Authority cited: Sections 3303 1 and 47605.8, Education Code. Reference:
Section 47605.8, Education Code.
History
1. New section filed 6-22-2005; operative 6-22-2()(J5 pursuant to Government
Code section 11. 343.4 (Register 2005, No. 25).
§ 1 1 967.8. Funding for Statewide Benefit Charter Schools.
(a) A statewide benefit charter school approved pursuant to Education
Code section 47605.8 shall be direct-funded pursuant to Chapter 6 of
Part 26.8 of the Education Code (commencing with section 47630), with
the following exceptions:
(1) A statewide benefit charter school's general-purpose entitlement
pursuant to Education Code .section 47633 shall be funded entirely from
state aid.
(2) A statewide benefit charter school does not have a "sponsoring lo-
cal education agency" as defined in Education Code section 47632.
(b) The warrant for a statewide benefit charter school shall be drawn
in favor of the State Superintendent of Public Instruction and a county
office of education as follows:
(1) The State Board of Education may designate a county office of
education as the office responsible for establishing the appropriate funds
or accounts in the county treasury for the statewide benefit charter school
and for making the necessary arrangements for the statewide benefit
charter school's participation in the State Teachers' Retirement System
and/or the Public Employees' Retirement System. The county office may
charge the statewide benefit charter school for the actual cost of services.
(2) In designating a county office of education, the State Board shall
give preference to the county office of education of the county that the
statewide benefit charter school identifies as the principal location of its
business records.
(3) If the county office of education in the county that the statewide
benefit charter school identifies as the principal location of its business
records declines to accept the responsibility for the statewide benefit
charter school, the State Board of Education may designate another
county office of education by mutual agreement.
NOTE: Authority cited: Sections 33031 and 47605.8, Education Code. Reference:
Sections 47605.8, 47632, 47633 and 47651, Education Code.
History
1. New section filed 6-22-2005; operative 6-22-2005 pursuant to Government
Code section 1 1343.4 (Register 2005, No. 25).
§ 1 1 968. Maximum Number of Charters.
(a) If a charter school, including a statewide benefit or countrywide
charter school, ceases to operate by voluntary surrender, revocation, or
non-renewal of its charter, the charter school's number will lapse and
will not be reassigned.
(b) On July 1, 1999, and on each succeeding July 1, the limit on the
total number of charter schools authorized to operate in this stale will be
increased by 100.
(c) Whenever the statutory limit on the permissible number of charier
schools authorized to operate in this state is reached, requests for new
numbers will be placed on a list in the order received by the State Board
of Education.
NOTE: Authority cited: Sections 33031 and 47602(b), Education Code. Refer-
ence: Section 47602, Education Code.
History
1. New section filed 2-8-99 as an emergency; operative 2-8-99 (Register 99, No.
7). A Certificate of Compliance must be transmitted to OAL by 6-8-99 or emer-
gency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 1 1346.1(g) (Register 99,
No. 31).
3. New section filed 7-28-99; operative 7-28-99 pursuant to Government Code
section 11343.4(d) (Register 99, No. 31).
4. Amendment filed 6-22-2005; operative 6-22-2005 pursuant to Government
Code section 1 1343.4 (Register 2005, No. 25).
§ 1 1 969. Numbering of Charter School Petitions.
(a) In accordance with subdivision (a) of section 47602 of the Educa-
tion Code, the California Department of Education, on behalf of the State
Board of Education, shall establish and administer a numbering system
to track the total number of charter schools authorized to operate in the
state, based on the chronological order of the receipt of a complete charter
petiUon and notification of charter approval by a local educational
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§ 11969.1
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
agency or, in the case of a charter petition approved by the State Board
of Education, the date and time of the State Board's approval.
(b) When the State Board of Education approves a charter petition or
receives notice that a charter petition has been approved by a local educa-
tion agency, the State Board shall assign a number to that charter petition
in accordance with section 47602(a)(1) of the Education Code.
NOTE; Authority cited: Section 33031, Education Code. Reference: Section
47602, Education Code.
History
1 . New section filed 4-9-99 as an emergency; operative 4-9-99 (Register 99, No.
13). A Certificate of Compliance must be transmitted to OAL by 8-9-99 or
emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-9-99 order transmitted to OAL 6-30-99 and
filed 8-1 1-99 (Register 99, No. 33).
3. Repealer and new section filed 6-22-2005; operative 6-22-2005 pursuant to
Government Code section 1 1343.4 (Register 2005, No. 25).
Article 3. Facilities for Charter Schools.
§ 11 969.1 . Purpose and Stipulation.
(a) This article governs provision of facilities by school districts to
charter schools under Education Code .section 47614.
(b) If a charter school and a school district mutually agree to an alterna-
tive to specific compliance with any of the provisions of this article, noth-
ing in this article shall prohibit implementation of that alternative, includ-
ing, for example, funding in lieu of facilities in an amount commensurate
with local rental or lease costs for facilities reasonably equivalent to faci-
lities of the district.
NOTE: Authority cited: Sections 33031 and 47614(b), Education Code. Refer-
ence: Section 47614, Education Code.
History
1. New article 3 (sections 1 1969.1-1 1969.9) and section filed 7-30-2002; opera-
tive 8-29-2002 (Register 2002, No. 31).
2. Amendment of section heading, section and Note filed 2-28-2008; operative
3-29-2008 (Register 2008, No. 9).
§11969.2. Definitions.
(a) Average Daily Classroom Attendance. As used in Education Code
section 47614(b), "average daily classroom attendance," or "classroom
ADA," is average daily attendance (ADA) for classroom-based appor-
tionments as used in Education Code section 47612.5. "In-district class-
room ADA" is classroom ADA attributable to in-district students. Noth-
ing in this article shall prohibit a school district from allowing a charter
school to include nonclassroom-based ADA in average daily classroom
attendance, but only:
(1) to the extent of the instructional time that the students generating
the nonclassroom-based ADA are actually in the classroom under the di-
rect supervision and control of an employee of the charter school; and
(2) if the school district and charter school agree upon the time(s) that
facilities devoted to students generating nonclassroom-based ADA will
be used.
(b) Operating in the School District. As used in Education Code sec-
tion 47614(b), a charter school is "operating in the school district" if the
charter school meets the requirements of Education Code section
47614(b)(5) regardless of whether the school district is or is proposed to
be the authorizing entity for the charter school and whether the charter
school has a facility inside the school district's boundaries.
(c) In-district Students. As used in Education Code section 47614(b),
a student attending a charter school is an "in-district student" of a school
district if he or she is entitled to attend the schools of the school district
and could attend a school district-operated school, except that a student
eligible to attend the schools of the school district based on interdistrict
attendance pursuant to Education Code section 46600^661 1 or based
on parental employment pursuant to Education Code section 48204(b)
shall be considered a student of the school district where he or she resides.
(d) Contiguous. As used in Education Code section 47614(b), facili-
ties are "contiguous" if they are contained on the school site or immedi-
ately adjacent to the school site. If the in-district average daily classroom
attendance of the charter school cannot be accommodated on any single
school district school site, contiguous facilities also includes facilities lo-
cated at more than one site, provided that the school district shall inini-
mize the number of sites assigned and shall consider student safety. In
evaluating and accommodating a charter school's request for facilities
pursuant to Education Code section 47614, the charter school's in-dis-
trict students must be given the same consideration as students in the dis-
trict-run schools, subject to the requirement that the facilities provided
to the charter school must be contiguous. If a school district's preliminary
proposal or final notification presented pursuant to subdivisions (f) or (h)
of section 11969.9 does not accommodate a charter school at a single
school site, the district's governing board must first make a finding that
the charter school could not be accommodated at a single site and adopt
a written statement of reasons explaining the finding.
(e) Furnished and Equipped. As used in Education Code section
47614(b), a facility is "furnished and equipped" if it includes reasonably
equivalent furnishings necessary to conduct classroom instruction and to
provide for student services that directly support classroom instaiction
as found in the comparison group schools established under section
1 1969.3(a), and if it has equipment that is reasonably equivalent to that
in the comparison group schools. "Equipment" means property that does
not lose its identity when removed from its location and is not changed
materially or consumed immediately (e.g., within one year) by use.
Equipment has relatively permanent value, and its purchase increases the
total value of a Local Educational Agency's (LEA' s) physical properties.
Examples include furniture, vehicles, machinery, motion picture film,
videotape, furnishings that are not an integral part of the building or
building system, and certain intangible assets, such as major software
programs. Furnishings and equipment acquired for a school site with
non-district resources are excluded when determining reasonable equiv-
alence.
(0 General Fund. As used in Education Code section 47614(b)(1),
"general fund" means the main operating fund of the LEA. It is used to
account for all activities except those that are required to be accounted
for in another fund. In keeping with the minimum number of funds princi-
ple, all of an LEA' s activities are reported in the general fund unless there
is a compelling reason to account for an activity in another fund. An LEA
may have only one general fund.
(g) Unrestricted Revenues. As used in Education Code section
47614(b)(l ), "unrestricted revenues" are those funds whose uses are not
subject to specific constraints and that may be used for any purposes not
prohibited by law. Restricted revenues are those funds received from ex-
ternal sources that are legally restricted or that are restricted by the donor
to specific purposes. Programs funded by a combination of restricted and
unrestricted sources will be accounted for and reported as restricted.
Funds or activities that are not restricted or designated by the donor, but
rather by the LEA' s governing board, will be accounted for and reported
as unrestricted.
(h) Facilities Costs. As used in Education Code section 47614(b)(1),
"facilities costs" are those activities concerned with keeping the physical
plant open, comfortable, and safe for use and keeping the grounds, build-
ings, and equipment in working condition and a satisfactory state of re-
pair. These include the activities of maintaining safety in buildings, on
the grounds, and in the vicinity of schools. This includes plant mainte-
nance and operations, facilities acquisition and construction, and facili-
ties rents and leases.
NOTE: Authority cited: Sections 33031 and 47614(b), Education Code. Refer-
ence: Sections 46600-4661 1, 47612.5, 47614 and 48204, Education Code.
History
1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. Amendment of section and NoTE filed 2-28-2008; operative 3-29-2008 (Reg-
ister 2008, No. 9).
§ 1 1 969.3. Conditions Reasonably Equivalent.
The following provisions shall be used to determine whether facilities
provided to a charter school are sufficient to accommodate charter school
students in conditions reasonably equivalent to those in which the stu-
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California Department of Education
§ 11969.3
dents would be accommodated if they were attending public schools of
the school district providing facilities, as required by Education Code
section 476! 4(b).
(a) Comparison Group.
( 1 ) The standard for determining whether facilities are sufficient to ac-
commodate charter school students in conditions reasonably equivalent
to those in which the students would be accommodated if they were at-
tending public schools of the school district providing facilities shall be
a comparison group of district-operated schools with similar grade lev-
els. If none of the district-operated schools has grade levels similar to the
charter school, then a contiguous facility within the meaning of subdivi-
sion (d) of section 1 J 969.2 shall be an existing facility that is most consis-
tent with the needs of students in the grade levels served at the charter
school. The district is not obligated to pay for the modification of an ex-
isting school site to accommodate the charter school' s grade level config-
uration.
(2) The comparison group shall be the school district-operated
schools with similar grade levels that serve students living in the high
school attendance area, as defined in Education Code section
17070.15(b), in which the largest number of students of the charter
school reside. The number of charter school students residing in a high
school attendance area shall be determined using in-district classroom
ADA projected for the fiscal year for which facilities are requested.
{?>) For school districts whose students do not attend high school based
on attendance areas, the comparison group shall be three schools in the
school district with similar grade levels that the largest number of stu-
dents of the charter school would otherwise attend. For school districts
with fewer than three schools with similar grade levels, the comparison
group shall be all schools in the .school district with similar grade levels.
(4) Although the district is not obligated to pay for the modification of
an existing school site to accommodate the charter school's grade level
configuration, nothing in this article shall preclude the district from en-
tering into an agreement with the charter school to modify an existing
school site, with the costs of the modifications being paid exclusively by
the charter school or by the school district, or paid jointly by the district
and the charter school.
(b) Capacity.
(1) Facilities made available by a school district to a charter school
shall be provided in the same ratio of teaching stations (classrooms) to
ADA as those provided to students in the school district attending com-
parison group schools. School district ADA sfiall be determined using
projections for the fiscal year and grade levels for which facilities are re-
quested. Charter school ADA shall be determined using in-district class-
room ADA projected for the fiscal year and grade levels for which facili-
ties are requested. The number of teaching stations (classrooms) shall be
determined using the classroom inventory prepared pursuant to Califor-
nia Code of Regulations, title 2. section 1859.31, adjusted to exclude
classrooms identified as interim housing. "Interim housing" means the
rental or lease of classrooms used to house pupils temporarily displaced
as a result of the modernization of classroom facilities, as defined in
California Code of Regulations, title 2, section 1859.2, and classrooms
used as emergency housing for schools vacated due to structural defi-
ciencies or natural disasters.
(2) If the school district includes specialized classroom space, such as
science laboratories, in its classroom inventory, the space allocation pro-
vided pursuant to paragraph (1) of subdivision (b) shall include a share
of the specialized classroom space and/or a provision for access to rea-
sonably equivalent specialized classroom space. The amount of special-
ized classroom space allocated and/or the access to specialized class-
room space provided shall be determined based on three factors:
(A) the grade levels of the charter school's in-district students;
(B) the charter school's total in-district classroom ADA; and
(C) the per-student amount of specialized classroom space in the com-
parison group schools.
(3) The school district shall allocate and/or provide access to non-
teaching station space commensurate with the in-district classroom
ADA of the charter school and the per-student amount of non-teaching
station space in the comparison group schools. Non-teaching station
space is all of the space that is not identified as teaching station space or
specialized classroom space and includes, but is not limited to. adminis-
trative space, kitchen, multi-purpose room, and play area space. If neces-
sary to implement this paragraph, the district shall negotiate in good faith
with the charter school to establish time allocations and schedules so that
educational programs of the charter school and school district are least
disrupted.
(c) Condition.
(1) All of the factors listed below shall be used by the school district
and charter school to determine whether the condition of facilities pro-
vided to a charter school is reasonably equivalent to the condition of com-
parison group schools. Condition is determined by assessing such factors
as age (from latest modernization), quality of materials, and state of
maintenance.
(A) School site size.
(B) The condition of interior and exterior surfaces.
(C) The condition of mechanical, plumbing, electrical, and fire alarm
systems, including conformity to applicable codes.
(D) The availability and condition of technology infrastructure.
(E) The condition of the facility as a safe learning environment includ-
ing, but not limited to, the suitability of lighting, noise mitigation, and
size for intended use.
(F) The condition of the facility's furnishings and equipment.
(G) The condition of athletic fields and/or play area space.
(2) Notwithstanding paragraph (1) of subdivision (c), at a charter
school established at an existing public school site pursuant to Education
Code sections 47605(a)(2), 52055.5, 52055.55. or 52055.650. the condi-
tion of the facility previously used by the school district at the site shall
be considered to be reasonably equivalent to the condition of school dis-
trict facihties for the first year the charter school uses the facility. During
its first year of operation, the charter school shall be subject to charges
for pro rata costs pursuant to section 1 1969.7, but shall not be subject to
reimbursement for over-allocated space pursuant to section 1 1969.8.
(d) Additional Provisions Relating to a Charter School Established at
an Existing Public School Site.
The following provisions apply only to a charter school established at
an existing public school site pursuant to Education Code sections
47605(a)(2), 52055.5, 52055.55. or 52055.650 and that operated at the
site in its first year pursuant to paragraph (2) of subdivision (c).
(1 ) The school site, as identified in the school's charter, shall be made
available to the school for its second year of operation and thereafter
upon annual request pursuant to Education Code section 47614. The dis-
trict is entitled to charge the charter school pro rata costs for the school
site pursuant to section 1 1969.7, and the district is entitled to receive re-
imbursement for over-allocated space from the charter school pursuant
to section 1 1969.8, except as provided in paragraph (3).
(2)(A) If by material revision of the charter, the location of a charter
school is changed, or if one or more additional sites are approved pur-
suant to Education Code section 47605(a)(4), then the school is entitled
to request and the district shall provide for the use of facilities by the
school in accordance with the revised charter. Education Code section
47614, and the provisions of this article.
(B) If the charter school was established pursuant to Education Code
section 47605(a)(2), the district shall change the school's attendance area
only if a waiver is first secured from the State Board of Education (SBE)
pursuant to Education Code sections 33050-33053 of the requirement in
Education Code section 47605(d)(1) that the school continuously give
admission preference to students residing in the former attendance area
of the school site.
(C) If the charter school was established pursuant to Education Code
sections 52055.5, 52055.55. or 52055.650, the district shall relocate the
school or change the school's attendance area only if a waiver is first se-
cured from the SBE pursuant to Education Code sections 33050-33053
of the provision of statute binding the school to the existing school site.
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§ 11969.4
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( D) If a school district decides to change a charier school's attendance
area as provided in subparagraphs (B) or (C), and if the decision occurs
between November 1 and June 30 and becomes operative in the forth-
coming fiscal year, then the space allocated to the charter school is not
subject to reimbursement for over-allocated space pursuant to section
1 1 969.8 in the forthcoming fiscal year.
(3) If. by February 1 of its first year of operation, a charter school noti-
fies the district that it will have over-allocated space in the following fis-
cal year, the space identified is not subject to reimbursement for over-
allocated space pursuant to section 1 1969.8 in the following year or
thereafter, and the district is entitled to occupy all or a portion of the space
identified. To recover space surrendered to the district pursuant to this
paragraph, a charter school must apply to the district. An application to
recover surrendered space shall be evaluated by the district in accordance
with the provisions of this article.
NOTE: Authority cited: Sections 33031 aiid 47614(b), Education Code. Refer-
ence: Sections 33050-33053, 47605, 47614, 52055.5, 52055.55 and 52055.650,
Education Code.
History
1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002. No. 31).
2. Amendment of section and Note filed 2-28-2008; operative 3-29-2008 (Reg-
ister 2008, No. 9).
§ 11 969.4. Operations and Maintenance.
(a) Facilities and furnishings and equipment provided to a charter
school by a school district shall remain the property of the school district.
(b) The ongoing operations and maintenance of facilities and furnish-
ings and equipment is the responsibility of the charter school. Projects el-
igible to be included in the school district deferred maintenance plan es-
tablished pursuant to Education Code section 17582 and the replacement
of furnishings and equipment supplied by the school district in accor-
dance with school district schedules and practices, shall remain the re-
sponsibility of the school district. The charter school shall comply with
school district policies regarding the operations and maintenance of the
school facility and furnishings and equipment, except to the extent varia-
tion is approved by the district. However, the charter school need not
comply with policies in cases where actual school district practice sub-
stantially differs from official policies.
NOTE: Authority cited: Sections 33031 and 47614(b), Education Code. Refer-
ence: Section 47614, Educafion Code.
History
1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. Amendment of section and Note filed 2-28-2008; operative 3-29-2008 (Reg-
ister 2008, No. 9).
§11969.5. Availability.
The space allocated for use by the charter school, subject to sharing
arrangements, shall be available for the charter school's entire school
year regardless of the school district's instructional year or class schedule
and may not be sublet or used for purposes other than those that are con-
sistent with school district policies and practices for use of other public
schools of the school district without permission of the school district.
NOTE: Authority cited: Section 47614(b), Education Code. Reference: Section
47614, Education Code.
History
1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
§11969.6. Location.
A school district may satisfy the requirements of Education Code sec-
tion 47614 by providing facihties that are located outside the school dis-
trict's boundaries, subject to other provisions of this article and subject
to the restrictions on location of charter schools established in Education
Code sections 47605 and 47605.1. No school district is required to pro-
vide facilities that are located outside the school district's boundaries to
a charter school.
NOTE: Authority cited: Sections 33031 and 47614(b), Education Code. Refer-
ence: Sections 47605, 47605.1 and 47614, Education Code.
History
1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. Amendment of section and Note filed 2-28-2008; operative 3-29-2008 (Res-
ister 2008, No. 9).
§ 1 1 969.7. Charges for Facilities Costs.
If the school district charges the charter school a pro rata share of its
facilities costs for the use of the facilities, the pro rata share shall not ex-
ceed ( I ) a per-square-foot amount equal to those school district facilities
costs that the school district pays for with unrestricted revenues from the
district's general fund, as defined in sections 1 1 969.2(0 and (g) and here-
inafter referred to as "unrestricted general fund revenues." divided by the
total space of the school district times (2) the amount of space allocated
by the school district to the charter school . The following provisions shall
apply to the calculation of the pro rata share of facilities costs:
(a) For purposes of this section, facilities costs that the school district
pays with unrestricted general fund revenues includes those costs
associated with plant maintenance and operations, facilities acquisition
and constaiction, and facilities rents and leases, as defined in section
1 1969.2(h). For purposes of this section, facilities costs also includes:
( 1 ) contributions from unrestricted general fund revenues to the school
district's Ongoing and Major Maintenance Account (Education Code
section 1 7070.75), Routine Restricted Maintenance Account (Education
Code section 17014), and/or deferred maintenance fund,
(2) costs paid from unrestricted general fund revenues for projects eli-
gible for funding but not funded from the deferred maintenance fund, and
(3) costs paid froin unrestricted general fund revenue for replacement
of facilities-related furnishings and equipment, that have not been in-
cluded in paragraphs (1) and (2), according to school district schedules
and practices.
For purposes of this subdivision, facilities costs do not include any
costs that are paid by the charter school, including, but not limited to,
costs associated with ongoing operations and maintenance and the costs
of any tangible items adjusted in keeping with a customary depreciation
schedule for each item.
(b) For purposes of this section, the cost of facilities shall include debt
service costs.
(c) "Space allocated by the school district to the charter school" shall
include a portion of shared space where a charter school shares a campus
with a school district-operated program. Shared space includes, but is
not Umited to, those facilities needed for the overall operation of the cam-
pus, whether or not used by students. The portion of the shared space to
be included in the "space allocated by the school district to the charter
school" shall be calculated based on the amount of space allocated for the
exclusive use of the charter school compared to the amount of space allo-
cated to the exclusive use of the school-district-operated program.
(d) The per-square-foot charge shall be determined using actual faci-
lities costs in the year preceding the fiscal year in which facilities are pro-
vided and the largest amount of total space of the school district at any
time during the year preceding the fiscal year in which facilities are pro-
vided.
(e) The per-square-foot charge shall be applied equally by the school
district to all charter schools that receive facilities under this article, and
a charter school using school district facilities pursuant to Education
Code section 47614 shall report the per-square-foot charge it is paying
in the current fiscal year to the California Department of Education
(CDE) in any notification the charter school makes to the CDE pursuant
to Education Code section 47630.5(b). The CDE shall post the per-
square-foot amounts reported by charter schools on its pubhcly accessi-
ble Web site. The CDE shall offer the opportunity to each school district
to provide explanatory information regarding its per-square-foot charge
and shall post any information received.
(f) If a school district charges a charter school for facilities costs pur-
suant to this article, and if the district is the charter school's authorizing
entity, the facilities are not substantially rent free within the meaning of
Education Code section 47613, and the district may only charge for the
actual costs of supervisorial oversight of the charter school not to exceed
one percent of the school's revenue.
•
Page 162
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Title 5
California Department of Education
§ 11969.9
•
NOTt: Authority cited; Sections 33031 and 47614(b), Education Code. Refer-
ence: Sections 17014, 17070.7.S. 47613. 47614 and 47630.5, Education Code.
History
1. New section filed 7-30-2002: operative 8-29-2002 (Register 2002, No. 31 ).
2. Amendment of section and NoTi. filed 2-28-2008; operative 3-29-2008 (Res-
ister 2008. No. 9).
§ 1 1 969.8. Reimbursement Rates for Over-Allocated
Space.
(a) Space is considered to be over-allocated if (1) the charter school's
actual in-district classroom ADA is less than the projected in-district
classroom ADA upon which the facility allocation was based and (2) the
difference is greater than or equal to a threshold ADA amount of 25 ADA
or 10 percent of projected in-district classroom ADA, whichever is
greater. The per-pupil rate for over-allocated space shall be equal to the
statewide average cost avoided per pupil set pursuant to Education Code
section 42263 for 2005-06, adjusted annually thereafter by the CDE by
the annual percentage change in the general-purpose entitlement to char-
ter schools calculated pursuant to Education Code section 47633,
rounded to the next highest dollar, and posted on the CDE Web site. The
reimbursement amount owed by the charter school for over-allocated
space shall be equal to ( 1 ) this rate times the difference between the char-
ter school's actual in-district classroom ADA and the projected in-dis-
trict classroom ADA upon which the facility allocation was based, less
(2) this rate times one-half the threshold ADA. For purposes of this sub-
division, the actual in-district classroom ADA shall be determined using
the report submitted pursuant to section 1 1969.9(/) in conjunction with
the second principal apportionment under Education Code section
41601.
(b) A charter school must notify the school district when it anticipates
that it will have over-allocated space that could be used by the school dis-
trict. Upon notification by a charter school that the charter school antici-
pates having over-allocated space, a school district may elect to use the
space for school district programs. The school district must notify the
charter school whether or not it intends to use the over-allocated space
within 30 days of the notification by the charter school. If the school dis-
trict notifies the charter school that it intends to use all or a portion of the
over-allocated space, payments for over-allocated space and pro rata
share payments shall be reduced accordingly beginning at the time of the
school district notification to use the space. If the school district notifies
the charter school that it does not intend to use the space, the charter
school must continue to make payments for over-allocated space and pro
rata share payments. The school district may, at its sole discrefion, reduce
the amounts owed by the charter school.
(c) With respect to charter schools established at exisfing public school
sites pursuant to Education Code secfions 47605(a)(2), 52055.5,
52055.55, or 52055.650, the provisions of this secfion are limited by the
applicable provisions of subdivisions (c) and (d) of secfion 11969.3.
NOTE: Authority cited; Sections 33031 and 47614(b), Education Code. Refer-
ence: Sections 41601, 42263. 47603, 47614, 47633, 52055.5, 52055.55 and
52055.650, Education Code.
History
1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. Amendment of subsection (a), new subsection (c) and amendment of Note fded
2-28-2008; operative 3-29-2008 (Register 2008, No. 9).
§ 11 969.9. Procedures and Timelines for the Request for,
Reimbursement for, and Provision of.
Facilities.
(a) A charter school must be operafing in the school district as defined
in Educafion Code secfion 47614 before it submits a request for facilifies.
A new or proposed new charter school is operating within the school dis-
trict and, therefore, eligible to request facilities for a parficular fiscal year
only if it submitted its charter petidon pursuant to Education Code sec-
fions 47605, 47605.5, 47605.6, or 47605.8 on or before November 1 of
the fiscal year preceding the year for which facilities are requested. A
new charter school is entitled to be allocated and/or provided access to
facilifies only if it receives approval of the petition before March 15 of
the fiscal year preceding the year for which facilities are requested.
(b) To receive facilities during a particular fiscal year, a charier school
must submit a written facilities request to the school district on or before
November 1 of the preceding fiscal year.
(c)(l ) The written facilifies request consists of:
(A) reasonable projections of in-district and total ADA and in-district
and total classroom ADA, based on ADA claimed for apportionment, if
any, in the fiscal year prior to the fiscal year in which the facilities request
is made, adjusted for expected changes in enrollment in the forthcoming
fiscal year;
(B) a description of the methodology for the projecfions;
(C) if relevant (i.e., when a charter school is not yet open or to the ex-
tent an operating charter school projects a substanfial increase in in-
district ADA), documentation of the number of in-district students inea-
ningfully interested in attending the charter school that is sufiicient for
the district to determine the reasonableness of the projection, but that
need not be verifiable for precise arithmetical accuracy;
(D) the charter school's operational calendar;
(E) informafion regarding the district school site and/or general geo-
graphic area in which the charter school wishes to locate; and
(F) information on the charter school's educational program, if any,
that is relevant to assignment of facilities.
(2) Projections of in-district ADA, in-district classroom ADA, and
the number of in-district students shall be broken down by grade level
and by the school in the school district that the student would otherwise
attend.
(3) School districts may require the charier school to submit its facili-
ties request containing the information specified in paragraphs ( 1 ) and
(2) on a form available from the CDE and developed in consultation with
the Advisory Commission on Charter Schools ( ACCS) or another form
specified by the school district. School districts may also require the
charter school either to distribute a reasonable number of copies of the
written facilities request for review by other interested parties, such as
parents and teachers, or to otherwise make the request available for re-
view.
(d) The .school district shall review the charter school's projections of
in-district and total ADA and in-district and total classroom ADA and,
on or before December 1 , express any objections in wrifing and state the
projections the district considers reasonable. If the district does not ex-
press objecfions in writing and state its own projections by the deadline,
the charier school's projecfions are no longer subject to challenge, and
the school district shall base its offer of facilities on those projections.
(e) On or before January 2, the charter school shall respond to any ob-
jecfions expressed by the school district and to the district's projections
provided pursuant to subdivision (d). The charter school shall reaffirm
or modify its previous projecfions as necessary to respond to the informa-
tion received from the district pursuant to subdivision (d). If the charier
school does not respond by the deadline, the district's projections pro-
vided pursuant to subdivision (d) are no longer subject to challenge, and
the school district shall base its offer of facilities on those projections.
(f) On or before February 1. the school district shall prepare in writing
a preliminary proposal regarding the space to be allocated to the charter
school and/or to which the charter .school is to be provided access. At a
minimum, the prehminary proposal shall include (1) the projecfions of
in-district classroom ADA on which the proposal is based, (2) the specif-
ic locafion or locafions of the space, (3) all conditions pertaining to the
space, including a draft of any proposed agreement pertaining to the char-
ter school's use of the space, and (4) the projected pro rata share amount
and a description of the methodology used to determine that amount. The
district shall also provide the charter school a list and description of the
comparison group schools used in developing its preliminary proposal,
and a description of the differences between the preliminary proposal and
the charter school's facilities request as submitted pursuant to subdivi-
sion (b).
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§ 11969.10
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(g) On or before March 1, the charter school shall respond in writing
to the school district's preliminary proposal made pursuant to subdivi-
sion (f), expressing any concerns, addressing differences between the
preliminary proposal and the charter school's facilities request as sub-
mitted pursuant to subdivision (b), and/or making counter proposals.
(h) On or before April 1 . having reviewed any concerns and/or counter
proposals made by the charter school pursuant to subdivision (g), the
school district shall submit in writing a final notification of the space of-
fered to the charter school. The notification shall include a response to
the charter school's concerns and/or counter proposals (if any). The noti-
fication shall specifically identify:
(1) the teaching station, specialized classroom space, and non-teach-
ing station space offered for the exclusive use of the charter school and
the teaching station, specialized classroom space, and non-teaching sta-
tion space to which the charter is to be provided access on a shared basis
with district-operated programs;
(2) for shared space, the arrangements for sharing;
(3) the in-district classroom ADA assumptions for the charter school
upon which the allocation is based and. if the assumptions are different
than those submitted by the charter school pursuant to subdivision (e), a
written explanation of the reasons for the differences;
(4) the specific location or locations of the space;
(5) all conditions pertaining to the space;
(6) the pro rata share amount; and
(7) the payment schedule for the pro rata share amount, which shall
take into account the timing of revenues from the state and from local
property taxes.
(i) The charter school must notify the school district in writing whether
or not it intends to occupy the offered space. This notification must occur
by May 1 or 30 days after the school district notification pursuant to sub-
division (h), whichever is later. The charter school's notification can be
withdrawn or modified before this deadline. After the deadline, if the
charter school has notified the school district that it intends to occupy the
offered space, the charter school is committed to paying the pro rata share
amount as identified. If the charter school does not notify the school dis-
trict by this deadline that it intends to occupy the offered space, then the
space shall remain available for school district programs and the charter
school shall not be entitled to use facilities of the school district in the fol-
lowing fiscal year.
(j) The space allocated to the charter school by the school district (or
to which the school district provides the charter school access) must be
furnished, equipped and available for occupancy by the charter school
for a period of at least ten working days prior to the first day of instruction
of the charter school. For good cause, the period is subject to reduction
by the school district, but to no fewer than seven working days.
(k) The school district and the charter school shall negotiate an agree-
ment regarding use of and payment for the space. The agreement shall
contain at a minimum, the information included in the notification pro-
vided by the school district to the charter school pursuant to subdivision
(h). In addition:
(1) The charter school shall maintain general liability insurance nam-
ing the school district as an additional insured to indemnify the school
district for damage and losses for which the charter school is liable. The
school district shall maintain first party property insurance for the facili-
ties allocated to the charter school.
(2) The charter school shall comply with school district policies re-
garding the operations and maintenance of the school facility and fur-
nishings and equipment.
(3) A reciprocal hold-harmless/indemnification provision shall be es-
tablished between the school district and the charter school.
(4) The school district shall be responsible for any modifications nec-
essary to maintain the facility in accordance with Education Code section
47610(d) or 47610.5.
(/) The charter school must report actual ADA to the school district ev-
ery time that the charter school reports ADA for apportionment purposes.
The reports must include in-district and total ADA and in-district and
total classroom ADA. The charter school must maintain records docu-
menting the data contained in the reports. These records shall be avail-
able on request by the school district.
NOTE; Authority cited: Sections 33031 and 47614(b), Education Code. Refer-
ence: Sections 47605, 47605.5, 47605.6, 47605.8, 47610. 47610.5 and 47614,
Education Code.
History
1 . New section filed 7-30-2002: operative 8-29-2002 (Register 2002, No. 31).
2. Amendment of section and Note filed 2-28-2008; operative 3-29-2008 (Reg-
ister 2008, No. 9).
§ 11 969.1 0. Mediation of Disputes.
If a dispute arises between a school district and a charter school con-
cerning the provisions of Education Code section 47614 or this article,
nothing in this article shall preclude the dispute being subject to medi-
ation in accordance with the procedures set forth in this section, if agree-
able to both parties. Mediation consists of the following:
(a) The initiating party shall select a mediator, subject to the agreement
of the responding party. If, though agreeing to mediation, the parties are
unable to agree upon a mediator, the CDE shall be requested by the initi-
ating parly to appoint a mediator within seven days to assist the parties
in resolving the dispute. The mediator shall meet with the parties as
quickly as possible.
(b) Within seven days of the selection or appointment of the mediator,
the party initiating the dispute resolution process shall prepare and send
to both the responding party and the mediator a notice of dispute that shall
include the following information:
(1) The name, address, and phone numbers of designated representa-
tives of the parties;
(2) A statement of the facts of the dispute, including information re-
garding the parties' attempts to resolve the dispute;
(3) The specific sections of the statute or regulations that are in dispute;
and
(4) The specific resolution sought by the initiating party.
(c) Within seven days of receiving the informafion specified in subdi-
vision (b), the responding party shall file a written response.
(d)(1) The mediation procedure shall be entirely informal in nature.
However, copies of exhibits upon which either party bases its case shall
be shared with the other party. The relevant facts shall be elicited in a nar-
rative fashion to the extent possible, rather than through examination and
cross-examination of witnesses. The rules of evidence will not apply and
no record of the proceedings will be made.
(2) If an agreement is reached, the agreement shall be reduced to writ-
ing and shall be signed by the school district and the charter school. The
agreement shall not set a precedent for any other case.
(3) If the school district and the charter school fail to meet within the
specified time line, have not reached an agreement within 15 days from
the first meeting held by the mediator, or if the mediator declares the par-
ties at impasse, the mediation is terminated.
(e) The costs of the mediafion shall be divided equally by the two par-
ties and paid promptly.
NOTE: Authority cited: Sections 33031 and 47614(b), Education Code. Refer-
ence: Section 47614, Education Code.
Hestory
1 . New section filed 2-28-2008; operative 3-29-2008 (Register 2008, No. 9). For
prior history, see Register 2002, No. 37.
§ 1 1 969.1 1 . Operative Date of Changes.
The changes to this article made during 2007 and 2008 and filed with
the Secretary of State in February 2008 shall become operative with the
requests submitted by charter schools during fiscal year 2008-09 for the
use of facilities in fiscal year 2009-10.
•
Page 162.2
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Title 5
California Department of Education
§ 11973
•
NOTE; Authority cited: Sections 33031 and 47614(b). Education Code. Refer-
ence: Section 47614, Education Code.
History
I . New section Hied 2-28-2008; operative 3-29-2008 (Register 2008, No. 9).
Subchapter 20. Education Technology
Staff Development Program
§11970. Definitions.
For purposes of the Education Technology Staff Development Pro-
gram pursuant to Education Code sections 44730-44731 the following
definitions shall apply:
(a) "Action plan" as used in Education Code section 4473 1(d) means
a written document that outlines how the use of education technology
will be integrated into the curriculum through the incorporation of educa-
tion technology into any professional development. This plan should ex-
plain how education technology will be successfully included in existing
professional development programs such as, the Instructional Time and
Staff Development Reform Program, the beginning Teacher Support and
Assessment Program; the Mentor Teacher Program; the Bilingual Teach-
er Training Program; Inter-segmental Staff Development; Demonstra-
tion Programs in Intensive Instruction; Teacher Instructional Training in
Math; Reading Instruction Training in Grades 4-12; Special Education;
Administrator Training; and. National Board Certification.
While each participating school must have an action plan for its grades
4 through 8 teachers and staff, the action plan may be developed at the
school district level if that is how staff development program decisions
have been made historically in the school district.
(b) "Classroom" as used in Education Code section 44731(a) means
a room in which students in grades 4 through 8 receive core curriculum
instruction for some or all of the school day. Core curriculum instruction
includes language arts, math, science, and history. Excluded from this
definition of classroom are libraries, computer labs, multi-purpose
rooms and gymnasiums.
(c) "Internet access" as used in Education Code section 44731(a)
means a networked connection to the Internet either through ( 1 ) one com-
puter in the classroom that is also connected to an LCD panel, television,
or other device that allows it to be viewed by the entire class or (2) all the
computers in the classroom necessary to meet the definition of "suffi-
cient number of computers in the classroom." The number of classrooms
with Internet access is determined on the date the local governing board
certifies the application; however, connections to be completed under an
E-Rate funding commitment letter by the end of the state fiscal year in
which the application for this program is made may also be counted.
(d) "Sufficient number of computers" as used in Education Code sec-
tion 4473 1 (a) means one computer per ten students in the classroom. The
number of computers per classroom is determined on the date the local
governing board certifies the application.
(e) "Up-to-date computers" as used in Education Code section
4473 1 (a) means multimedia computers with access to a CD-ROM, inter-
nally or over a network, that have the capacity to access web-based re-
sources.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
44730 and 44731 , Education Code.
History
1 . New subchapter 20 (section 11 970) and section filed 3-23-99 as an emergency ;
operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be
transmitted to OAL by 7-2 1-99 or emergency language will be repealed by op-
eration of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-2 1 -99 and
filed 8-31-99 (Register 99, No. 36).
Subchapter 20.5. Enhancing Education
Through Technology Grant Program
§11971. Purpose.
The purpose of these regulations is to set forth guidelines for program
administration and allocation of funds to administer the competitive
grants pursuant to the federal Enhancing Education Through Technology
Act of 2001.
NOTE: Authority cited: Section 52293.30, Education Code. Reference: Sections
52295.10-52295.35, Education Code; Public Law 107-1 10. Title II. Pan I). Sec-
tions 2401-2441 ; and 20 USC Sections 6751-6777.
History
1. New subchapter 20.5 (sections 1 1971-1 1979.5) and section filed 4-3-2003 as
an emergency; operative 4-2.3-2003 (Register 2003, No. 14). A Certificate of
Compliance must be transmitted to OAL by 8-1-2003 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-23-2003 order transmitted to OAL
7-15-2003 and filed 8-26-2003 (Register 2003, No. 35).
§11972. Federal Definition.
For purposes of the Enhancing Education Through Technology
(EETT) Competitive Grant pursuant to the federal No Child Left Behind
(NCLB) legislation (Public Law 107-110, Title II, Part D, Sections
2401-2441), the following definition shall apply:
(a) "Not of sufficient size to be effective" as used in Section 2412 of
the federal No Child Left Behind legislation (Public Law 107-1 10, Title
II, Part D) means that a district received less than $ 1 0,000 in funding from
the EETT formula-funded grant.
NOTE: Authority cited: Section 52295.30, Education Code. Reference: Public
Law 107-1 10, Title 11, Part D. Section 2412; and 20 USC Section 6762.
Hkstory
1. New section filed 4-3-2003 as an emergency; operative 4-23-2003 (Register
2003, No. 14). A Certificate of Compliance must be transmitted to OAL by
8-1-2003 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 4-23-2003 order transmitted to OAL
7-15-2003 and filed 8-26-2003 (Register 2003, No. 35).
§ 1 1 973. State Definitions.
For purposes of the requirements for the competitive Education
Technology Grant Program established by Senate Bill 192 (Education
Code sections 52295.10-52295.55), the following definitions shall ap-
ply;
(a) "School district" as used in SB 192 (O'Connell), Education Code
section 52295.25, for purposes of EETT competitive grant eligibility,
means a school district, a consortium of school districts, a county office
of education, or a direct-funded charter school (i.e., charter schools in
which the state warrant will be drawn in favor of the county superinten-
dent of schools of the county in which the charter approving Local
Education Agency (LEA) is located and deposited in the appropriate
fund or account of the charter school) that meet all of the following crite-
ria:
(1) It is among the school districts in the state with the highest number
or percentage of children from families with an income below the poverty
line established by the federal Director of the Office of Management and
Budget, as annually revised by the Secretary of Health and Human Ser-
vices; and
(2) It serves pupils in grades 4 to 8, inclusive, except as specified in
subdivision (c) of Education Code .section 52295.35; and
(3) It meets either of the following two criteria:
(A) It operates one or more schools identified for improvement or cor-
rective action under Section 1116 of the federal No Child Left Behind
Act of 2001 (Public Law 107-1 10) (schools are listed on the California
Department of Education website (http://www.cde.ca.gov/iasa/titleone/
pi/query. asp); or
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§ 11973
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(B) It has a substantial need for assistance in acquiring and using
technology.
(b) "Substantial need for assistance in acquiring and using technolo-
gy" as used in SB 192 (O'Connell). Education Code section
52295.25(a)(2)(B), means having either an average of 10: 1 student-to-
multimedia computer ratio or greater in schools serving grades 4-8 in the
district or an average of less than 50% of classrooms connected to the In-
ternet in schools serving grades 4-8 in the district as determined by the
California School Technology Survey for the year prior to the grant
award. Technology purchased through the School Renovation Technolo-
gy Grant will be considered when calculating the student-to-multimedia
computer ratio.
(c) "Eligible schools" as used in SB 1 92 (O'Connell), Education Code
section 52295.35(a), means schools from eligible school districts that
serve students in grades 4—8.
(d) "Small schools" as used in SB 192 (O'Connell), Education Code
section 52295.35(c), means schools that have 300 or fewer pupils in all
grades served.
(e) "Minimum grant levels for a small school" as used in SB 192
(O'Connell), Education Code section 52295.35 (c), means an imple-
mentation grant base amount of $25,000 for 1-100 eligible pupils plus
$300 per eligible pupil in excess of the first 25 eligible pupils; an imple-
mentation grant base amount of $ 1 5 ,000 for 1 0 1 -200 eligible pupils plus
$300 per eligible pupil in excess of the first 25 eligible pupils; and an im-
plementation grant base amount of $10,000 for 201-300 eligible pupils,
plus $300 per eligible pupil in excess of the first 25 eligible pupils.
(f) "Amount of funding for grants available to each region" as used in
SB 192 (O'Connell), Education Code section 52295.35(a), means the
proportional enrollment of grade 4-8 pupils, in eligible districts from
each of the eleven California Technology Assistance Project (CTAP) re-
gions. (See the California Department of Education (CDE) website:
<http://www.cde.ca.gov/edtech/ctap.htm>.)
(g) "Successfully completes" as used in SB 192 (O'Connell), Educa-
tion Code section 52295.35(d), means the school district has met or made
significant progress (accomplished 70% or greater of each required
benchmark included in the Enhancing Education Through Technology
(EETT) Competitive grant application as well as any additional bench-
mark(s) added by the Local Education Agency (LEA)) in meeting its
end-of-grant award accountability measures and will be eligible to apply
for the one-lime follow-up grant award, depending on funding availabil-
ity.
(h) "Accountability measures" as used in SB 192 (O'Connell), Educa-
tion Code Section 52295.45(e), means the following six performance
goal benchmarks:
( 1 ) The percentage of students in the target group that demonstrate an
increase in their use of technology as a tool to support meeting or exceed-
ing academic content standards will increase from a baseline of <pro-
vided by school district>% in the first year of the grant award to <pro-
vided by school district>% by the date specified in the EETT
Competitive grant application to <provided by school district>% by the
end of the second implementation grant as specified in the EETT Com-
petitive application and defined in Section 1 1973(i).
(2) Teachers in the target group who participated in professional de-
velopment on education technology will demonstrate an increase in their
proficiency in the use of technology as a tool for teaching and learning
from a baseline of <provided by school district>% in the first year of the
grant award to <provided by school district>% by the date specified in
the EETT Competitive grant applicafion and to <provided by school dis-
trict>% by the end of the second implementation grant as specified in the
EETT CompetiUve application and defined in Section 1 1973(i).
(3) Teachers in the target group participating in professional develop-
ment on educafion technology will increase their use of technology as a
tool to support student academic achievement from a baseline of <pro-
vided by school district>% in the first year of the grant award to <pro-
vided by school district>% by the date specified in the EETT Compefi-
tive grant application and to <provided by school district>% by the end
of the second implementation grant as specified in the EETT Competitive
application and defined in SecUon 1 1973(i).
(4) The average student-to-multimedia computer ratio at funded
schools in the application will decrease from a baseline of <ratio pro-
vided by school district>% in the first year of the grant award to <rafio
provided by school district> by the date specified in the EETT Competi-
tive grant appHcation and to <ratio provided by school district> by the
end of the second implementation grant as specified in the EETT Com-
petitive applicafion and defined in Section 1 1973(i).
•
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§ 11975
•
•
(5) The percentage of funded schools in the application with less than
50% of classrooms connected to the Internet will decrease from a base-
line of <provided by school district>% in the first year of the grant award
to <provided by school district>% by the date specified in the EETT
Competitive grant application and to <provided by school district>% by
the end of the second implementation grant as specified in the EETT
Competitive application and defined in Section 1 1973(i).
(6) Describe the communication and collaboration utilizing technolo-
gy that will be implemented or improved to support home, school, and
community; how that implementation or improvement will be measured;
and the benchmark that will be targeted.
(i) "Implementation grant" as used in SB 192 (O'Connell), Education
Code Section 52295.35(c), means the EETT Competitive grant funding
awarded to LEAs to implement, monitor and evaluate their comprehen-
sive program as written in their approved applications. Each funding
cycle for the EETT Competitive grant may have up to two implementa-
tion grants that total the complete grant award amount for the LEA.
(j ) "Allotment" means the distribution of funds via payments to LEAs
for the implementation grant(s). Allotments for implementation grant
funds may be distributed to LEAs in not less than two payments nor more
than four payments.
NOTE: Authority cited: Section 52295.30. Education Code. Reference: Sections
52295.10. 52295.20, 52295.25, 52295.35 and 52295.45, Education Code; Public
Law 107- 110, Title 11. Part D, Sections 2403, 241 2 and 241 4: and 20 use Sections
6753, 6762 and 6764,
History
1. New section filed 4-3-2003 as an emergency; operative 4-23-2003 (Register
2003, No. 14). A Certificate of Compliance must be transmitted to OAL by
8-1-2003 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 4-23-2003 order, including amendment of sub-
sections (b), (f) and (h)(5), transmitted to OAL 7-1 5-2003 and filed 8-26-2003
(Register 2003, No. 35).
3. Amendment of subsections (g)-(h)(5) and new subsections (i) and (i) filed
5-24-2004; operative 5-24-2004 pursuant to Government Code section
1 1 343.4 (Register 2004, No. 22).
§11974. Eligibility Requirements.
To be eligible for EETT competitive grant funding, applicants must:
(a) Meet the definition of a school district, as referenced above in Sec-
tion 11973(a);
(b) Have a district technology plan as required by Education Code Sec-
tions 52295.35 and 51 871 .5 and by Public Law 107-1 10, Title II, Part D
Section 2414 (20 USC Section 6764);
(c) Apply for the EETT competitive grant;
(d) Complete EETT Forms 1-7 (see Section 1 1 975, (a)-(g)) and, when
applicable Forms 8a, 8b. and 8c and 9, (see Section 1 1975, (h)-(k));
(e) Complete the application narrative;
(f) Submit the EETT Competitive application not later than the due
date specified by the CDE to the California Department of Education,
Education Technology Office, located at 1430 N Street, Sacramento,
C A, 95814;
(g) Pass the CDE pre-screening for application completeness and for-
mat that includes having all of the required application components, in-
cluding completed EETT Forms 1-9 as applicable, original signatures as
needed, pages numbered according to format requirements; and
(h) Receive a minimum of 50% of the score possible on the EETT
Scoring Criteria. Those criteria are incorporated by reference and were
issued on April 9, 2003.
NOTE: Authority cited: Section 52295.30, Education Code. Reference: Sections
52295.10, 52295.20. 52295.25, 52295.30, 52295.35 and 52295.45, Education
Code; Public Law 107-110, Title II, Part D, Sections 2403, 2412 and 2414; and
20 USC Sections 6753, 6762 and 6764.
History
1. New section filed 4-3-2003 as an emergency; operative 4-23-2003 (Register
2003, No. 14). A Certificate of Compliance must be transmitted to OAL by
8-1-2003 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 4-23-2003 order, including amendment o( sub-
section (0 and NoTi., transmitted to OAL 7-15-2003 and filed 8-26-2003
(Register 2003, No. 35).
3. Amendment of subsection (f) filed 5-24-2004: operative 5-24-2004 pursuant
to Government Code section 1 1343.4 (Register 2004. No. 22).
§ 11975. Application Process and Requirements.
The application will consist of EETT Forms 1 through 9 that provide
information about the applicant. Each of the forms is listed below in sub-
sections (a)-(k). Each of these forms is hereby incorporated by reference.
The application will also consist of a narrative section, described below
in subsection (/).
(a) Form 1. Application Title Page, revised August 26. 2003. This
form must be signed and dated by the applicant's superintendent or de-
signee. If the applicant is applying as part of a consortium and/or partner-
ship, the lead agency name shall be given.
(b) Form 2. Certification Regarding Lobbying. Debarment. Suspen-
sion and Other Responsibility Matters, and Drug-Free Workplace Re-
quirements, revised April 9. 2003. This form must include the place of
performance address, name of applicant, printed name, title, date, and
signature of authorized representative.
(c) Form 3. Project Summary, revised August 26. 2003. The applicant
must provide a concise description of the proposed comprehensive pro-
gram planned through the EETT competitive grant. The summary must
include (I) a statement of the overall intent of the program funds; (2) how
the comprehensive program will support current school district efforts to
promote teaching and enhance learning; and (3) how the program will be
implemented.
(d) Form 4, Accountability Measures/Evaluation, revised August 26,
2003. The applicant must include information for the required perfor-
mance benchmarks for each of the accountability measures, list the data
source(s) (in addition to any data sources that are required), describe the
data collection method to be used, and list the schedule for evaluation.
The applicant may add additional performance goals and benchmarks
beyond the six accountability measures listed on the form.
(e) Form 5, Strategies Chart, revised April 9, 2003. The applicant must
describe the specific strategies and actions that will be implemented to
achieve each of the performance goals and benchmarks referenced
above. The benchmark date for the strategies/actions on Form 5 (refer-
enced in Section 11975 (f): Time Line. Roles and Responsibilities for
Key Personnel) must be included.
(f) Form 6, Time Line, Roles, and Responsibilities for Key Personnel,
revised April 9, 2003. The applicant must include sufficient detail so that
a clear process for implementation of the grant is outlined. At a mini-
mum, applicants should include planning meetings, data collection dates,
recruitment/selection for professional development leaders (i.e.,
coaches, mentors, facilitators), recruitment/selection for professional de-
velopment program participants, selection/ordering of equipment and
electronic learning resources, major milestones (including strategies/ac-
tions for achieving each of the program goals referenced in Section
11975 (e)) for program implementation.
(g) Form 7a, Budget for Years 1 and 2, revised August 26, 2003. The
applicant must provide a listing and description for each object of expen-
diture to be acquired under this grant.
(h) Form 7b. Budget Narrative for Years 1 and 2. revised August 26.
2003, The applicant must provide a description of costs for each object
of expenditure for which grant funding will be allocated.
(i) Form 8a. Priority List of Eligible Middle and Junior High Schools
for Which the District, Consortium, and/or Partnership is Applying, re-
vised August 26, 2003. As applicable, the applicant must list in priority
order all the eligible middle and junior high schools serving grades 4-8
for which the district, consortium, and/or partnership is applying for
funding. The applicant must also indicate whether the listed school or
schools is/are a locally-funded charter school (i.e., charter schools that
receive their funding through the LEA that approved the charter).
(j) Form 8b, Priority List of Eligible Elementary Schools for Which the
District, Consortium, and/or Partnership is Applying, revised August 26,
Page 163
Register 2004, No. 24; 6- 1 1-2004
§ 11976
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
2003. As applicable, the applicant must list in priority order all the eligi-
ble elementary schools serving grades 4-8 for which the district, consor-
tium, and/or partnership is applying for funding, indicating whether the
listed school or schools is/are a locally-funded charter school.
(k) Form 8c, Priority List of Eligible Other Schools Serving Grades
4-8 for Which the District, Consortium, and/or Partnership is Applying,
revised August 26, 2003. As applicable, the applicant must list in priority
order all the other schools serving grades 4-8 for which the district, con-
sortium, and/or partnership is applying for funding, indicating whether
the listed school or schools is/are a locally-funded charter school.
(/) Form 9, Consortium and/or Partnership Applicants, revised August
26. 2003. As applicable, the applicant must identify the lead school dis-
trict and list all applicants within the consortium and/or partnership.
(m) The Application Narrative must include the following sections:
(1) Program for Students;
(2) Professional Development;
(3) Expanded Access for Electronic Learning Resources, Including
Infrastructure, Equipment, and Technical Support;
(4) Communication and Collaboration with Home, School, and Com-
munity; and
(5) Evaluation.
(n) The application narrative sections are described in (1) through (5)
below:
(1) Program for Students. This section includes the program descrip-
tion, number of students who will participate in the program, grade levels
of students who will participate in the program, curricular area(s) of fo-
cus for students, integration of technology to support all students in the
target group in meeting or exceeding state academic content standards,
and administrative commitment to the program for students.
(2) Professional Development. This section includes the research-
based professional development program design and description, the
number of teachers who will participate, whether the program will be ex-
panded over time to include additional teachers, and administrative com-
mitment to the professional development program.
(3) Expanded Access to Electronic Learning Resources, Including In-
frastructure, Equipment and Technical Support. This section includes in-
formation about the current status of technology access, including the ra-
tio of access to technology for teachers and students, how many grade
4-8 classrooms are connected to the Internet, where the technology will
be placed, integration of technology, technology acquisition, and admin-
istrative commitment to expanding access.
(4) Communication and Collaboration Among Home, School, and
Community. This section includes information about collaboration and
partnerships (i.e., higher education, school districts that have effectively
integrated technology and proven teaching strategies based on a review
of relevant research into instruction, public or private non-profit orga-
nizations with demonstrated expertise in the application of educational
technology in education, CTAP) that includes how they support stu-
dents' learning needs, add value to the comprehensive program, and
whether there is administrative commitment for communication and col-
laboration among home, school, and community.
(5) Evaluation. This section includes information regarding the pro-
cess to collect and evaluate data related to all of the accountability mea-
sures. The evaluation process and results will be utilized to form the basis
of a continuous review, refinement, and improvement cycle for the com-
prehensive program. The evaluation plan also provides a process that will
assist CDE in documenting goals and benchmarks to determine eligibil-
ity for the one-time follow-up grant.
NOTE: Authority cited: Section 52295.30, Education Code. Reference: Sections
52295.20, 52295.30, 52295.35, 52295.45 and 52295.50, Education Code.
History
1 . New section filed 4-3-2003 as an emergency; operative 4-23-2003 (Register
2003, No. 14). A Certificate of Compliance must be transmitted to OAL by
8-1-2003 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 4-23-2003 order, including amendment of sec-
tion, transmitted to OAL 7-15-2003 and filed 8-26-2003 (Register 2003, No.
35).
3. Amendment filed 5-24-2004; operative 5-24-2004 pursuant to Government
Code section 1 1343.4 (Register 2004, No. 22).
§ 1 1 976. District Technology Plan Requirement.
Before receiving funding for the EETT coinpetitive grant, applicants
must have a district technology plan as required by Education Code sec-
tions 52295.35 and 51871.5 and by Public Law 107-1 10, Title II, Part D
Section 2414 (20 USC Section 6764).
NOTE: Authority cited: Section 52295.30, Education Code. Reference: Sections
52295.35 and 51871.5, Education Code; Public Law 107-110, Title 11. Part D,
Section 2414: and 20 USC Section 6764.
History
1. New section filed 4-3-2003 as an emergency; operative 4-23-2003 (Register
2003, No. 14). A Certificate of Compliance must be transmitted to OAL by
8-1-2003 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 4-23-2003 order transmitted to OAL
7-15-2003 and filed 8-26-2003 (Register 2003. No. 35).
§11977. Funding.
Funds will be competitively awarded on a geographic basis conform-
ing to the 1 1 CTAP regions, as referenced above in Section 1 1973(f). Ap-
plicants within each region will compete against other applicants from
that region. The amount of funding available for each region is based
upon the California Basic Educational Data System (CBEDS) data two
years prior to the grant award to determine grade 4-8 enrollment. Actual
grant awards to school districts will be based on CBEDS data for one year
prior to the grant award. Technology survey data will be used to deter-
mine the current student-to-multimedia computer ratio and compare to
the request for additional technology within the application. Allocations
are determined through the following procedure:
(a) Listing of districts serving grades 4-8 in the state with the highest
number of children from families with an income below the poverty line
established by the federal Director of the Office of Management and
Budget;
(b) Listing of districts serving grades 4-8 in the state with the highest
percentage of children from families with an income below the poverty
line established by the federal Director of the Office of Management and
Budget;
(c) Merging the top third of the districts from each list to determine fi-
nal eligibility list;
(d) Removing all districts that neither ( 1 ) operate one or more schools
identified for improvement or corrective action under Section 1 116 of the
Federal No Child Left Behind Act of 2001 (Public Law 1 07-1 10), nor (2)
have a substantial need for assistance in acquiring and using technology;
(e) Sorting the list by CTAP region;
(f) Determining the grade 4-8 enrollment for all districts remaining on
the list, and
(g) Determining the proportionate amount of funding for each CTAP
region based upon the total grade 4-8 enrollment for all districts remain-
ing on the list.
NOTE: Authority cited: Sections 52295.30 and 52295.35, Education Code. Refer-
ence: Sections 52295.25 and 52295.35, Education Code.
History
1 . New section filed 4-3-2003 as an emergency; operative 4-23-2003 (Register
2003, No. 14). A Certificate of Compliance must be transmitted to OAL by
8-1-2003 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 4-23-2003 order, including amendment of tlrst
paragraph, transmitted to OAL 7-15-2003 and filed 8-26-2003 (Register
2003, No. 35).
3. Amendment of first paragraph filed 5-24-2004; operative 5-24-2004 pursuant
to Government Code section 11343.4 (Register 2004, No. 22).
§ 11978. Funding Priority.
Funding priority will be determined as follows:
(a) All scored applications will be grouped within each CTAP region
by score percentage ranges (100-90, 89-80, 79-70, 69-60, and 59-50);
•
Page 164
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Title 5
California Department of Education
§ 11980
•
(b) Within each score percentage range, applications will be ranked as
Ibllows:
( 1 ) Applications from school districts that received less than $10,000
in funding from the EETT formula grant will be ranked by score percent-
age and listed first. In the event of a tied score, the applicant with the high-
er substantial need for assistance in acquiring and using technology as
determined by the California School Technology Survey will be listed
first.
(2) Applications from school districts that received $10,000 or more
from the EETT formula funding will be ranked by score percentage range
and placed below the school districts that received less than $10,000 in
EETT formula funding. In the event of a tied score, the applicant with the
higher substantial need for assistance in acquiring and using technology
as determined by the California School Technology Survey will be listed
first.
(c) Starting with the 100-90 score percentage range and working
downward, funding will then be allocated within each scoring percentage
range to school districts based upon the middle and junior high schools
contained in each application.
(d) If there is a balance remaining after all middle and junior high
schools have been funded, starting with the 100-90 score percentage
range and working downward, funding will next be allocated within each
scoring percentage range to each school district based upon the elementa-
ry schools in each application.
(e) If there is a balance remaining after all elementary schools have
been funded, starting with the 100-90 score percentage range and work-
ing downward, funding will be allocated within each score percentage
range to each school district based upon the other schools serving grades
4-8 in the application.
School type will be verified prior to funding. School type will be deter-
mined based on the County District School (CDS) ownership code for
each school listed on forms 8a. 8b, and 8c (see Section 1 1975(h)-(j)) as
of the date the grant application is due. School districts that request a
change of ownership code must have completed a Change Request for a
County-District-School (CDS) Code (revised 6/2003), and submitted
the form to the California Department of Education a minimum of 30
(thirty) working days prior to the grant application deadline to assure the
correct ownership code can be validated.
NOTE: Authority cited: Section 52295.30, Education Code. Reference: Sections
52295.30 and 52295.35, Education Code; Public Law 107-1 10, Title II, Part D
Section 2412; and 20 USC Section 6762.
History
1. New section filed 4-3-2003 as an emergency; operative 4-23-2003 (Register
2003, No. 14). A Certificate of Compliance must be transmitted to OAL by
8-1-2003 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 4-23-2003 order, including new final para-
graph, transmitted to OAL 7-15-2003 and filed 8-26-2003 (Register 2003,
No. 35).
3. Amendment of subsections (b)( 1 )-(2) filed 5-24-2004; operative 5-24-2004
pursuant to Government Code section 11 343.4 (Register 2004. No. 22).
§ 1 1 979. Process for Awarding Grants.
The process for awarding grants will be as follows:
(a) Applications will be read and scored with other applications from
the same CTAP region after the application deadline by readers selected
by CDE. Each reader will read and score the application against the Scor-
ing Criteria. Those criteria are incorporated by reference and were issued
on April 9, 2003. Readers will not read applications from their own
CTAP region. If the readers' scores for the application are not more than
1 0 points apart, the two scores will be averaged to yield the final applica-
tion score. If the readers' scores are more than 10 points apart, the ap-
plication will be re-read and re-scored by a Chief Reader. The Chief
Reader's score determination will be the final score.
(b) Awards for each successful applicant for the implementation grant
will be made in two aJJotments as follows:
(1 ) One allotment for two-thirds of the grant award total.
(2) A second allotment for one-third of the grant award total.
(c) A one-time follow-up grant, depending on funding availability,
may be awarded if the applicant successfully completes the implementa-
tion grant, as referenced in Section 1 1 973(g). For schools not defined as
"small school" as referenced above in Section 1 1973(d), the one-time
follow-up grant may be in the amount of $45 per eligible pupil. For tho.se
defined as "small school" as referenced above in Section I 1973(d). the
one-time follow-up grant may be allocated:
(1) $6,000 for 1-100 eligible students;
(2) $10,000 for 101-200^eligible students;
(3) $13,500 for 201-300 eligible students.
(d) The one-time follow-up grant may be awarded, subject to funding
availability, only after the CDE verifies that the LEA has met or made
significant progress in meeting its accountability measures as referenced
in Section 11973(g).
NOTE: Authority cited: Section 52295.30, Education Code. Reference: Sections
52295.10 and 52295.35, Education Code.
Hestory
1. New section filed 4-3-2003 as an emergency; operative 4-23-2003 (Register
2003. No. 14). A Certificate of Compliance must be transmitted to OAL by
8-1-2003 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 4-23-2003 order, including amendment of sub-
sections (b)( 1 )-(2 ), transmitted to OAL 7- 1 5-2003 and filed 8-26-2003 ( Reg-
ister 2003, No. 35).
3. Amendment of subsections (b)-(c) and (d) filed 5-24-2004; operative
5-24-2004 pursuant to Government Code section 1 1343.4 (Register 2004, No.
22).
§ 11979.5. Uses of Funds,,
Pursuant to the federal No Child Left Behind (NCLB) legislation
(Public Law 107-1 10, Title II. Part D, Sections 2415 and 2416) and SB
192 (O'Connell), Education Code section 52295.40, grantees shall use
grant funds to provide the follov^ing:
(a) A minimum of 25% of the grant shall be used to provide sustained
and intensive, high-quality professional development based on a review
of relevant research in the integration of advanced technologies, includ-
ing emerging technologies, into ctarricula and instruction and in using
those technologies to create new learning environments.
(b) Remaining funds are to be utilized to implement and support the
comprehensive program described in the application in a manner consis-
tent with the federal Educafion Department Guidelines Administrative
Regulafions (EDGAR), located at 34 CFR Parts 76. 77, 80. 81. 82. 85.
and 86 (http://www.access.gpo.gov/cgi-bin/cfrassemble.cgi ?title=
199834) and with SB 192 (O'Connell). Educafion Code section
52295.40.
NOTE: Authority cited: Section 52295.30. Education Code. Reference: Sections
52295.20, 52295.35, 52295.40 and 52295.50, Education Code; Public Law
107-1 10, Sections 2415 and 2416; 20 USC 6765 and 6766; 34 CFR Pails 76, 77,
80, 81,82, 85 and 86.
History
1. New section filed 4—3-2003 as an emergency; operative 4-23-2003 (Register
2003, No. 14). A Certificate of Compliance must be transmitted to OAL by
8-1-2003 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 4-23-2003 order transmitted to OAL
7-15-2003 and filed 8-26-2003 (Register 2003, No. 35).
Subchapter 21. Mathematics and Reading
Professional Development Program
§ 11 980. Teacher Eligibility.
In addition to those teachers identified in Education Code section
99233, teachers who are employed in a public school, who hold a multi-
ple-subject credential, and whose primary assignment is to teach in a
classroom that is not self-contained shall be eligible to receive instruc-
tion in:
(a) Mathematics if their primary teaching assignment is mathematics,
science, or both;
(b) Reading if their primary teaching assignment is reading/language
arts, social science, or both.
Page 165
Register 2007, No. 47; 1 1 -23-2007
§ 11981
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
NOTF.; Authority cited: Section 99236, Education Code. Reference: Section
99233, Education Code.
History
1 . New subchapter 21 (sections 1 1980-1 1986) and section filed 3-25-2002 as an
emergency; operative 3-25-2002 (Register 2002, No. 13). A Certificate of
Compliance must be transmitted to OAL by 7-23-2002 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-25-2002 order transmitted to OAL 7-3-2002
and filed 8-15-2002 (Register 2002, No. 33).
3. Renumbering of former section 1 1980 to section 1 1982 and renumbering and
amendment of former section 11981 to section 1 1980 filed 1 1-19-2007; opera-
tive 11-19-2007 pursuant to Government Code section 11343.4 (Register
2007, No. 47).
§ 11 981 . Funding Allocation for Program Training
Pursuant to Education Code Section 99237.
(a) Funds issued to a Local Educational Agency (LEA) for mathemat-
ics or reading/language arts training pursuant to Education Code section
99237 shall be used for expenses related to program training in accor-
dance with that section. If an LEA has any remaining program funds after
paying for program training, then those funds shall be spent for additional
program training pursuant to Education Code section 99237 or for other
professional development related to mathematics or reading/language
arts.
(b) At the end of each state fiscal year, the California Department of
Education (CDE) shall accrue any remaining balance in the appropri-
ations for this program until funding reverts for a state fiscal year. Ac-
crued funding shall be used only to pay for training completed during the
same state fiscal year in which the accrued funding was appropriated.
CDE shall allocate accrued funding pursuant to Education Code section
99234.
(c) Current-year funding shall be allocated in accordance with Educa-
tion Code section 99234(e).
(d) Reimbursement for program training is limited to those teachers
who provide direct instruction to pupils on either a part-time or full-time
basis.
(e) Of the $1 ,000 stipend per qualified training that an LEA may pay
a teacher, no more than $500 may be paid upon completion of the 40
hours of initial training, and no more than $500 may be paid upon
completion of the 80 hours of follow-up professional development.
NOTE: Authority cited: Section 99236, Education Code. Reference: Sections
99233, 99234 and 99237, Education Code.
History
1. New section filed 3-25-2002 as an emergency; operative 3-25-2002 (Register
2002, No. 13). A Certificate of Compliance must be transmitted to OAL by
7-23-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-25-2002 order transmitted to OAL 7-3-2002
and filed 8-15-2002 (Register 2002, No. 33).
3. Amendment filed 11-4-2004; operative 11-4-2004 pursuant to Government
Code section 1 1343.4 (Register 2004, No. 45).
4. Renumbering of former section 1 1 98 1 to section 1 1 980 and renumbering of for-
mer section 1 1982 to section 1 1981, including amendment of section heading,
section and Note, filed 1 1-19-2007; operative 1 1-19-2007 pursuant to Gov-
ernment Code section 1 1 343.4 (Register 2007, No. 47).
§ 1 1 981 .3. Funding Allocation for Teachers of English
Learners.
(a) Program funds issued to an LEA for the 40-hour English learner
(EL) professional development for teachers of EL pupils shall be used for
the EL professional development program described in Education Code
section 99237.5. If an LEA has any remaining program funds after pay-
ing for EL professional development, then those funds shall be spent for
additional EL professional development pursuant to Education Code
section 99237.5 or for other professional development which focuses on
improving the delivery of mathematics or reading/language arts instruc-
tion to EL pupils.
(b) At the end of each state fiscal year, the CDE shall accrue any re-
maining balance in the appropriations for this program until funding re-
verts for a state fiscal year. Accrued funding shall be used only to pay for
training completed during the same state fiscal year in which the funding
was appropriated. From funds appropriated in the annual Budget Act for
Education Code section 99237.5 in a given state fiscal year, the CDE
shall allocate accrued funding as follows:
( 1 ) Claims for EL training that are postmarked or faxed to the CDE by
November 1 5th of the following state fiscal year and that meet at least one
of the three funding criteria specified in Education Code secfion
99237.5(c) shall receive first priority for funding. An LEA shall indicate
on the claim each criterion under which it qualifies for priority in funding.
If funding is insufficient to fully fund all of these claims, then the CDE
shall prorate the funds. The prorafion shall consist of first dividing the
funds appropriated in the annual Budget Act by the product of $ 1 .250 and
the total number of teachers who received EL training as reflected in
these first priority claims. The resulting number shall then be mulfiplied
by 100 to determine the maximum percentage of an LEA' s trained teach-
ers for which reimbursement may be made pursuant to this subdivision.
As it deems necessary, the CDE may adjust the percentage, which shall
apply equally to all LEAs. to ensure that the amount appropriated in the
annual Budget Act is not exceeded.
(2) If funding remains after paying all the claims specified in subdivi-
sion (b)(1), then claims for EL training that are postmarked or faxed to
the CDE by November 15th of the following state fiscal year and that do
not meet any of the funding criteria specified in Education Code section
99237.5(c) shall receive second priority for funding. If funding is insuffi-
cient to fully fund all of these claims, then the CDE shall prorate the
funds. The prorafion shall consist of first dividing the remaining funds by
the product of $ 1 ,250 and the total number of teachers who received EL
training as reflected in these second priority claims. The resulting num-
ber shall then be multiplied by 1 00 to determine the maximum percentage
of an LEA' s trained teachers for which reimbursement may be made pur-
suant to this subdivision. As it deems necessary, the CDE may adjust the
percentage, which shall apply equally to all LEAs, to ensure that the
amount appropriated in the annual Budget Act is not exceeded.
(3) If funding remains after paying all the claims specified in subdivi-
sions (b)(1) and (b)(2), then claims for EL training that are postmarked
or faxed to the CDE after November 1 5th of the following state fiscal year
shall be funded on a first-come-first-served basis according to the date
the claim is postmarked or faxed and provided the claim is postmarked
or faxed by the second March 1st date after the November 15th date in
this subdivision. If funding is insufficient to fully fund all the claims re-
ceived on the same day, then the CDE shall prorate the funds. The prora-
fion shall consist of first dividing the remaining funds by the product of
$1 ,250 and the total number of teachers who received EL training as re-
flected in the claims received by the CDE on that day. The resulting num-
ber shall then be multiplied by 1 00 to determine the maximum percentage
of an LEA' s trained teachers for which reimbursement may be made pur-
suant to this subdivision. As it deems necessary, the CDE may adjust the
percentage, which shall apply equally to all LEAs, to ensure that the
amount appropriated in the annual Budget Act is not exceeded.
(c) If a teacher elects to count the completion of 40-hours EL profes-
sional development towards the 80 hours of follow-up professional de-
velopment described in Education Code section 99237, the LEA may re-
quest $1,250 reimbursement after the teacher has completed the
40-hours EL professional development and another $1,250 reimburse-
ment after the teacher has completed the remaining 40 hours of the 80
hours of follow-up professional development. Of these amounts, the
LEA may issue an individual teacher sfipend up to $500 after completion
of the 40-hours EL professional development and up to another $500 af-
ter complefion of the remaining 40 hours of the 80 hours of the follow-up
professional development.
(d) A claim transmitted to the CDE by facsimile during the hours of
12:00 midnight to 5 p.m. is deemed faxed on the date received. A claim
that begins transmission on or after 5:01 p.m. is deemed faxed on the next
regular business day.
NOTE: Authority cited: Section 99236, Education Code. Reference: Sections
99233, 99234 and 99237.5, Education Code.
•
Page 166
Register 2007, No. 47; 11-23-2007
Title 5
California Department of Education
§ 11983.5
HisroRY
New section filed 1 1-19-2007: operative 1 1-19-2007 pursuant to Government
Code section 11 343.4 (Reeister 2007. No. 47).
§ 1 1 981 .5. Funding Limitations.
(a) Funding for training pursuant to Education Code section 99237
shall be limited to one 120-hour sequence of professional development
divided into 40 hours of initial training and 80 hours of follow-up profes-
sional development per subject area for each teacher eligible to receive
instruction as set forth in Education Code section 99233 and California
Code of Regulations, title 5. section 1 1980. In addition to the funding
available under Education Code section 99237. funding for EL training
pursuant to Education Code section 99237.5 is limited to a total of 40
hours for each teacher of EL pupils.
(b) Program funding shall be limited to one training per subject area
for each paraprofessional and instructional aide eligible to receive
instruction as set forth in Education Code section 99233.
(c) Notwithstanding subdivision (a), the Slate Superintendent of Pub-
lic Instruction shall also award funding pursuant to Education Code sec-
tion 99234 tor additional professional development training to eligible
teachers if any of the following conditions applies:
( 1 ) The LEA has adopted a new instructional materials program and
approved training is available for the new program;
(2) The teacher's assignment has changed; or
(3) The teacher's course assignment has changed to an area in which
the teacher has not previously received the applicable training.
NOTFi; Authority cited: Section 99236, Education Code. Reference: Sections
99233. 99234, 99237 and 99237.5. Education Code.
History
1. Renumbering of lornier section 1 1985 to section 1 198L5, including amend-
ment of section heading, section and NoTL, filed 11-19-2007; operative
11 -19-2007 pursuant to Government Code section 11 343.4 (Register 2007,
No. 47).
§ 11982. Local Education Agencies' Assurances of
Compliance.
In addition to the assurances specified in Education Code section
99237(a), an LEA applying for funding from the Mathematics and Read-
ing Professional Development Program shall provide assurances to the
California State Board of Education (SBE) that;
(a) It has read and is familiar with the regulations governing the pro-
gram, which include California Code of Regulations, title 5, sections
II 1980 through 11985.6;
(b) It will retain and provide all information, including preprogram
and postprogram pupil achievement data, required for the interim and fi-
nal reports to the Legislature as required by Education Code section
99237.5 and 99240; and
(c) It will retain all records related to the professional development
provided to participants in the program for no less than five years, and
that these records will include, but not be limited to:
( 1 ) The number of hours of training attended;
(2) Attendence records;
(3) Subject content;
(4) The dates of each training session taken by teachers, instructional
aides, and paraprofessionals; and
(5) The name/s of the providers.
NOTE: Authority cited: Section 99236, Education Code. Reference: Sections
99233. 99234, 99237, 99237.5 and 99240, Education Code.
History
1 . New section filed 3-25-2002 as an emergency; operative 3-25-2002 (Register
2002, No. 13). A Certificate of Compliance must be transnnitted to OAL by
7-23-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-25-2002 order transmitted to OAL 7-3-2002
and filed 8-1.5-2002 (Register 2002, No. 33).
3. Renumbering of former secfion 1 J 982 to .section J 1981 and renumbering and
amendment of former section 1 1980 to section 1 1982, including amendment of
section heading, section and Note, filed 11-19-2007; operative 11-19-2007
pursuant to Govemment Code section 1 1343.4 (Register 2007, No. 47).
§ 1 1 982.5. Local Educational Agencies as a Consortium.
For purpo.ses of the Mathematics and Reading Professional Develop-
ment Program, a county office of education may coordinate a consortium
of school districts that functions as a single LEA.
NOTE: Authority cited: Section 99236. Education Code. Reference: Sections
99231, 99237 and 99237.5, Education Code.
History
1. Renumbering of former section 1 1986 to nev\ section 1 1982.5 filed
11-19-2007: operafive 11-19-2007 pursuant to Government Code section
1 1.343.4 (Register 2007, No. 47).
§11983. Instructional Materials.
(a) Instructional materials used by an LEA for courses usually taught
in grades kindergarten through 8, including algebra, must be adopted by
the SBE unless otherwise authorized by the SBE. Non-adopted instruc-
tional materials are occasionally authorized for purchase and use by dis-
tricts pursuant to the general waiver authority under Education Code sec-
tions 33050-33053 or the petition process under the authority of
Education Code section 60200(g). Instructional materials used by an
LEA for courses usually taught in grades 9 through 1 2, including algebra
II and geometry, must be adopted by the governing board of the LEA.
(b) An LEA participating in the Mathematics and Reading Profession-
al Development Program must provide each pupil with currently adopted
instructional materials that are aligned to the state content standards in
mathematics. An LEA participating in the program must provide each
pupil with currently adopted instructional materials that are aligned to the
state content standards in English/language arts in accordance with
Education Code section 99237(aK3)(A) and (B).
NOTE: Authority cited: Section 99236. E^^ducation Code. Reference: Sections
99237 and 99237.5. Education Code.
History
1 . New section filed 3-25-2002 as an emergency; operative 3-25-2002 (Register
2002, No. 13). A Certificate of Compliance must be transmitted to OAL by
7-23-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-25-2002 order transmitted to OAL 7-3-2002
and filed 8-15-2002 (Register 2002, No. 33).
3. Amendment of section and NOTH filed 1 1-19-2007; operative 1 1-19-2007 pur-
suant to Government Code section 1 1343.4 (Register 2007, No. 47).
§ 1 1983.5. Definition of Instructional Materials Otherwise
Authorized by the California State Board of
Education.
(a) As used in Education Code section 9923 1 (c), instructional materi-
als "otherwise authorized" by the SBE include basic instructional materi-
als as defined in Education Code section 60010(a) that have been deter-
mined to be in alignment with applicable content standards through a
perition approved by the SBE after May 1, 2000, pursuant to Education
Code section 60200(g).
(b) In addition, if the instructional materials program used by the LEA
is a basic reading/language arts program (RLA), the instructional materi-
als shall be deemed to be "otherwise authorized" provided the LEA certi-
fies all of the following to the CDE prior to receiving the funding:
(1) The instructional materials were purchased by the district prior to
the 2002 Reading/Language Arts/English Language Development
Adoption (RLA/ELD);
(2) The LEA has in place specially designed instructional materials
(component) to address the needs of EL pupils that is comparable to the
instructional materials (component) approved and contained in the RLA/
ELD programs adopted in January 2002 as approved by the SBE;
(3) The LEA's specially designed component to address the needs of
EL pupils has been approved by the CDE for legal and social compliance
pursuant to Education Code sections 60040-60048 and the SBE' s "Stan-
dards for Evaluafing Instructional .Materials for Social Content" (2000
Edition) which is incorporated by reference; and
(4) The publishers have met all the requirements of Education Code
secfion 60061, as applicable.
NOTE: Authority cited: Section 99236. Education Code. Reference: Section
99231, Education Code.
Page 167
Register 2007, No. 47; 11-23-2007
§ 11984
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
History
1 . New section filed 6-28-2002 as an emergency; operative 6-28-2002 (Register
2002. No. 26). A Certificate of Compliance must be transmitted to OAL by
10-28-2002 or emergency language will be repealed by operation of law on the
following day,
2. Certificate of Compliance as to 6-28-2002 order, including amendment of sub-
section (b), transmitted to OAL 10-24-2002 and filed 12-10-2002 (Register
2002. No. .'SO).
3. Amendment of section heading, .section and NoTi; filed 1 1-19-2007: operative
1 1-19-2007 pursuant to Government Code section 11343.4 (Reeister 2007,
No. 47).
§ 11 984. Training Curriculum for the Initial Forty Hours.
Training curriculum for training related to the initial forty hours of
instruction described in Education Code section 992.37 shall be based on
the criteria contained in Education Code section 99237, subdivisions (a)
and (b), and the requirements of this section. The owner of the training
curriculum shall submit its curriculum to SBE or its designee for approv-
al by the SBE and include the following:
(a) Instructional strategies designed to help all pupils gain mastery of
the California academic content standards, with special emphasis on EL
pupils and pupils with exceptional needs;
(b) A thorough review of the curriculum framework and academic
content standards related to teaching mathematics or reading/language
arts;
(c) Current and confirmed scientific research findings related to the
instructional practices for mathematics or reading/language arts;
(d) Readings and discussions of other pertinent materials which ad-
dress the value of the diagnostic nature of standardized tests, the Stan-
dardized Testing and Reporting (STAR) system, and the California High
School Exit Exam (CAHSEE); and
(e) A thorough review of the adopted standards-based instructional
materials program, which emphasizes the following:
( 1 ) The material that is taught during the first six to eight weeks of
instruction; and
(2) Instructional strategies that use the universal access and English
language development (ELD) components of the program so that teach-
ers will know and understand when and how to use them according to the
instructional needs of all students.
Note. Authority cited: Section 99236, Education Code. Reference: Section
99237, Education Code.
History
1. New section filed 3-25-2002 as an emergency; operative 3-25-2002 (Register
2002. No. 13). A Certificate of Compliance must be transmitted to OAL by
7-23-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-25-2002 order transmitted to OAL 7-3-2002
and filed 8-15-2002 (Register 2002, No. 33).
3. Repealer and new section heading and section and amendment of Note filed
11-19-2007; operative 11-19-2007 pursuant to Government Code section
1 1343.4 (Register 2007, No. 47).
§ 11984.5. Curriculum Review of the Initial Forty Hours.
(a) Each training curriculum for training related to the initial forty
hours of instruction described in Education Code section 99237 shall un-
dergo a formal review process before being approved by the SBE. The
review shall be based on Education Code section 99237, subdivisions
(a)(2), (a)(4), and (b), California Code of Regulations, title 5, section
1 1984, and subdivision (c) of this section.
(b)The formal review process shall include a review panel consisting
of two or more reviewers designated by the SBE and acting under its
direction. To be a qualified reviewer, a reviewer shall have knowledge
of information related to mathematics or reading, as applicable, includ-
ing:
(1) Academic content standards;
(2) Curriculum frameworks;
(3) Instructional and teaching strategies included in the SBE adopted
and standards-aligned core and ancillary instructional materials;
(4) Current and confirmed scientific research; and
(5) Linkage between curriculum and assessment with the use of stan-
dardized tests, curriculum-embedded assessments, the STAR system.
the California English Language Development Test (CELDT), and
CAHSEE for diagnostic information related to all pupils.
(c) TTie review panel shall review each training curriculum submission
for its ability to produce the following learning outcomes for partici-
pants:
(1) Knowledge of grade level mathematics standards or English/lan-
guage arts standards, including the ability to effectively teach such stan-
dards;
(2) Knowledge and understanding of how standards are supported
through the curriculum frameworks in regard to differentiating instruc-
tion through universal access and teaching instructional strategies related
to mathematics or reading/language arts;
(3) Knowledge and understanding of current and confirmed scientific
research and various technology resources with regard to teaching math-
ematics or reading/language arts;
(4) Knowledge and understanding of the components of the STAR
program and how student results impact and inform instruction;
(5) Familiarity with key reference materials included in the instruc-
tional materials;
(6) Knowledge and understanding of the use of daily lesson guides;
(7) Knowledge and understanding of how to teach all key instructional
components;
(8) Familiarity with effective use of additional program support mate-
rials for all pupils, including but not limited to accelerated and advanced
learners. EL pupils and pupils with exceptional needs; and
(9) Knowledge and understanding of how to analyze assessments in-
cluded in the instructional materials for more effective instruction.
(d) If the review panel determines that the training curriculum meets
the requirements referenced in this section based on documented find-
ings, the review panel shall recommend approval of the curriculum to the
SBE.
(e) If the review panel determines that the prospective provider's cur-
riculum does not meet the requirements of this section based on docu-
mented findings, the review panel shall confer with the prospective pro-
vider to correct deficiencies for resubmission. The review panel shall
confer with the prospective provider on as many occasions as the review
panel deems productive. Thereafter, if the prospective provider's curric-
ulum is deemed to meet the requirements of this section based on docu-
mented findings, the review panel shall recommend to the SBE that the
prospective provider's curriculum be approved.
(0 In addition to any other lawful consideration, the SBE may base its
approval or disapproval of a training curriculum upon any of the items
referenced in this section or the recommendation of the review panel.
Note: Authority cited: Section 99236, Education Code. Reference: Section
99237. Education Code.
History
1 . New section filed 1 1-19-2007; operative 1 1-19-2007 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 47).
§ 11984.6. Training Providers of the Initial Forty Hours.
(a) Each prospective training provider who seeks to provide training
related to the initial forty hours of instruction described in Education
Code section 99237 shall submit a written proposal to the SBE or its de-
signee that includes the following:
(1) A complete, annotated, and scripted instructor's training curricu-
lum notebook or manual which includes a timed agenda, all of the over-
heads or Power Point presentations used by the provider and instructor,
and all materials to be included for each grade level or program/course
level;
(2) A statement describing whether the training curriculum described
in subdivision (a)(1) is either:
(A) Owned by the prospective provider; or
(B) Being used with the express written consent of the party that owns
it.
(3) A statement identifying whether the training curriculum described
in subdivision (a)(1) has already been approved by the SBE and, if so, the
date of the SBE meeting;
•
Page 168
Register 2007, No. 47; 11-23-2007
Title 5
California Department of Education
§ §11985
(4) A provision that each attendee will be provided with a participant
notebook or manual with required readings;
(5) A provision that a complete set of adopted grade level or program
or course level materials, including both teacher and student as well as
electronic components, will be available at each training session;
(6) A provision that participants will have an opportunity to make up
the minimum time requirements of the training by providing the LEA
with the provider's web page and/or training calendar, when available;
(7) A description of the training delivery methods, table and room set-
up, and classroom structures that support adult learning theory and opti-
mal learning;
(8) A descriptive breakdown of instructional time as follows:
(A) Thirty percent for presentation and direct instruction of academic
content standards, curriculum framework, and approved instructional
material's core and ancillary components, including universal access
components;
(B) Forty percent for demonstrations and modeling of key routines to
illustrate instructional strategies that ensure all pupils master the academ-
ic content standards, with emphasis on EL pupils and pupils with excep-
tional needs; and
(C) Thirty percent for practice, planning instruction based on data and
student work, small and large group discussion, and other participant ac-
tivities to reinforce learning.
(9) A provision that the ratio of participants to instructor(s) will not ex-
ceed 35 to 1 ;
(10) An estimate of the number of authorized instructors to deliver
training over the next five years;
( 1 1 ) A description of how it will collaborate with the LEA in planning
and delivering the training which also ensures that the superintendent or
his/her designee will be present during the training;
( 1 2) A description of whether it plans to offer alternative training for-
mats or delivery models to small, remote, or rural LEAs, including the
option of webcast training;
(13) Evidence of the prospective provider's experience and qualifica-
tions to deliver its training curriculum, which may include evaluation
data from past trainings and information demonstrating knowledge of
stale and federal programs, sanction and intervention processes, special
education and EL pupils, and assessment literacy;
( 14) Documentation of each lead instructor's experience and qualifi-
cations to deliver training;
(15) A description of its instaictor selection and training process, in-
cluding but not limited to how instructors are selected and trained to de-
liver its curriculum;
( 16) A provision that attendance data will be collected and provided
to the LEA, including the number of teachers, by credential type, who
have received training on its curriculum;
( 1 7) A provision that when major updates or revisions occur with cur-
riculum, the prospective provider will not use the new material until after
the material has been submitted for review pursuant to sections 11984
and 1 1984.5 and approved by the SBE; and
( 1 8) A provision that it has read and will comply with the Mathematics
and Reading Professional Development Program regulations found in
California Code of Regulations, title 5, sections 1 1980 through 1 1985.6,
as applicable.
(b) Each prospective training provider's written proposal shall under-
go review by a review panel consisting of two or more reviewers desig-
nated by the SBE and acting under its direction. The review panel shall
evaluate whether the prospective provider's written proposal contains
each of the items identified in subdivision (a) and whether the written
proposal demonstrates the prospective provider's ability to effectively
deliver training. To be a qualified reviewer, a reviewer shall have knowl-
edge of information related to mathematics or reading, as applicable, in-
cluding:
(1) Academic content standards;
(2) Curriculum frameworks;
(3) Instructional and teaching strategies included in the SBE adopted
and standards-aligned core and ancillary instructional materials;
(4) Current and confirmed scientific research; and
(5) Assessment linkage to curriculum.
(c) If the review panel determines thai the prospective provider's writ-
ten proposal satisfies the requirements of this section based on docu-
mented findings, the review panel shall recommend to the SBE thai the
prospective provider be approved as a provider.
(d) If the review panel determines that the prospective provider's writ-
ten proposal does not meet the requirements of this section based on doc-
umented findings, the review panel shall confer with prospective provid-
er to correct deficiencies for resubmission. The review panel shall confer
with the prospective provider on as many occasions as the review panel
deems productive. Thereafter, if the prospective provider's written pro-
posal is deemed to meet the requirements of this section ba.sed on docu-
mented findings, the review panel shall recommend to the SBE that the
prospective provider be approved as a provider.
(e) In addition to any other lawful consideration, the SBE may base its
approval or disapproval of a prospective provider upon any of the items
Usted in this section or the recommendation of the review panel.
(f) A provider approved by the SBE pursuant to this section is only au-
thorized to provide training using the training curriculum it submitted
pursuant to subdivision (a).
NoTE: Authority cited: Section 99236, Education Code. Reference: Sections
99237 and 99240, Education Code.
History
1 . New section filed 11-19-2007; operative 1 1-19-2007 pursuant to Government
Code section 1 1 343.4 (Register 2007, No. 47).
§ 11985. Training Curriculum for English Learner
Professional Development.
Training curriculum related to the EL professional development de-
scribed in Education Code section 99237.5 shall be based on the criteria
contained in Education Code section 99237.5, subdivisions (a) and (b).
and the requirements of this section. The owner of the training curricu-
lum shall submit its curriculum to SBE or its designee for approval by the
SBE and include the following:
(a) Foundational knowledge specifically designed to assist EL pupils
to attain a high level of EngUsh language proficiency and mastery of the
California mathematics and English/language arts academic content
standards that emphasizes the following:
(1) Instructional strategies using SBE adopted instructional materials
for kindergarten through grade eight, standards-aligned instructional
materials for grades nine through twelve, and certified supplemental ma-
terials for English learners to assist teachers in understanding when and
how to use them to address the instructional needs of all EL pupils;
(2) A thorough review of the specific sections of the curriculum frame-
works that pertain to EL pupils, academic content standards, and ELD
standards;
(3) Current and confirmed scientific research related to the instruc-
tional practices for EL pupils;
(4) Readings and discussions of other pertinent materials related to the
language and literacy of EL pupils which address the value of the diag-
nostic nature of standardized tests, the STAR system, the CELDT, curric-
ulum-embedded assessments, and the CAHSEE; and
(5) Essential components of a comprehensive program of ELD that in-
clude actively developing all domains of language, addressing various
levels of English proficiency and academic English while creating a sup-
portive learning environment for language learning.
(b) ELD instruction designed to meet the language and academic
instructional needs of EL pupils that emphasizes the following:
(1) Effective use of the ELD components of the SBE adopted instruc-
tional materials for kindergarten through grade eight specifically de-
signed to help teachers of EL pupils understand ELD content;
(2) Current and confirmed scientific research findings related to the
instructional practices for second language learning;
Page 168.1
Register 2007, No. 47; 11-23-2007
§ §11985.5
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(3) A thorough understanding of different levels of English language
proficiency and how to plan instruction for each level;
(4) The planning of ELD instruction to effectively and efficiently use
ELD standards and certified supplemental materials for English learners
as tools for ELD instruction; and
(5) Development of vocabulary and language structures for purpose-
ful oral and written communication that emphasizes structured opportu-
nities for practice.
(c) Reading/language arts and content area instruction to help teachers
of EL pupils understand and apply knowledge of linguistic structures to
SBE adopted instructional materials for kindergarten through grade
eight, standards-aligned instructional materials for grades nine through
twel ve, and certified supplemental materials for English learners that em-
phasizes the following:
(1) Knowledge of reading/language arts instruction to support EL pu-
pils in oral language development, vocabulary development, and writing
development;
(2) A thorough review and analysis of linguistic features;
(3) Contrastive analysis that leads to understanding the transfer of
skills and concepts from one language to another;
(4) Text and lesson analysis for language and content demands; and
(5) Analysis of second language markers in oral and written language
production to inform instruction.
NOTE: Authority cited: Section 99236, Education Code. Reference: Section
99237.5, Education Code.
History
1. New section filed 3-25-2002 as an emergency; operative 3-25-2002 (Register
2002, No. 13). A Certificate of Compliance must be transmitted to OAL by
7-23-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-25-2002 order transmitted to OAL 7-3-2002
and filed 8-15-2002 (Register 2002, No. 33).
3. Designation of existing section as subsection (a), new subsections (b)-(e) and
amendment of Note filed 1 1-4-2004; operative 1 1^-2004 pursuant to Gov-
ernment Code section 1 1343.4 (Register 2004, No. 45).
4. Renumbering of former section 1 1985 to new section 1 1981 .5 and new section
1 1985 filed 1 1-19-2007; operative 1 1-19-2007 pursuant to Government Code
section 11 343.4 (Register 2007, No. 47).
§ 11985.5. Curriculum Review of English Learner
Professional Development.
(a) Each training curriculum for training pursuant to Education Code
section 99327.5 shall undergo a formal review process before being ap-
proved by the SBE. The review shall be based on Education Code section
99237.5, subdivisions (a)(4) and (b), California Code of Regulations,
title 5, section 11985, and subdivision (c) of this section.
(b) The formal review process shall include a review panel consisting
of two or more reviewers designated by the SBE and acting under its
direction. To be a qualified reviewer, a reviewer shall have experience
teaching EL pupils and have knowledge of information related to mathe-
matics or reading, as applicable, including:
(1) Academic content standards and ELD standards;
(2) Curriculum frameworks;
(3) Instructional and teaching strategies included in the SBE adopted
and standards-aligned core and ancillary instructional materials;
(4) Current and confirmed scienfific research and current and con-
firmed scientific research related to EL pupils;
(5) Certified supplemental materials for English learners; and
(6) Linkage between curriculum and assessment with the use of stan-
dardized tests, curriculum-embedded assessments, the STAR system,
CELDT, and CAHSEE for diagnostic informaUon related to EL pupils.
(c) The review panel shall review each training curriculum submission
for its ability to produce the following learning outcomes for partici-
pants:
( 1 ) Knowledge and understanding of the language and content de-
mands required for EL pupils to access grade level appropriate academic
content standards and ELD standards;
(2) Knowledge and understanding of how standards are supported
through the curriculum frameworks in regard to differentiating instruc-
tion through universal access related to mathematics or reading/language
arts for EL pupils;
(3) Knowledge and understanding of current and confirmed scienfific
EL research with regard to teaching mathematics or reading/language
arts and ELD, including how to apply this research to classroom pracfice
in order to increase student learning and language acquisition;
(4) Knowledge and understanding of how to analyze and use data from
muUiple measures, including the components of the STAR program.
CELDT, and curriculum-embedded assessments and how student re-
sults impact and inform instrucfion for EL pupils;
(5) Knowledge and understanding of how to plan and teach ELD and
monitor student progress at each level of English proficiency;
(6) Knowledge and understanding of how to teach the ELD compo-
nents of the SBE adopted instructional materials for kindergarten
through grade eight or standards-aligned instrucuonal materials for
grades nine through twelve;
(7) Demonstrate the ability to effectively and efficiently teach content
standards using ELD standards and methodology to scaffold;
(8) Knowledge and understanding of oral language development, vo-
cabulary development, and wrifing development;
(9) Knowledge and understanding of effecfive comprehension and
instructional strategies to teach content through text and lesson analysis
that support EL pupils in language development; and
(10) Knowledge and understanding of eariy intervenfion techniques
for pupils experiencing difficulty.
(d) If the review panel determines that the training curriculum meets
the requirements referenced in this secfion based on documented find-
ings, the review panel shall recommend approval of the curriculum to the
SBE.
(e) If the review panel determines that the prospective provider's cur-
riculum does not meet the requirements of this section based on docu-
mented findings, the review panel shall confer with the prospective pro-
vider to correct deficiencies for resubmission. The review panel shall
confer with the prospecdve provider on as many occasions as the review
panel deems producfive. Thereafter, if the prospective provider's curric-
ulum is deemed to meet the requirements of this secfion based on docu-
mented findings, the review panel shall recommend to the SBE that the
prospective provider's curriculum be approved.
(f) In addiuon to any other lawful consideration, the SBE may base its
approval or disapproval of a training curriculum upon any of the items
referenced in this section or the recommendation of the review panel.
NOTE: Authority cited: Section 99236, Education Code. Reference: Section
99237.5, Education Code.
History
1. New section filed 11 -19-2007; operative 1 1-19-2007 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 47).
§ 1 1985.6. Training Providers of English Learner
Professional Development.
(a) Each prospecfive training provider who seeks to provide training
pursuant to Education Code section 99237.5 shall submit a written pro-
posal to the SBE or its designee that includes the following:
(1) A complete, annotated, and scripted instructor's training curricu-
lum notebook or manual which includes a timed agenda, all of the over-
heads or Power Point presentations used by the provider and instructor,
and all materials to be included for each grade level, grade span, or pro-
gram/course level;
(2) A statement describing whether the training curriculum described
in subdivision (a)(1) is either:
(A) Owned by the prospecfive provider; or
(B) Being used with the express written consent of the party that owns
it.
(3) A statement identifying whether the training curriculum described
in subdivision (a)(1) has already been approved by the SBE and, if so, the
date of the SBE meeting;
(4) A provision that each attendee will be provided with a participant
notebook or manual with required readings;
Page 168.2
Register 2007, No. 47; 11-23-2007
Title 5
California Department of Education
§ 11987
(5) A provision that participants will have an opportunity to make up
the minimum time requirements of the training by providing the LEA
with the provider's web page and/or training calendar, when available;
(6) A description of the training delivery methods, table and room set-
up, and classroom structures that support adult learning theory and opti-
mal learning;
(7) A description of" how the training design will equip participants
with the necessary skills and knowledge to be fully prepared to use their
standards-based SBE adopted instructional materials or standards-
aligned instructional materials to teach EL pupils at their academic and
language proficiency levels;
(8) A descriptive breakdown of instructional time as follows:
(A) Thirty percent for presentation and direct instruction of current
and confirmed scientific research as related to the effective insiaiction of
English learners, including the use of levels of language proficiency and
the ELD standards to scaffold instruction, allowing access to core,
grade-level content area instruction;
(B) Forty percent for demonstrations and modeling of key routines to
illustrate instructional strategies that include whole and small group dif-
ferentiated instruction by English language proficiency levels to ensure
EL pupils' mastery of mathematics and English/language arts content
standards, ELD standards, and academic language proficiency; and
(C) Thirty percent for practice, planning instruction based upon data
and student work, small and large group discussion, and other participant
activities to reinforce learning.
(9) A provision that the ratio of participants to instructor(s) does not
exceed 35 to 1;
(10) An estimate of the number of authorized instructors to deliver
training over the next five years;
( 1 1 ) A description of how it will collaborate with the LEA in planning
and delivering the training which also ensures that the superintendent or
his/her designee will be present during the training;
( 12) A description of whether it plans to offer alternative training for-
mats or delivery models to small, remote, or rural LEAs, including the
option of webcast training;
(13) Evidence of the prospective provider's experience and qualifica-
tions to deliver its training curriculum, which may include:
(A) Evaluation data from past trainings;
(B) Information demonstrating knowledge of state and federal pro-
grams, including sanction and intervention processes, and how they sup-
port and relate to EL academic achievement;
(C) Knowledge of standards-based SBE adopted instructional materi-
als or standards-aligned instructional materials; and
(D) Knowledge of certified supplemental materials for English learn-
ers adopted pursuant to the Budget Act of 2004 and pursuant to Chapter
79 of the Statutes of 2006.
(14) Documentation of each lead instructor's experience and qualifi-
cations to deliver EL training;
(15) A description of its instructor selection and training process, in-
cluding but not limited to how instructors are selected and trained to de-
liver its curriculum;
(16) A provision that attendance data will be collected and provided
to the LEA, including the number of teachers, by credential type, who
have received training on its curriculum;
( 1 7) A provision that when major updates or revisions occur with cur-
riculum, the prospective provider will not use the new materials until af-
ter the material has been submitted for review pursuant to sections 1 1985
and 1 1985.5 and approved by the SBE; and
( 18) A provision that it has read and will comply with the Mathematics
and Reading Professional Development Program regulations found in
California Code of Regulations, title 5, sections 1 1 980 through 1 1 985.6,
as applicable.
(b) Each prospective training provider's written proposal shall under-
go review by a review panel consisting of two or more reviewers desig-
nated by the SBE and acting under its direction. The review panel shall
evaluate whether the prospective provider's written proposal contains
each of the items identified in subdivision (a) and whether the written
proposal demonstrates the prospective provider's ability to effectively
deliver training. To be a qualified reviewer, a reviewer shall have experi-
ence teaching EL pupils and have knowledge and information related lo
mathematics or reading, as applicable, including:
( 1 ) Academic content standards and ELD standards;
(2) Curriculum frameworks;
(3) Instructional and teaching strategies included in the SBE adopted
and standards-aligned core and ancillary instructional materials;
(4) Current and confirmed scientific research and current and con-
firmed scientific research related to EL pupils;
(5) Certified supplemental materials for English learners; and
(6) Linkage between curriculum and assessment with the use of stan-
dardized tests, curriculum-embedded assessments, the STAR system.
CELDT, and CAHSEE for diagnostic information related to EL pupils.
(c) If the review panel determines that the prospective provider's writ-
ten proposal satisfies the requirements of this section based on docu-
mented findings, the review panel shall recommend to the SBE that the
prospective provider be approved as a provider.
(d) If the review panel determines that the prospective provider's writ-
ten proposal does not meet the requirements of this section based on doc-
umented findings, the review panel shall confer with the prospective pro-
vider to correct deficiencies for resubmission. The review panel shall
confer with the prospective provider on as many occasions as the review
panel deems productive. Thereafter, if the prospective provider's wriuen
proposal is deemed to meet the requirements of this section based on doc-
umented findings, the review panel shall recommend to the SBE that the
prospective provider be approved as a provider.
(e) In addition to any other lawful consideration, the SBE may base its
approval or disapproval of a prospective provider upon any of the items
listed in this section or the recommendation of the review panel.
(f) A provider approved by the SBE pursuant to this section is only au-
thorized to provide training using the training curriculum it submitted
pursuant to subdivision (a).
NOTE: Authority cited: Section 99236, Education Code. Reference: Sections
99237.5 and 99240, Education Code.
History
1. New section filed 11-19-2007; operative 1 1-19-2007 pursuantto Government
Code section 11 343.4 (Register 2007, No. 47).
§ 11986. Eligible Local Educational Agencies.
[Renumbered]
NOTE; Authority cited: Section 99236, Education Code. Reference: Sections
44579.5, 99231 and 99237(e), Education Code.
History
1 . New section filed 3-25-2002 as an emergency; operative 3-25-2002 (Register
2002, No. 13). A Certificate of Compliance must be transmitted to OAL by
7-23-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-25-2002 order transmitted to OAL 7-3-2(X)2
and filed 8-15-2002 (Register 2002, No. 33).
3. Renumbering of former section 11986 to new section 11982.5 filed
11-19-2007; operative 11-19-2007 pursuant to Government Code section
1 1343.4 (Register 2007, No. 47).
Subchapter 21.5. School Community
Violence Prevention Program
§11987. Purpose.
(a) These regulations fulfill a mandate of Education Code section
41513, which requires the State Superintendent of Public Instruction
(SSPI) and the Attorney General to adopt regulations to implement the
School Safety Consolidated Competitive Grant program established by
sections 41510 through 41514 of the Education Code. This program con-
sists of two competitive grant programs, which are hereinafter referred
to as the School Community Violence Prevenfion (SCVP) Grant pro-
gram and the School Safety and Violence Prevention Training Grant Pro-
gram. The regulations shall speci:Fy applicafion submission rules, criteria
for scoring applications and awarding grants, allowable/non-allowable
Page 168.2(a)
Register 2007, No. 47; 11 - 23 - 2007
§ 11987.1
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
uses of grant funds, annual reporting requirements for grant recipients,
and the manner in which grant recipients will he reimbursed for program
expenditures.
(b) The program shall be jointly administered by the SSPI and the At-
torney General's Office, through the School Law Enforcement Partner-
ship (S/LEP), as authorized by Education Code section 32262.
NOTE; Authority cited: Sections 41510 and 41513, Education Code. Reference;
Sections 41510 and 41512, Education Code.
History
1 . New subchapter 21.5 (sections 1 1 987- 1 1 987.7) and section filed 1 - 1 9-2006 as
an emergency; operative 1-19-2006 (Register 2006. No. 3). A Certificate of
Compliance must be transmitted to OAL by 5-1 9-2006 or emergency language
will be repealed by operation of law on the following day.
2. New subchapter 2 1.5 (sections 1 1987-1 1987.7) and section refiled 5-15-2006
as an emergency; operative 5-15-2006 (Register 2006, No. 20). A Certificate
of Compliance must be transmitted to OAL by 9-12-2006 or emergency lan-
guage will be repealed by operation of law on the following day.
3. New subchapter 21.5 (sections 11987-11987.7) and section refiled
10-16-2006 as an emergency; operative 10-16-2006 (Register 2006, No. 42).
A Certificate of Compliance must be transmitted to OAL by 2-13-2007 or
emergency language will be repealed by operation of law on the following day.
4. New subchapter 21.5 (sections 11987-1 1987.7) and section refiled 2-16-2007
as an emergency; operative 2-16-2007 (Register 2007, No. 7). A Certificate of
Compliance must be transmitted to OAL by 6- 1 8-2007 or emergency language
will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-16-2007 order, including amendment of sec-
tion and Note, transmitted to OAL 6-18-2007 and filed 7-31-2007 (Register
2007, No. 31).
§ 1 1 987.1 . Eligibility to Apply for SCVP Grant Funds and
Grant Application Requirements.
(a) For purposes of this program, Local Education Agencies (LEAs)
are school districts, county offices of education or consortia thereof.
Only LEAs serving students in any of grades kindergarten through
twelve are eligible to apply for the SCVP grant funds.
(b) School sites which are receiving services from a School Communi-
ty Policing Partnership (SCPP) grant may not receive SCVP grant funds
until the SCPP grant period has ended.
(c) A school site that has previously received an SCVP grant shall not
be eligible to receive funds from another SCVP grant until five years after
the end of the previous SCVP grant period.
(d) Prospective applicants shall submit a request to apply to the S/LEP
by November 1 of each year. Attached to the request to apply shall be a
copy, from each proposed program site, of that portion of the comprehen-
sive school safety plan which is required by Education Code sections
32282(a)(1) and (a)(2)(H), and by the first paragraph of Education Code
section 32282(a)(2). The safety plan shall have been updated and ap-
proved during the time period specified in Education Code section
32286. If these requirements are not met, the LEA shall not be eligible
to apply for funds.
(e) LEAs wishing to receive funds from the SCVP grant program shall
submit applications for a maximum of $500,000. Applications will be
annual and will be submitted by January 15 of each year. The applica-
tions shall include the following elements:
( 1 ) A description of the collaborative process used to develop and ad-
minister the proposed SCVP project. The description shall include a list
of all participants in the collaborative group (such as school and district
staff, parents, students, law enforcement agencies and community orga-
nizations) which helped plan the project, and which will participate in
on-going project operations.
(2) Letters of agreement or memoranda of understanding between the
LEA and any law enforcement agency and/or community organiza-
tion(s) which will take an active part in carrying out or administering the
proposed project. The letter(s) must describe how the partner agency and/
or organization(s) will participate in the project.
(3) An application that is individualized and specific to the school site
or sites that are in need of the proposed funding.
(4) A current school safety needs analysis conducted by the collabora-
tive group. Data from the California Healthy Kids Survey (CHKS) and/or
the California Student Survey (CSS) and from the Uniform Management
Information and Reporting System (UMIRS) must be included in the
needs analysis.
(5) A description of the current violence prevention efforts at the site
or sites, including a description of how other violence prevention funds
are used to meet the identified needs. The proposed violence prevention
plan shall address needs which are not being met by the violence preven-
tion activities funded by existing fund sources.
(6) A proposed plan that consists of a primary prevention program; or
a combination of a primary prevention program, supplemental preven-
tion activities, and/or intervention activities; which address the problems
identified in the needs analysis.
(7) A description of the manner in which the project staff will track
process and outcome measures to determine if the project is progressing
as planned and on schedule, and a description of the manner in which the
project collaborative will review this information and use it to keep the
project on track.
(8) A section describing how the proposed violence prevention pro-
gram will be continued after the end of the grant period.
(9) A proposed project plan that identifies a project coordinator posi-
tion responsible for overall coordination of project activities, for docu-
menting project activities, and for providing required reports. The
amount of staff time budgeted for the coordinator position shall be justi-
fied in the grant application.
(10) A line item budget and an explanatory narrative. Each budget
item shall be explained with a computation based upon the unit cost of
the purchased item. The budget shall include funds for the required inde-
pendent audits of the use of funds. The budget shall also contain funds
for attendance at training and networking conferences sponsored by the
S/LEP.
( 1 1) An assurance that independent audits will be conducted of the
grant recipient's use of the SCVP funds. The purpose of the audits will
be to determine if the funds have been used as required by law and regula-
tion and as staled in the grant recipient's application.
( 1 2) Applicant LEAs shall download and print the "General Assur-
ances" (revised June, 2007) and "Drug Free Workplace" (revised June,
2007) forms from the California Department of Education (CDE) "fund-
ing forms" web page (http://www.cde.ca.gov/fg/fo/fm). These docu-
ments, which are incorporated by reference, shall be submitted with the
application.
(f) Applications shall meet the following technical requirements:
( 1 ) An original SCVP grant application and four copies shall be sub-
mitted.
(2) The original application shall include all original signatures in blue
ink.
(3) A letter of agreement or memorandum of understanding is consid-
ered current if dated after the immediately preceding June I.
(4) The application shall be in 12-point or greater Arial font, single-
spaced, with one-inch minimum margins. Applicants may use 10-point
Arial font on tables, charts, or boxes. The S/LEP will screen applications
that do not comply with these requirements. If smaller font sizes or mar-
gins are used in an application, the S/LEP shall compute the number of
excess characters added to the application as a result, and draw a red line
through the extra characters. Application reviewers shall not be allowed
to use the red-lined characters in the application review.
(5) The application shall be submitted on standard white, 8 1/2 by
1 l-inch paper. The narrative section shall not exceed 20 pages. If the nar-
rative section exceeds 20 pages, the S/LEP will draw a red line through
the extra pages and will not allow application raters to look at those
pages.
(6) The application shall be stapled or clipped together for submission.
NOTE: Authority cited: Sections 41510 and 41513, Educafion Code. Reference:
Secfions 41510 and 41512, Education Code.
History
1 . New section filed 1-1 9-2006 as an emergency; operative 1-1 9-2006 (Register
2006, No. 3). A Certificate of Compliance must be transmitted to OAL by
5-1 9-2006 or emergency language will be repealed by operation of law on the
following day.
Page 168.2(b)
Register 2007, No. 47; 11-23-2007
Title 5
California Department of Education
§ 11987.4
2. New section re Filed 5-1 5-2006 as an emergency; operative 5-1 5-2006 (Regis-
ter 2006, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-12-2006 or emergency language will be repealed by operation of law on the
following day.
^. New section refiled 10-1 6-2006 as an emergency; operative 10-1 6-2006 (Reg-
ister 2006. No. 42). A Certificate of Compliance must be transmitted to OAL
by 2- 1 3-2007 or emergency language will be repealed by operation of law on
the following day.
4. New section refiled 2-1(5-2007 as an emergency; operative 2-16-2007 (Regis-
ter 2007. No. 7). A Certificate of Compliance must be transmitted to OAL by
6- 1 8-2007 or emergency language will be repealed by operation of law on the
following day.
5. Certificate of Compliance as to 2-16-2007 order, including amendinent of sec-
tion headins. section and NoTi:, transmitted to OAL 6-18-2007 and filed
7-31-2007 "(Regislcr 2007, No. 31).
§ 11 987.2. Reviewing SCVP Grant Applications.
(a) Each application will be screened by the S/LEP to ensure that it
contains all required elements.
(b) Each application passing the screening process shall be reviewed
by a panel of raters selected by the S/LEP. Each application will be eva-
luated for compliance with applicable statutes and these regulations, and
for the degree to which the application provides:
( 1 ) a demonstration of high levels of involvement of school staff, law
enforcement, students, parents, and community organizations in devel-
oping and implementing the SCVP project.
(2) a comprehensive and clear needs analysis completed by the collab-
orative group that makes a compelling case for the need for violence pre-
vention services.
(3) a proposed violence prevention program that: is likely to be effec-
tive in addressing the identified needs; is closely coordinated with cur-
rent violence prevention efforts at the site; contains a plan for tracking the
implementation of the project and keeping the project on track; and con-
tains clear and convincing plans for the involvement of the collaborative
group in the ongoing operation of the project.
(4) a detailed budget that reasonably reflects the proposed project.
(c) Applications shall be ranked in accordance with the evaluation de-
scribed in subdivision (b) and shall be funded in accordance with their
rank.
(d) A grant applicant that chooses to appeal the results of the grant ap-
plication process shall file a written appeal to the S/LEP within five work-
ing days of the announcement of the results. Protests shall be limited to
the grounds that the S/LEP failed to correctly apply the process for re-
viewing the applicafions as specified in these regulations. The S/LEP
shall review the appeal and determine if the S/LEP failed to correctly ap-
ply the grant applicafion and review process. The decision of the S/LEP
shall be the final administrafive action afforded the appellant.
(e) Grant awards shall be limited to the amount for which the LEA ap-
plied. If the applicant does not jusfify all proposed budget items, the grant
amount shall be reduced by the amount of the unjustified budget items.
(f) In the event that the total amount of all funded grants exceeds the
available funds, the S/LEP shall reduce all funded grants by an identical
percentage, so that the total funds awarded equals the available funds.
NOTE: Authority cited: Sections 41510 and 41513, Education Code. Reference:
Sections 41 5 1 0 and 41 5 1 2, Education Code.
History
1 . New section filed 1-19-2006 as an emergency; operative 1-19-2006 (Register
2006, No. 3). A Certificate of Compliance must be transmitted to OAL by
5- 1 9-2006 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 5-15-2006 as an emergency; operative 5-15-2006 (Regis-
ter 2006, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-12-2006 or emergency language will be repealed by operation of law on the
following day.
3. New secfion refiled 10-16-2006 as an emergency; operative 10-16-2006 (Reg-
ister 2006, No. 42). A Certificate of Compliance must be transmitted to OAL
by 2-13-2007 or emergency language will be repealed by operation of law on
the following day.
4. New section refiled 2-16-2007 as an emergency; operative 2-16-2007 (Regis-
ter 2007, No. 7). A Certificate of Compliance must be transmitted to OAL by
6-18-2007 or emergency language will be repealed by operation of law on the
following day.
5. Certificate of Compliance as to 2-16-2007 order, including amendment of sec-
tion heading, section and NoTi:, transmitted to OAL 6-18-2007 and filed
7-31-2007 (Register 2007, No. 31).
§ 1 1 987.3. Awarding SCVP Grants.
(a) The grant period shall be a maximum of five years.
(b) Annually, the S/LEP shall review school and community safety
data including crime statistics, CHKS data, CSS data, and UMIRS data,
and shall consult with school safety program practitioners to identify the
highest priority school safety needs. If the review determines that the ex-
isting SCVP funding process is not awarding funds for the highest prior-
ity school safety needs, the S/LEP shall set aside funds for award to appli-
cants that submit proposals meeting those needs.
NoTE: Authority cited: Sections 41510 and 41 5 1 3, Education Code. Reference:
Sections 41510 and 41512. Education Code.
History
1. New section filed 1-19-2006 as an emergency; operative 1-19-2006 (Register
2006, No. 3). A Certificate of Compliance must be transmitted to OAL by
5-19-2006 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 5-1 5-2006 as an emergency; operative 5- 1 5-2006 ( Regis-
ter 2006, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-12-2006 or emergency language will be repealed by operation of law on the
following day.
3. New section refiled 1 0-1 6-2006 as an emergency; operative 1 0- 1 6-2006 ( Reg-
ister 2006, No. 42). A Certificate of Compliance must be transmitted to OAL
by 2-1 3-2007 or emergency language will be repealed by operation of law on
the following day.
4. New section refiled 2-16-2007 as an emergency; operative 2-16-2007 (Regis-
ter 2007, No. 7). A Certificate of Compliance must be transmitted to OAL by
6-18-2007 or emergency language will be repealed by operation of law on the
following day.
5. Certificate of Compliance as to 2-16-2007 order, including amendment of sec-
tion heading, section and Note, transmitted to OAL 6-18-2007 and filed
7-31-2007 (Register 2007, No. 31).
§ 1 1 987.4. Allowable/Non-Allowable Uses of SCVP Grant
Funds.
(a) Funding for administrative or supervisory personnel, other than the
project coordinator position(s), shall not be approved. Allowable budget
items are for personnel who provide direct services to students, as well
as for associated training, services, program materials, and supplies.
(b) Grant funds shall not be used for facilities costs, ufilities, phones
or phone systems, purchase of vehicles, out-of-state travel, or purchase
of ammunition or purchase of firearms.
(c) Grant funds shall be used in accordance with law and these regula-
tions, and as proposed in the approved application or a budget revision
approved by the S/LEP.
(d) Without prior approval from the S/LEP, budget adjustments may
be made of no more than $500. or ten percent of the line item from which
the funds are being moved, whichever is greater.
(e) The funds made available for the SCVP Program shall be used to
supplement, not supplant, existing school safety programs.
NOTE: Authority cited: Sections 41510 and 41513, Education Code. Reference:
Sections 41510 and 41512, Education Code.
History
1 . New section filed 1-19-2006 as an emergency; operafive 1-19-2006 (Register
2006, No. 3), A Certificate of Compliance must be transmitted to OAL by
5-19-2006 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 5-15-2006 as an emergency; operative 5-15-2006 (Regis-
ter 2006, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-12-2006 or emergency language will be repealed by operation of law on the
following day.
3. New section refiled 1 0-1 6-2006 as an emergency; operative 1 0- 1 6-2006 (Reg-
ister 2006, No. 42). A Certificate of Compliance must be transmitted to OAL
by 2-13-2007 or emergency language will be repealed by operation of law on
the following day.
4. New section refiled 2-16-2007 as an emergency; operative 2-16^-2007 (Regis-
ter 2007, No. 7). A Certificate of Compliance must be transmitted to OAL by
6-18-2007 or emergency language will be repealed by operation of law on the
following day.
5. Certificate of Compliance as to 2-16-2007 order, including amendment of sec-
tion heading, section and Note, transmitted to OAL 6-18-2007 and filed
7-31-2007 (Register 2007, No. 31).
Page 168.2(c)
Register 2007, No. 47; 11-23-2007
§ 11987.5
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 1 1 987.5. Reporting Requirements for the SCVP Program.
(a) Grant recipients shall provide an implementation report to the
S/LEPin the first year of project implementation. The report shall contain
a detailed description of planned project activities for that year. The de-
tailed description shall include a project implementation table listing, for
each planned activity, the person responsible for implementation; the
schedule of services; the number of units, hours, lessons, or services
planned; and the number of students, family members, and/or staff to be
served.
(b) Grant recipients shall also report annually to the S/LEP. The report
shall contain a progress report on the project described in the grant ap-
plication, a description of program and collaborative activities, and a de-
scription of services planned for the next year. The detailed description
of planned services shall include a project implementation table listing,
for each planned activity, the person responsible for implementation; the
schedule of services; the number of units, hours, lessons, or services
planned; and the number of students, family members, and/or staff to be
served. The report shall also contain a self-evaluation completed accord-
ing to the document entitled "School Community Violence Prevention
Program (SCVP) Grant Recipient Self-Evaluation Plan" (revised June
2007), which is incorporated by reference.
(c) Reports from the independent auditor reviewing use of the LEA's
grant funds shall be submitted to the S/LEP at the end of grant years two
and four.
(d) Grant recipients shall maintain accounting records and other evi-
dence pertaining to costs incurred during the grant award period and
thereafter for five full years from the date of the final payment of grant
funds. The S/LEP must be permitted to audit, review, and inspect the acti-
vities, books, documents, papers, and records relating to the grant during
the progress of the work and for five years following final allocauon of
funds.
NOTE: Authority cited: Sections 4L'ilO and 41513, Education Code. Sections
41510 and 41512, Education Code.
History
1. New section filed 1-19-2006 as an emergency; operative 1-19-2006 (Register
2006, No. 3). A Certificate of Compliance must be transmitted to OAL by
5- 1 9-2006 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 5-15-2006 as an emergency; operative 5-15-2006 (Regis-
ter 2006, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-12-2006 or emergency language will be repealed by operation of law on the
following day.
3. New section refiled 10-16-2006 as an emergency; operative 10-16-2006 (Reg-
ister 2006, No. 42). A Certificate of Compliance must be transmitted to OAL
by 2-13-2007 or emergency language will be repealed by operation of law on
the following day.
4. New section refiled 2-16-2007 as an emergency; operative 2-16-2007 (Regis-
ter 2007, No. 7). A Certificate of Compliance must be transmitted to OAL by
6-18-2007 or emergency language will be repealed by operation of law on the
following day.
5. Certificate of Compliance as to 2-16-2007 order, including amendment of sec-
tion heading, section and Note, transmitted to OAL 6-18-2007 and filed
7-31-2007 (Register 2007, No. 31).
§ 1 1 987.6. Reimbursement of Program Expenditures.
(a) The S/LEP shall issue an advance of not more than $50,000 to each
grant recipient upon the award of the grant. The remaining funds shall be
issued to grant recipients as reimbursement for authorized expenditures,
upon receipt of an invoice from the accounting office of the LEA. In-
voices shall be submitted quarterly to the S/LEP staff. Invoices for pay-
ment are subject to review and approval by S/LEP staff. Reimbursements
shall not be processed if annual reporting requirements have not been
met. Final invoices shall be submitted within four months of the end of
the grant period.
(b) If adequate progress in implementation of the grant program is not
demonstrated via annual reports, site visits, or other means, the S/LEP
may terminate the grant award and provide no further grant funding.
NOTE: Authority cited: Sections 41510 and 41513, Education Code. Reference:
Sections 41510 and 41512, Education Code.
History
1. New section filed 1-19-2006 as an emergency; operative 1-19-2006 (Register
2006, No. 3). A Certificate of Compliance must be transmitted to OAL by
5-19-2006 oremergency language will be repealed by operafion of law on the
following day.
2. New section refiled 5-1 5-2006 as an emergency; operative 5-1 5-2006 (Regis-
ter 2006, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-1 2-2006 or emergency language will be repealed by operation of law on the
following day.
3. New section refiled 10-16-2006 as an emergency; operative 10-1 6-2006 (Reg-
ister 2006, No. 42). A Certificate of Compliance must be transmitted to OAL
by 2-1 3-2007 or emergency language will be repealed by operation of law on
the following day.
4. New section refiled 2-16-2007 as an emergency; operative 2-16-2007 (Regis-
ter 2007. No. 7). A Certificate of Compliance must be transmitted to OAL by
6-1 8-2007 or emergency language will be repealed by operation of law on the
following day.
5. Certificate of Compliance as to 2-16-2007 order, including amendment of sec-
tion and Notr, transmitted to OAL 6-18-2007 and filed 7-31-2007 (Register
2007. No. 31).
§ 11987.7. School Safety and Violence Prevention Training
Grant.
(a) The S/LEP shall award a maximum of $400,000 per year of the
annual SCVP appropriation for one grant to a county office of education
for the purpose of providing statewide and regional training in school
safety and violence prevention methods. The grant period shall be a max-
imum of five years in duradon.
(b) The S/LEP shall issue an advance of not more than $50,000 to the
grant recipient upon the award of the grant. The remaining funds shall be
issued to the grant recipient as reimbursement for authorized expendi-
tures, upon receipt of an invoice from the accounting office of the grant
recipient. Invoices shall be submitted quarterly to the S/LEP staff. In-
voices for payment are subject to review and approval by the S/LEP staff.
(c) Applications for the School Safety and Violence Prevention Train-
ing Grant shall be submitted no later than March I of a year in which the
grant will be awarded. Applications for grant funds shall contain the fol-
lowing elements:
(1 ) The application shall describe the applicant's ability and experi-
ence to coordinate a statewide training program, including arranging for
the delivery of training throughout the 1 1 established CDE regional train-
ing areas.
(2) The application shall contain a comprehensive plan for administer-
ing the training grant that includes, but is not limited to, how the applicant
will: schedule and arrange for delivery of a specified number of regional
trainings; secure experienced trainers; reimburse the trainers for travel
expenses; sponsor and present an orientation and update meeting for the
1 1 regional training coordinators; conduct a focus group of trainers, coor-
dinators, and S/LEP staff to revise and update the training materials; pur-
chase necessary training materials; evaluate the training; coordinate an
annual meeting among S/LEP staff and the 1 1 LEA regional training
coordinators; and maintain regular contact with S/LEP state staff.
(3) The application shall contain a line item budget, along with an ex-
planatory narrative.
(4) The application shall contain an assurance that an independent au-
dit will be conducted in years two and four of the grant recipient's use of
the funds. The purpose of the audit shall be to determine if the funds have
been used as required by the law and regulation and as stated in the grant
recipient's application.
(5) Applicants shall download and print the "General Assurances" (re-
vised June, 2007) and "Drug Free Workplace" (revised June, 2007)
forms from the CDE's "funding forms" web page (http://www.cde.
ca.gov/fg/fo/fm). These documents, which are incorporated by refer-
ence, shall be submitted with the application.
(6) Applications shall meet the following technical requirements:
(A) An original grant application and four copies shall be submitted.
(B) The original application shall include all original signatures in blue
ink.
(C) The application shall be in 12-point or greater Arial font, single-
spaced, with one-inch minimum margins. If smaller font sizes or mar-
gins are used in an application, the S/LEP shall compute the number of
•
Page 168.2(d)
Register 2007, No. 47; 11-23-2007
Title 5
California Department of Education
§ 11987.7
excess characters added to the application as a result, and draw a red line
through the extra characters. Application reviewers shall not be allowed
to use the red-lined characters in the application review.
(D) The application shall be submitted on standard white, 8 1/2 X
1 1 -inch paper. The narrative section shall not exceed 10 pages. If the nar-
rative exceeds 1 0 pages, the S/LEP will draw a red line through the extra
pages and will not allow application raters to look at those pages.
(E) Applications shall be stapled or clipped together for submission,
(d) Each application shall be screened by the S/LEP to ensure that it
contains all required elements. Each application passing the screening
process shall be evaluated for compliance with applicable statutes and
these regulations, and for the degree to which the application provides:
(Da clear demonstration of the applicant" s extensive experience in de-
veloping, implementing, and coordinating regional training projects
throughout the state.
(2) a plan of administering the grant that contains enough specific de-
tail to assure that the applicant is capable of successfully implementing
a training program that includes: recruitment and training of knowledge-
able trainers; revision and tipdate of training materials; the scheduling of
trainings and obtaining of training facilities; the evaluation of the training
program; the administration of the financial aspects of the program in-
cluding reimbursing trainers; and the presentation of annual conferences
for staff development and for updating of the training program.
(3) a detailed budget that reasonably reflects the proposed project.
(e) Applications will be ranked in accordance with the evaluation de-
scribed in subdivision (d) and shall be funded in accordance with their
rank.
(f) A grant applicant that chooses to appeal the results of the grant ap-
plication process shall file a written appeal to the S/LEP within five work-
[The next page is 168.3.]
Page 168.2(e)
Register 2007, No. 47; 11-23-2007
Title 5
California Department of Education
§11991.1
ing days of the announcement of the results. Protests shall be limited to
the grounds that the S/LEP failed to correctly apply the process for re-
viewing the applications as specified in these regulations. The S/LEP
shall review the appeal and determine if the S/LEP failed to correctly ap-
ply the process for reviewing applications. The decision of the S/LEP
shall be the final administrative action afforded the appellant.
(g) Training grant funds may be used for: Salaries and benefits for the
statewide coordinator, regional training coordinators, and clerical sup-
port personnel; travel costs for regional trainings and for statewide meet-
ings and trainings for the statewide and regional training coordinators
and trainers: training materials, miscellaneous supplies directly related
to the trainings; services and operating costs, including rental of training
rooms: indirect cost not to exceed the indirect cost rale annually assigned
to the grant recipient by CDE; and audit costs. Training grant funds may
not be used for: Out-of-state travel; acquisition, rents, leases and utilities
for facilities (except rentals of training rooms); or purchases of vehicles.
(h) Grant funds shall be used in accordance with law and these regula-
tions and as proposed in the approved application or a budget revision ap-
proved by the S/LEP.
(i) Without prior approval from the S/LEP, budget adjustments shall
be made of no more than $500, or ten percent of the line item from which
the funds are being moved, whichever is greater.
y ) The grant recipient shall submit an annual report containing a prog-
ress report on the implementation of the program described in the grant
application, a description of program activities, and an evaluation of the
effectiveness of the training sessions which have been provided. If ade-
quate progress in implementation of the grant program is not demon-
strated via annual reports, site visits, or other means, the S/LEP may ter-
minate the grant award and provide no further grant funding.
(k) Grant recipients shall maintain accounting records and other evi-
dence pertaining to costs incurred during the grant award period and
thereafter for five full years from the date of the final payment of grant
funds. The S/LEP shall be permitted to audit, review, and inspect the acti-
vities, books, documents, papers, and records relating to the grant during
the progress of the work and for five years following final allocation of
funds.
(/) Funds shall be issued to the grant recipient as reimbursement for au-
thorized expenditures, upon receipt of an invoice from the accounting of-
fice of the grantee. Invoices for payment are subject to review and ap-
proval by S/LEP staff. Reimbursements shall not be processed if annual
reporting requirements have not been met. Final invoices shall be sub-
mitted within four months of the end of the grant period.
NOTE: Authority cited: Sections 4L'ilO and 41513. Education Code. Reference:
Sections 41510 and 41512, Education Code.
History
1 . New section filed 1-1 9-2006 as an emergency; operative 1-1 9-2006 (Register
2006, No. 3). A Certificate of Compliance must be transmitted to OAL by
5-19-2006 or emergency language will be repealed by operation of law on the
following day.
2. New section refiied 5-1 5-2006 as an emergency; operative 5-15-2006 (Regis-
ter 2006, No. 20). A Certificate of Compliance must be transmitted to OAL by
9- 1 2-2006 or emergency language will be repealed by operation of law on the
following day.
3. New section refiied 10-1 6-2006 as an emergency; operative 10-16-2006 (Reg-
ister 2006, No. 42). A Certificate of Compliance must be transmitted to OAL
by 2-1 3-2007 or emergency language will be repealed by operation of law on
the following day.
4. New section refiied 2-16-2007 as an emergency; operative 2-16-2007 (Regis-
ter 2007, No. 7). A Certificate of Compliance must be transmitted to OAL by
6- 1 8-2007 or emergency language will be repealed by operation of law on the
following day.
5. Certificate of Compliance as to 2-16-2007 order, including amendment of sec-
tion and Note, transmitted to OAL 6-18-2007 and filed 7-31-2007 (Register
2007, No. 31).
Subchapter 22. Reading First Program
§11990. Funding Allocation.
NOTE; Authority cited: Sections 12001, 12032 and 33031, Education Code. Ref
erence: 20 USC 6361 et seq. (Title I, Part B, federal No Child Left Behind Act),
California's Approved Reading First Plan as approved by the United States De-
partment of Education on August 23, 2002; Chapter 730. Statutes of 2002; and
Section 51700, Education Code.
History
1 . New subchapter 22 (section 1 ] 990) and section filed 4-2 1 -2003 as an emergen-
cy: operative 4-21-2003 (Register 2003, No. 17). A Certificate of Compliance
must be transmitted to OAL by 8-19-2003 or emergency language will be re-
pealed by operation of law on the following day.
2. Repealer of subchapter 22 and section by operation of Government Code section
1 1.346. Kg) (Register 2004, No. 32).
Subchapter 22.5. Reading First
Achievement Index/Definition of Significant
Progress
§ 1 1 991 . Reading First Achievement Index.
(a) The California Reading First Plan, approved by the United States
Department of Education on August 23, 2002, requires the development
of criteria to determine progress for Reading First local educational agen-
cies (LEAs). To comply with this requirement, the Reading First
Achievement Index (RFAI) was created. The RFAl is an annually calcu-
lated numerical index of a school's reading achievement in kindergarten
through grade three, and comprises weighted test results from the follow-
ing assessments:
(1) The Standardized Testing and Reporting Program (STAR).
California Standards Test (CST) in English language arts, for grades two
and three. Each of these assessments is weighted as 30 percent of a
school's RFAI, for a total of 60 percent;
(2) The STAR norm-referenced subtests in reading, language arts, and
spelling for grade three. The reading subtest is weighted as 6 percent, the
language arts subtest as 2 percent, and the spelling subtest as 2 percent
of a school's RFAI, for a total of 10 percent; and
(3) The Reading First End-of-Year Reading Assessments in either
English or Spanish for kindergarten through grade three. The kindergar-
ten and grade three assessments are each weighted as 5 percent of a
school's RFAI, and grade one and two assessments are each weighted as
10 percent of a school's RFAI, for a total of 30 percent.
(b) If a school does not have test results as specified in section
11 99 1 (a), due to either not having classrooms in one or more of the pri-
mary grade levels, kindergarten through grade three, or having less than
1 1 students in any grade level, the LEA's mean values on those missing
data elements will be used to calculate the school's RFAI.
(c) If a school does not submit test results for any of the assessments
specified in section 1 1991(a), a value of zero will be used for that data
element to calculate the school's RFAI.
(d) If a school does not have at least 45 percent of the RFAI weights
specified in section 11991(a), an RFAI will not be calculated for that
school.
Note; Authority cited: Sections 12001, 12032 and 33031. Education Code. Ref
erence: Section 51700, Education Code: and 20 USC 6361 (Title I. Part B, federal
No Child Left Behind Act).
History
I, New subchapter 22.5 (sections 1 1991-1 1991.2) and section filed 10-23-2006;
operative 1 1-22-2006 (Register 2006, No. 43).
§ 11 991 .1 . Defining Significant Progress/Continuance of
Reading First Funding.
(a) In order to continue to receive Reading First Funding, a local
educational agency (LEA) must achieve "significant progress" which is
defined as having at least half of the LEA's Reading First schools, which
have an RFAI, achieve an RFAI that is above one standard deviation be-
low the mean on the RFAI for the LEA's cohort.
(b) A cohort is made up of all the LEAs that were funded in the same
round of subgrant competition.
(c) Cohort One is defined as all of the LEAs in the round of subgrant
competition that was funded commencing November 13, 2002.
(d) For Cohort One, if a LEA fails to make significant progress after
the fifth year of implementation, the CaUfomia Department of Education
Page 168.3
Register 2007, No. 31; 8-3-2007
§ 11991.2
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(CDE) shall notify the LEA that it will not be funded for the next year of
implementation.
(e) For all other cohorts, if a LEA fails to make significant progress af-
ter the fourth year of implementation, CDE shall notify the LEA that it
will not be funded for the next year of implementation.
NOTE: Authority cited: Sections 12001, 12032 and 33031, Education Code. Ref-
erence: Section 51700, Education Code; and 20 USC 6362 (Title 1. Part B, federal
No Child Left Behind Act).
History
1 . New section filed 10-23-2006; operative 1 1-22-2006 (Register 2006, No. 43).
§ 11 991 .2. Appeal Process.
(a) For Cohort One, if an LEA fails to make significant progress after
the fifth year of implementation, or for all other cohorts, if an LEA fails
to make significant progress after the fourth year of implementation,
CDE shall notify them in writing that they will not be funded for the next
year of implementation (defunding determination). Such notice shall
also include information regarding the LEA's ability to appeal the de-
funding determination.
(b) If an LEA chooses to appeal the defunding determination, the fol-
lowing process shall be adhered to:
( 1 ) Within 30 days of receipt of the defunding determination notifica-
tion, the LEA shall file a written request for appeal with the CDE. The
request shall include an explanation of the basis for the appeal and any
supporting documentation.
(2) Upon receipt of an LEA appeal, the CDE shall have 30 days to in-
vestigate the appeal. CDE shall have the right to request the LEA to pro-
vide additional or clarifying information. CDE shall also have the right
to reasonably extend the investigation period for up to an additional 30
days, if in its opinion, more time is required to complete a thorough re-
view of the appeal and supporting documents.
(3) Upon completion of its investigation, CDE shall make a recom-
mendation to the SBE to either uphold or deny the LEA's appeal, includ-
ing the reasons for such recommendation. CDE shall also notify the LEA
that its investigation is complete and that the recommendation has been
forwarded to the SBE.
(4) The SBE shall consider the recommendation at the earliest regular-
ly scheduled SBE meeting at which the appeal can be placed on the Agen-
da.
(c) An LEA involved in the appeal process may continue to offer the
Reading First program while the appeal is being considered and a final
determination achieved.
NOTE: Authority cited: Sections 12001, 12032 and 33031, Education Code. Ref-
erence: Section 51700, Education Code; and 20 USC 6362 (Title I, Part B, federal
No Child Left Behind Act).
History
1. New section filed 10-23-2006; operative 1 1-22-2006 (Register 2006, No. 43).
Subchapter 23. Defining Persistently
Dangerous Public Elementary and
Secondary Schools
§11992. Provisions.
(a) A California public elementary or secondary school is "persistently
dangerous" if, in each of three consecutive fiscal years, one of the follow-
ing criteria has been met:
( 1 ) For a school of fewer than 300 enrolled students, the number of in-
cidents of firearm violations committed by non-students on school
grounds during school hours or during a school-sponsored activity, plus
the number of student expulsions for any of the violations delineated in
subsection (b) is greater than three.
(2) For a larger school, the number of incidents of firearm violations
committed by non-students on school grounds during school hours or
during a school-sponsored activity, plus the number of student expul-
sions for any of the violations delineated in subsection (b) is greater than
one per 100 enrolled students or a fraction thereof.
(b) Applicable violations include:
(1) Assault or battery upon a school employee (Education Code sec-
tion 4891 5(aK5))-,
(2) Brandishing a knife (Education Code section 48915(c)(2));
(3) Causing serious physical injury to another person, except in self-
defense (Education Code section 48915(a)(1));
(4) Hate violence (Education Code section 48900.3);
(5) Possessing, selling or furnishing a firearm (Education Code section
48915(c)(1));
(6) Possession of an explosive (Education Code section 48915(c)(5));
(7) Robbery or extortion (Education Code section 48915(a)(4));
(8) Selling a controlled substance (Education Code section
48915(c)(3)); and
(9) Sexual assault or sexual battery (Education Code section
48915(c)(4)).
(c) In instances where a student committed a violation enumerated in
subsection (b) for which expulsion proceedings would have been insti-
tuted, but is no longer a student and therefore cannot be expelled, that
violation must be reported in the total number of incidents and expulsions
referenced in subsection (a).
NOTE: Authority cited: Section 33031. Education Code; Reference: Sections
48900.3, 48915(a)(1), 48915(a)(4), 48915(a)(5), 48915(c)(1), 48915(c)(2),
489 1 5(c)(3), 48915(c)(4) and 4891 5(c)(5). Education Code; Public Law 107-1 10,
Title IX, Part E, Subpart 2. Section 9532: and 20 USC Section 7912.
History
1. New subchapter 23 (sections 1 1992-11994) and section filed 6-23-2005; op-
erative 7-23-2005 (Register 2005, No. 25).
§11993. Definitions.
(a) "Assault" means an unlawful attempt, coupled with a present abil-
ity, to commit a violent injury on the person of another (Penal Code sec-
tion 240).
(b) "Battery" means any willful and unlawful use offeree or violence
upon the person of another (Penal Code section 242).
(c) "Controlled substance" means all controlled substances listed in
chapter 2 of division 10 of the Health and Safety Code (commencing with
section 11053).
(d) "Firearm" means handgun, rifle, shotgun or other type of firearm
(section 921(a)(3) of title 18, United States Code).
(e) "Firearm violation" means unlawfully bringing or possessing a
firearm, as defined in subsection (d), on school grounds or during a
school-sponsored activity.
(f) "Explosive" means a destructive device (title 18, section 921 (a)(4).
United States Code).
(g) "Expulsion" means an expulsion ordered by the local educational
agency" s governing board regardless of whether it is suspended, modi-
fied, or stipulated.
(h) "Extortion" means acts described in Penal Code sections 71, 518,
and 519.
(i) "Fiscal year" means the period of July 1 through June 30 (Education
Code section 37200).
(j) "Hate violence" means any act punishable under Penal Code sec-
tion 422.6.
(k) An "incident" of a firearm violation by non-student(s) for the pur-
pose of section 1 1992 is an event on school grounds during school hours,
or at a school-sponsored activity, involving a person or persons not en-
rolled in the school who unlawfully brings or possesses a handgun, rifle,
shotgun, or other type of firearm. An event shall be counted as a single
incident when it happens at the same time in the same location, regardless
of the number of non-students involved. School site administrators or de-
signees are responsible for documenting the incident and reporting the
incident to the local educational agency (LEA) staff who are responsible
for collecting expulsion data.
(/) "Knife" means any dirk, dagger, or other weapon with a fixed,
sharpened blade fitted primarily for stabbing, a weapon with a blade
fitted primarily for stabbing, a weapon with a blade longer than 3 1/2 in-
ches, a folding knife with a blade that locks into place, or a razor with an
unguarded blade.
Page 168.4
Register 2007, No. 31; 8-3-2007
Title 5
California Department of Education
§ 11996.2
(m) "Non-stiidenf" means a person, regardless of" age, not enrolled in
the school or program reporting the violation.
(n) "On school grounds" means the immediate area surrounding the
school including, but not limited to, the school building, the gymnasium,
athletic fields, and the site parking lots.
(o) "Robbery" means acts described in Penal Code sections 21 1 and
212.
(p) A "school sponsored activity" means any event on the grounds of
the school district supervised by district staff at which students are pres-
ent, including transportation to and from school.
(q) "Serious physical injury" means serious impairment of physical
condition, including, but not limited to, the following: loss of conscious-
ness; concussion; bone fracture; protracted loss or impairment of func-
tion of any bodily member or organ; a wound requiring extensive sutur-
ing; and serious disfigurement (this is the same definition as described
in "serious bodily injury" in Penal Code section 243(f)(4)).
(r) "Sexual assault" means acts defined in Penal Code sections 261,
266(c), 286, 288a, 288(a^-)- and 289.
(s) "Sexual battery" means acts defined in Penal Code section 243.4.
(t) "Enrolled students", for the purpose of subsections 1 1 992(a)( 1 ) and
1 1 992(a)(2), means students included in the most current California Ba-
sic Educational Data System (CBEDS) report for the school.
(u) "During school hours" means from thirty minutes before the initial
school bell to thirty minutes after the closing school bell.
NOTE; Authority cited: Section 33031, Education Code; Reference: Sections
37200 and 48915(g), Education Code; Sections 11 053- 11 058, Health and Safety
Code; and Sections 71, 21 1, 212, 240, 242, 243(0(4), 243.4, 261, 266(c), 286,
288a, 288(a-c). 289, 422.6, 518 and 519, Penal Code.
History
1. New section filed 6-23-2005; operative 7-23-2005 (Register 2005, No. 25).
§ 1 1 994. Data Collection.
Local educational agencies (LEAs) will submit to the California De-
partment of Education (CDE) the number of incidents of non-student
firearm violations and student expulsions specified in section 11992
above for determining persistently dangerous schools. The CDE will use
the information collected to determine if a school site meets the criteria
in this subchapter. If an LEA contests the CDE's determination that one
or more of its schools is persistently dangerous, the LEA may appeal that
determination to the State Board of Education based on incorrect data or
circumstances that caused the school to be identified as persistently dan-
gerous, but actually increased student and teacher safety at the school.
NOTE: Authority cited: Section 33031, Education Code; Reference: Public Law
107-110. Title IX, Part E, Subpart 2, Section 9532: and 20 USC Section 7912.
History
1. New section filed 6-23-2005; operative 7-23-2005 (Register 2005, No. 25).
Subchapter 24.
American Indian Education
Centers
Article 1. General Provisions
§11996. Purpose.
These regulations set forth guidelines for the selection and administra-
tion of California American Indian Education Centers.
NOTE: Authority cited: Section 33382, Education Code. Reference: Section
33382. Education Code.
History
1. New subchapter 24, article 1 (sections 11996-11996.11) and section filed
6-4-2007 as an emergency; operative 6-4-2007 (Register 2007, No. 23). A
Certificate of Compliance must be transmitted to OAL by 12-3-2007 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6^4-2007 order transmitted to OAL 9-11-
and filed 10-24-2007 (Register 2007, No. 43).
-2007
§11996.1. Definitions.
For purposes of the American Indian Education Center program, the
following definitions shall apply:
(a) "Adult" means a person over the age of 1 8, residing in California,
and who does not attend public school in California in kindergarten or
grades 1 through 12, inclusive.
(b) "AIEC" means American Indian Education Center.
(c) "AIEOC" means American Indian Education Oversight Commit-
tee.
(d) "CDE" means California Department of Education.
(e) "Existing Center" means a center that is funded under Education
Code sections 33370-33383 in the most recently funded year prior to or
including the year that a new AIIiC Request For Applications from CDE
is released.
(f) "Grant year" means the period from October 1 through Septeinber
30 of the subsequent year.
(g) "Guardian" means a person who is not the mother or father but who
has custody of an American Indian pupil who is enrolled in, and attends
public school in California in kindergarten or grades 1 through 1 2, inclu-
sive.
(h) "Incorporated American Indian Associations" means a California
American Indian governed community-based organization that has re-
ceived and maintains its non-profit status from the federal government
and has current articles of incorporation on file with the state of Califor-
nia. It also means any tribally incorporated non-profit that either main-
tains separate non-profit status with the federal government or uses the
incorporating tribal federal designation (P.L. 93-638).
(i) "Parent" means the mother or father of an American Indian pupil
who is enrolled in, and attends public school in California in kindergarten
or grades 1 through 12, inclusive.
(j) "Priority" means that an existing center shall receive funding as
long as the center submits an application that meets the minimum criteria
for funding and the center has completed and submitted all required re-
ports for the current funding cycle.
(k) "Pupil" means an American Indian boy or girl who is enrolled in,
and attends school in California in kindergarten or grades 1 through 1 2.
inclusive.
(/) "RFA" means Request for Application.
(m) "SSPI" means the State Superintendent of Public Instruction.
(n) "Service" means activities provided to promote the academic and
cultural achievement of American Indian pupils as defined in Education
Code section 33381.
(o) "Tribal Group" means any federally recognized tribal government
including terminated California tribes.
NOTE: Authority cited: Secfion 33382, Education Code. Reference: Section
33382, Education Code.
History
1. New section filed 6-4-2007 as an emergency; operative 6-4-2007 (Register
2007, No. 23). A Certificate of Compliance must be transmitted to OAL by
12-3-2007 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-^1-2007 order transmitted to OAL 9- 1 1 -2007
and filed 10-24-2007 (Register 2007, No. 43).
§ 11996.2. American Indian Education Oversight
Committee.
(a) The purpose of the AIEOC is to provide input and advice to the
SSPI on all aspects of American Indian education programs established
by the state. Members of the AIEOC shall possess proven knowledge of
current educational policies relating to, and issues faced by, tribes and
American Indian communities in California.
(b) The AIEOC members shall serve at the pleasure of the SSPI.
NOTE: Authority cited: Section 33382, Education Code. Reference: Section
33370, Educafion Code.
History
1. New section filed 6-4-2007 as an emergency; operative 6-4-2007 (Register
2007, No. 23). A Certificate of Compliance must be transmitted to OAL by
12-3-2007 or emergency language will be repealed by operation of law on the
following day.
Page 168.5
Register 2007, No. 43; 10-26-2007
§ 11996.3
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
2. Cedificate of Compliance as to 6-4-2007 order transmitted to OAL 9-1 1-2007
and fded 10-24-2007 (Register 2007, No. 43).
§ 1 1 996.3. Grant Application.
(a) For each five year funding cycle, the CDE shall release a competi-
tive American Indian Education grant application no later than July 15.
Tribal Groups or Incorporated American Indian Associations wishing to
receive funds from CDE's AIEC grant program shall submit to CDE an
application proposing projects responding to all requirements of law and
these regulations. Original applications for 2007-08 grant year must be
received by CDE 42 days from the release date of the application. All
sub.sequent applications must be received at CDE 60 days from the re-
lease date of the application. Applications shall contain the following:
(1) Organizational chart of AIEC funded program and staff and the
relationship to parent organization:
(2) Agency description and service location(s):
(3) History of cultural and educational service to the American Indian
community;
(4) Demonstrated organizational capability and commitment to man-
age grants:
(5) Demographic profile of the proposed AIEC service area;
(6) Description of the target population including tribe (if applicable),
school, community;
(7) The results of a "Comprehensive Needs Assessment," which must
include:
(A) the number of American Indian pupils enrolled at each school site,
their grade levels, school or Local Education Agency's state academic
performance measures for the American Indian sub-group, and free and
reduced lunch count;
(B) the number of pupils to be directly served; and
(C) the needs and concerns identified by community members, collab-
orative partners, school staff, parents/guardians and pupils
(8) A comprehensive plan that includes:
(A) Measurable outcome objectives to meet identified needs by ser-
vice category listed in Education Code section 33381.
(B) For each activity proposed to achieve the objectives stated above,
applicants will provide the following:
1. description of activity;
2. total number of American Indian pupils served;
3. total number of others served;
4. number of American Indian pupils in each activity session;
5. number of others in each activity session;
6. number of hours per session; and
7. number of scheduled sessions.
(C) An implementation timeline for activities; and,
(D) A description of the manner in which culturally responsive meth-
odologies will be incorporated into program services.
(9) Documentation of, and plans for, continuing coordination and col-
laboration with local school districts, local tribes, other community orga-
nizations and resources.
(10) Signed CDE - General Assurances (February 2007), American
Indian Education Center Documentation Requirements (July 2007),
Drug-Free Workplace (August 2005), and American Indian Education
Center Commercial Tobacco-Free Certification Tobacco-Use Preven-
tion Education (May 2007), incorporated by reference.
(1 1) An annual budget, including narrative.
( 1 2) The narrative for an AIEC grant application must be limited to 20
single-sided, 8-1/2 by 1 1 inch pages using 12 pt Arial font, with 1 inch
margins.
(b) Applications shall be disqualified from consideration if they do
not:
(1) Include all required sections of the proposal;
(2) Include the original signature of the Board Chairperson, Tribal
Chairperson or authorized representative;
(3) Comply with the requirement that proposals be received by CDE
by the due dates specified in the RFA.
(c) For each year after year one of the five-year funding cycle, agen-
cies shall submit to CDE a continuing application that contains the fol-
lowing:
( 1 ) Degree to which the objectives were met; modifications to the ob-
jectives, activities, target population, and/or implementation timeline.
(2) An annual budget including narrafive.
(3) Signed CDE -General Assurances (February 2007), American In-
dian Education Center Documentation Requirements (July 2007), Drug-
Free Workplace (August 2005), and American Indian Education Center
Commercial Tobacco-Free Certification Tobacco-Use Prevention
Education (May 2007), incorporated by reference.
NOTE: Authority cited: Section 33382. Education Code. Reference: Sections
33370, 33381, 33383 and 62000.14, Education Code.
History
1 . New section filed 6—4-2007 as an emergency; operative 6-4-2007 (Register
2007, No. 23). A Certificate of Compliance must be transmitted to OAL by
1 2-3-2007 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6^-2007 order, including amendment of sub-
sections (a)(10) and (c)(3), transmitted to OAL 9-11-2007 and filed
10-24-2007 (Register 2007, No. 43).
§ 11 996.4. Selection of Applications for Grant Awards.
(a) Each complete applicafion that meets the deadline for submission
shall be reviewed by a panel of reviewers selected by CDE. The CDE
shall establish criteria for selection of the reviewers and train the review-
ers to score grant applications consistently.
(b) Applications shall be reviewed and assessed according to the de-
gree to which the apphcafion fulfills the requirements of applicable stat-
utes and these regulaUons, including:
( 1 ) The extent to which the application is designed to promote the cul-
ture and the academic achievement of American Indian pupils as demon-
strated by the alignment between identified needs and the proposed pro-
gram.
(2) The extent to which the application is designed to achieve measur-
able outcomes that address the needs identified in the comprehensive
needs assessment.
(3) The extent to which the applicant's actual and/or proposed orga-
nization structure, history of service to the American Indian community,
and demonstrated organizational capacity are indicative of the ability to
assure successful program implementation.
(4) The type and intensity of services to be provided to the targeted
populadon, and the number of pupils and other participants to be served.
(5) The potential impact of the proposed service plan on pupils, their
families, and other organizaUons in the region as evidenced by the imple-
mentation of promising practices or proven strategies.
(6) The completeness of the description of the proposed service area,
including the identificafion of currently exisfing services and service def-
icits.
(7) The degree to which the AIEC will collaborate with the exisfing
service-agencies as evidenced by collaborafive agreements that clearly
detail the responsibility of collaborating entities.
(c) All applicafions will be ranked according to their assessed score.
Grants will be awarded on the basis of the applicant's rank and the appli-
cant's funding priority as defined in secUon 1 1996. l(j).
NOTE: Authority cited: Section 33382, Education Code. Reference: Sections
33370 and 33383, Education Code.
History
1. New section filed 6-4-2007 as an emergency; operative 6-4-2007 (Register
2007, No. 23). A Certificate of Compliance must be transmitted to OAL by
12-3-2007 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6^4-2007 order transmitted to OAL 9-1 1-2007
and filed 10-24-2007 (Register 2007, No. 43).
§ 1 1996.5. Grant Recipient Funding.
(a) The CDE shall determine the amount of grant funds awarded to
each grant recipient based upon an analysis of the recipient's application
for funds. The factors considered in the analysis shall include, but shall
not be limited to, the following:
( I ) The comprehensive needs assessment included in the application.
Page 168.6
Register 2007, No. 43; 10-26-2007
Title 5
California Department of Education
§ 11996.9
(2) The scope of the project including the activities described in the ap-
plicant's comprehensive plan and the type and intensity of services pro-
posed for the program's major activities.
NOTE: Authority cited: Section 33382, Education Code. Reference: Section
33382, Hducation Code.
Hf STORY
1. New section tiled 6-4-2007 as an emergency; operative 6^-2007 (Register
2007. No. 23). A Certificate of Compliance must be transmitted to OAL by
12-3-2007 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6^-2007 order transmitted to OAL 9- 1 1 -2007
and filed 10-24-2007 (Register 2007, No. 43).
§ 1 1 996.6. Appeals of Grant Awards.
Applicants who wish to appeal a grant award decision shall submit a
written appeal to the CDE within five working days of the posted deci-
sion for grant year 2007-08 and within seven working days in subsequent
years. Appeals shall be limited to the grounds that the CDE failed to cor-
rectly apply the standards for reviewing the applications or the grant
award process as specified in the regulations. The appealing applicant
shall file a full and complete written appeal, including the issue(s) in dis-
pute, the legal authority or other basis for the appeal position, and the
retnedy sought. CDE shall not consider incomplete appeals, late appeals
or appeals that only refute the readers' comments given for technical as-
sistance.
Any decision to revise the original score or fund the application shall
be documented in writing. The CDE's decision is the final administrative
action afforded the appeal.
NOTE: Authority cited: Section 33382, Education Code. Reference: Secfion
33382, Education Code.
History
1. New section filed 6-4-2007 as an emergency; operative 6-4-2007 (Register
2007, No. 23). A Certificate of Compliance must be transmitted to OAL by
1 2-3-2007 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6--f-2007 order transmitted to OAL 9-1 1-2007
and filed 10-24-2007 (Register 2007, No. 43).
§11996.7. Reporting Requirements.
(a) Each grant recipient shall provide an annual report to the CDE. The
report shall he due 60 days from the end of the grant period, and shall con-
tain the following information:
( 1 ) number of pupils enrolled by grade level or age;
(2) number of pupils served by grade level or age and service type and
frequency;
(3) a description of how the center meets the continued educational
and cultural needs of the community that it serves;
(4) a description of the collaborative activities conducted during the
year;
(3) progress made in meeting its stated objectives, including applica-
ble program objectives as stated in Education Code section 33381;
(6) AlEC program enrolled pupil aggregated performance on state
academic assessment measures;
(7) recommendations for revisions to the project and its budget based
upon an analysis of the data by the grant recipient.
(b) Each grant recipient shall submit annually a report containing the
results of an independent fiscal audit of expenditures. This report is due
on April 30. A one time 60 day extension shall be granted if a request for
the extension is made prior to April 30 and demonstrates good cause for
such an extension. Grant funds may be used to pay for the preparation of
these reports.
(c) The AIEC's shall submit quarteriy fiscal expenditure reports. The
expenditure reports shall be received by the CDE within six weeks of the
end of each quarter. The reports shall be signed by the AIEC accounting
officer, and will have two components:
( 1) an AIEC summary report by CDE budget line item,
(2) a general ledger which shows the quarter's expenditures in detail.
(d) Failure to submit the annual report, quarterly fiscal reports, or re-
sults of the fiscal audit of expenditures by the due dates will result in a
delay of the second payment for the current year and all paytnents for
subsequent grant years until the reports are submitted.
NOTE: Authority cited: Section 33382. Education Code. Reference: Sections
33370 and 62000. 14, Education Code.
History
1. New section filed 6^-2007 as an emergency; operative 6-4-2007 (Register
2007, No. 23). A Certificate of Compliance must be transmitted to OAL by
12-3-2007 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-4-2007 order, including amendment of sub-
section (b), transmitted to OAL 9-11-2007 and filed 10-24-2007 (Register
2007, No. 43).
§ 11996.8. Fiscal and Program Monitoring.
(a) The reports received from the AJEC shall be received by the posted
due dates and shall be assessed for completeness, accuracy; for use o\'
funds as authorized in law and regulation; and for use of funds as de-
scribed in the applicafion of the AIEC. The AIEC shall correct any omis-
sions or inaccuracies in the reports and correct any unauthorized expen-
ditures by charging the unauthorized expenditure to a non-AIEC grant
fund source.
(b) Program monitoring shall be conducted through CDE review of
quarterly and annual reports, written communication, and on site re-
views. When problems in implementing program services or achieving
program objecfives are encountered, the CDE shall schedule meetings,
site visits, and/or phone calls to provide training and/or technical assis-
tance to the grant recipient.
(c) The CDE shall provide the AIEC with a written report of any find-
ings, including recommendations, corrective actions and a timeline for
the correcUve actions, if necessary.
(d) If the CDE determines that the AIEC has not inet the terms of the
approved applicafion or the law or these regulations, then the AIEC shall
be nofified by certified mail of any such failure to comply with the terms
of the application, laws or regulations. This notice shall specify the time
hne for correcfive action. After issuance of the notice the CDE has the
opfion to amend the fime line for correcfive action. If the grant recipient
does not take acfion to bring the program into compliance, the CDE shall
terminate program funding.
NOTE: Authority cited: Secfion 33382, Education Code. Reference: Section
33370, Education Code.
History
L New section filed 6-4-2007 as an emergency; operative 6-4-2007 (Register
2007, No. 23). A Certificate of Compliance must be transmitted to OAL by
12-3-2007 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6^-2007 order transmitted to OAL 9- 1 1 -2007
and filed 10-24-2007 (Register 2007, No. 43).
§ 1 1 996.9. Grant Amount Revisions.
(a) The CDE may reduce grant amounts based on the following condi-
tions:
(1) An across the board reducfion will be made in the event of an al-
locafion reducfion in the state budget. Each AIEC's grant amount will be
reduced proportionately to the reduction in the Budget Act.
(2) If any services budgeted in an AIEC's application or approved bud-
get revision are not provided within the grant year or first quarter of the
subsequent grant year and if a grant extension is not provided pursuant
to secfion 1 1996.10, the CDE shall reduce the grant award to the AIEC
accordingly.
(b) When supplemental funds are made available through the Budget
Act, the CDE shall determine whether such funding supports establish-
ment of addifional center programs. If so, a new request for applications
shall be issued and the requirements listed in secfion 1 1996.03 shall be
enforced.
(c) When addifional funds are made available through the Budget Act
for Cost of Living Adjustments (COLA), the CDE will augment each
funded AIEC's proportionately. In order to receive the augmentation
each AIEC must submit a Program and Budget Amendment. The Pro-
gram and Budget Amendment must be received by the CDE 45 days from
release and must contain;
Page 168.7
Register 2007, No. 43; 10-26-2007
§ 11996.10
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(1) A description ofhow the additional funds will support the existing
program.
(2) If the agency plans to use the additional funds to add or revise ob-
jectives, then the agency must include Modifications to Objectives in-
cluding a revised timeline.
(3) A detailed budget for the COLA including narrative.
(d) If the agency does not submit the required forms by the due dale,
then the agency forfeits the COLA.
(e) If for any reason grant funding awarded to an AIEC is returned to
CDE or never allocated to an AIEC. the AIEOC shall provide input and
advice to the SSPI on the use of the funds. Options for use of the funds
shall include, but are not limited to, proportional allocation to existing
grantees and allocation via competitive application.
NOTE: Authority cited: Section 33382, Education Code. Reference: Section
33382, Education Code.
History
1. New section filed 6-4-2007 as an emergency; operative 6-4-2007 (Register
2007, No. 23). A Certificate of Compliance must be transmitted to OAL by
1 2-3-2007 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6^-2007 order, including new subsections
(b)-{d) and subsection relettering, transmitted to OAL 9-11-2007 and filed
10-24-2007 (Register 2007, No. 43).
§ 1 1 996.1 0. Grant Extension.
No later than June 30 of the grant year, the CDE will determine if ex-
tensions for the use of grant funds will be made available for use in the
first quarter of the subsequent grant year. Funds from a grant year must
be used to provide services in the first quarter of the subsequent grant
year. The center must submit to the CDE a plan and line-item budget for
use of the funds in the subsequent grant year. The plan must demonstrate
that the funds would be used to provide supplemental services which
would not otherwise be funded from the grant funds of the new year.
Note; Authority cited: Section 33382, Education Code. Reference: Section
33383, Education Code.
History
1. New section filed 6-4-2007 as an emergency; operative 6—4-2007 (Register
2007, No. 23). A Certificate of Compliance must be transmitted to OAL by
1 2-3-2007 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6^f-2007 order transmitted to OAL 9-1 1 -2007
and filed 10-24-2007 (Register 2007, No. 43).
§ 11 996.1 1 . Budget Application Revisions.
(a) Project budget revisions of more than 10 percent of the line item
shall be approved in writing by the CDE prior to implementation. Expen-
ditures for any grant, activity, or type of equipment not listed in the ap-
plication budget or approved revision must be approved in advance by
CDE.
(b) Revisions to an approved application may be submitted anytime
during the annual grant period, so long as the revision is approved prior
to implementation of the revision.
NOTE: Authority cited: Secfion 33382, Education Code. Reference: Section
33370, Education Code.
History
1. New secfion filed 6-4-2007 as an emergency; operative 6-4-2007 (Register
2007, No. 23). A Certificate of Compliance must be transmitted to OAL by
12-3-2007 or emergency language will be repealed by operation of law on the
following day.
Chapter 12. Compensatory Education
Subchapter 1. General Provisions
Article 1. General Provisions
§12000. Definitions.
"Director" means Director of Compensatory Education.
History
1. New Chap. 1 (§§ 12000 and 12001)filed 1-1 4-70; effective thirtieth day there-
after (Register 70, No. 3).
§ 1 2001 . Copies of Guidelines.
History
1 . Repealer filed 5-1 7-74; effective thirtieth day thereafter (Register 74, No. 20).
Subchapter 2. Migrant Education
Article 1. Program Requirements
§ 1 201 0. Types of Programs That May Be Supported
Through the Use of l\/ligrant Education Funds.
Note: Authority cited: Sections 33031 and 54445, Education Code. Reference:
20 use 2761 and 2762; 34 CFR 204.1, 204.50, 204.51 and 204.65; and Secfions
54440, 54442, 54443, 54443.1 and 54444, Education Code.
History
1, New Chapter 2 (Articles l^, Sections 12010-12026, not consecutive) filed
1-31-83; effecfive thirtieth day thereafter (Register 83, No. 6). For history of
former Chapter 2, see Register 74, No. 20.
2. Repealer filed 5-10-88; operative 6-9-88 (Register 88, No. 20).
§ 1 201 1 . l\/lonitoring and Enforcement of Regulations.
NOTE: Authority cited: Sections 33031 and 54445, Education Code. Reference:
20 use 2761, 2814; 34 CFR 200.21, 200.150, 200.151, No. 12— January 19,
198 1 ; 34 CFR 204, 10(a), 204.61 ; and Sections 54442 and 54443. 1(g), Education
Code.
History
1. New secfion filed 7-8-83; effective thirtieth day thereafter (Register 83, No.
28).
2. Repealer filed 5-10-88; operative 6-9-88 (Register 88, No. 20).
§ 12012. Composition of a Parent Advisory Council.
NOTE; Authority cited; Sections 33031 and 54445, Educafion Code. Reference:
20 use 2735, 2761 and 2762; 34 CFR 204.55; and Section 54444.2, Education
Code.
History
1. Repealer filed 5-10-88; operaUve 6-9-88 (Register 88, No. 20).
2. Certificate of Compliance as to 6-4-2007 order transnutted to OAL 9-1 '
and filed 10-24-2007 (Register 2007, No. 43).
-2007
Article 2. Program Eligibility
§ 12013. Determining and Documenting Student Eligibility.
NOTE: Authority cited: Sections 33031 and 54445, Educafion Code. Reference:
20 use 2761, 2762, 2763; 34 CFR 204.12, 204.24, 204.54, 204.56; and Secfions
54441, 54441.5, 54443 and 54444, Educafion Code.
History
1. New Article 2 (Section 12013) filed 7-8-83; effecfive thirtieth day thereafter
(Register 83, No. 28).
2. Repealer filed 5-10-88; operative 6-9-88 (Register 88, No. 20).
Article 3. Complaint Procedures
§ 1 201 5. Where to File the Complaint.
NOTE: Authority cited: Secfions 33031 and 54445, Education Code. Reference:
20 use 2815; 34 CFR 200.182, No. 12— January 19, 1981 ; and Section 54442,
Education Code.
Page 168.8
Register 2007, No. 43; 10-26-2007
Title 5
California Department of Education
§ 12050
History
1 . Repealer tiled 5-10-88; operative 6-9-88 (Register 88. No. 20).
§ 12016. When Direct Involvement by the State Department
of Education (SDE) Is Necessary.
NOTE: Authority cited: Sections 33031 and 54445, Education Code. Reference:
20 DSC 2738 and 2815: 34 CFR 200. 1 82 and 200. 1 86. No. 1 2— January 1 9, 1 98 1 :
and Sections 54442 and 54443.1. Education Code.
History
1. Repealer filed 5-10-88; operative 6-9-88 (Register 88. No. 20).
§ 12017. Procedures Which the Operating Agency l\/lust
Adhere to When Resolving a Complaint.
Note: Authority cited: Sections 33031 and 54445, Education Code. Reference:
20 use 2738; 34 CFR 200. 1 83, 200. 1 84 and 200. 1 85, No. 1 2— January 1 9. 1 98 1 ;
and Section .54442. Education Code.
History
1. Repealer tiled 5-10-88; operative 6-9-88 (Register 88, No. 20).
§ 1 201 8. Procedures Which the SDE Must Adhere to When
Resolving a Complaint.
NotE: Authority cited: Sections 33031 and 54445, Education Code. Reference:
20 use 2815; 34 CFR 200. 186 and 200.187; and Section 54442. Education Code.
History
1 . Repealer filed 5-10-88; operative 6-9-88 (Register 88, No. 20).
Article 4.
Fiscal Allocation and Service
Delivery Structure
§ 12019. Criteria for Designation as a Migrant Service
Center.
NOTE: Authority cited: Sections 33031 and 54445, Education Code. Reference:
20 use 2731, 2734(d), 2761, 2762 and 3142; 34 CFR 204.50(d)(2) and 204.51;
and Sections .54440. 54442, 54443.1, 54444 and 54444.1, Education Code.
History
1. Repealer filed 5-10-88; operative 6-9-88 (Register 88, No. 20).
§ 1 2020. What the Service Agreement Shall Contain.
NOTE: Authority cited: Sections 33031 and 54445, Education Code. Reference:
20 use 2734, 2761 and 2762; and Section 54444.1, Education Code.
History
1. Repealer filed 5-10-88; operafive 6-9-88 (Register 88, No. 20).
§ 1 2021 . Functions and Responsibilities To Be Carried Out
by the Lead Agency of a Migrant Service
Center.
NOTE: Authority cited: Sections 33031 and 54445, Education Code. Reference:
20 use 2761, 2762 and 3142; 34 CFR 204.30; and Education Code Sections
34442, 54444.1 and 54444.4.
History
] . Repealer filed 5-10-88; operative 6-9-88 (Register 88, No. 20).
§ 1 2022. How a Migrant Service Center May Apply to
Conduct a Migrant Education Project.
NOTE: Authority cited: Sections 33031 and 54445, Education Code. Reference:
20 use 1232(e), 2761, 2762 and 3142; 34 CFR 204.30, 204.32 and 204.41; Sec-
tions 54441(e), 54444.1, 54444.3 and 54444.4, Education Code.
History
I . Repealer filed 5-10-88; operative 6-9-88 (Register 88, No. 20).
§ 12023. How a Migrant Service Center May Revise Its
Three-Year Project Application.
NOTE: Authority cited: Sections 33031 and 54445, Education Code. Reference:
20 use 2761 and 2762; 34 CFR 204.50; and Section 54444.1, Education Code.
History
1. Repealer filed .5-10-88; operative 6-9-88 (Register 88, No. 20).
§ 12024. How Migrant Education Funds Allocated to a
School District May Be Reallocated by a
Migrant Service Center.
NOTE: Authority cited: Secfions 33031 and 54445, Education Code. Reference:
20 use 2761 and 2762; 34 CFR 204.50; and Section 54444.1, Education Code,
History
1. Repealer filed 5-10-88; operative 6-9-88 (Register 88, No. 20).
§ 12025. Procedure for Granting an Award to a Migrant
Service Center.
NOTE: Authority cited: Sections 33031 and .54445, Education Code. Reference:
20 use 2761, 2762; 34 CFR 204.40; and Section .54444.1, Education Code.
History
1. Repealer filed 5-10-88; operative 6-9-88 (Register 88, No. 20).
§ 1 2026. Definitions Applicable to the State Migrant
Education Program.
NOTE: Authority cited: Sections 33031 and 54445, Education Code. Reference:
20 use 2854; and Section 54441, Education Code.
History
1. Repealer filed 5-10-88; operative 6-9-88 (Register 88, No. 20).
Subchapter 4. Preschool Educational
Programs
History
1. Repealer of Chapter 4 (Sections 12020-12037) filed 9-23-77; effecfive thir-
tieth day thereafter (Register 77. No. 39). For prior history, see Register 70, No.
3; Register 72, No. 30 and Register 74, No. 20.
Subchapter 5. Special Teacher
Employment Programs (K-6)
(Education Code Sections 54480-54487)
Article 1. General Provisions
§12050. Definitions.
(a) "Concentrated Area of Poverty and Social Tension."
"A concentrated area of poverty and social tension in the state,"" as
used in Article 5 (beginning witli Section 54480) of Chapter 4 of Part 29
of the Education Code means a census tract in an urban area as urban area
is described in the 1960 federal decennial census served by an elementary
school or schools with respect to which tract both of the following cir-
cumstances exist:
(1) The census tract was served by an elementary .school or schools
that on October 1, 1968, had a high proportion of pupils taking the Octo-
ber 1968 sixth grade state reading achievement test whose score on that
test fell at or below the first (lowest) quartile score.
(2) The 1960 decennial census shows with respect to the tract both of
the following:
(A) At least 20% of the families reported a 1959 income of less than
$3,000.
(B) A high percentage of unemployment of those in the labor force as
reported for 1959.
[The next page is 169.
Page 168.9
Register 2007, No. 43; 10-26-2007
Title 5
California Department of Education
§ 12090
(b) "Public School Population."
For the purpose of allocating funds available for programs under Edu-
cation Code Section 34480, public school population means the October
1 968 enrollment reported for the elementary schools serving a most con-
centrated area of poverty and social tension. When a qualified elementary
school has been closed subsequent to October 1, 1965, the services pro-
vided to the children of that qualified school shall be made available in
the school or schools designated to serve the area of the formerly quali-
fied elementary school.
NcriT,: Authority cited for Chapter 5: Section 5448.^, Education Code.
History
1. New Chapter 5 (§§ 12030 through 12052. 12060. 12061, 12065 through 12070)
filed 1-14-70; effective thirtieth day thereafter ([Register 70, No. 3).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
§ 1 2051 . Identification of the Most Concentrated Areas.
The "most concentrated areas of poverty and social tension" or a "des-
ignated area of disadvantage" as used in Chapter 4 of Part 3 1 of the Edu-
cation Code shall be either of the following:
(a) The area served by elementary schools identified and determined
by ranking the elementary schools serving those census tracts that are
concentrated areas of poverty and social tension as defined in Section
12050 (a) in accordance with a severity score based upon the sum of the
following:
( 1 ) The percentage of the pupils enrolled in the school who took the
October 1 968 sixth grade state reading achievement test whose score was
at or below the first quartile;
(2) The percentage of families (at least 20%) in the census tract or
tracts served in whole or in part by the school whose 1959 income re-
ported to the census was under $3,000 and;
(3) Twice the percentage of unemployment reported by the 1960 de-
cennial census for the census tract or tracts served in whole or in part by
the school; or
(b) The Director may designate as "a most concentrated area of pover-
ty and social tension" the attendance area of an elementary school that
has been identified and approved as a target area school for purposes of
Title I, ESEA program services in a school district in which there are
schools declared eligible in accord with the scores computed under sub-
paragraphs ( 1 ), (2), and (3) of subsection (a). The selection of such school
attendance areas shall be based primarily on the criteria of high concen-
tration of children from low income and AFDC families.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§ 1 2052. Priority of Projects.
Districts shall give priority to projects or programs that provide for in-
novative methods for utilization of teachers and classroom space and for
the evaluation of those methods.
§12060. Application for Funds.
History
1 . Repealer filed 5-17-74; effective thirtieth day thereafter (Register 74, No. 20).
§ 1 2061 . Content of Application for Grants.
History
1 . Repealer filed 5-17-74; effective thirtieth day thereafter (Register 74, No. 20).
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§12066. Health Examination.
Each person employed as a teachers" aide shall have on file with the
district a certificate defined in Education Code Section 49406 that indi-
cates freedom of such person from active tuberculosis.
History
1. Amendment filed 9-23-77; eifective thirtieth day thereafter (Register 77. No.
39).
§ 12067. Duties Under Supervision of Classroom Teacher.
A teacher aide shall be under the immediate supervision and direction
of a certificated classroom teacher, with a reasonable physical proximity
between the aide's work station and the teacher's work station, so that
there is ready communication between teacher and aide and ease of su-
pervision of the aide. Under such supervision, the teacher aide may en-
gage in acfivities that include tutoring of individuals or very small groups
of pupils as directed by the teacher.
§ 12068. Duties Not Under Direct Supervision of
Classroom Teacher.
A teacher aide may perform assigned duties while not under the direct
supervision of the teacher for a period not in excess of 25 per cent of the
time for which he is engaged in the performance of his duties during any
school day. The duties which a teacher aide may perform while not under
the direct supervision of a teacher shall not include independent control
or supervision of pupils except during designated noninstructional ses-
sions. While not under the direct supervision of a teacher, a teacher aide
may prepare materials as directed by the teacher, provide personal assis-
tance to designated pupils in the event of an emergency, and visit pupils'
homes when directed by the teacher in accordance with school district
policy, and perform other duties as assigned by the teacher.
§ 12069. Relation to Instructional Program.
The activities of teacher aides shall be directly related to the instruc-
tional program and to reinforcement of the teachers' effectiveness in car-
rying on the instructional program. Teacher aides shall not be assigned
duties that make them unavailable to assist teachers in instructional pro-
grams.
§ 12070. Assignment on Team Basis.
Teacher aides may be assigned on a team or cooperative basis to assist
in providing remedial instruction or in improving the quality of the regu-
lar instructional program.
Subchapter 6. Demonstration Programs in
Intensive Instruction (Reading and
Mathematics) for Low Achieving Pupils in
Grade 7, 8 or 9
(Education Code secdons 58600-58608)
Article 3. Teacher Aides
§12065. Qualifications.
A school district, in evaluating the qualifications of a prospective
teacher aide to be employed pursuant to Education Code Section 54482,
shall place primary consideration on such person's basic knowledge and
skills, personality factors, and his relationship to the community in which
he is to serve.
Article 1 . General Provisions
§12090. Definitions.
(a) "Exemplary program" as used in Chapter 4 of Part 31 of the Educa-
tion Code and in these regulations means the administration of an innova-
tive, creative program over and above the district's regular program that
can serve as a model for future programs.
(b) "Model Demonstration Program" as used in Article 2 of Chapter
4 of Part 3 1 of the Education Code and in these regulations means an ex-
emplary project using research data and experimentation to focus on the
conduct of intensive instruction in reading and mathematics.
Note. Authority cited for Chapter 6; Sections 54462 and 58605, Education Code.
History
1. New Chapter 6 (§§ 12090 through 12095, 12097, 12098, 12099) filed 1-14-70;
effective thirtieth day thereafter (Register 70. No. 3).
Page 169
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§ 12091
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
2. Amendment of" section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77. No. 39).
Article 2. Applications
§ 1 2091 . Application for Funds.
An applicant for funds to conduct programs under this chapter shall:
(a) Be identified as a "most concentrated area of poverty and social
tension" described in Section 1205 1 or a "designated area of disadvan-
tage" described in Education Code Section 58600, and
(b) Meet the requirements of subsections (a) through (e) of Sections
12060 and 12061.
History
i. Amendment of subsection (a) filed 9-23-77; effective thirtieth day thereafter
(Register 77, No. 39).
§ 12092. Application for Approval of Demonstration
Program.
An application by the governing board of a school district to establish
and operate a program under Chapter 4 of Part 3 1 of the Education Code
shall be made in accordance with the instructions provided on forms fur-
nished by the Director and shall contain a detailed description and analy-
sis of the program including the manner in which the standards and crite-
ria established by this article are to be complied with, and such other
information as specified by the Director.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§ 12093. Programs Operated by Public or Private
Agencies.
When a program is to be conducted by a school district through a pub-
lic or private agency, foundation, or corporation, the district shall submit
with its application a statement containing evidence that the agency,
foundation, or corporation is competent to conduct the program.
§ 12094. Program Content.
A demonstration program shall be designed to create an atmosphere
or climate for learning, to motivate the pupil for further learning and to
insure educational attainment or success in reading and mathematics. A
demonstration program shall have the following specific goals:
(a) Development of creative programs to serve as models or guides for
improved instruction generally and for compensatory education specifi-
cally.
(b) Experimentation with new curricula and methodology designed to
meet specific needs of low achieving pupils.
(c) Analysis and assessment of the abilities and needs of low achieving
pupils.
(d) Providing of individualized instruction.
(e) Employment of a variety of approaches to systematic, sequential
skills development.
(f) Corrective programs for pupils performing one year or more below
grade expectancy level.
§ 12095. Evaluation Committee. Preceding Approval.
When a demonstration program is to be conducted by a school district
through contract with a public or private agency, foundation, or corpora-
tion, the agency, foundation, or corporation, and its competence and abil-
ity to conduct the program, shall be evaluated by an evaluation commit-
tee which shall consist of four members appointed by the Director as
follows:
(a) One member known for his interest and leadership in industrial
training.
(b) One member eminent in the field of education.
(c) One member who is an established authority in teaching reading.
(d) One member who is an established authority in teaching mathemat-
ics.
The committee shall confer with, advise and make recommendations
to. the Director with respect to its evaluations and findings.
Article 3. Personnel in Program
§ 12097. Teaching and Supervisory Personnel.
A person serving as a teacher or supervisor in a demonstration pro-
gram who is employed by a public or private agency, foundation, or cor-
poration shall possess a valid California certification document unless
this requirement has been waived pursuant to Education Code Section
58603.
When this requirement has been so waived:
(a) A person serving as a teacher shall be experienced and competent
in teaching reading or mathematics.
(b) A person serving as supervisor shall be knowledgeable in the cur-
rent practices in reading and mathematics.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§12098. Assistants.
Any nonteaching aide, nonteaching assistant or teacher aide employed
to assist in a demonstration program pursuant to statutory authorization
(including Education Code Section 58603), shall perform such func-
tions, in accordance with such statutory authorization, as shall be deter-
mined by the district. An application submitted pursuant to Section
1 2092 shall indicate the number of assistants or aides, their qualifications
and duties.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
Article 4. Evaluation of Program
§12099. Program Evaluation.
A district or other entity operating a demonstration program shall peri-
odically evaluate the program which shall include an evaluation of pupil
achievement.
Subchapter 7. New Careers in Education
Programs
(Education Code Sections 44520-44534)
Article 1. General Provisions
§13000. Definitions.
(a) Program — Program means the activities conducted by the State
Department of Education, local school districts, and cooperating institu-
tions of higher education for the purpose of carrying out the provisions
of Article 5 of Chapter 3, Part 25, Sections 44520-44534.
(b) Intern — Intern means a person who has met eligibihty require-
ments, been selected, and is receiving support from the Program toward
the completion of collegiate preparation for and attainment of an elemen-
tary school teaching credential.
(c) Institution of Higher Education — An institution of higher educa-
tion (I.H.E.) is a university or a college which provides courses which
will enable a person to meet the requirements of a California teaching
credential. The university means any location where classes of that uni-
versity are operated or offered.
(d) Preservice Program — A preservice program is collaborative guid-
ance and training offered by the cooperating I.H.E. and the school dis-
trict.
(e) Team Leader — A team leader is an experienced teacher who has
demonstrated the capability in teaching educationally disadvantaged pu-
pils and is responsible to direct, aid, coordinate and supervise interns and
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Title 5
California Department of Education
ii 13009
•
•
•
who is released, at least in part lime, from other duties in order to perform
this eoordinaiion and supervision.
(0 Director of Compensatory Education — The Director of Compensa-
tory Education is the Assistant Superintendent of Public Instruction for
Compensatory Education.
(g) Tuition Scholarship — Means program and local district funds paid
to the intern or onlhe intern's behalf to cover normal expenses of attend-
ing an Institution of Higher Education.
(h) Fellowship Expense Grant — Means program and local district
funds paid tor the subsistence of interns and their eligible dependents
while actively enrolled in the Program.
NOTl-: Authority cited for Chapter 7: Sections .^3031 and 44532. Education Code.
HlSlORY
1. New Chapter 7 (Article I, Sections 1 3000-1.301 7) filed 1-16-76: effective thir-
tieth day thereaher (Register 76, No. 3).
2. Amendment of subsection (a) and NOTE filed 9-23-77; effective thirtieth day
thereafter (Register 77. No. 39).
§ 13001. Basic Requirements of the Program.
The basic purpo.se of the program is to carefully select, from among
persons whose background and experience makes them familiar with the
life problems oi' low-income and minority students, individuals who
have completed 60 semester course units or the equivalent number of
quarter units of lower division college work, who otherwise could not be
expected to complete collegiate education, and to facilitate their becom-
ing credentialed elementary school teachers. The program incorporates
academic study with on-the-job training. For this reason, local school
districts are the eligible applicant agencies and maintain control over the
nonacadeinic learning opportunities of the interns.
§13002. Intern Financial Support.
The following items relate lo the support of a New Careers in Educa-
tion intern:
(a) Fellowship Expense Grants — Interns .shall receive Fellowship Ex-
pense Grants of $75 per week throughout the months of the year in which
they are enrolled as full-time college students. The support will continue
to be provided between college semesters or quarters, and between the
academic year and college summer sessions. During periods when in-
terns are not attending college classes, the local school district may as-
sign responsibilities related to the education of disadvantaged children.
Interns may be provided the same vacations as local school district em-
ployees without loss of support.
(b) Fellowship Expense Grant Supplements — Fellowship expense
grant supplements of $ 1 5 per week for each legal dependent of the intern
may be added to the basic fellowship expense grant.
(c) Tuition Scholarship — Tuition scholarships include but are not lim-
ited to those charges by an institution of higher education for attending
classes and necessary related costs including books, materials, fees, and
transportation costs.
(d) Eligibility for Income Supplements — It is the intent of the State
Board of Education, in adopting these regulations, to define the intern-
ship and the scholarship and fellowship assistance provided by this pro-
gram in such ways as may protect the eligibility of interns for income sup-
plements, health benefits, or other services which would be available to
them if they were not New Careers in Education interns.
§ 13003. Duties of Team Leader.
A team leader shall devote at least one-half time to the following du-
ties:
(a) Direct, aid. and coordinate intern's activities.
(b) Supervise interns and their internship activities.
(c) Participate in screening candidates for consideration for intern-
ships.
(d) Meet with intern individually to provide guidance and counsel.
(e) Plan and conduct or arrange for other persons to conduct inservice
and preservice training for interns.
(f) Arrange for interns to be aware of meetings for professional
erowth.
(g) Collect data necessary for reporting on the progress of interns.
(h) Arrange for supervising teachers and check to make certain that
their participation is helping to implement the objectives of the program
for the benefit of the interns.
(i) Assist interns to develop skills and other abilities necessary for ef-
fective teaching.
(j) Supervise at least six but not more than 10 interns.
(k) Assist in the teaching process in the participating school.
(I) Participate in facilitating the teacher education prograin for the in-
terns.
§ 13004. Compensation of Team Leaders.
Team leaders shall receive compensation at a rale the equivalent to that
paid other experienced teachers in the school district with similar profes-
sional preparation and responsibilities.
§ 13005. Coordination with the Compensatory Education
Program.
In keeping with the basic purpose of the New Careers in Education
program, coordination with the school district staff who work in the area
of compensatory education is required.
§ 1 3006. Funds for Student Support.
At least 70 percent of the New Careers in Education funds allocated
to a school district must be expended for the direct support of interns
through tuition scholarships and fellowship expen.se grants.
§13007. Intern Eligibility.
All interns must meet the following requirements:
(a) At least 60 units of college credit have been acquired, and it is pre-
dicted that the student will qualify for the credential within two calendar
years.
(b) The individual is to have lived or worked extensively in areas of
high concentration of low-income families or is a member of a minority
or racial ethnic group who has lived or worked extensively in low-in-
come areas.
(c) Must have a high teaching potential and meet qualifications for the
issuance of a credenfial.
(d) Shows reasonable evidence that the intern will teach for at least two
years following the earning of a credential in a school in a low-income
area.
(e) Is registered for at least twelve semester units per semester or the
equivalent number of units in an institution operating on a quarterly ba-
sis.
§ 13008. Selection of Interns.
Interns will be selected on the basis of careful review of applications
showing the qualifications of all interested individuals including teacher
aides. The selection must carry out the district's classified personnel hir-
ing policies.
§ 13009. Applications for Funding.
Applications are to be submitted to the Director of Compensatory Edu-
cation (Assistant Superintendent of Public Instruction or Compensatory
Education) with these conditions and assurances:
(a) The local education agency must give assurance that the school dis-
trict intends to employ successful graduates.
(b) The intern shall give reasonable evidence that he will teach for at
least two years following the training program in a school located in a
low-income area.
(c) The collaborafing institution of higher education must plan a pro-
gram with the local educational agency and jointly select team leaders
and interns.
(d) The local educational agency serves as funding agency.
(e) The educational programs for interns will be competency-based
with objectives identified and evaluation procedures specified.
(f) Community representatives have an advisory role in planning, im-
plementing and evaluating the program.
(g) An annual report will be submitted in the form prescribed by the
State Department of Education.
Page 171
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§ 13010
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(h) Assurances that auditable records will be on file.
(i) Assurance of compliance with the California Administrative Code
and the California Education Code.
(j) Assurance that ethnic balance has been considered in selecting in-
terns.
(k) Assurance that data is provided on compensation allowances and
training costs.
(1) A budget is provided indicating specific amounts to be allocated un-
der each object of expenditure.
§ 13010. Eliminating an Intern from a Program.
When representatives of the school district or of the collaborating in-
stitution of higher education have concerns about the retention in the pro-
gram of a particular intern, a review committee consisting of the team
leader, a school district administrator, a cooperating classroom teacher,
and a faculty member from the collaborating institution of higher educa-
tion shall be convened to provide counsel and guidance for the intern. An
intern may be dropped from the program after due process.
§ 1 301 1 . District Responsibilities.
The district is responsible for the following:
(a) Pay at least 10 percent, but not more than 90 percent of the salaries,
fringe benefits, tuition scholarships, and fellowship expense grants to be
paid the team leaders and the interns.
(b) Provision of support services to team leaders and interns on the
same basis by which services are provided to other staff members in the
district.
§ 13012. Services Provided by Institutions of Higher
Education.
In selecting collaborating insututions of higher education, the school
district shall obtain assurances that any services provided to other stu-
dents in the university will be provided to the interns.
§ 1 301 3. Maintenance of Effort.
The new Careers in Education Act funds are intended to supplement
and not supplant other federal, state, or local funds. Applicants for this
program are required to maintain, in each school in which the New Ca-
reers interns and team leaders are employed and trained, a level of expen-
diture that is at least equal to the level of expenditure that would be main-
tained if New Careers in Education funds were not being expended.
§ 13014. Program and Reporting.
Each funded agency must submit a year-end report to the State De-
partment of Education in a form to be provided by the department. Annu-
al reports are due in Sacramento by the close of business, August 3 1 of
each year.
§ 13015. Fiscal and Technical Requirements.
District and county superintendents maintaining programs shall de-
velop budget accounts records, claims for reimbursement, and reports in
accordance with the California School Accounting Manual. Auditable
records shall be developed by the school districts or county superinten-
dents to document compliance with regulations.
§ 1 301 6. Compliance with Nondiscrimination
Requirements.
Each application shall include assurance that the applicant agencies
have complied with Title VI, Civil Rights Act of 1964, and Title IX, Edu-
cation Act of 1972, Section 34, Title 5, of the California Administrative
Code, and the California Fair Employment Practices Act, as amended.
§ 13017. Waivers.
Applicant districts may apply to the State Board of Education for
waivers from provisions of the California Education Code under provi-
sions of Education Code Secfions 52021 with respect to early childhood
education schools and Section 58603 with respect to ESEA Title I
schools if the granting of such waivers (which are not inconsistent with
federal statutes or regulations) will aid such applicant district in estab-
lishment and operation of early childhood education programs or com-
pensatory education programs for low-income children.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
Subchapter 9. Professional Development
and Program Improvement Programs
Article 1. General Provisions
§13025. Definitions.
(a) Center — Center means a professional development and program
improvement center which is an elementary school designated as such
upon application of a school district to the State Board of Educafion. It
is a school in which a program under either Title I of the Elementary and
Secondary Education Act of 1965, the Miller-Unruh Basic Reading Act
(Chapter 2 commencing with Section 54100! of Part 29), the Educadon-
ally Disadvantaged Youth Programs (Chapter 1 commencing with Sec-
tion 54000! of Part 29), or the Early Childhood Education Program
(Chapter 6 commencing with Section 52000! of Part 28) is in operafion.
(b) Satellite School — Satellite school means any other school or
schools in the district designated as such by the district and/or county su-
perintendent of schools and approved by the State Board of Education.
Satellite schools shall be named in accordance with the priority measures
established by Secfion 44636.
(c) Program — Program means a professional development and pro-
gram improvement center program established pursuant to this article.
(d) Joint Program — Joint program shall mean a program undertaken
through joint agreement by two or more school districts or county super-
intendents of schools joined together for the purpose of providing in-ser-
vice training to administrators and teachers teaching kindergarten and
grades 1 through 8.
(e) Funding — Funding means those state and/or federal monies which
may be appropriated by the legislature and/or congress for the purposes
of the operation of the Program Development and Program Improvement
Act of 1968, as amended and the allocations of such monies to the school
districts and/or county superintendents of schools pursuant to Education
Code Section 44643 as amended, and such federal statutes, regulations,
or executive orders as may be applicable to such programs.
(0 Performance Objective — A performance objective is an intent
communicated by a statement in writing describing the proposed change
in a learner (teacher, administrator, aide). Such changes must be observ-
able and measurable.
(g) Evaluation — An evaluafion is a systematic inquiry in writing to de-
termine the effectiveness of an educational endeavor.
(h) Evaluation Design — An evaluation design is a structured plan in
writing to determine the effecfiveness of a project.
(i) Inservice Training — Inservice training is the educafion and train-
ing of teachers and other school personnel who are employees of a local
educational agency and require no additional training or education to
meet state teachers cerfitication qualifications. Exceptions are made for
personnel who have intern status and who need addifional course work
and training to meet state cerfification requirements for the standard
teaching credentials.
(j) Preservice Training — Preservice training is the education and train-
ing of teachers and other school personnel who are, or may become, par-
ticipants in the programs or joint programs contemplated by the Profes-
sional Development and Program Improvement Act of 1 968, which shall
be specifically designed and implemented in such a manner as to prepare
such teachers or other school personnel for their participation in this pro-
gram.
(k) Master Teacher — A master teacher is one who has been deter-
mined to be an outstanding teacher by the school district and/or the
•
•
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Title 5
California Department of Education
§ 13032
•
•
county superintendent of schools and the cooperating institution of high-
er education.
(1) Resource Teacher — A resource teacher is a master teacher as de-
fined in (k) above in reading and mathematics for purposes of this pro-
gram.
(m) Specialist Teacher — A specialist teacher is a master teacher in
reading and/or mathematics as referred to in Chapter 1499, Statutes of
1 974 (commencing with Education Code Section 4463 1 ) for purposes of
this program. This term is also used as a synonym of the words resource
teacher in this program.
(n) Project Budget — Project budget means that amount of money spe-
cifically set forth in the applications of the school districts and/or the
county superintendents of schools which may be approved by the State
Board of Education for the operation of these programs.
(o) Replacement Teacher — A replacement teacher is one who holds
an appropriate California teaching credential and who replaces the teach-
er in the satellite school in order that the satellite teacher may receive
training in the center school program. Long-term and short-term substi-
tute teachers may be used.
(p) Satellite School Trainee — A satellite school trainee is a person who
holds a position in the satellite school and is eligible to participate in the
training program.
(q) Staff Development — Staff development is the development of
personnel competencies that promote pupil achievement.
(r) Training Cycle — A training cycle is a specified period of time de-
voted to the intensive training of school personnel.
NOTH: Authority cited for Chapter 9: Sections 33031 and 44639, Education Code.
History
1 . New Chapter 9m \ 3025-1 3044) filed 5-21-75; effective thirtieth day thereaf-
ter (Register 75. No. 21).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77. No. 39).
§ 1 3026. Agencies Eligible to Apply.
Any public school district and/or county superintendent of schools
may make application for funds under the Professional Development and
Program Improvement Act of 1968 as amended by Chapter 1499, Stat-
utes of 1974-75.
§ 13027. Establishing Professional Development Centers
and Programs.
Educational agencies applying for funds under provisions contained
in Education Code Sections 44635 and 44638 shall provide assurances
that:
(a) Professional development and program improvement centers will
be established to strengthen the instructional techniques of classroom
teachers and other instructional personnel in kindergarten and grades one
through six to improve the educational achievement of pupils in reading
and mathematics.
(b) Joint programs shall be designed to strengthen the instructional
techniques of classroom teachers and other instructional personnel in
kindergarten and grades one through eight to improve the achievement
of pupils in reading and mathematics.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§13028. Selecting the Center.
The school designated as the center shall meet all of the following re-
quirements:
(a) Be an elementary school which is classified as either an Elementary
and Secondary Education Act Title I school, a Miller-Unruh school (E.C.
54 1 00 et seq.), an educationally disadvantaged youth school (E.C. 54000
et seq.), or an early childhood education school (E.C. 52000 et seq.).
(b) Have master teachers determined by the local school district and/or
the county superintendent and the participating teacher training institu-
tion to be outstanding.
History
] . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77. No.
39).
§ 13029. Selecting Satellite Schools.
Schools designated as satellite schools shall:
(a) Have the largest concentration of pupils whose reading or mathe-
matics achievement scores or both fall below the first quartile as mea-
sured by standardized tests in reading and matheinalics.
(b) Have one or more master teachers who will be identified to act as
resource teachers in reading and mathematics.
(c) Maintain a summer session and integrate their instructional pro-
grams with the inservice training program performed during the summer.
(d) Have the largest concentration of teachers who will assure the dis-
trict that they will continue to teach in the satellite schools for at least two
years following their participation in the training prograin.
(e) Be schools with K-6 enrollinents or in districts using the K-3, 4-6
plan of organization, or schools in which a primary school feeds into an
intermediate school serving substantially the same attendance areas, or
in joint schools, or county superintendents serving K-8 schools.
(f) Satellite schools shall be selected annually by a ranking process
based on (a) above.
§13030. Assurances Required.
The applicant school district or county superintendent of schools shall
give assurances that the following requirements and standards will be
met in selecting personnel for the center.
(a) The director of the center program shall be appointed by the school
district or county superintendent of schools with the concurrence of the
cooperating teacher training institution.
(b) School districts shall select master teachers that are judged to be
outstanding by the participating teacher training institution and the local
school district or county superintendent of schools.
(c) All professional staff from the teacher training institution assigned
to the center school shall have the concurrence of the applicant school
district or county superintendent of schools.
(d) Applicant school districts or county superintendents of schools
shall cooperate with one or more higher education institutions in the plan-
ning, implementation, and evaluation of the training program.
(e) The school districts or county superintendents of schools shall pro-
vide professional development program centers with adequate staff to
perform auxiliary and administrative services, teacher aides, and re-
placement teachers.
(0 All project staff, except those employed by teacher preparation in-
stitutions, with the training project shall have standard California creden-
tials.
History
1. Editorial correction of section number Reg. 77, No. 39.
§ 13031. Personnel Rotation.
All instructional and administrative school personnel from satellite
schools and/or participating school s are required to participate in the cen-
ter program on a rotational basis.
§ 13032. Professional Development Steering Committee.
In addition to any other school or school district advisory committees,
districts participating in professional development center programs shall
form a professional development steering committee. The professional
development steering committee shall maintain liaison with the school
and school district advisory committees and should keep these commit-
tees informed of the status of the program. The professional development
steering committee shall consist of but not be limited to the following
membership:
(a) The director of all staff development programs, operating within
the district.
(b) All principals of the schools in which the professional development
and program improvement center will be conducted.
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Register 2(K)4, No. 24; 6- 1 1 -2004
§ 13033
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(c) A representative from the institution of higher education which will
cooperate with the school district in implementing the professional de-
velopment and program improvement center.
(d) A representative of the group of master teachers involved in the
training program.
(e) A representative of the group of participants and/or graduates of
previous professional development center programs.
§ 13033. Integration of the Center Program with Other Staff
Development or Training Programs.
Professional development centers/joint programs must be integrated
with existing staff development activities for reading and mathematics
within the school district and within the schools in which the training oc-
curs. This integration system must be described in the application for
funds, and must include people, physical facilities, materials, and equip-
ment, whether funded by any local, other state, or federal program
source.
§ 13034. Summer School Training Required.
Each center and satellite school shall participate in a summer school
for students and each project shall include a summer training component.
§13035. Maintenance of Effort.
Professional Development and Program Improvement Act funds are
intended to supplement and not supplant other federal, state, and local
funds. Applicants for this program are required to maintain, in each
school in which professional development participants are employed and
trained, a level of expenditure that is at least equal to the level of expendi-
ture that would be maintained if professional development funds were
not being expended.
§ 13036. Legislative Ceiling on Per Capita Cost.
The maximum number of dollars per participant under the appropri-
ation for this program is established by law. Participants are administra-
tors, teachers, aides, replacement teachers, auxiliary personnel, and oth-
ers who receive training.
§ 13037. Competitive Nature of the Program.
It is the intent of the legislature that funds available be distributed
throughout California. Applications will be ranked on the basis of Educa-
tion Code Sections 44635, 44636 or 44638. The highest ranked applica-
tions will be recommended for funding.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39».
§ 13038. Development of Program.
(a) Needs Assessment.
Each application shall include comprehensive data on the unmet needs
of the student population and of the administrative and instructional staff
members of the participating schools. Data submitted must include, but
is not limited to, input from students, parents, and staff members. Special
emphasis must be given to the needs for improved pupil achievement in
reading and mathematics.
(b) Objectives.
Each application shall include statements of objectives, stated in per-
formance terms, with performance criteria identified for all participants
in the project.
(c) Activities.
Each application shall include descriptions of the system of rotation
by which the participants will be released from regular duties, receive
concentrated training, receive follow-up support, and be assessed. Sum-
mer school activities shall be described in relation to school-year activi-
ties, with a rationale for the sequence of training experience to be re-
ceived by the participants. Learning groups of trainers and trainees shall
be described, and organizational and flow charts provided to graphically
illustrate relationships and experience sequences.
Activities must be developed around a fully described theoretical
model. Appropriate references to research in teacher education shall be
cited, including but not limited to data generated in previous years in the
applicant district and research done at the cooperating teacher training in-
stitution. All activities must be described in an overall management plan
which shows what is to be done, by whom, and by when.
§ 13039. Project Evaluation and Reporting.
Each funded agency must submit a year-end evaluation and report to
the State Department of Education in a format to be provided by the De-
partment. Annual reports are due in Sacramento by the close of business,
July 31 of each year.
(a) Report on Program Implementation Process.
The program application as submitted and approved must be implem-
ented. The process by which the activities described are implemented
must be monitored by the Professional Development Steering Commit-
tee. The Committee's report on the degree to which the management plan
has been implemented must be submitted as a component of the year-end
program report.
(b) Evaluation of the Program Product.
Evaluation of the program product shall focus on two populations:
(1) Standardized achievement test data shall include scores of pupils
taught for at least a full school year by a teacher who has completed the
inservice training program. A comparison with scores of pupils in com-
parable classes taught by teachers who have not completed the training
must be made.
(2) Baseline, pretraining data shall be gathered on all participants and
compared with post training data. Such data shall include, but is not lim-
ited to, the objectives established for knowledge and performance skills
to be mastered by the participants.
§13040. Continuity of Funding.
(a) Contingent upon the availability of funding, projects will, begin-
ning with the 1975-76 fiscal year, be funded for two years. Exceptions
will be projects which are found by representatives of the State Depart-
ment of Education to be:
(1) Substantially out of compliance with these regulations, or
(2) Substantially at variance in program operation from the program
described in the approved application.
(b) At the end of the second year of operation, programs will be re-
viewed in terms of:
(1 ) Whether the needs of the pupils have been substantially met, and
(2) Whether the program has been cost-effective in operation.
§ 13041 . Reports and Inspection of Records.
On request of the Superintendent of Public Instruction, records shall
be made available for inspection to verify the accuracy of reports and to
determine the conformity of program activities to the applicable program
plans. Each school district and county superintendent of schools main-
taining programs under this chapter shall submit such reports at such
times as the Superintendent of Public Instruction shall require to effect
the purposes of this chapter.
§ 13042. Fiscal and Technical Requirements.
(a) Districts and county superintendents maintaining programs under
this chapter shall develop budgets, account records, claims for reim-
bursement, and reports in accordance with the California School Ac-
counting Manual.
(b) Auditable records shall be developed by the school districts or
county superintendents to document compliance with federal and state
regulations.
§ 13043. Compliance with Nondiscrimination
Requirements.
Each application shall include assurance that the applicant agency
shall comply with Title VI, Civil Rights Act of 1 964, and Title IX, Educa-
tion Act Amendment of 1972, Sections 30 through 36of TitleS of theCal-
•
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Title 5
California Department of Education
§ 13075.1
•
irornia Administrative Code, and the California Fair Employment Prac-
tices Act, as amended.
§13044. Waivers.
Applicant districts may apply to the State Board of Education for
waivers from provisions of the California Education Code under the pro-
visions of Education Code Sections 52000 with respect to early child-
hood education schools and 58603 with respect to ESEA Title I schools
if the granting of such waivers (which are not inconsistent with federal
statutes or regulations) will aid such applicant districts in the establish-
ment and operation of early childhood education programs or compensa-
tory education programs for low income children.
History
1 . Amendment filed 9-23-77: effective thirtieth day thereafter (Register 77, No.
39).
Subchapter 11. School Housing Aid for
Compensatory Education
(Education Code Sections 16210-162 15)
Article 1. General Provisions
§13050. Application for Funds.
An applicant for school housing aid pursuant to Education Code Sec-
tions 16210-16215 shall be identified as a "most concentrated area of
poverty and social tension" described in Section 12051 or a "designated
area of disadvantage" described in Education Code Section 58600.
NOTE; Authority cited for Chapter 1 i : Section 1621 3, Education Code.
History
1. New Chapter 11 (§§ 13050 through 13053) filed l-14-70;effective thirtieth day
thereafter (Register 70, No. 3).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77. No. 39).
§ 1 3051 . Priorities to Districts Reducing Teacher-Pupil
Ratio.
Priorities in grants and allocations pursuant to Article 4 of Chapter 8
of Part 10 of the Education Code shall be granted to districts for use in
areas designated as the most concentrated areas of poverty and social ten-
sion in the State when the district has reduced, or submitted an approv-
able plan for reducing, the number of pupils to full-time equivalent clas-
sroom teachers in grades kindergarten through six, inclusive, in those
schools to a ratio of not more than 25-1.
Hf STORY
1. Amendment filed 9-23-77; effecfive thirtieth day thereafter (Register 77, No.
39).
§13052. Basis of Priorities.
Priorities for purposes of grants and allocations pursuant to Article 4
of Chapter 8 of Part 1 0 of the Education Code shall be based upon needs
and the urgency thereof, of school districts as determined by the foUovv'-
ing factors:
(a) Justification of the need for new school plants, new classrooms, ac-
quisition of land, sites for new classrooms, or remodeling, renovation or
reconstruction of existing school buildings or facilities.
(b) The number of available unused or partially used classrooms in the
designated area.
(c) The number of available unused or partially used classrooms out-
side of the designated area which may be used reasonably to accommo-
date pupils from the designated area.
(d) The joint recommendation of the Bureau of School Facilities Plan-
ning and the Bureau of Intergroup Relations of the Department of Educa-
tion of district plans for new school plants, acquisition of land, sites for
new classrooms, for construction of new facilities, or for remodeling,
renovation, or reconstruction of existing school buildings or facilities.
(e) Availability of the district's uncommitted capital outlay funds for
school housing to meet the needs of the district's plan for compensatory
education.
History
1 . Amendment of subsection (d) filed 9~2.V77: effective thirtieth day thereafter
(Register 77. No. 39).
§ 13053. Computation of Entitlements.
Entitlements for school housing aid shall be computed on the basis of
public school population ratios determined in accordance with Education
Code Section 54483. The Director, with the approval of the State Board
of Education, may modify entitlements when required by the compara-
tive needs, and the urgency thereof, of school districts.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No,
39).
Subchapter 12. School Housing Aid for
Districts Impacted by Seasonal Agricultural
Employment
History
1. New Chapter 12 (Section 13070) filed 1-14-70; effective thirtieth day thereaf-
ter (Register 70, No. 3).
2. Repealer of Chapter 12 (Section 13070) filed 9-23-77; effective thirtieth day
thereafter (Register 77, No. 39).
Subchapter 13. Supplemental Services
§ 1 3075. Application of this Subchapter.
This subchapter shall apply to supplemental services providers and
those seeking to provide supplemental services as specified in section
11 16(e) of the No Child Left Behind (NCLB) Act of 2001 (20 U.S.C.
6316).
NOTE: Authority cited: Sections 12001 and 33031, Education Code. Reference:
20 U.S.C. Section 6316.
HtSTORY
1 . New subchapter 1 3 (section 1 3075) and section filed 6-20-2003 as an emergen-
cy; operative 6-20-2003 (Register 2003, No. 25). A Certificate of Compliance
must be transmitted to OAL by 10-20-2003 or emergency language will be re-
pealed by operation of law on the following day.
2. Certificate of Compliance as to 6-20-2003 order transmitted to OAL
9-16-2003 and filed 10-29-2003 (Register 2003, No. 44).
3. Amendment of section heading, repealer and new section and amendment of
Note filed 5-6-2005; operative 5-6-2005 pursuant to Government Code sec-
tion 11343.4 (Register 2005, No. J 8).
§13075.1. Definitions.
For purposes of this subchapter, the following definitions apply:
(a) "Eligible applicant" means any public or private (nonprofit or for-
profit) entity and includes public schools (including charter schools), pri-
vate schools, school districts, or county offices of education that are not
currently identified for program improvement or for corrective action
pursuant to section 1 1 16(b)(1) of NCLB, institutions of higher education,
faith-based and community-based organizations and private businesses:
(b) "Approved supplemental educational services provider" ("provid-
er") means an eligible applicant that has been approved by the State
Board of Education (SBE) pursuant to the provisions of this subchapter;
(c) "Eligible student" means a child from a low-income family as de-
termined by the local educational agency for purposes of allocating funds
under section 1113(c)(1) of NCLB who is attending a Title I funded
school that is in year two or beyond of program improvement;
(d) "Demonstrated record of effectiveness in increasing the academic
proficiency of students" means an eligible applicant has documentation
of the following:
(1) Improved student academic performance in individual student
scores on national, state, district or other assessments in English lan-
guage arts and^or mathematics. These assessments must be developed in
accordance with the standards for validity and reliability as set forth in
Standards for Educational and Psychological Testing (1999); and
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§ 13075.2
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(2) Improved student academic performance as measured by written
teacher assessments of student growtii in English language arts and/or
mathematics.
NOTE: Authority cited: Sections 12001 and 33031, Education Code. Reference:
20 U.S.C. Section 6316.
History
1. New section filed 5-6-2005; operative 5-6-2005 pursuant to Government
Code section 1 1.343.4 (Register 2005, No. 18).
§ 13075.2. Application, Quality Requirements and
Approval.
(a) Eligible applicants must submit a completed application to CDE
before March 1 of the school year preceding the fiscal year in which they
wish to become a provider;
(b) Applications will be reviewed by CDE and submitted to SBE for
approval. The effective date ofany ensuing approval willbeJuly J of that
same calendar year;
(c) An eligible applicant shall be considered for approval upon receipt
of a completed application that satisfies each of the following qualifica-
tions;
(1) Documents a demonstrated record of effectiveness as defined in
section 13075.1;
(2) Contains at least five letters of reference from previous clients
(e.g., families, schools, districts, teachers, etc.) offering testimonial in-
formation about the positive impact of the applicant's program.
(3) Certifies that the applicant has not been removed, pursuant to sec-
tion 13075.4 of this subchapter, for cause from the list of approved sup-
plemental educational services providers at any time within the two years
preceding the fiscal year (July 1-June 30) for which it is submitting an
application;
(4) Provides written proof of current liability insurance coverage and
assures they will provide the local educational agencies with which they
contract written proof of current liability insurance coverage and other
necessary insurance of the type and in the amount required by the local
educational agency;
(5) Demonstrates that it is legally constituted and qualified to do busi-
ness in California;
(6) Describes the staffing, fiscal, equipment, and facility resources of
the organization that enable it to work with students in compliance with
these regulations and applicable federal, state and local statutes and regu-
lafions;
(7) Demonstrates it is fiscally sound as shown by all of the following:
(A) Proof of financial resources to operate as a provider fora minimum
of 6 months after initial approval, including a descripfion of how the or-
ganization receives funding (e.g., grants, fees-for-services, etc.) sepa-
rate from reimbursement for provider services;
(B) Proof of financial viability (e.g., through audits, financial state-
ments, or credit rating);
(C) Organizational budgets that identify all sources of revenues avail-
able to the applicant and cash flow activity related to the expenditures of
that revenue;
(8) Provides certification that the facility meets all applicable federal,
state and local health and safety laws, if instruction will occur at a facility
other that the student's school or residence;
(9) Demonstrates instrucfion meets the following criteria:
(A) Instruction will be aligned with applicable state adopted academic
content standards, K-1 2 curriculum frameworks and instructional mate-
rials;
(B) Instruction will be organized and presented in a manner designed
to meet the specific achievement goals of individual students;
(C) Instruction will be coordinated with the student's school program,
including an Individual Education Plan (lEP) and/or a 504 Plan, if appli-
cable;
(D) Instruction will be of high quality and will increase student aca-
demic achievement in English language arts and/or mathematics;
(E) Instruction shall be provided outside of the regular school day;
(F) Instruction will be provided that is secular, neutral, and non-ideo-
logical;
(10) Describes the procedure for developing specific achievement
goals in consultation with parents/guardians and school staff.
(11) Describes the manner in which students with disabilities and Eng-
lish learners will have access to services;
(12) Defines procedures for providing students, parents/guardians,
teachers, schools and/or districts with regular reports of student progress;
(13) Describes how the applicant shall secure parental/guardian per-
mission to have access to student data (e.g., STAR data. lEP data and/or
504 data) maintained by the local educational agency (LEA) for each stu-
dent served for purposes of demonstrating academic improvement;
( 1 4) Provides assurances that all student information shall be kept con-
fidential except as necessary to inform parents/guardians and appropriate
school staff;
(15) Describes the process of collaborafing with contracfing school
districts in the use of individual student STAR test results and/or other
measures used for purposes of accountability in determining the increase
in student academic performance;
(16) Describes procedures to maintain, monitor, and notify LEAs
about personnel updates related to provider's staff changes;
(17) Describes procedures for complefion of, and compliance with,
staff background checks, fingerprinfing. and TB tests for all employees
providing direct services to students;
( 1 8) Provides assurance that the provider will comply with all applica-
ble federal, state, and local health, safety, and civil rights laws;
(19) Agrees to limit incentives to those directly related to services pro-
vided, and not to exceed a monetary value as designated in the contract
with the LEA.
(20) Agrees to abide by the conditions set forth in the contract with the
LEA, including the payment schedule, rates, and any facility user fee ar-
ranged with the LEA that will be in compliance with section 1 1 16(e)(3)
and(6)oftheNCLB;
(21) Agrees to participate in the monitoring and evaluation process
contained in this subchapter.
(d) The term of approval is for a maximum of two fiscal years (July
1-June 30).
NOTE: Authority cited: Sections 12001 and 33031, Education Code. Reference:
20 U.S.C. Section 6316.
History
1. New section filed 5-6-2005; operative 5-6-2005 pursuant to Government
Code .section 1 1343.4 (Register 2005, No. 18).
§ 13075.3. Submission of an Annual End-of-Fiscal-Year
Report by Approved Providers.
(a) Approved providers must submit an annual end-of-fiscal-year re-
port to CDE by October 1 each year disclosing the following:
(1) Names and numbers of schools served.
(2) Total number of students served by grade levels.
(3) Location(s) where services were provided.
(4) Data for individual students served, with student identifying in-
formation redacted, as follows:
(A) Beginning and ending dates of service;
(B) Instructional delivery methods;
(C) Subject area (i.e. English language arts and/or mathemafics);
(D) Beginning and ending scores on nafional, state, district or other as-
sessments in English language arts and/or mathematics. The assessments
used for this purpose must be developed in accordance with the standards
for validity and reliability as set forth in Standards for Educational and
Psychological Testing (1999).
(5) Fiscal and expenditure informafion; and
(6) Written documentation of any changes that have occurred during
the year of reporting as outlined in numbers 4, 5, 6, 7 or 8 of section
13075.2(c).
(7) The number of students served online, with one-on-one tutoring,
or in a small group setting; and
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Title 5
California Department of Education
^ 14010
•
(8) Computer equipment and technology made available during, and
solely lor. tutoring services to the student served;
(h) These records to support the annual end-of-fiscal-year report
must be retained for three years after submission of the report.
NOTE: Authority cited: Sections 12001 and 33031, Education Code. Reference:
20 U.S.C. .Section 6316.
History
1. New section filed .S-6-2005: operative .'^-6-2005 pursuant to Governinent
Code section 1 1343.4 (Register 2003, No. 18).
§ 13075.4. Termination as an Approved Provider.
(a) A provider that is a local educational agency or school identified
for program improvement or corrective action under section 1 1 16(b)(1)
and 1 [ 16(c)(3) of NCLB during its term of approval is automatically ter-
minated as an approved provider by operation of law.
(b) After notice and opportunity to be heard, a provider's status as an
approved provider may be terminated by the SBE for any of the following
reasons:
( 1 ) The provider has failed to provide information requested by CDE
to allow CDE to monitor and evaluate the program;
(2) The provider has failed to monitor and evaluate the progress of stu-
dents receiving services;
(3) The provider has failed to contribute to increasing the academic
proficiency in English language arts and/or mathematics for two consec-
utive years for a majority of students served, as demonstrated by student
scores on national, state, district or other assessments in English lan-
guage arts or mathematics for grades 2-1 1 and by teacher recommenda-
tions for grades K- 1 and grade 1 2. These assessments must be developed
in accordance with the standards for validity and reliability as set forth
in Standards for Educational and Psychological Testing (1999).
(4) The provider has failed to meet applicable federal, state and local
health, safety, or civil rights laws;
(5) The provider has failed to meet the requirements of 4, 5, 6, 7 or 8
under section 13075.2(c);
(6) The provider has failed to meet the reporting requirements under
section 13075.3; or
(c) An approved provider may relinquish its approval by notifying
CDE in writing.
NOTE: Authority cited: Sections 12001 and 33031, Education Code. Reference:
20 U.S.C. Section 6316.
History
1. New section filed 5-6-2005; operative 5-6-2005 pursuant to Government
Code section 11 343.4 (Register 2005, No. 18).
Chapter 13. School Facilities and
Equipment
Subchapter 1. School Housing
Article 1. General Standards
§ 14000. Policy Declaration.
NOTE: Authority cited for Article 1: Sections 39000, 39100, 39101 and 39118.
Education Code.
History
1. New chapter 1 (§§ 14000, 14001, 14010, 14020, 14021, 14030 through 14033,
14040 through 14045) filed 1-14-70; effective thirtieth day thereafter. Ap-
proved nunc pro tunc by State Building Standards Commission as to any build-
ing standards involved (Register 70, No. 3).
2. Amendment of section and Note filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
3. Repealer filed 1 1-12-93; operative 12-13-93 (Register 93, No. 46).
§14001. Minimum Standards.
Educatrona/ facilities planned by school districts shall be:
(a) Evolved from a statement of educational program requirements
which reflects the school district's educational goals and objectives.
(b) Master-planned to provide for maximum site enrollment..
(c) Located on a site which meets California Department of Education
standards as specified in Section 14010.
(d) Designed for the environmental comfort and work efficiency of the
occupants.
(e) Designed to require a practical minimum of maintenance.
(f) Designed to meet federal, state, and local statutory requirements for
structure, fire, and public safety.
(g) Designed and engineered with flexibility to accommodate future
needs.
NOTE: Authority cited: Sections 17251(b) and 33031, Education Code. Refer-
ence: Sections 17017.5 and 17251(b), Education Code.
History
1. Amendment filed 9-23-77: effective thirtieth day thereafter (Register 77. No.
39).
2. Amendment of text and adoption of NoTi, filed 1 1-12-93; operative 12-1 3-93
(Register 93, No. 46).
3. Amendment of Note filed 10-30-2000; operative 10-.30-2000 pursuant to
Government Code section 1 1 .343.4(d) (Register 2000, No. 44).
Article 2. School Sites
§ 1 401 0. Standards for School Site Selection.
All districts shall select a school site that provides safety and that sup-
ports learning. The following standards shall apply:
(a) The net usable acreage and enrollment for a new school site shall
be consistent with the numbers of acres and enrollment established in the
2000 Edition, "School Site Analysis and Development" published by the
California Department of Education and incorporated into this section by
reference, in toto, unless sufficient land is not available or circumstances
exist due to any of the following:
(1) Urban or suburban development results in insufficient available
land even after considering the option of eminent domain.
(2) Sufficient acreage is available but it would not be economically
feasible to mitigate geological or environmental hazards or other site
complications which pose a threat to the health and/or safety of students
and staff.
(3) Sufficient acreage is available but not within the attendance area
of the unhoused students or there is an extreme density of population
within a given attendance area requiring a school to serve more students
on a single site. Choosing an alternate site would result in extensive long-
term bussing of students that would cause extreme financial hardship to
the district to transport students to the proposed school site.
(4) Geographic barriers, traffic congestion, or other constraints would
cause extreme financial hardship for the district to transport students to
the proposed school site.
(b) If a school site is less than the recommended acreage required in
subsection (a) of this section, the di-strict shall demonstrate how the stu-
dents will be provided an adequate educational program including physi-
cal education as described in the district's adopted course of study.
(c) The property line of the site even if it is a joint use agreement as
described in subsection (o) of this section shall be at least the following
distance from the edge of respective power line easements:
(1) 100 feet for 50-133 kV Hne.
(2) 150 feet for 220-230 kV line.
(3) 350 feet for 500-550 kV line.
(d) If the proposed site is within 1 ,500 feet of a railroad track easement,
a safety study shall be done by a competent professional trained in asses-
sing cargo manifests, frequency, speed, and schedule of railroad trafllc,
grade, curves, type and condition of track need for sound or safety barri-
ers, need for pedestrian and vehicle safeguards at railroad crossings,
presence of high pressure gas lines near the tracks that could rupture in
the event of a derailment, preparation of an evacuation plan. In addition
to the analysis, possible and reasonable mitigation measures must be
identified.
(e) The site shall not be adjacent to a road or freeway that any site-re-
lated traffic and sound level studies have determined will have safety
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problems or sound levels which adversely affect the educational pro-
gram.
(0 Pursuant to Education Code sections 17212 and 17212.5, the site
shall not contain an active earthquake fault or fault trace.
(g) Pursuant to Education Code sections 17212 and 17212.5. the site
is not within an area of flood or dam flood inundation unless the cost of
mitigating the flood or inundation impact is reasonable.
(h) The site shall not be located near an above-ground water or fuel
storage tank or within 1 500 feet of the easement of an above ground or
underground pipeline that can pose a safety hazard as determined by a
risk analysis study, conducted by a competent professional, which may
include certification from a local public utility commission.
(i ) The site is not subject to moderate to high liquefaction or landslides.
(j) The shape of the site shall have a proportionate length to width ratio
to accommodate the building layout, parking and playfields that can be
safely supervised and does not exceed the allowed passing time to classes
for the district.
[The next page is 177.]
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•
(k) The site shall be easily accessible from arterial roads and shall al-
low minimum peripheral visibility from the planned driveways in accor-
dance with the Sight Distance Standards established in the "Highway De-
sign Manual," Table 201.1, published by the Department of
Transportation. July I, 1990 edition, and incorporated into this section
by reference, in toto.
(l)The site shall not be on major arterial streets with a heavy traffic pat-
tern as determined by site-related traffic studies including those that re-
quire student crossings unless mitigation of traffic hazards and a plan for
the safe arrival and departure of students appropriate to the grade level
has been provided by city, county or other public agency in accordance
with the "School Area Pedestrian Safety" manual published by the Cali-
fornia Department of Transportation. 1987 edition, incorporated into this
section by reference, in toto.
(m) Existing or proposed zoning of the surrounding properties shall be
compatible with schools in that it would not pose a potential health or
safety risk to students or staff in accordance with Education Code Section
17213 and Government Code Section 65402 and available studies of traf-
fic surrounding the site.
(n) The site shall be located within the proposed attendance area to en-
courage student walking and avoid extensive bussing unless bussing is
used to promote ethnic diversity.
(0) The site shall be selected to promote joint use of parks, libraries,
museums and other public services, the acreage of which may be in-
cluded as part of the recommended acreage as stated in subsection (a) of
this section.
(p) The site shall be conveniently located for public services including
but not limited to fire protection, police protection, public transit and
trash disposal whenever feasible.
(q) The district shall consider environmental factors of light, wind,
noise, aesthetics, and air pollution in its site selection process.
(r) Easements on or adjacent to the site shall not restrict access or
building placement.
(s) The cost and complications of the following shall be considered in
the site selection process and should not result in undue delays or unrea-
sonable costs consistent with State Allocation Board standards:
(1) Distance of utilities to the site, availability and affordability of
bringing utilities to the site.
(2) Site preparation including grading, drainage, demolition, hazard-
ous cleanup, including cleanup of indigenous material such as serpentine
rock, and off-site development of streets, curbs, gutters and lights.
(3) Eminent domain, relocation costs, severance damage, title clear-
ance and legal fees.
(4) Long-term high landscaping or maintenance costs.
(5) Existence of any wildlife habitat that is on a protected or endan-
gered species list maintained by any state or federal agency, existence of
any wetlands, natural waterways, or areas that may support migratory
species, or evidence of any environmentally sensitive vegetation.
(t) If the proposed site is on or within 2,000 feet of a significant dispos-
al of hazardous waste, the school district shall contact the Department of
Toxic Substances Control for a determination of whether the property
should be considered a Hazardous Waste Property or Border Zone Prop-
erty.
(u) At the request of the governing board of a school district, the State
Superintendent of Public Instruction may grant exemptions to any of the
standards in this section if the district can demonstrate that mitigation of
specific circumstances overrides a standard without compromising a safe
and supportive school environment.
Note: Authority cited: Sections 17251(b) and 33031, Education Code. Refer-
ence: Sections 17212, 17212.5, 17213, 17251(b) and 17251(f), Education Code.
History
1 . Renumbering of former section 14010 to section 140 11 and new section filed
11-12-93; operative 12-13-93 (Register 93, No, 46). For prior history, see
Register 77, No. 39.
2. Amendment of section and Note filed 1 0-30-2000; operative 1 0-30-2000 pur-
suant to Government Code section 1 1343.4(d) (Register 2000, No. 44).
§ 1 401 1 . Procedures for Site Acquisition — State-Funded
School Districts.
A state-funded school district is defined as a school district having a
project funded under Chapter 1 2.5 (commencing with Section 1 7070. 1 0)
of the Education Code. A state-funded school district, before acquiring
title to real property for school use, shall obtain written approval from the
California Department of Education using the following procedures:
(a) Request a preliminary conference with a consultant from the
School Facilities Planning Division and in consultation review and eval-
uate sites under final consideration.
(b) Contact the School Facilities Planning Division of the California
Department of Education to obtain a "School Facilities Planning Division
Field Site Review," form SFPD 4.0. published by the California Depart-
ment of Education, as last amended in December 1999 and incorporated
into this section by reference, in toto, which lists the site options in order
of merit according to the site selection standards delineated in Section
14010.
(c) Prepare a statement of policies as delineated on the "School Facili-
ties Planning Division School Site Report," form SFPD 4.02, as last
amended in December 1999 and incorporated into this section by refer-
ence, in toto, covering the range and organization of grades to be served,
the transportation of pupils, and the ultimate maximum pupil enrollment
to be housed on the site. Prepare a statement showing how the site is ap-
propriate in size as justified by the school district's Facilities Master Plan,
including acreage increases above the California Department of Educa-
tion recommendation made to compensate for off-site mitigation. A
school district may choose, in place of a master plan, a developer fee jus-
tification document or a five-year plan if it addresses enrollment projec-
tions, needed schools, and site si:zes.
(d) Prepare maps showing present and proposed school sites, signifi-
cant roads or highways, unsanitary or hazardous installations, such as air-
ports or industries and the indicated boundary of the pupil attendance
area to be served as delineated on form SFPD 4.02.
(e) Meet with appropriate local government, recreation, and park au-
thorities to consider possible joint use of the grounds and buildings and
to coordinate the design to benefit the intended users as required by Edu-
cation Code Section 35275.
(0 Give written notice to the local planning agency having jurisdiction
to review the proposed school site or addition to an existing school site
and request a written report from the local planning agency of the investi-
gations and recommendations for each proposed site with respect to con-
formity with the adopted general plan as required by Public Resources
Code Section 21 151.2 and Goveirninent Code Section 65402.
(g) Comply with Education Code Sections 17212 and 17212.5, with
particular emphasis upon an engineering investigation made of the site
to preclude locating the school on terrain that may be potentially hazard-
ous:
(1) The geological and soils engineering study shall address all of the
following:
(A) Nature of the site including a discussion of liquefaction, subsi-
dence or expansive soils, slope, stability, dam or flood inundation and
street flooding.
(B) Whether the site is located within a special study zone as defined
in Education Code Section 17212.
(C) Potenfial for earthquake or other geological hazard damage.
(D) Whether the site is situated on or near a pressure ridge, geological
fault or fault trace that may rupture during the life of the school building
and the student risk factor.
(E) Economic feasibility of the construction effort to make the school
building safe for occupancy.
(2) Other studies shall include the following:
(A) Population trends
(B) Transportation
(C) Water supply
(D) Waste disposal facilities
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(E) Utilities
(F) Traffic hazards
(G) Surface drainage conditions
(H) Other factors affecting initial and operating costs.
(h) Prepare an environmental impact report, or negative declaration in
compliance with the Environmental Quality Act, Public Resources Code.
Division 13, (commencing with Section 21000 with particular attention
to Section 21 151.8). As required by Education Code Section 17213, the
written findings of the environmental impact report or negative declara-
tion must include a statement verifying that the site to be acquired for
school purposes is not currently or formerly a hazardous, acutely hazard-
ous substance release, or solid waste disposal site or, if so, that the wastes
have been removed. Also, the written findings must state that the site
does not contain pipelines which carry hazardous wastes or substances
other than a natural gas supply line to that school or neighborhood. If haz-
ardous airemissions are identified, the written findings must stale that the
health risks do not and will not constitute an actual or potential danger
of public health of students or staff. If corrective measures of chronic or
accidental hazardous air emissions are required under an existing order
by another jurisdiction, the governing board shall make a finding that the
emissions have been mitigated prior to occupancy of the school.
(i) Consult with, or demonstrate that the lead agency, if other than the
district preparing the environmental impact report or negative declara-
tion, has consulted with the appropriate city/county agency and with any
air pollution control district or air quality management district having ju-
risdiction, concerning any facilities having hazardous or acutely hazard-
ous air emissions within one-fourth of a mile of the proposed school site
as required by Education Code Section 17213.
(j) For purposes of Environmental Site Assessment, school districts
shall comply with Education Code sections 17210.1, 17213.1, and
17213.2.
(k) Follow the recommendations of the State Superintendent of Public
Instruction report based upon the Department of Transportation, Divi-
sion of Aeronautics, findings, if the proposed site is within two miles of
the center line of an airport runway or proposed runway as required by
Education Code Section 17215.
(/) Follow the standards for school site selection in Section 14010 of
this article.
(m) Conduct a public hearing by the governing board of the school dis-
trict as required in Education Code Section 1721 1 to evaluate the proper-
ty using the standards described in Section 14010 of this article. The
school district's facility advisory committee may provide an evaluation
of the proposed site to the governing board.
(n) Submit the request for exemption from a standard in Section 1 401 0
of this article, with a description of the mitigation that overrides the stan-
dard, to the California Department of Education.
(o) Certify there are no available alternative school district-owned
sites for the project deemed usable for school purposes by the California
Department of Education or certify that the school district intends to sell
an available alternative school district-owned site and use the proceeds
from the sale for the purchase of the new school site.
NOTE: Authority cited: Sections 17251(b) and 33031, Education Code. Refer-
ence: Sections 17070.50, 17072.12, 17210.1, 17211, 17212, 17213 and 17251(b),
Education Code.
History
1 . Renumbering and amendment of section 14010 to section 1401 1 and adoption
of Note filed 1 1-12-93; operative 12-13-93 (Register 93, No. 46).
2, Amendment of section heading, section and Note filed 10-30-2000; operative
10-30-2000 pursuant to Government Code section 1 1343.4(d) (Register 2000,
No. 44).
§ 14012. Procedures for Site Acquisition - Locally-Funded
School Districts.
A locally-funded school district is defined as a school district with a
project not applying for funding from any state program administered by
the State Allocation Board as defined in Chapter 1 2.0 (commencing with
Section 17000) or Chapter 12.5 (commencing with Section 17070.10) of
the Education Code. A locally- funded school district, before acquiring
title to real property for school use, shall:
(a) Evaluate the property using the standards established in Section
14010 and items (e) through (/) in Section 1401 1;
(b) Comply with terms of the complaint investigation described in
Section 14012(d); and
(c) May request advice from the California Department of Education
as described in Education Code Section 1721 1(a).
(d) Prepare documentation of and retain for purposes of a complaint
investigation the exemption from the standard in Section 14010 of this
article with a description of the mitigation that overrides the standard.
Locally-funded school districts may request from the California Depart-
ment of Education a review of the adequacy of the mitigation measure.
(e) Comply with Education Code section 17268 regarding potential
safety or health risks to students and staff
NOTE: Authority cited: Sections 17251(b) and 33031, Education Code. Refer-
ence: Sections 17251(a) and (b) and 17268, Education Code.
History
1. New section filed 11-12-93; operative 12-13-93 (Register 93, No. 46).
2. Repealer of former section 14012 and renumbering of former section 14013 to
new section 14012, including amendment of section heading, section and Note,
filed 10-30-2000; operative 10-30-2000 pursuant to Government Code sec-
tion 11343.4(d) (Register 2000, No. 44).
§ 1 401 3. Procedures for Site Acquisition - Locally-Funded
Districts.
NOTE: Authority cited: Section 39001(b), Education Code. Reference: Sections
17700 et. seq., 39101(a), and 39101(b), Education Code.
History
1. New section filed 1 1-12-93; operative 12-13-93 (Register 93, No. 46).
2. Renumbering of former section 14013 to section 14012 filed 10-30-2000; op-
erative 10-30-2000 pursuant to Government Code section 1 1343.4(d) (Regis-
ter 2000, No. 44).
Article 3. Attendance Areas and Practices
History
1 . Repealer of Article 3 (Sections 14020-14021 ) filed 9-23-77; effective thirtieth
day thereafter (Register 77, No. 39). For prior history, see Register 70, No. 1 1 ;
Register 70, No. 26 and Register 71, No. 1.
Article 4. Standards, Planning and
Approval of School Facilities
§ 1 4030. standards for Development of Plans for the
Design and Construction of School Facilities.
The following standards for new schools are for the use of all school
districts for the purposes of educational appropriateness and promotion
of school safety:
(a) Educational Specifications.
Prior to submitting preliminary plans for the design and construction
of school facilities, and as a condition of final plan approval by CDE,
school board-approved educational specifications for school design
shall be prepared and submitted to the California Department of Educa-
tion based on the school district's goals, objectives, policies and commu-
nity input that determine the educational program and define the follow-
ing:
(1) Enrollment of the school and the grade level configuration.
(2) Emphasis in curriculum content or teaching methodology that in-
fluences school design.
(3) Type, number, size, function, special characteristics of each space,
and spatial relationships of the instructional area that are consistent with
the educational program.
(4) Community functions that may affect the school design.
(b) Site Layout.
Parent drop off, bus loading areas, and parking shall be separated to
allow students to enter and exit the school grounds safely unless these
features are unavailable due to limited acreage in urban areas or restric-
tive locations, specifically:
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•
( 1 ) Buses do not pass through parking areas to enter or exit school site
unless a barrier is provided that prevents vehicles from backing directly
into the bus loading area.
(2) Parent drop off area is adjacent to school entrance and separate
from bus area and staff parking.
(3) Vehicle traffic pattern does not interfere with foot traffic patterns.
Foot traffic does not have to pass through entrance driveways to enter
school. Crosswalks are clearly marked to define desired foot path to
school entrance.
(4) Parking stalls are not located so vehicles must back into bus or
loading areas used by parents. Island fencing or curbs are used to separate
parking areas from loading/unloading areas.
(5) To provide equal access to insure the purposes of the least restric-
tive environment, bus drop off for handicapped students is in the same
location as for regular education students.
(c) Playground and Field Areas.
Adequate physical education teaching stations shall be available to ac-
commodate course requirements for the planned enrollment, specifical-
ly:
( 1) A variety of physical education teaching stations are available to
provide a comprehensive physical education program in accordance with
the district's adopted course of study (including hardcourt, field area and
indoor spaces).
(2) The physical education teaching stations are adequate for the
planned student enrollment to complete the minimum instruction and
course work defined in Education Code Sections 5 1210(g), 51220(d) and
51225.3(a)(1)(F).
(3) Supervision of playfields is not obstructed by buildings or objects
that impair observation.
(4) Joint use for educational purposes with other public agencies is ex-
plored. Joint use layout with parks is not duplicative and fulfills both
agencies" needs.
(d) Delivery and Utility Areas.
Delivery and service areas shall be located to provide vehicular access
that does not jeopardize the safety of students and staff:
(1) Delivery/utility vehicles have direct access from the street to the
delivery area without crossing over playground or field areas or interfer-
ing with bus or parent loading unless a fence or other barrier protects stu-
dents from large vehicle traffic on playgrounds.
(2) Trash pickup is fenced or otherwise isolated and away from foot
traffic areas.
(e) Future Expansion.
Site layouts shall have capability for expansion without substantial al-
terations to existing structures or playgrounds:
(1) Site layout designates area(s) for future permanent or temporary
additions that are compatible with the existing site plans for playground
layout and supervision.
(2) Utilities to the expansion area are included in the plans and have
the capacity to accommodate anticipated growth.
(3) Exits, corridors, stairs, and elevators are located to accommodate
capacity of additions, particularly in such buildings added as the multi-
purpose/cafeteria, administration, gymnasium/or auditorium.
(f) Placement of Buildings.
Building placement shall consider compatibility of the various func-
tions on campus and provide optimum patterns of foot traffic flow around
and within buildings. Site layout of buildings, parking, driveways, and
physical education areas shall be adequate to meet the instructional, secu-
rity and service needs of the educational program:
( 1 ) Building placement is compatible with other functions on campus;
e.g., band room is not next to library.
(2) Physical relationship of classrooms, auxiliary, and support areas
allows unobstructed movement of staff and students around the campus.
(3) Building placement has favorable orientation to wind, sun, rain,
and natural light.
(4) Restrooms are conveniently located, require minimum supervi-
sion, and. to the extent possible, are easily accessible from playground
and classrooms.
(5) Parking spaces are sufficient for staff, visitors, and students (where
applicable).
(6) The campus is secured by fencing and electronic devices such as
code entries, electronic monitoring or motion sensors when needed.
(g) Classrooms.
Classrooms at new school sites shall have adequate space to perform
the curriculum functions for the planned enrollment as described in the
school district's facility master plan, specifically:
(1) Classroom size standards:
(A) General classrooms, grades one through twelve are not less than
960 square feet. Classrooms proposed of less than 960 square feet require
written justification to be submitted to and approved by the State Super-
intendent of Public Instruction. Adjacent instructional space shall be in-
cluded in the calculation of square feet for purposes of approving class-
room design.
(B) Proposed classrooms of less than 960 square feet have written jus-
tification consistent with the educational program and curriculum indi-
cating that the district's education program can be delivered in the pro-
posed size classrooms.
(2) Total classroom space meets or exceeds the capacity planned for
the school using the district's classroom loading standards in accordance
with State Allocation Board policy.
(3) Consideration is given to some classrooms which are easily alter-
able in size and shape at a reasonable cost.
(4) Conduit/cabling and outlets are available for technology in each
classroom to provide network and stand alone equipment related to the
planned and future potential educational functions.
(h) Specialized Classrooms and Areas.
Specialized classrooms shall be designed to reflect the function
planned for that portion of the educational program. If any of the follow-
ing classrooms are needed, these standards apply:
(1) Small-Group Areas.
(A) Small-group instruction areas are not included in the compulation
of classroom size unless the area is an integral part of the classroom and
can be visibly supervised by a teacher from the classroom.
(B) Small-group instruction areas are designed to allow for collabora-
tive learning opportunities where appropriate to support the regular edu-
cation program and are located in the vicinity of classrooms.
(2) Kindergarten Classrooms.
(A) Kindergarten classroom size for permanent structures is not less
than 1350 square feet, including restrooms, storage, teacher preparation,
wet and dry areas.
(B) Kindergarten classrooms are designed to allow supervision of play
yards (unless prevented by site shape or size) and all areas of the
classroom.
(C) Play yard design provides a variety of activities for development
of large motor skills.
(D) Classrooms are located close to parent drop-off and bus loading
areas.
(E) Storage, casework, and learning stations are functionally designed
for use in free play and structured activities; e.g.. shelves are deep and
open for frequent use of manipulative materials.
(F) Windows, marking boards, sinks, drinking fountains, and furniture
are appropriate heights for kindergarten-age students.
(G) Restrooms are self-contained within the classroom or within the
kindergarten complex.
(3) Special Education Classrooms and Areas.
(A) A new school designates at least 240 square feet for the resource
specialist program and provides additional space in accordance with the
allocations in Education Code Section 17747(a) as larger enrollments are
being planned.
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(B) A new school designates at least 200 square feet for the speech and
language program which is close to classrooms when an individualized
instruction program is necessary.
(C) A new school designates office area for the psychologist/counsel-
ing program which provides for confidentiality and may be shared with
other support service programs.
(D) Special day classrooms are at least the same size as regular educa-
tion classrooms at that site and are properly equipped for the students
who will occupy the space, for their age and type of disabling condition.
(E) The square footage allowance in Education Code Section 1 7747(a)
for special day class programs is used for the design of classroom space
and other space on the campus to support the special education program.
The support space includes but is not limited to speech specialist area,
psychologist, counseling offices and conference area.
( F) Special day classrooms are distributed throughout the campus with
age appropriate regular education classrooms.
(G) A cluster of two special day classrooms may be considered if sup-
port or auxiliary services (e.g., bathrooming. feeding, physical or occu-
pational therapy) are needed to serve the students throughout the school
day.
(H) A conference area is available to conduct annual individualized
education program meetings for each special education student.
(I) Medical therapy units, if planned for the site, are close to visitor
parking areas and accessible after school hours.
(i) Laboratories shall be designed in accordance with the planned cur-
riculum.
(1) Science laboratory:
(A) Size is at least 1 300 square feet including storage and teacher prep-
aration area.
(B) Science laboratory design is consistent with the requirements for
proper hazardous materials management specified in both the "Science
Facilities Design for California Public Schools," published by the Cali-
fornia Department of Education, 1993, and the "Science Safety Hand-
book for California Public Schools," published by the California State
Department of Education, 1999.
(C) Accommodations are made for necessary safety equipment and
storage of supplies; e.g., fire extinguisher, first aid kit, master disconnect
valve for gas.
(D) Secured storage areas are provided for volatile, flammable, and
corrosive chemicals and cleaning agents.
(E) Properly designated areas are provided with appropriate ventila-
tion for hazardous materials that emit noxious fumes, including a high
volume purge system in the event of accidental release of toxic sub-
stances which may become airborne.
(F) Exhaust fume hoods, eye washes, deluge showers are provided.
(G) Floor and ceiling ventilation is provided in areas where chemicals
are stored.
(H) Room is provided for movement of students around fixed-learn-
ing stations.
(1) There is the capability for technology which complements the cur-
riculum.
(J) Classrooms are flexibly designed to insure full student access to
laboratory stations and lecture areas.
(2) Consumer Home Economics laboratory:
(A) There is room for movement of students around fixed learning sta-
tions.
(B) Cooking equipment reflects current home food preparation prac-
tices and/or commercial food preparation simulafion.
(C) There is the capability for technology which complements por-
tions of the curriculum, such as fashion design, consumer economics,
and nutritional analysis of foods.
(D) There is space for industrial or home sewing equipment consistent
with the planned curriculum.
(E) There is storage for student projects and supplies.
(F) Space for work tables is provided for such activities as cutting fab-
ric or completing interior design projects.
(G) Lecture area is provided.
(H) At least 1300 square feet is allocated for each laboratory.
(I) If part of the planned program, space for a child care area or for a
laboratory to teach child growth and development is provided.
(3) Industrial and Technology/Education Laboratory:
(A) Room is provided for movement of students around fixed learning
stations.
(B) Flexible stations with sufficient ouflets and power source for in-
dustrial type equipment is provided.
(C) Space is provided for various simulations of job-related experi-
ences and laboratory work stafions.
(D) There is capability to ufilize technology which complements the
curriculum, such as computer-aided graphics, electronics and special-
ized tools.
(E) There is lecture area within each laboratory or near the laboratory
area where appropriate.
(F) There are accommodations for necessary health and safety equip-
ment, such as fire extinguisher and first aid kit.
(G) Secured storage areas for volatile, flammable and corrosive chem-
icals and cleaning agents are provided where appropriate.
(H) There are properly designated areas with appropriate ventilafion
for the use of hazardous material that emit noxious fumes or excessive
dust particles.
(I) Proper storage and removal access for hazardous waste materials
is provided in each laboratory using such materials.
(4) Computer Instructional Support Area:
(A) If a standard classroom is being designated as a computer laborato-
ry, size is at least 960 square feet.
(B) Room is provided for movement of students around learning sta-
tions.
(C) Sufficient outlets, power sources, and network links for the
amount of equipment are provided.
(D) Proper ventilation is provided.
(E) Room provides for security of equipment.
(F) Lighting minimizes screen glare and eye strain.
(j) Gymnasium, Shower/Locker shall be designed to accommodate
multiple use activities in accordance with the planned enrollment:
( 1 ) The gymnasium is secured from other parts of the campus for eve-
ning and weekend events or for public use purposes.
(2) The shower/locker area is of sufficient size to allow students en-
rolled in the physical education program to shower and dress each period.
(3) Toilets are available for the public in facilities intended for shared
community use other than in shower/locker areas.
(4) Office space is provided for physical education teachers.
(5) Space is available for specialized age-appropriate physical educa-
tion acfivities such as weight lifting, exercise equipment usage, aerobics.
(k) Auxiliary Areas.
(1) Multipurpose/cafeteria area (indoor or outdoor) shall be adequate-
ly sized and flexibly designed to protect students from the elements and
to allow all students adequate eating fime during each lunch period and
to accommodate such uses as physical educadon acfivifies, assemblies,
and extracurricular activities:
(A) Tables and benches or seats are designed to maximize space and
allow flexibility in the use of the space.
(B) The location is easily accessible for student and community use,
but is close to street for delivery truck access.
(C) Stage/platform may have a dividing wall to be used for instruction-
al purposes but is not intended as a classroom.
(D) Area for the cafeteria line is designed for the flow of traffic for each
lunch period.
(E) Design of kitchen reflects its planned function; e.g., whether for
food preparation or warming only.
(F) Space is available for refrigeration and preparation of foods to ac-
commodate maximum number of students planned for the school.
(G) Office, changing, and restroom area for food preparation staff is
available and shall comply with local department of health requirements.
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(H) Ceiling height allows for clearance of light fixtures for physical
education activities.
(2) Administrative Office.
The administrative office shall have sufficient square footage to ac-
commodate the number of staff for the maximum enrollment planned for
the school consistent with the master plan for the school district and shall
be designed to efficiently conduct the administrative functions, specifi-
cally:
(A) Students have direct confidential access to pupil personnel area.
(B) Counter tops are accessible for an age-appropriate population
both at a standing and wheelchair level.
(C) Clerical staff have a clear view of nurse's office.
(D) The nurse's office has a bathroom separate from staff bathroom! s)
in administration area.
(E) Space for private conference and waiting area is available.
(F) Capability for such computer networking functions as attendance
accounting and communicating to each classroom is considered.
(G) A faculty workroom is available lor a staff size proportionate to
the student population.
(3) Library/Media Center and Technology.
Library space shall be proportional to the maximum planned school
enrollment. The size shall be no less than 960 square feet. However, to
allow adaptation for changing technology and communication systems,
the following is recommended:
-two square feet per unit of a.d.a. (average daily attendance) for ele-
mentary;
-three square feet per unit of a.d.a. for middle or junior high (grades
6-8);
-four square feel per unit of a.d.a. for high school. In addition;
(A) Provide security for technology and media equipment.
(B) Space and capabihty for computer terminals is considered for stu-
dent use, research and report writing.
(C) Visual supervision from circulation desk is available to study
areas, stack space, and student work centers.
(D) Design for open and closed-circuit television, dedicated phone
line, electrical outlets for stand-alone computers, and conduit connect-
ing all instructional areas is considered.
(/) Lighting.
Light design shall generate an illumination level that provides com-
fortable and adequate visual conditions in each educational space, specif-
ically:
(1) Ceilings and walls are white or light colored for high reflectance
unless function of space dictates otherwise.
(2) Lights do not produce glare or block the line of sight.
(3) Window treatment allows entrance of daylight but does not cause
excessive glare or heat gain.
(4) Fixtures provide an even light distribution throughout the learning
area.
(5) Light design follows the California Electrical Code found in Part
3 of Title 24 of the California Code of Regulations.
(m) Acoustical.
Hearing conditions shall complement the educational function by
good sound control in school buildings, specifically;
( 1 ) The sound-conditioning in a given space is acoustically comfort-
able to permit instructional activities to take place in this classroom.
(2) Sound is transmitted without interfering with adjoining instruc-
tional spaces; e.g., room partitions are acoustically designed to minimize
noise.
(3) The ventilation system does not transmit an inordinate sound level
to the instructional program.
(n) Plumbing.
Restroom stalls shall be sufficient to accommodate the maximum
planned enrollment and shall be located on campus to allow for supervi-
sion.
(I) Refer to Part 5, Title 24, of the California Code of Regulations.
(2) Outdoor restrooms having direct outside access are located in areas
that are visible from playground and are easily supervised.
(0) Year-Round Education.
if a school is being planned for multitrack year-round operation, addi-
tional space shall be provided for associated needs:
(1 ) Additional space is available for storage of records for staff for all
tracks. Additional storage space for the supplies and projects of off-track
students is considered.
(2) Storage and planning space is available for off-track teachers or
teachers not assigned to a classroom.
(p) American Disabilities Act.
Schools shall comply with standards established by the American Dis-
abilities Act (Pubhc Law 101-336, Title II).
(q) Child Care Programs.
Schools shall comply with the requirements set forth in Education
Code Section 39 1 1 3.5 regarding plans and specifications for new schools
being designed to provide appropriate space to accommodate before-
school and after-school child care programs.
(r) Exemptions.
At the request of the governing board of a school district, the State Su-
perintendent of Public Instruction may grant exemptions to any of the
standards in this section if the district can demonstrate that the education-
al appropriateness and safety of a school design would not be compro-
mised by an alternative to that standard.
NOTE: Authority cited: Sections I72.'il(c) and 33031, Education Code. Refer-
ence: Sections 17047(a). 17251(c), 17310, 51210(g). 3 1 220(d) and 51 22.S.3. Edu-
cation Code.
History
1 . Amendment of section and Note filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
2. Amendment of article heading, repealer and adoption of section heading and
text, and amendment of NoTk filed 1 1-12-93; operative 12-13-93 (Register
93, No. 46).
3. Amendment of subsections (a), (b)-(b)( 1 ), (g)( 1 )( A), (i)( 1 )(B), (n)-(n)( 1 ) and
(p)-(r). new subsection (i)(4)-(i)(4)(F), and amendment of NoTi; filed
10^30-2000; operative 10-30-2000 pursuant to Government Code section
1 1343.4(d) (Register 2000, No. 44).
§ 14031. Plan Approval Procedures for State-Funded
School Districts.
(a) Each state-funded school district shall submit preliminary plans
following the standards in Section 14030 including site utilization, eleva-
tions and floor plan drawings that describe the spaces and give the square
footage and educational specifications to the California Department of
Education for approval. Prior to preparation of final plans, the school dis-
trict shall obtain approval of the preliminary plans from the California
Department of Education.
(b) Each state-funded school district shall submit final plans including
grading, site utilization, elevation, tloor, lighting, and mechanical work-
ing drawings and any alterations to the educational specifications to the
California Department of Education for approval.
(c) Each state-funded school district shall submit the request for ex-
emption from a standard in Section 14030 of this article, with a descrip-
tion of how the educational appropriateness and safety of a school design
would not be compromised by deviation from the standard, to the Cali-
fornia Department of Education.
NOTE: Authority cited: Sections 17251(c) and 3.^031, Education Code. Refer-
ence: Sections 17017.5(c) and 17251(c). Education Code.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77. No.
39).
2. Repealer and adoption of section heading and text, and adoption of Non; filed
1 1-2-93; operative 12-13-93 (Regi.ster 93, No. 46).
3. Amendment of section heading, section and Note filed 10-30-2000; operative
10-30-2000 pursuant to Government Code section 1 1 343.4(d) (Register 2(XK),
No. 44).
§ 14032. Plan Approval for State-Funded School Districts.
The California Department of Education shall notify the district, the
district's architect and the Depaitment of General Services that the pre-
liminary and final plans comply with the standards set forth in Section
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14030. Approvals for either preliminary or final plans are in effect for a
maximum of two years from the date of signed approval. School districts
may request an extension of preliminary or final plan approvals if the
time line exceeds one year.
NOTE: Authority cited: Sections 17251(c) and 33031, Education Code. Refer-
ence: Sections 17024, 17070.30 and I72.'il(c), Education Code.
History
1. Amendment tiled 9-23-77; effective thirtieth day thereafter (Register 77. No.
39).
2. Amendment of section heading and text, and adoption of NoTi; filed 1 1-12-93;
operative 12-13-93 (Register 93, No. 46).
3. Amendment of section heading, section and NoTi: filed 10-30-2000; operative
10-30-2000 pursuant toGovemment Code section 1 1343.4(d) (Register 2000,
No. 44).
§ 14033. Applicability of Plan Standards to
Locally-Funded School Districts.
(a) Locally-funded districts shall use the plan standards set forth in
Section 14030.
(b) Locally-funded districts may request assistance from the Califor-
nia Department of Education to review plans and specifications for any
new school construction or rehabilitation project.
(c) Locally-funded districts need not submit preliminary and final
plans to the California Department of Education.
(d) Locally-funded districts shall prepare documentation of and retain
for purposes of a complaint investigation the exemption from the stan-
dard in Section 14030 of this article, with a description of how the educa-
tional appropriateness and safety of a school design would not be com-
promised by deviation from the standard. Locally-funded districts may
request from the California Department of Education a review of the ade-
quacy of the mitigation measure.
(e) Locally-funded districts shall continue to comply fully with the re-
quirements of Article 3 (commencing with Section 1 7280) and Article 6
(commencing with Section 17365) of Chapter 2, Part 23 of the Education
Code (The Field Act) and submit all plans and specifications to the De-
partment of General Services, Office of the State Architect for review and
approval prior to executing a contract for the construction or alteration
of a public school building or expending any public funds for such a proj-
ect.
NOTE: Authority cited: Sections 17251(c) and (d) and 33031, Education Code.
Reference: Sections 17251(d), 17280 and 17365, Education Code.
History
1. Renumbering of former section 10433 to section 14035 and new section filed
1 1-12-93; operative 12-13-93 (Register 93, No. 46).
2. Repealer of former section 14033 and renumbering of former section 14034 to
new section 1 4033, including amendment of section heading, section and Note,
filed 10-30-2000; operative 10-30-2000 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 2000, No. 44).
§14034. Planning Guides.
The latest edition of The Guide for Planning Educafional Facilities,
published by the Council of Educational Facility Planners, 29 West
Woodruff Avenue. Columbus, Ohio, 43210, may be used as a guide in
developing school building plans.
NOTE: Authority cited: Sections 17251(c) and 33031, Education Code. Refer-
ence: Section 17251(c), Educafion Code.
History
1. New section filed 1 1-12-93; operative 12-13-93 (Register 93, No. 46).
2. Renumbering of former section 1 4034 to secfion 1 4033 and renumbering of for-
mer section 14035 to new section 14034, including amendment of Note, filed
10-30-2000; operative 10-30-2000 pursuant to Government Code section
1 1 343.4(d) (Register 2000, No. 44).
§ 14035. Abandonment of Inadequate Facilities.
Abandonment of inadequate facilities may be recommended by the
California Department of Education to the State Allocation Board for ap-
proval when it appears from the estimated cost of structural rehabilitation
plus the estimated cost of desirable modernization that the facility would
meet the criteria for replacement established by the State Allocation
Board.
Note: Authority cited: Sections 17251(c) and 33031. Education Code. Refer-
ence: Sections 16044, 16047, 16104. and 16190 through 16207. Education Code.
History
1 . Renumbering of former section 14033 to section 14035 and adoption of Note
filed 1 1-12-93; operative 12-13-93 (Register 93. No. 46).
2. Renumbering of former section 14035 to section 14034 and renumbering of for-
mer section 14036 to new section 14035, including amendment of Ncrrn, filed
1 0- .30-2000; operative 10-30-2000 pursuant to Government Code section
1 1343.4(d) (Register 2000, No. 44).
§ 14036. Integrated Facilities.
In accordance with Education Code Section 17047.5. for school dis-
tricts constmcting classrooms for special education purposes, those clas-
srooms shall be no more physically separated from classrooms con-
structed for their nonhandicapped peers than those classrooms are from
each other; preferably the classrooms are under the same roof and adja-
cent to the classrooms of their nonhandicapped peers, specifically.
(a) A new school facility is considered integrated if it meets the follow-
ing criteria:
( 1 ) Classrooms for special education are located in proximity to regu-
lar education classrooms in such a way as to encourage age-appropriate
interaction among all students.
(2) Whenever possible, if relocatable classrooms are used for special
education classes, the ratio of special education relocatable classrooms
to permanent special education classrooms is the same as the classroom
ratio between relocatable classrooms and permanent classrooms for reg-
ular education students.
(3) Side-by-side school sites are not considered integrated.
(b) A waiver to acquire or newly construct a non-integrated facility is
recommended by the Advisory Commission on Special Education for ap-
proval only if it includes a plan to transition the individuals with excep-
tional needs to a regular campus setting. The waiver includes a capacity
study of the existing special education classrooms in the special educa-
tion local plan area (SELPA) to verify that no classrooms are available
to house the population targeted in the waiver.
(c) The waiver includes justification as to why the non-integrated fa-
cility is the only option available on a long-term basis and discus.ses the
feasibility of a short-term lease as an option to new construction or acqui-
sition.
NOTE: Authority cited: Sections 17251(c) and 33031, Education Code. Refer-
ence: Sections 17047, 17047.5, 17251(c) and 56000 et. seq.. Education Code.
History
1 . Renumbering and amendment of former section 14045 to section 14036 and
adoption of Note filed 1 1-12-93; operative 12-13-93 (Register 93, No. 46).
2. Renumbering of former section 14036 to new section 14035 and renumbering
of former section 14037 to new section 14036, including amendment of section
and Note, filed 10-30-2000; operative 10-30-2000 pursuant to Government
Code section 1 1343.4(d) (Register 2000, No. 44).
§14037. Integrated Facilities.
NOTE: Authority cited: Section 39101(c), Education Code. Reference: Sections
17747, 17747.5, and 56000 et. seq., Education Code.
History
1. New section filed 11-12-93; operative 12-13-93 (Register 93, No. 46).
2. Renumbering of former section 14037 to new section 14036 filed 10-30-2000;
operative 10-30-2000 pursuant to Government Code section 1 1343.4(d) (Reg-
ister 2000, No. 44).
§ 1 4040. Scope of Article.
NOTE: Authority cited for Article 5: Sections 16044, 16047, 16104 and
16190-16207, Educafion Code.
History
1 . Amendment of section and Note filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
2. Repealer of article heading and secfion filed 1 1-12-93; operative 12-13-93
(Register 93, No. 46).
§14041. Plans.
History
1 . Repealer filed 1 1-12-93; operative 12-13-93 (Register 93, No. 46).
§ 1 4042. Justification Procedure.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
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§ 14105
•
•
. Repealer filed 1 1-12-93: operative 12-13-93 (Register 93. No. 46).
14043. Approval.
History
. Repealer filed 1 1-12-93: operative 12-13-93 {Register93. No. 46).
14044. Change Orders.
History
. Repealer filed 1 1-12-93: operative 12-13-93 (Register 93. No. 46).
14045. Abandonment of Inadequate Facilities.
History
. Reniimhering of former seetioii 14045 to section 14036 filed 11-12-93; opera-
tive 12-13-93 (Regi.sler93. No. 46).
14046. Building Area Required to Provide Adequate
Facilities for Exceptional Children.
History
. New section filed 9- 1 0-7 1 ; effective thirtieth day thereafter. Approved by State
Building Standards Conunission (Register 71, No. 37).
. Amendment of section and repealer of NoTh filed 9-23-77; effective thirtieth
day thereafter (Register 77, No. 39).
. Repealer filed 1 1-12-93; operative 12-13-93 (Register 93, No. 46).
Subchapter 2. Use of School Buses and
School Pupil Activity Buses
Article 1. General Provisions
§ 1 41 00. Scope of Chapter.
This chapter applies lo the transportation of pupils enrolled in the pub-
lic and private schools at or below the 12th grade and to pupils enrolled
in schools under the administration of the State Department of Education.
NotE: Authority cited: Secfions 33031 and 39831, Education Code. Reference:
Sections 39830 and 3983 1 , Education Code. Issuing agency State Board of Educa-
tion.
History
1. New Chapter 2 (Sections 14100-14103, consecufive) filed 5-23-79; effective
thirtieth day thereafter (Register 79. No. 21).
§14101. Definitions.
(a) School Bus and School Pupil Activity Bus. "School bus" and
"school pupil activity bus" means every vehicle so defined by Education
Code Section 39830 and Vehicle Code Section 545.
(b) Governing Board. "Governing board," unless the context indicated
otherwise, includes county superintendents of schools and every other
public and private school authority authorized to provide for the trans-
portation of pupils of the schools referred to in Section 14100.
NOTE: Authority cited: Secfions 33031 and 39831, Education Code. Reference:
Sections 39830 and 39831, Education Code.
§ 14102. Bus Evacuation Instruction.
Each school year, the governing board shall provide, and require each
pupil who is transported frotn home to school in a school bus to receive,
appropriate instruction in safe riding practices and emergency bus evacu-
ation drills.
NOTE: Authority cited: Sections 39831, Education Code. Reference: Secfion
39830 and 39831, Education Code.
§ 1 41 03. Authority of the Driver.
(a) Pupils transported in a school bus or in a school pupil activity bus
shall be under the authority of. and responsible direcdy to, the driver of
the bus. and the driver shall be held responsible for the orderly conduct
of the pupils while they are on the bus or being escorted across a street,
highway or road. Continued disorderly conduct or persistent refusal to
submit to the authority of the driver shall be sufficient rea.son for a pupil
to be denied transportation. A bus driver shall not require any pupil to
leave the bus enroute between home and school or other destinations, (b)
Governing boards shall adopt rules to enforce this section. Such mies
shall include, but not be limited to, specific administration procedures re-
lating to suspension of riding privileges and shall be made available to
parents, pupils, teachers, and other interested parties.
NOTE: Authority cited: Section 39H31. Education Code. Reference: Sections
39830 and 3983 1 , Education Code. Cross-reference: Section 1 2 1 7(h) of Title 1 3.
California Administrative Code.
§ 14104. Instructor Certificate Cancellation, Suspension or
Revocation: Request and Scope of Hearing.
This section applies to school pupil activity bus (SPAB). transit bus.
-schoolbus, or farm labor vehicle driver instructor certificates.
(a) Any state-certified bus driver instructor who has received a notice
of cancellation, suspension or revocation from the California Depart-
ment of Education may, within 20 days of date of service of the notice,
submit to the California Department of Education a written request for
a hearing. Failure to request a hearing within 20 days shall be considered
a waiver of the right to a hearing.
(b) Service of the notice of cancellation, suspension or revocation may
be made personally or by mail. Service by mail is effective as of the date
the notice is deposited for delivery by the United States Postal Service.
(c) Upon receipt by the California Department of Education of a hear-
ing request, the California Department of Education shall appoint an In-
structor Certificate Review Board to conduct the hearing. The Instructor
Certificate Review Board shall consist of three members: a Bus Driver
Training Program Specialist from the California Department of Educa-
tion who shall serve as the chairperson: and two members representing
school pupil activity bus (SPAB), transit bus. .schoolbus, or farm labor
vehicle drivers, depending upon the rating held by the driver instructor
requesting the hearing. The hearing will include a presentation of the Cal-
ifornia Department of Education's reasons for the cancellation, suspen-
sion, or revocation and may include the verbal or written presentation of
information by the driver instructor related to the administrative action
being proposed. After the hearing, the chairperson of the Instructor Cer-
tificate Review Board shall report (he findings and recommendations of
the review board to the State Superintendent of Public Instruction.
(d) The State Superintendent of Public Instruction (or his or her desig-
nee) shall review the findings and recommendations of the Instructor
Certificate Review Board, and after reviewing the record, make a deci-
sion within 30 days of the hearing concerning the disposition of the action
to be taken by the California Department of Education. The decision of
the State Superintendent of Public Instruction (or his or her designee) is
final.
(e) This section is not applicable to a state-certified bus driver instruc-
tor whose commercial driver license, special driver certificate or transit
bus driver certificate was canceled, suspended or revoked by the Califor-
nia Department of Motor Vehicles.
NOTE: Authority cited: Secfion 38165(h), Education Code. Reference: Section
38165, Educafion Code.
History
1. New section filed 11-1 8-96 as an emergency: operative 1 1-18-96 (Register 96,
No. 47). A Certificate of Compliance must be transmitted to OAL by .3-18-97
or emergency language will be repealed by operation of law on the following
day.
2. Repealed by operation of Government Code section 1 1346.1(g) (Register 98,
No. 33).
3. New section filed 8-10-98; operafive 9-9-98 (Register 98. No. 33).
§ 14105. School Bus and School Pupil Activity Bus (SPAB)
Passenger Restraint System Use.
All passengers in a school bus or in a school pupil activity bus that is
equipped with passenger restraint systems in accordance with sections
273 1 6 and 273 1 6.5 of the Vehicle Code, shall use the passenger restraint
system. All pupils described in subdivision (a) of Education Code Sec-
tion 39831 .5, shall be instructed in an age-appropriate manner in the use
of passenger restraint systems required by Education Code Section
3983 1 .5(a)(3). The instruction shall include, but not be limited to. the fol-
lowing information:
(a) Proper fastening and release of the passenger restraint system:
(1) Fastening: To fasten, insert the latch plate (the metal "tongue" at-
tached to one side of the webbing) into the proper buckle (the receptacle
that comes out from the "bight" in the back of the seat, a slot in the seat
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§ 15000
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
cushion, or from the side). The lalch plate inserts into the buckle until you
hear an audible snap sound and feel it latch. Make sure the latch plate is
securely fastened in the buckle.
(2) Unfastening: To unfasten, push the buckle release button and re-
move the latch plate from the buckle. The buckle has a release mecha-
nism that, when manually operated during "unbuckling." breaks the
bond and separates the two sections.
(b) Acceptable placement of passenger restraint systems on pupils:
Adjust the lap belt to fit low and tight across the hips/pelvis, not the stom-
ach area. Place the shoulder belt snug across the chest, away from the
neck. Never place the shoulder belt behind the back or under the arm.
Position the shoulder belt height adjuster so that the belt rests across the
middle of the shoulder. Failure to adjust the shoulder belt properly would
reduce the effectiveness of the lap/shoulder belt system and increase the
risk of injury in a collision.
(c) Times at which the passenger restraint system should be fastened
and released: Passenger restraint systems shall be used at all times the
school bus or school pupil activity bus is in motion except when ex-
empted in subdivisions (e) and (f) of this section.
(d) Acceptable placement of the passenger restraint systems when not
in use: When not in use, passenger restraint systems shall be fully re-
tracted into the retractors so that no loose webbing is visible, or stored in
a safe manner per the school bus manufacturer's instructions.
(e) This section does not apply to a passenger with a physically disab-
ling condition or medical condition which would prevent appropriate re-
straint in a passenger restraint system, providing that the condition is duly
certified by a licensed physician or licensed chiropractor who shall state
in writing the nature of the condition, as well as the reason the restraint
is inappropriate.
(f) This section also does not apply in case of any emergency that may
necessitate the loading of school children on a school bus in excess of the
limits of its seating capacity. As used in this section, "emergency" means
a natural disaster or hazard (as determined by the school district superin-
tendent or their designee) that requires pupils to be moved immediately
in order to ensure their safety.
NOTE: Authority cited: Sections 33031, 38047.3, 38047.6 and 39831, Education
Code. Reference: Sections 38047.5, 38047.6, 39830, 39830.1 and 39831.5,
Education Code; and Sections 27316 and 27316.5, Vehicle Code.
History
1. New section filed 1 1-9-2004; operative 1 1-9-2004 pursuant to Government
Code section 1 1343.4 (Register 2004, No. 46).
Subchapter 4. School Buses
NOTE: Authority cited forChapter4: Sections 33031 and 39831, Education Code.
Reference: Sections 39830 and 39831, Education Code.
History
1. New Chapter 4 (§§ 14200-14207, 14220-14225, 14240-14254, 14260-14276,
14290-14321, 14339-14358, 14380-14394) filed 2-24-70; effective thirtieth
day thereafter (Register 70, No. 9).
2. Amendment filed 12-17-76 as an emergency; effective upon filing. Certificate
of Compliance included (Register 76, No. 51).
3. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
4. RepealerofChapter4 (Sections 14200-14394, not consecutive) filed 5-23-79;
effective thirtieth day thereafter (Register 79, No. 21). For prior history, see
Registers 77, No. 39; 77, No. 34; 77, No. 22; 77, No. 4; 76, No. 51 ; 76, No. 40;
75, No. 52; 75, No. 49; 75, No. 47; 74, No. 48; 74, No. 12; 73, No. 12; 72. No.
40; 71, No. 30; 71, No. 25; 71, No. 5.
Chapter 14. School Finance'
* Note: For fiscal responsibility of County Superintendents.
Subchapter 1. Nonresident Tuition
§ 15000. Definitions Under Education Code Section 37107.
(a) Total Current Expense of Education.
The term "total current expense of education, exclusive of the expense
of transportation." as used in Education Code Section 37 107. means the
total current expense of education for grades 9 through 12 of the district
as defined in the California School Accounting Manual. Such expendi-
tures are the current general fund operating expenditures of the school
district excluding expenditures for pupil transportation services, food
services, community services, and object classifications 6000 and 7000
(except 7250, current expense for "Regional Occupational Centers or
Regional Occupational Programs").
(b) Actual Expense of Transportation.
The "actual expense of transportation" is the amount computed, as
hereinafter in this section provided, for transportation between home and
school of all high school pupils in grades 9 through 12 residing in a
county and not in any district maintaining a high school, plus the amount
computed, as hereinafter in this section provided, for other than home-
to-school transportation for such pupils.
(c) Computation for Home-to-School Transportation.
The amount for transportation of such pupils between home and
school shall be computed by using any one or a combination of the fol-
lowing alternate methods:
(1) When one or more vehicles are used to transport between home an
school pupils in grades 9 through 12 residing in one county and not in a
district maintaining a high school and 90 percent of the pupils regulariy
so transported in each vehicle are such pupils, the actual expense of such
transportation shall be computed by multiplying the number of miles the
one or more vehicles traveled to provide such transportation by the aver-
age cost per mile of all vehicles operated by the district to transport pupils
during the fiscal year.
(2) When one or more vehicles are used to transport between home and
school pupils in grades 9 through 1 2 residing in two or more counties and
not in any district maintaining a high school and 90 percent of the pupils
regularly so transported in each vehicle are such pupils, the actual ex-
pense of such transportation shall be computed by multiplying the miles
traveled to provide such transportation by the average cost per mile of all
vehicles operated by the district to transport pupils during the fiscal year,
and such expense shall be prorated among the two or more counties in the
following manner:
(A) The distance measured by the nearest traveled road from the
school of attendance to the most distant point in a county to which trans-
portation is provided shall be determined.
(B) A percentage for each county shall be determined by dividing the
distance for each county measured as provided in (A) above by the sum
of the distances so measured for each county.
(C) The percentage for each county shall be multiphed by the amount
to be prorated.
(3) When vehicles are used for the transportation between home and
school of pupils in grades 9 through 1 2 residing in a county and not in any
district maintaining a high school and for the transportation between
home and school of other pupils, regardless of the respective percentages
of the pupils, the actual expense of transportation of pupils in grades 9
through 12 who reside in a county and not in any district maintaining a
high school shall be computed by any one of the following methods:
(A) The product obtained by multiplying the average number of pupils
per bus transported one way daily by the total miles traveled in providing
all transportation between home and school shall be divided into the total
expense of providing home-to-school transportation, and the quotient so
obtained shall be multiplied by the product obtained by multiplying the
number of pupils in grades 9 through 12 residing in a county and not in
any district maintaining a high school by the total miles traveled to pro-
vide such pupils transportation. When daily records of the number of pu-
pils transported are not kept by a district, the average number of pupils
transported for the purposes of this subsection shall be determined by the
district by a survey on or about October 1 st. December 1 st, February 1 st,
and May 1 st by counting the number of pupils transported one way be-
tween home and school, designating separately by name those pupils re-
siding in a county and not in a district maintaining a high school.
•
•
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•
(B) The product obtained by multiplying 75 percent of the average
number of seats in each vehicle operated by the district to transport pupils
by the total number of miles traveled by all vehicles in home-to-school
transportation shall be divided into the total expense of providing home-
lo-school transportation, and the quotient so obtained shall be multiplied
by the product obtained by multiplying the number of pupils in grades 9
through 1 2 residing in a county and not in any district maintaining a high
school by the number of miles traveled to provide such pupils transporta-
tion.
(C) The sum of the miles each pupil was transported between home
and school shall be divided into the total expense of transporting all pu-
pils between home and school, and the quotient so obtained shall be mul-
tiplied by the sum of the miles each pupil in grades 9 through 1 2 residing
in a county and not in any high school district was transported. When dai-
ly records of the miles each pupil is transported are not kept by a district,
the sum of the miles each pupil was transported for the purpose of this
subdivision shall be determined by the district by a survey on or about
October 1st, December 1st, February 1st, and May 1st by measuring the
number of miles one way that each pupil is transported between home
and school, designating separately by name those pupils residing in a
county and not in a district maintaining a high school.
Total expenses of providing home-to-school transportation shall be
determined for the purposes of this subsection (3) by multiplying the
number of miles traveled in providing such transportation by the average
cost per mile to the district in providing all pupil transportation.
(d) Computation for Transportation Other Than Home-to-School.
The amount for providing transportation other than home-to-school
transportation for pupils in grades 9 through 12 residing in a county and
not in any high school district shall be computed as either ( 1 ) that amount
which is the same percent of the total expense of providing transportation
other than home-to-school transportation as the amount computed for
home-to-school transportation is of the total expense of providing ho-
me-to-school transportation; or (2) that amount which is the same per-
cent of the total expense of providing other than home-to-school trans-
portation for grades 9 through 12 as the average daily attendance of
pupils in grades 9 through 12 residing in a county and not in any high
school district is to the average daily attendance of all pupils in grades 9
through 12.
(e) "Expense" Defined.
The term "expense," as used in subsection (b) of this section, means
current expenses as defined in Section 15240 of this title.
NOTE: Authority cited for Chapter 1: Section 37107, Education Code.
History
1. Renumbered from § 199.8 of Art. 22; filed 7-22-69; effective thirtieth day
thereafter (Register 69, No. 30). For prior history, see Register 64, No. 23.
2. Amendment of sub.sections (a) and (e) filed 6-7-74; effective thirtieth day
thereafter (Register 74, No. 23).
3. Amendment of subsection (a) and NOTE filed 9-23-77; effective thirtieth day
thereafter (Register 77, No. 39).
Subchapter 2.
Budgeting, Accounting, and
Reporting
Article 1 . Transfer of Funds from the
School District General Fund to the Child
Development Fund and the Development
Center for Handicapped Pupils Fund
§15050. Budget Procedure.
The governing board may include in the budget of the school district
an amount to be transferred during the fiscal year from the general fund
to the child development fund and to the development center for handi-
capped pupils fund sufficient to meet certain expenditures if the expense
is authorized or required by law to be paid from the general fund.
NoTE; Authority cited for Chapter 2: Section 41013, Education Code. Issuing
agency: Superintendent of Public Instruction.
History
1 . New Chapter 2 (§§ 1 5050-1 .S077 ) filed 2-24-70; effective thirtieth day thereaf-
ter (Register 70, No. 9).
2. Amendment filed 6-7-74; effective thirtieth day thereafter (Register 74. No.
23).
3. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Rcjisicr
77, No. 39).
§ 1 5051 . Order of Governing Board.
Funds may be transferred at any time as ordered by the governing
board. Such order shall set forth the purposes for which the funds are to
be transferred and the amount estimated or actually required to be ex-
pended for each purpose.
§ 15052. Transfers and Refunds.
Such a transfer may be made by warrant or by other authorized proce-
dure of the county. The amount of the transfer shall be charged to the gen-
eral fund account "7310. Interfund Transfers (Outgoing Transfers)" and
credited to the child development fund account or the development cen-
ter for handicapped pupils fund account, as appropriate, "8930, Interfund
Transfers (Incoming Transfers)" as classified in the California School
Accounting Manual.
The amount of the refund shall be charged to the child development
fund account or the development center for handicapped pupils fund ac-
count, as appropriate, "8930. Interfund Transfers (Incoming Transfers)"
and credited to the general fund account "73 10, Interfund Transfers (Out-
going Transfers)."
History
1. Amendment filed 6-7-74; effective thirtieth day thereafter (Register 74. No.
23).
2. Repealer of NOTE filed 9-23-77; effective thirtieth day thereafter (Register 77.
No. 39).
Article 2.
Standardized Account Code
Structure
§ 15060. Standardized Account Code Structure.
(a) The California School Accounting Manual adopted by the State
Board of Education pursuant to Education Code section 41010 shall in-
corporate a standardized account code structure which is a statewide, uni-
form financial reporting format (based on the definitions and comprehen-
sive chart of accounts set forth in the California School Accounting
Manual). The structure shall be designed to provide a flexible statewide
accounting system for local educational agencies to use in budgeting and
reporting their revenues and expenditures. The structure shall accommo-
date local, state, and federal reporting needs as determined by the State
Board.
(b) The standardized account code structure shall include, but not be
limited to, the following fields;
(1) Fund/Account Group. Each fund is a fiscal accounting entity, with
a self-balancing set of accounts recording cash and other resources, all
related liabilities and residual equities and balances or changes therein.
Fund types include, but are not limited to. Governmental Funds, Propri-
etary Funds. Fiduciary Funds, and Account Groups.
(2) Project Year. The project year field is used to distinguish the activi-
ties of the same grant with different project years within the fiscal year.
(3) Resource (Project/Reporting). The resource field identifies the
source of funding and is used for accumulating revenues and expendi-
tures to meet various speciaUzed reporting requirements and tracking
categorical activities, such as No Child Left Behind (NCLB) Act, Eco-
nomic Impact Aid, and School Improvement Program.
(4) Goal (Program). The goal field defines the objective, such as the
target population being served or the education mode (e.g., regular
education, special education, or vocational education).
Page 184.1
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§ 15070
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(5) Function. The function field describes the activity being performed
for which a service or material object is acquired, for example, instruc-
tional services, pupil services, and general administration.
(6) Object. The object field describes the service or commodity ob-
tained as a result of a specific expenditure (e.g., salaries, books, and capi-
tal outlay).
(7) Site. The site field is optional, providing local educational agencies
the ability to designate specific school sites within their individual ac-
counting systems.
NoTE: Authority cited: Section 33031, Education Code. Reference: Section
41010, Education Code.
History
1. New article 2 (section 15060) and section filed 11-4-2003; operative
1 1 -4-2003 pursuant to Government Code section 1 1 343.4 (Register 2003, No.
45).
Article 3. Annual Financial Statements
§ 15070. Submission of Annual Financial Statements.
Except as provided in Section 15071, every county office of educa-
tion, school district, charter school, and educational joint powers agency
(as defined in Education Code section 41023) that elects to use the stan-
dardized account code structure, subject to the provisions of Section 39
of Chapter 299, Statutes of 1 997, shall submit an annual statement of re-
ceipts and expenditures in the format of the standardized account code
structure. The form for the annual statement shall be prescribed and
amended periodically (to accommodate changes in statute or generally
accepted accounting principles for government agencies) pursuant to
Education Code sections 1628 and 42100 and shall reflect Section
1 5060. The form for the annual statement is titled the unaudited Actuals
Financial Report, and is incorporated within the Standardized Account
Code Structure Financial Reporting Software, version 2003 (revised July
2003) and is available at the following website address:
http://www.cde.ca.gov/fiscal/software/sacs2(X)3al].htm.
NOTE: Authority cited: Section 33031, Education Code. Reference: Assembly
Bill 1578, Section 39, Chapter 299, Statutes of 1977; and Sections 1628, 41010,
41023 and 42100, Education Code.
History
1. New article 3 (sections 15070-15071) and section filed 1 1^4-2003; operative
11-4-2003 pursuant to Government Code section 1 1343.4 (Register 2003, No.
45).
§ 1 5071 . Alternative Form for Submission of Annual
Financial Statements by Charter Schools.
(a) Charter schools have the option of reporting their annual financial
statements using an alternative form prescribed and amended periodical-
ly (to accommodate changes in statute or generally accepted accounting
principles for government agencies) pursuant to Education Code section
42 100. The alternative form shall be structured for electronic submission
of data and is titled the Charter School Unaudited Actuals Financial Re-
port — Alternative Form (new 6/19/03) and is available at the following
website address: http://www.cde.ca.gov/regulations.
The form shall include the following information:
( 1 ) Revenues. An accounting of all funds received during the preced-
ing fiscal year, including identification of specific details within the ma-
jor revenue categories of revenue Umit sources, federal revenues, other
state revenues, and other local revenues.
(2) Expenditures. An accounting of all funds expended during the pre-
ceding fiscal year, including identification of specific details within the
major expenditure categories of certificated salaries, non-certificated sa-
laries, employee benefits, books and supplies, services and other operat-
ing expenses, capital outlay, and other outgo.
(3) Other information. An accounting of additional information in-
cluding beginning and ending fund balances, other sources and uses, as-
sets, liabilities, and reserves.
(b)(1) The reporting of financial data by charter schools that are estab-
lished as governmental accounting entities shall reflect the definitions.
and to the extent necessary for accurate financial reporting, the guidance
provided in the California School Accounting Manual.
(b)(2) The reporting of financial data by charter schools that are estab-
lished as nongovernmental accounting entities shall reflect the defini-
tions, and to the extent necessary for accurate financial reporting, the
guidance provided in the California School Accounting Manual, except
for accounung differences required due to their nonprofit status.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
1628. 41010 and 42100, Education Code.
History
] . New section filed 1 1-4-2003; operative 1 1-4-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 45).
Subchapter 3. Decreases in Average Daily
Attendance for Apportionment Purposes
Due to Executive Ratios Pupils to Classroom
Teachers
Article 1. General Provisions
§15100. Purpose.
The Superintendent of Public Instruction deems this chapter necessary
for the effecfive administration of Education Code Sections 41376,
41378 and 41379 and for the determinafions thereby required of him in
computing apportionments and allowances from the State School Fund.
NOTE: Authority cited for Chapter 3: Sections 41376, 41378 and 41379, Educa-
tion Code. Issuing agency: Superintendent of Public Instruction.
History
1. New Chapter 3 (§§ 15100-15103, 15106, 151 10-151 12) filed 2-24-70; effec-
tive thirtieth day thereafter (Register 70, No. 9).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
§ 1 51 01 . Application and Exemptions.
This chapter applies to regular day classes in kindergarten and grades
1 through 8 maintained by a school district, except classes in:
(a) A school that is the only school maintained by a district and that has
less than 101 units of average daily attendance.
(b) A "necessary small school" with less than 101 units of average dai-
ly attendance as provided in Education Code Section 41702.
(c) Grades 7 and 8 of a junior high school established and organized
as a secondary school by a high school district or unified school district
pursuant to Article 5 of Chapter 1 of Part 1 of the Education Code.
History
I. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§15102. Combined Grades.
For the purposes of this chapter, any class combining pupils in kinder-
garten or in any grade or grades 4 through 8 with one or more of grades
1 , 2, or 3 shall be considered a class of grades 1 , 2, and 3.
§15103. Definitions.
For the purposes of administering the provisions of this chapter and the
provisions of Educafion Code Secfions 41376 and 41378, the following
definitions apply:
(a) "Class" means a group of pupils scheduled to report regularly at a
particular lime to a particular teacher as opposed to a grade which is a
broader segment of the school organization.
(1) Where the type of teaching in kindergarten and grades 1, 2, and 3
is other than in self-contained classes, the "class" is the basic homeroom
where all of the following applies for a child:
(A) Attendance is recorded and invesdgafion of absences is insfigated.
(B) The child has his desk, locker, or drawer.
(C) The teacher handles the administrafive routines such as keeping
cumulative records, collecting basic data about the child, distributing
items to go home, collecting lunch money, and distributing and collect-
ing report cards.
Page 184.2
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Title 5
California Department of Education
§ 15103
(D) The teacher is the usual contact with the child's parents.
(E) Some planned instruction is given.
(2) For kindergarten and grades 1. 2. and 3, when it is necessary for a
specific group of pupils, consisting of a portion or all of the pupils other-
wise enrolled in a "class," to meet together for a particular period or peri-
ods during the regular school day for a particular phase of education for
which responsibility is assigned to two or more teachers, or for an extra-
curricular school activity, such group shall not be considered a "class"
under the provisions of this section.
(b) "Regular day class" means a class maintained during the regular
school day as defined by the governing board. Classes in special day and
evening and summer schools. Juvenile hall schools, and classes for the
physically handicapped, mentally retarded, severely mentally retarded,
educationally handicapped, and mentally gifted are not regular day
classes for the purposes of this section.
(c) "Active enrollment" on a day a count is taken means the pupils in
enrollment in the class on the first day of the school year on which the
class was in session, plus all later enrollees, minus all withdrawals since
that first day.
( 1 ) For kindergarten and Grades 1 . 2, and 3, a count shall be made on
the last teaching day of each school month that ends prior to April 15 of
the school year.
(2) For Grades 4 to 8. inclusive, the count shall be made at the end of
the sixth school month. A count of full-time equivalent classroom teach-
ers shall also be made at the end of the sixth school month.
(d) The "number of pupils enrolled" in a class for kindergarten and
Grades 1.2, or 3 means the sum of the numbers determined by all the ac-
tive enrollment counts made for the class pursuant to (c), divided by the
number of such counts made for the class.
(e) The "average number of pupils enrolled per class" for grades 1 . 2,
and 3 is the number obtained by dividing the sum of the quotients derived
under subsection (d) for all classes in those grades, by the number of
those quotients. The "average number of pupils enrolled per class" for
kindergarten is the number so obtained for all classes in kindergarten.
(f) The "total number of pupils enrolled" for grades 4 to 8, inclusive,
means the active enrollment, as defined in subsection (c), in those grades
at the end of the sixth school month, exclusive of the active enrollment
of pupils in grades 4 to 8. inclusive, in classes considered to be of grades
1. 2. or 3 under Section 15102.
(g) "Classroom teacher" means an employee of the district in a posi-
tion requiring certification qualifications whose duties require him to
teach in regular day classes in any grade of Grades 4 to 8, inclusive, dur-
ing the regular school year.
(h) One "full-time equivalent classroom teacher" means the period of
time the duties under subsection (g) are assigned a classroom teacher
[The next page is 184.3.
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Title 5
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§ 15130
•
equal to the total number of hours designated by a governing board as a
regular sehool day. The period of time less than the regular school day
for which a classroom teacher is assigned such duties is that fraction of
a full-time equivalent classroom teacher which the period of time bears
to a full-time equivalent classroom teacher expressed to the nearest one-
tenth (0.1).
History
1 . Amendment tiled 9-23-77; effective thirtieth day thereafter (Reeister 77. No.
.^9).
Article 2. Waiver of Class Size
Requirements for Kindergarten
§15106. Kindergarten Exemption.
Written application for waiver authorized by Education Code Section
4 1 379 shall be directed to the Bureau of School Apportionments and Re-
ports, Department of Education. The application shall be filed by No-
vember I.
Possible reasons for exemption are:
(a) The expense of adding a class or classes and/or the added expense
of transporting kindergarten children to another school will cause the dis-
trict to be unduly burdened with expense. In order to determine this the
district shall include the following information:
( 1 ) Beginning balance, exclusive of restricted funds, in the General
Fund for the current fiscal year.
(2) Estimated total income in the General Fund for the current fiscal
year.
(3) Estimated expenditures and the appropriation for contingencies
before costs of adding classes and/or transportation to reduce kindergar-
ten class size.
(4) Number of classes to be added and/or the number of pupils to be
transported.
(5) Estimated cost of item 4.
(b) Shifting kindergarten children from one school attendance area to
another school in order to balance the class size will cause a child to be
traveling undue time in reaching the class to which he is reassigned. In
order to determine this the district shall include the following informa-
tion:
( 1 ) List the children to be reassigned and the length of time each kin-
dergarten child will travel in order to reach reassigned class from his
home.
(2) The distance between the schools by the shortest traveled route.
(3) If the reassigned children are to be transported, give the average
time for the current kindergarten bus runs in the district.
(c) Requiring kindergarten children to travel from one school atten-
dance area to another school in order to balance class size will expose a
child to hazards. In order to determine exemption for this the district shall
submit a description of the hazardous condition and how a kindergarten
child is endangered by the condition.
History
1 . Amendment of subsection (a)(3) filed 6-7-74; effective thirtieth day thereafter
(Register 74, No. 23).
2. Amendment of section and repealer of NOTE filed 9-23-77; effective thirtieth
day thereafter (Register 77, No. 39).
Article 3. School District Reports
§ 1 51 1 0. Reports by School Districts.
The governing board of each applicable school district shall report in-
formation in accordance with instructions provided on forms furnished
and prescribed by the Superintendent of Pubhc Instruction for making
the following determinations;
(a) For kindergarten and grades 1 to 3, inclusive (the status for kinder-
garten to be shown separately):
( I ) The number of classes.
(2) The number of pupils enrolled in each class as defined in Section
15104(d).
(3) The average number of pupils enrolled per class as defined in Sec-
tion 15104(e).
(4) The total of the numbers of pupils which are in excess of the stan-
dard in each class in which the number of pupils enrolled exceeds that
standard.
(b) For grades 4 to 8, inclusive:
( 1 ) The total number of pupils enrolled.
(2) The number of full-time equivalent classroom teachers at the end
of the sixth school month.
(3) The average number of pupils per each full-time equivalent clas-
sroom teacher.
Such reports shall be filed with, and at the same time as, average daily
attendance reports are required to be filed under the provisions of Educa-
tion Code Section 41601 for the "second period" report for the Second
Principal Apportionment.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77. No.
39).
§15111. Classes Maintained for Less Than the Full
"Second Period."
On the report filed pursuant to Section 15110, each class in kindergar-
ten and in grades 1 , 2, and 3, maintained for a fewer number of school
months than the total number of school months contained in the "second
period." as defined in Education Code Section 4 1 601 , shall be separately
identified. The "number of pupils enrolled" shall be separately ascer-
tained for each class. Whenever the "number of pupils enrolled" in any
class is in excess of the standards described in Section 41376 or 41378
the Superintendent of Public Instruction shall, for the purposes of coin-
puting the decrease in average daily attendance on account of such ex-
cess, modify the factor of 0.97 specified in Education Code Section
41 376 by a factor determined by dividing the number of counts made for
each class by the number of full school months during the "second peri-
od."
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§ 1 51 1 2. "Ungraded" Classes.
For the purposes of this article, all classes shall be graded in the same
manner that classes are required to be graded for the reporting of atten-
dance for apportionment purposes and in accordance with instructions
provided on attendance forms furnished by the Superintendent of Public
Instruction.
Subchapter 3.5. Class Size Reduction
Program Kindergarten - Grade 3
§ 15130. Eligibility for Participation in the Class Size
Reduction Program Under Option Two.
For purposes of Option Two, as set forth in Education Code section
52122(b)(2)(B), the reference to Education Code sections 41376 and
41378 shall be interpreted as permitting certificated teachers, including
kindergarten teachers, who are assisting in classrooms in which they are
not the principal teachers, to be counted for purposes of determining class
size to the extent they provide direct instructional services to pupils pri-
marily in reading and mathematics.
NOTE: Authority cited: Sections 33031 and 52125(b), Education Code. Refer-
ence: Section 52122, Education Code.
FIlSTORY
1. New subchapter 3.5 (sections 15130-15133) and section filed 8-29-96 as an
emergency; operative 8-29-96 (Register 96. No. 35). A Certificate of Com-
pliance must be transmitted to OAL pursuant to Education Code section 52 1 25
by 2-25-97 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 8-29-96 order transmitted to OAL 2-3-97 and
filed 3-6-97 (Register 97, No. 10).
Page 184.3
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§ 15131
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
3. Amendment of subchapter heading filed 10-1 5-98 as an emergency; operative
10-15-98 (Register 98, No. 42). A Certificate of Compliance must be trans-
mitted to OAL by 2-16-99 or emergency language will be repealed by opera-
tion of law on the following day.
§ 1 51 31 . Qualification for Funding.
(a) Education Code section 52 1 24(b)(2) shall not be interpreted as pre-
cluding a school district from qualifying for funding for classes at grade
2 at a schoolsile if that school district unintentionally fails to meet the
class size reduction requirement for all of its classes at grade 1 at that
schoolsite. Similarly, Education Code section 52124(b)(3) shall not be
interpreted as precluding a school district from qualifying for funding for
classes in kindergarten or grade 3 at a schoolsite if that school district
unintentionally fails to meet the class size reduction requirement for all
of its classes at grades 1 and 2 at that schoolsite.
(b) When a schoolsite does not serve kindergarten and all of grades I
to 3, inclusive, but does serve kindergarten or one or more of those grade
levels, that schoolsite and every other schoolsite to which it sends pupils
or from which it receives pupils in kindergarten or any of grades 1 to 3,
inclusive, shall be considered a single schoolsite for purposes of Educa-
tion Code section 52124(b).
NOTE: Authority cited: Sections 33031 and 52125(b), Education Code. Refer-
ence: Section 52124, Education Code.
History
1. New section filed 8-29-96 as an emergency; operative 8-29-96 (Register 96,
No. 35). A Certificate of Compliance must be transmitted to OAL pursuant to
Education Code section 52125 by 2-25-97 or emergency language will be re-
pealed by operation of law on the following day.
2. Certificate of Compliance as to 8-29-96 order transmitted to OAL 2-3-97 and
filed 3-6-97 (Register 97, No. 10).
§ 15132. Appointments to Charter Schools.
(a) A school operated under the Charter Schools Act of 1992 may par-
ticipate in the Class Size Reduction Program (Education Code sections
52120-52128) and the Class Size Reduction Facilities Funding Program
(Education Code sections 17770-17777) either on the basis of its own
applications and certifications, or through the applications and certifica-
tions of the school district in which it is located.
(b) No charter school that participates in the Class Size Reduction Pro-
gram or the Class Size Reduction Facilities Funding Program based on
its own applications and certifications shall be included in the applica-
tions or certifications of any school district.
Note: Authority cited: Sections 33031 and 52125(b), Education Code. Refer-
ence: Sections 47600-47625, Education Code.
History
1. New section filed 8-29-96 as an emergency; operative 8-29-96 (Register 96,
No. 35). A Certificate of Compliance must be transmitted to OAL pursuant to
Education Code section 52125 by 2-25-97 or emergency language will be re-
pealed by operation of law on the following day.
2. Certificate of Compliance as to 8-29-96 order transmitted to OAL 2-3-97 and
filed 3-6-97 (Register 97, No. 10).
§ 1 51 33. Apportionment of Funds for Class Size
Reduction.
(a) The apportionment of each school district under Education Code
section 52126 shall be made by the State Superintendent of Public In-
struction based upon the school district's application under Education
Code section 52123, but shall be adjusted to correct for overpayment or
underpayment after the certification pursuant to Education Code section
52124(d) is received from the school districL
(b) Regardless of the amount of the apportionment received under sub-
division (a), based upon a school district's application under Education
Code section 52123, in no case shall the school district be permitted to
retain funds for any class that did not actually meet all of the requirements
of the Class Size Reduction Program.
(c) The reduced apportionment made to each school district pursuant
to Education Code sections 52126(c)(1)(B) and 52126(d)(1)(B) shall
only be applicable if a student enrolling in the school district after Febru-
ary 16, 1998 causes a net increase in a school district's enrollment. If a
net increase in the school district's enrollment does not occur, the school
district shall be paid at the rate specified in Education Code section
52126(a) or (b), as appropriate.
(d) The reduced apportionment made to each .school district pursuant
to Education Code sections 52 126(c)(1)(A) and 52 126(d)(1)(A) shall not
be applicable if a teacher hired by the school district after November 1,
1 997 is replacing a teacher who was previously hired for a new class pur-
suant to Education Code section 52122(d)(1) and (2), but who subse-
quently resigned from the school district or was placed on leave due to
medical or other reasons. If a replacement teacher is hired under these cir-
cumstances, the school district shall be paid at the rate specified in Educa-
tion Code section 52126(a) or (b), as appropriate.
NOTE: Authority cited: Sections 33031 and 52125(b). Education Code. Refer-
ence: Sections 52122, 52123, 52124 and 52126, Education Code.
History
1. New section filed 8-29-96 as an emergency; operative 8-29-96 (Register 96,
No. 35). A Certificate of Compliance must be transmitted to OAL pursuant to
Education Code section 52125 by 2-25-97 or emergency language will be re-
pealed by operation of law on the following day.
2. Certificate of Compliance as to 8-29-96 order transmitted to OAL 2-3-97 and
filed 3-6-97 (Register 97, No. 10).
3. New subsecfions (c) and (d) and amendment of Note filed 12-1-97 as an emer-
gency; operative 12-1-97 (Register 97, No. 49). Pursuant to Education Code
section 52125(b), a Certificate of Compliance must be transmitted to OAL by
6-1-98 or emergency language will be repealed by operation of law on the fol-
lowing day.
4. Certificate of Compliance as to 12- 1-97 order transmitted to OAL 3-3 1-98 and
filed 5-8-98 (Register 98, No. 19).
•
Subchapter 3.75. Program to Reduce Class
Size in Two Courses in Grade 9
§15140. Definitions.
For purposes of administering the Program to Reduce Class Size in
Two Courses in Grade 9 also known as Grade 9 Class Size Reduction
(Grade 9 CSR), pursuant to Education Code sections 52080 to 52090. in-
clusive, the following definitions shall apply:
(a) "Certification" means a declaration made by a school district attest-
ing to the compliance of each participating school site with each of the
provisions of Grade 9 CSR.
(b) "Class" means an organized group of pupils scheduled to report
regularly at a particular time to a particular certificated teacher for the
purpose of pursuing a particular course that is designated primarily for
pupils in grade 9.
(c) "Course" means an instructional unit of an area or field of orga-
nized knowledge, usually provided on a semester, year, or prescribed
length of time in the subjects designated as English, mathematics, sci-
ence, and social studies.
(d) "Enrollment" means the pupils listed on the class rosters for classes
participating in Grade 9 CSR. However, an individual pupil may not be
included in the count of enrollment in a Grade 9 CSR class for any month
until the pupil has actually been in attendance at least once during that
month.
(e) "Full-year equivalent enrollment" (FYEE) means enrollment ad-
justed by the relationship of the number of school days during the school
year that designated classes pursuant to Educafion Code section 52084(a)
parficipated in Grade 9 CSR to the total number of school days in the
school year. To determine the FYEE the numerator of the fraction shall
be the total number of school days during the school year that the desig-
nated classes participated in Grade 9 CSR. The denominator of the frac-
tion shall be the total number of school days in the school year or, as ap-
propriate, the total number of school days in the semester or two
trimesters. The resulting percentage shall be rounded to the nearest hun-
dredth of a percent and multiplied by the enrollment as defined in section
15140(d) above.
(f) "Per pupil rate" is the amount established in the Annual Budget Act
adjusted annually for inflafion pursuant to Education Code section
52086.
Page 184.4
Register 2005, No. 31; 8-5-2005
Title 5
California Department of Education
§ 15150
•
NOTF. Authority cited: Sections 33031 and 52084, Education Code. Reference:
Sections 52080-32090. Education Code.
History
1. New chapter 3.75 (sections 15140-15141) section filed 8-1-2005; operative
8-3 1 -2005 (Register 2005. No. 3 1 ). For prior history, see Register 99, No. 12.
§ 1 51 41 . Certification of Enrollment.
(a) For purposes of certifying pupil enroilmetit pursuant to Education
Code sections 52084 and 52086 and enabling the apportionment of funds
pursuant to Education Code section 52086. each participating school dis-
trict shall submit to the California Department of Education an annual
MH-CSR9-A Request for Application (Rev.01/2005) with an estimate
of participant enrollment numbers for the Grade 9 CSR program and, at
the end of the school year, the J-9MH-A Report of Enrollment (Rev.
01/2005) with actual participant numbers. Both forms are incorporated
by reference into this section. The forms are available at the following
website address: http://www.cde.ca.gov/fg/aa/caymhcsr9thgrade.asp.
(b) For purposes of completing the 1VIH-CSR9-A Request for Ap-
plication (Rev. 01/2005) and the J-9MH-A Report of Enrollment (Rev.
01/2005), the following definitions shall apply:
( 1 ) "Active Monthly Enrollment" is the average enrollment count for
all instructional days of the month.
(2) "Student to Teacher Ratio" means the school-wide average num-
ber of students per certificated teacher for all participating Grade 9 CSR
classes, regardless of the subject. Each participating school must have a
student to certificated teacher ratio no greater than 20 to 1, with no more
than 22 pupils in any participating class pursuant to Education Code sec-
tion 52084(c). Students who are recognized as being in grades 10, 11. or
1 2, but who are nonetheless enrolled in participating classes are to be in-
cluded in the total number. The result is rounded to 2 decimal places. A
result of 20.49 or less will be rounded down to 20, and a result of 20.50
or greater will be rounded up to 21. Any school with a ratio of 20.50 or
greater is not eligible to receive funding.
(c) Both the MH-CSR9-A Request for Application (Rev. 01/2005)
and the J-9MH-A Report of Enrollment (Rev. 01/2005) shall be com-
pleted in full and submitted to the California Department of Education.
( 1 ) For grade 9 class size reduction the forms shall include:
( A) The designated course or courses, which must be intended primar-
ily for students recognized as being in grade 9.
(B) The student to teacher ratio as defined in section 15141(b)(2)
above.
(2) For grades 10, 11, and 12, inclusive, class size reduction, pursuant
to Education Code section 52084(g), the forms shall include:
(A) The district-wide designated grade level and the designated
course.
(B) The number of classes ai each school and the total number of
classes in the participating school district for the designated ct)ur.se.
(C) The number of pupils enrolled in classes at each school and the to-
tal number of pupils enrolled in all classes in the participating school dis-
trict for the designated course.
(d) In apportioning funds pursuant to Education Code section 52086,
school district funding is calculated by multiplying the FYEE by the per
pupil rate at each participating school. Maximum funding for one course
may not exceed the total 9th grade student enrolltnent as reported in the
California Basic Educational Data System (CBEDS) tnultiplied by the
per pupil rate or, for two courses, two times the 9th grade student enroll-
ment as reported in CBEDS multiplied by the per pupil rate. While a
school may receive funding for non-ninth graders in grade 9 CSR
classes, at least 50 percent of those enrolled in participating classes must
be ninth graders.
NOTE: Authority cited: Sections 33031 and 52084, Education Code. Reference:
Sections 52084 and 52086, Education C:ode.
History
1 . New section filed 8-1-2005; operative 8-3 1 -2005 (Register 2005, No. 3 1 ). For
prior history, see Register 99, No. 12.
Subchapter 4. Reduction in State Support
Due to Excessive Administrative Employee
to Teacher Ratio
Article 1. General Provisions
§15150. Purpose.
The Superintendent of Public Instruction deems this chapter necessary
for the effective administration of Education Code Sections 33151,
33154, 41404, and 41404.5, and for determinations thereby required of
him in computing apportionments and allowances from the State School
Fund.
Note: Authority cited for Chapter 4: Sections 33 1 5 1 , 331 54 and 4 1 404.5. Educa-
tion Code. Issuing agency: Superintendent of Public Instruction.
[The next page is 184.5.
Page 184.4(a)
Register 2005, No. 31; 8-5-2005
Title 5
California Department of Education
{j 15182
History
1. New Chapter 5 (Sections 15150, 15151, 15158. and 15160) filed 5-25-73; ef-
fective thinieth day thereafter (Register 73, No. 21).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth dav thereaf-
ter (Register 77, No. 39).
§15151. Definition.
For purposes of administering this chapter and the provisions of the
Education Code Section 41404.5, an '"unusual circumstance" will be
deemed to exist in any single year when:
(a) A district employs nonteaching certificated personnel to manage
a program available to one or more other districts on a contractual basis,
or
(b) A district experiences a decline in pupil enrollments that results in
a reduction in the number of teaching employees that cannot be matched
by a corresponding reduction in the number of administrative employees
before the November 1 reporting date due to existing contractual obliga-
tions, or
(c) A district participates in categorically federally funded programs
that require the employment of program coordinators or project directors
out of proportion to the number of teachers employed in the programs.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Resister 77. No.
39).
Article 2. Waiver of FuM-Time Equivalent
Administrative Employees
§ 15158. Administrative Employee Exemption.
The written application of the school district governing board for
waiver in accordance with Education Code Section 41404.5 shall be di-
rected to the Bureau of School Apportionments and Reports, State De-
partment of Education. The application shall be filed on or before De-
cember 1st. Tlie application shall detail the unusual circumstances
existing in the district, and in addition, shall include the following infor-
mation:
(a) Beginning balance, exclusive of restricted funds, in the general
fund budget for the current fiscal year.
(b) Estimated total income in the general fund budget for the current
fiscal year before the penalty for excessive administrative employees is
applied.
(c) Estimated expenditures and the appropriation for contingencies.
History
1. Amendment of subsecfion (c) filed 6-7-74; effective thirtieth day thereafter
(Register 74, No. 23).
2. Amendment of section and repealer of NOTE filed 9-23-77; effecfive thirtieth
day thereafter (Register 77, No. 39).
Article 3. School District Reports
§ 15160. Reports by School Districts.
In addition to the information required by Education Code Section
33151, districts shall annually report on forms furnished and prescribed
by the Superintendent of Public Instruction:
(a) The annual amount budgeted for the salaries of the full-time equiv-
alent administrative employees reported.
(b) The total state income included in the district's general fund budget
for the current fiscal year.
(c) The total income included in the district's general fund budget, ex-
cluding the beginning balance, for the current fiscal year.
(d) The amount included in the district's general fund budget for "out-
going transfers" for the current fiscal year. TTie report of the number of
full-time equivalent personnel shall include all persons employed by the
district as of November 1st.
Subchapter 4.1 . Reimbursement for Costs
of Education for Institutional and Family
Home Children
§ 15180. Application for Program Approval.
(a) Each school district or county superintendent of schools desiring
to establish and maintain a special educational program authorized by
Education Code Secfion 42904(c) shall first make an annual application
to the Superintendent of Public Instruction for approval. Each applica-
tion shall be filed in a form and by a date prescribed by the Superintendent
of Public Instruction.
The application shall include, but is not limited to, the following:
(1) A description of the instructional program,
(2) A description of instructional and general support services,
(3) A description of the relafionship of the special educational program
to all similar programs that are categorically funded in the district or
county office, and
(4) A budget and determination of funding services.
(b) As a condifion of approval, the Superintendent of Public Instruc-
tion may require one or more of the following:
(1) A minimum number of pupils enrolled.
(2) Development and filing of a needs assessment.
(3) A minimum and maximumi expenditure per pupil.
(c) The Superintendent of Public Instruction shall notify the appropri-
ate County Superintendent of Schools in whose jurisdiction a school dis-
trict application is approved.
NOTE: Authority cited for Chapter 4.1 (Sections 15 180-1 51 88): Sections 42904
and 4291 1 , Education Code. Reference: Sections 42902^291 1 , Education Code.
History
1. New Chapter 4.1 (Sections 15180-15188) filed 6-26-78; effective thirtieth day
thereafter (Register 78, No. 26).
§15181. Entitlement.
A district or county superintendent is entitled to reimbursement pur-
suant to Education Code Sections 42904 and 42905 with respect to any
pupil served who resides in either:
(a) A regularly established hcensed children's institution,
(b) A hospital operated by a county.
(c) A nonprofit tax-exempt hospital or other nonprofit tax-exempt
treatment facility,
(d) An institution,
(e) A foster or family home only if pursuant to a commitment or place-
ment under Chapter 2 (commencing with Section 200. of Part 1 of Divi-
sion 2 of the Welfare and Institutions Code.
(f) A home which legally qualifies as an established licensed chil-
dren's insfituuon. Reimbursement shall not be denied on account of any
pupil solely because his or her prior residence was in the same school dis-
trict in which the institufion, hospital, facihty or home, in which he or she
presently resides, is located.
§ 15182. The Special Educational Program.
(a) Special educational programs provided under Education Code Sec-
tion 42902, for which excess cost is reimbursable under Education Code
Section 42904(c), are only those programs which are in addition to any
other federal or state categorical aid programs.
(b) The special educational program shall contain at least one of the
following:
(1) Liaison between the school and the public agencies, foster parents,
and community and other school programs.
(2) Tutoring in basic skills and remedial assistance.
(3) Counseling.
(4) Educational and vocational planning and assistance.
(5) Any other element approved by the Superintendent of Public In-
strucfion.
Page 184.5
liegister 2004, No. 24; 6- 1 1-2004
§ 15183
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 15183. Determination of Local Property Tax Share.
(a) The local property tax share of the revenue limit is determined by
subtracting, from the total revenue limit authorized by the governing
board of the district (exclusive of the reduction for institutional or family
home reimbursement received), all of the following:
(1) State basic aid,
(2) State equalization aid,
(3) State guaranteed yield program (GYP) aid.
(4) No loss state aid because of separate adult revenue limit, and
(5) Equalization aid offset tax income and open space land subven-
tions. The remainder is then divided by the local average daily attendance
allowed for revenue limit purposes. Tliis determination will be made as
recalculated from the second period apportionment. The total amount de-
termined for reimbursement purposes shall be deducted from the district
revenue limit in the year in which the reimbursement is received.
(b) The local property tax share of the excess cost of maintaining
schools and classes for physically handicapped (PH), mentally retarded
(MR) or educationally handicapped (EH) pupils is determined by sub-
tracting, from the total allowed expenditures for PH, MR, and EH pro-
grams on the Special Education Cost Data Sheet, all of the following:
(1) The revenue limit per average daily attendance authorized by the
governing board of the district (exclusive of the adjustment for institu-
tional or family home reimbursement), and
(2) State and federal special education allowances for those PH, MR
and EH programs.
§ 15184. Determination of Excess Cost.
The excess cost of providing special educational programs for pupils
residing in an institution or a family home is determined by subtracting
all state and federal special allowances per average daily attendance for
those programs from the total allowed income per pupil as approved by
the State Department of Education for those programs.
The sum of the excess cost plus state and federal allowances for the
programs shall not exceed an amount per unit of average daily attendance
as determined by the Superintendent of Public Instruction pursuant to
Section 15185. Districts that provided special educational programs for
such pupils during the 1976-77 fiscal year shall receive no less than the
reimbursement received per average daily attendance for the 1976-77
programs, such reimbursement being provided for by a county-wide tax
levied during the 1977-78 fiscal year.
§ 15185. Determination of Total Allowable Income per
Pupil.
The total allowable income per pupil, exclusive of the provisions of
Education Code Section 42905 for programs allowed under Education
Code Section 42904(c), is determined annually by the Superintendent of
Public Instruction. The amount determined shall be no less than 30% nor
more than 60% of the average per pupil expenditure, excluding categori-
cal funds, in the schools in California.
§15186. Revenue Limit.
The revenue limit as used in Education Code Section 42904 is the total
revenue limit authorized by the governing board of the district, exclusive
of the adjustment for institutional or family home tuition.
§ 1 51 87. Claims and Audits.
The county superintendent of schools:
(a) Shall require that reimbursement claims be submitted on forms pre-
scribed by the Superintendent of Public Instruction,
Shall require the school district to maintain a list of all pupils enrolled
in the program for which reimbursement is claimed,
(c) Shall audit, as deemed necessary, any school district's records to
determine the accuracy of reimbursement claimed, and
(d) Shall not authorize reimbursement for any special educational pro-
grams not approved by the Superintendent of Public Instruction.
§15188. Notices.
On or before July 31 of every year, each county superintendent of
schools shall inform every known person, association, corporation and
public agency within the superintendent's county who maintains or con-
ducts a children's institution or engages in referring children to family
homes, of the reporting requirements in Education Code Section 42903.
Subchapter 5. Allowances for Pupil
Transportation*
*For Regulations relating to construction, design, equipment, and operating of
school buses, see Division 13, Chapter 4, School Buses.
Article 1. Definitions
§15240. Current Expenses.
"Current Expenses" for pupil transportation include all expenditures,
except for capital outlay, made by a school district during a fiscal year
in providing authorized pupil transportation. Such expenditures shall be
those recorded direct costs of transportation under the Support Service
Programs as defined in Part I of the California School Accounting Manu-
al.
Cost of equipment and supplies purchased but not used during the fis-
cal year for pupil transportation purposes is not a "current expense."
NOTE: Authority cited for Chapter 5: Section 41853 and 41855, Education Code.
Issuing agency: Superintendent of Public Instruction.
History
1. New Chapter5 (!^§ 15240-15244, 15246-15249, 15253-15257, 15260, 15261,
15270-15273. 15280-15285, 15320-15325, and 15340-15343), filed
12-18-69; effective thirtieth day thereafter (Register 69, No. 51).
2. Amendment filed 6-7-74; effective thirtieth day thereafter (Register 74, No.
23).
3. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
§ 1 5241 . Minimum Transportation Distances.
For the sole purpose of determining the total current expense for trans-
portation of a district on which reimbursement is based, the following
minimum transportation distances, measured from the point a pupil
boards a bus at a regularly established stop to the school of attendance by
the shortest traveled road, are set for normal pupils.
For pupils attending kindergarten or grades 1 , 2, or 3 — three-fourths
(3/4) mile.
For all other pupils attending an elementary school — one (1) mile. For
all pupils in grades 7, 8, or 9 attending a separately maintained three-year
junior high school — one ( 1 ) mile.
For all pupils in grades 9, 10, 11, or 12 attending a four-year junior
high school or a high school — two (2) miles.
For all pupils in grades 13 or 14 attending a junior college — three (3)
miles.
§ 15242. Excessive Distances and Relatively Few Pupils.
For the purposes of Section 41855 of the Education Code, "excessive
distances" traveled to transport "relatively few pupils" (sparsity) and ex-
pense due to travel for excessive distances, are as follows:
(a) All miles traveled on each bus route both outgoing and incoming
in excess of ten miles from the school terminal and on which route the
number of pupils transported does not exceed the number of miles re-
quired to be traveled one way. The expense due to travel for excessive
distances is the product of the cost per mile as entered in item C, column
5 on Form No. J-141, and the number of miles determined to be exces-
sive.
(b) All miles traveled on a feeder route, the furthermost point of which
is more than ten miles, by the routes traveled, from the school terminal,
and connects to a primary route for transfer of students. The expense due
to travel for excessive distances is the product of the cost per mile as en-
tered in item C, column 5 on Form No. J-141 and the total miles traveled
on the feeder route.
Page 184.6
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 15256
(c) All expense incurred by a school district for payments to parents
or guardian living in the district in lieu of transportation (Education Code
Section 39806), is expense due to excessive distances if eligibility is es-
tablished under either (a) or (b) above.
(d) All expense incurred by a school district for payments for board
and lodging for pupils whose parents or guardian live in the district (Edu-
cation Code Section 39807) shall be considered as expense due to travel
for excessive distances.
History
1 . Amendment tiled November 30, 1971; effective thirtieth day thereafter (Regis-
ter 71. No. 49).
2. Amendment of section and repealer of NOTE filed 9-2.^-77; effective thiiiieth
day thereafter (Register 77, No. 39;.
§ 15243. Physically Handicapped Minors.
The definitions contained in Section 3600 for deaf, severely hard of
hearing, blind, partially seeing, aphasic, and orthopedic or other health
impaired minor and pupil handicapped in mobility apply with respect to
allowances for transportation required by Education Code Sections
41863,41864,41866.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§15244. Bus.
As used in this chapter, "bus" means school bus.
Article 2. Classification of School Bus
Fleets for Transportation Allowance
Purposes
§15246. Definition.
In this article, "the average number of hours per day school buses are
operated" means the number of hours accumulated between the time
when the buses depart from the location in which they are customarily
stationed when not in use, and the time when the buses are returned there
at the end of the day, (excluding the time when the buses are not in use
between trips) divided by the total number of days buses are operated
during the regular school term.
§ 15247. Establishment of School Bus Fleet Classes.
As a basis for determining expenditures upon which allowances shall
be computed, 1 6 classes of school bus fleets for districts are hereby estab-
lished.
The 1 6 classes are as shown in the following schedule, wherein capital
letters indicate the average number of hours of bus operation per day, and
Roman numerals indicate the average size of buses so operated:
Average hours of bus operation per dav
A
Averafie size of buses Less than
in number of rows 4 hours
1. Less than 7 rows .... A-I
II. 7-8 rows A-II
III. 9-10 rows A-III
IV. 1 1 or more rows . . . A-IV
§ 15248. Emergency Affecting Normal Classification:
Exemption.
When, because of a temporary emergency, a district has used addition-
al school buses or increased the hours of operation, or both, and inclusion
of the additional buses and hours in computation of its school bus fleet
classification would result in a classification other than the expected nor-
mal, the school district may request an exemption excluding the addition-
al buses and hours of operation from such computation. The request for
exemption shall be submitted to the Superintendent of Public Instruction
not later than June ?>Q of the fiscal year in which the emergency occurred.
If the Superintendent of Public Instruction deterinines that a temporary
emergency did exist and that the changes in operational procedure were
B
C
D
4-5
6-7
8 or more
hours
hours
hours
B-I
C-I
D-I
B-II
C-II
D-II
B-IIl
C-lTl
D-I 11
B-IV
C-IV
D-IV
necessary to continue to provide a safe and efficient transportation sys-
tem, he may approve the exeinpiion.
§15249. Median Average Cost.
For each of the 16 classes of districts, the Superintendent of Public In-
struction shall annually ascertain the median of the average cost per bus
per day. This determination shall be based upon the cost per bus per day
for each district in the class that has requested a transportation allowance
in its then current "Annual Report of Transportation Expense," weighted
by the number of vehicles operated by that district.
Article 3. Records and Available
Information (All Districts)
§ 15253. Available Information.
Each school district furnishing transportation shall have available the
following information for immediate inspection, or submission to the Su-
perintendent of Public Instruction if required:
(a) A statement of policy adopted by the governing board that governs
the operation of the pupil transportation system in the district, including
the limits within which transportation is offered to pupils and the distance
pupils are required to walk to school or to a regulariy established bus stop.
(b) A map of the district indicating each bus route and each bus stop,
or a route schedule indicating the itinerary of the bus route and each bus
stop to be accompanied by a district map on which routes may be identi-
fied.
(c) A list of salaries paid for supervision, clerical, or administrative
purposes.
(d) A schedule of classes to indicate double sessions or irregularities
that might require extra transportation.
(e) A listing of trips made other than between home and school by each
bus indicating miles traveled and pupils transported.
§ 15254. Identification of School Buses.
Each school district shall maintain records identifying each school bus
owned by the district, and each school bus owned by a contractor that pro-
vides pupil transportation for the district.
§ 15255. Record of Normal Pupils Transported.
(a) Each school district shall maintain records for each school bus that
will clearly show the number of normal pupils transported between home
and school who board the bus at a regularly scheduled stop:
(1) Within the minimum transportation distances specified in Section
15241.
(2) Beyond such minimum transportation distances.
(b) The number of pupils so boarding the bus is ascertained by one of
the following methods:
( 1 ) The average of an actual daily count.
(2) The average of an actual count on four normal school days occur-
ring on or about October 1 , December 1 , February J , and May I .
§ 15256. Records of All Pupil Transportation Expenses.
Each school district shall maintain records of all expenses in connec-
tion with pupil transportation. These include, but are not limited to, re-
cords of the following expenses:
(a) Expenses of Transporting Exceptional Children.
AUexpensesforthetransportationofphysically handicapped, mental-
ly retarded, and educationally handicapped minors shall be recorded by
category.
(b) Actual Cost of Clerical, Supervision, and Administrative Services.
Actual costs of supervision, clerical, or administrative services shall
be recorded only to the extent that one or more employees designated by
name have been given regular assignment by the governing board or the
chief administrative officer to such duties in connection with the opera-
tion of pupil transportation. Such expenditures shall be recorded as direct
costs of transportation under the Support Service Programs as defined in
Part I of the California School Accounfing Manual. In each case, the ex-
penditures so shown shall include only that prorated portion of salaries
Page 184.7
Register 2004, No. 24; 6- 1 1-2004
§ 15257
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
or wages for time actually spent for that purpose. Full salaries or wages
shall not be recorded unless full lime is devoted to pupil transportation
exclusively.
(c) Expense for Insurance.
These records shall show the amount of insurance carried for pupil
transportation purposes as to type and amount of coverage, and the annu-
al expense for such insurance.
History
1. Amendment of subsection (b) filed 6-7-74; effective thirtieth day thereafter
(Register74. No. 23).
2. Repealer of NOTE filed 9-23-77; effective thirtieth day thereafter (Register 77,
No. 39).
§ 1 5257. Records of Receipts for Service and Sales.
Each school district shall maintain records of all payments received
for:
(a) Sale of any equipment or supplies.
(b) Transportation provided to other school districts and other parties.
Article 4. Additional Records and Available
Information (Districts Maintaining Own
Transportation System)
§15260. Available Information.
Each school district operating its own system shall have available the
following information for immediate inspection, or submission to the Su-
perintendent of Public Instruction if required:
(a) A statement of how gasoline, oil, and other supplies are purchased
and stored, and if equipment other than school buses use supplies from
the same storage facilities.
(b) A statement of how repairs are made to buses, how charges are
made, and how separated if only general shop charges or total billing sys-
tem is used.
(c) A schedule of driver's salary, time worked, and if driver is paid for
other services, how much, and from which object classification of the
budget.
(d) A schedule of salaries for personnel engaged in the maintenance
and repair of buses and how salaries are prorated if work other than on
school buses is done by the same personnel.
(e) A listing of accessories replaced and identified by item, bus, and
cost.
History
1 . Amendment of subsection (c) filed 6-7-74; effective thirtieth day thereafter
(Register 74, No. 23).
2. Repealer of NOTE filed 9-23-77; effective thirtieth day thereafter (Register 77,
No. 39).
§ 15261. Record of Transportation Expense.
Each school district operating its own system shall maintain records
which will show:
(a) Items of Expense.
All expenses for the following items: gasoline, oil, grease, repairs to
school buses, maintenance supplies, replacement of buses, replacement
of accessories, salaries and wages of school bus drivers, salaries and
wages for upkeep of buses, insurance authorized by law, and all other ex-
penses in connection with the operation and maintenance of pupil trans-
portation.
(b) Capital Outlay.
All expenses of capital outlay, including all new equipment, for pupil
transportation shall be identified by each item and date of acquisition.
(c) Expense of Replacement.
The record shall show the original expense incurred for each item be-
ing replaced as well as the portion of the cost of the new item which has
been charged to replacement and the portion which has been charged to
capital outlay.
(d) For Each School Bus Operated.
(1) All expenses for supplies, maintenance, and repairs.
(2) Miles traveled by the bus in transporting pupils.
(A) Between home and school.
(B) Other than between home and school.
Article 5. Reports
§ 15270, Annual Report.
Each school district shall submit an "Annual Report of Pupil Transpor-
tation Expenses" (Form No. J-141) to the Superintendent of Public In-
struction at such time as he may require and in accordance with instruc-
tions thereon. The report shall be accompanied by documents relating to
the following items, as described:
(a) Insurance.
A schedule and certificate of insurance, using Form J-141-A, certi-
fied to by the insurance agent or company and by the governing board of
the district, or its authorized agent.
(b) Buses Replaced.
A report, using Form J-142, on each school bus replaced during the
fiscal year, or during a prior fiscal year for which the district will be eligi-
ble for a replacement allowance.
(c) Use for Community Recreation.
A statement with respect to transportation, if any, furnished for pur-
poses of community recreation as provided in Education Code Section
39835 that contains the following information:
(1) The total number of buses so used.
(2) Identification of each bus.
(3) The purchase price paid for each bus, less the value of items re-
quired by Section 15272 to be deducted.
(4) The total miles traveled under district ownership by each bus dur-
ing the school year.
(5) The total miles traveled during the school year by each bus under
district ownership for the aforesaid purposes.
(d) Use for Out-of-State Transportation.
A statement, with respect to out-of-state transportation, if any, fur-
nished pursuant to Education Code Section 16861 that contains the fol-
lowing information:
(1) The facts specified in subsections (c)(l)-(c)(5).
(2) The general route, including destination, of each bus used on such
out-of-state transportation.
(e) Reason for Exceeding 125% of Median.
A statement, with attached vouchers, justifying any expenditures for
necessary replacement of the engine or necessary major overhaul when-
ever they caused the district to exceed 125% of the median average cost
described in Section 15249.
History
1. Amendment of subsection (c) filed 9-23-77; effective thirtieth day thereafter
(Register 77, No. 39).
§ 15271. Exclusion from "Annual Report" (J-141) of
Expense for Physically Handicapped and
Mentally Retarded Pupils Coming Within
Education Code Section 56515.
The expense and related data for vehicles, and the vehicles them-
selves, shall not be reported on the "Annual Report of Transportation Ex-
pense" (Form No. J-141) if the vehicles are used exclusively for any or
all of the following purposes:
(a) Transporting to special day classes the blind, deaf aphasic, cere-
bral palsied, orthopedically handicapped, and other physically handi-
capped minors handicapped in mobility.
(b) Transporting to integrated programs of instruction as defined in
Education Code Section 41864, the blind and the deaf
(c) Transporting pupils impaired in vision or hearing to another district
or to the California School for the Deaf or Blind for specialized instruc-
tion.
(d) Transporting physically handicapped pupils impaired in mobility
who are deemed eligible for special class placement who have been de-
Page 184.8
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Title 5
California Department of Education
§ 15321
clared eligible tor such transportation by the Superintendent of Public In-
struclion.
(e) Transporting to special training schools and classes mentally re-
tarded pupils who come within Education Code Section 56515.
History
I . Amendnicnt Uleci 9-23-77; effective thirtieth day thereafter (Recister 77. No.
39).
§ 15272. Report of School Bus Purchase.
Each school district shall annually report to the Superintendent of Pub-
lic Instruction on Form No. J-143 data on each school bus purchaseddur-
ing the fiscal year. The cost of equipment and accessories not required
by law or regulations governing pupil transportation shall be separately
stated and deducted from the total cost of the bus.
§15273. Other Reports.
Each school district shall submit other reports as the Superintendent
of Public Instruction may require.
Article 6.
Review and Approval of
Expenditures
§ 1 5280. Scope of Article.
This article applies to the review and approval by the Superintendent
of Public Instruction of all current expenses upon which allowances are
computed.
§ 15281. Limitation on Current Expenses.
In the determination of total current expenses for pupil transportation,
no amount will be allowed in excess of the expenses recorded as direct
costs of transportation under the Support Service Programs as defined in
Part I of the California School Accounting Manual.
History
1. Amendment filed 6-7-74; effective thirtieth day thereafter (Register 74, No.
23).
2. Repealer of NOTE filed 9-23-77; effective thirtieth day thereafter (Register 77.
No. 39).
§ 1 5282. Deductions of Payments Received.
There shall be deducted from totai current expenses as defined in Sec-
tion 15240:
(a) Payments received from other districts and other sources for trans-
portation of pupils.
(b) Payments received for charges required under Education Code
Sections 39836 and 39837.
§ 15283. Deductions for Certain Expenses and for
Depreciation.
For purposes of approving total transportation expense, there shall be
deducted from total current expenses:
(a) Expenditures for the following items:
(1) Transportation of exceptional minors defined in Section 15243.
(2) Out-of-state, community recreation, and other transportation, i.e.,
other than between home and school.
(3) Transporting children within the minimum distance if their number
exceeds 1/10 of the number who board a bus beyond that distance. The
amount of deductions for those pupils who are in excess of such 1/10 is
determined as follows;
Total transportation
expense for normal
children
The number of
such excess
pupils
Transportation
cost per normal
pupil each year
(4) Bus rental in an amount that exceeds 1 / 1 5 of the average purchase
price described in Section 15323(b).
(b) Expense of Transportation of Pupils Other than Home-to-School.
This deduction is the amount of the actual expense if the actual expense
can be readily identified in the district's records.
Otherwise, the deduction is the following amount: The cost per mile
for the operation of all buses used to provide pupil transportation (wheth-
er for norinal or exceptional pupils, as the case may be) multiplied by the
number of miles traveled in providing transportation for such pupils oth-
er than between home and school.
(c) Depreciation of a school bus due to the travel listed in this subsec-
tion (c). The depreciation for each type of travel shall be determined by
the following formula wherein "miles" means miles the bus traveled in
the fiscal year:
Cost of bus less value of items
required by Miles for a purpose
Section 15272 to be specified in ( 1), (2),
deducted X or (3)
12
Total miles under
district ownership
Travel on which depreciation is deducted is community recreation
travel pursuant to Education Code Section 39835.
History
1. Amendment of subsection (c) filed 9-2.3-77; effective thirtieth dav thereafter
(Register77, No. 39).
§ 15284. Expenditures Exceeding 125% of the Median.
Except as provided in this section, the Superintendent of Public In-
struction shall not compute allowances upon expenditures of a district for
which the average cost per bus per day for the class of district to which
the district belongs exceeds 1 25% of the median as determined in Section
15250. If expenditures which exceed that percentage were caused by
necessary replacement of the engine, or a necessary major overhaul, of
one or more school buses, expenditures so caused may be allowed in ad-
dition to the aforesaid percentage.
§ 15285. Maximum Allowable for Excessive Distances.
No amount computed for excessive distances defined in Section
15242 shall be approved which, when added to the amounts computed
under Education Code Sections 41857 and 41858, exceed the approved
current expense as reported in Item D. J of Form No. J-14 1 .
History
I. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
Article 7. Replacement of School Bus and
Replacement Allowances
§ 15320. Disposal of Replaced Bus.
Certification will be required on Form No. J- 142, "Report of Replaced
School Bus," that the governing board has disposed of the replaced bus
in accordance with Education Code Sections 39520, 39521, and 39523.
The actual money received in the disposal of the bus shall be entered as
"sales value" on the application for replacement allowance.
§15321. Replacement.
(a) Replacement is considered completed when the replaced bus has
been disposed of and the new bus has been delivered to the district. Appli-
cations for replacement allowance will be filed for the fiscal year in
which the replacement has been completed, and if allowed, reimburse-
ment will be made during the next fiscal year. If the replaced bus remains
in the possession of the district for a portion of the fiscal year following
the delivery of the new bus, such replaced bus to be eligible for replace-
ment allowance must be discontinued in use for pupil transportation pur-
poses until disposed of or until converted for uses other than pupil trans-
portation.
Repurchasing, renting, or leasing the vehicle back from the purchaser
will void all reimbursement allowances granted under Sections 15323
and 15324 of this code.
(b) The Superintendent of Public Instruction may approve for reim-
bursement purposes the replacement of school buses on a two-for-one
basis if he determines that the efficiency of operation of the transporta-
tion system will be increased, or that the operational costs will be de-
creased by such replacement. The approval shall be subsequent to and
justified by a review of the district's transportation system including but
Page 184.9
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§ 15322
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
not limited to fleet size, routes, pupils transported and related current ex-
pense of operation. In no instance will the combined reimbursement ex-
ceed the approved costs of the new vehicle(s).
§ 15322. Replacement of More than One Small Bus in
Certain Unified School Districts.
During the first five years of existence for all purposes of a unified
school district formed under the provisions of Article 1 or Article 2 of
Chapter 2 of Part of the Education Code, the Superintendent of Public In-
struction may approve the replacement of more than one small bus with
a single larger unit if he determines that the efficiency of operation of the
transportation system will be increased or that operational costs will be
decreased by such replacement. The approval shall be subsequent to. and
justified by, a review of the district's transportation system including
fleet size, schools, routes, pupils transported, and related current expense
of operation.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§ 15323. Allowance for Expense of Replacing a Class 1
School Bus.
(a) The Superintendent of Public Instruction shall not approve, as a ba-
sis for computation of financial allowances for reimbursement of re-
placement expenses incurred by a school district for replacement of a
class 1 school bus, expenditures which exceed the lesser of the following
amounts:
( 1 ) The difference between the purchase price of the bus paid by the
district, subject to the provisions of Section 15272, and the amount re-
ceived by the district for the sale, insured loss, or credit for the trade-in,
of the bus.
(2) The amount computed by multiplying the "average purchase
price" of the bus, as defined by subsection (b) hereof, by the percentage
shown in the following schedule for the total number of years of service
rendered by the bus as a school bus in the service of the district, or, in the
case of a used school bus, the total number of years of service rendered
for the district and for a prior owner or owners:
SCHEDULE
Percentage
Percentage
Total
for computing
Total
for computing
years of
replacement
years oj
replacement
service
expense
service
expense
1
0
11
73
1
0
12
78
3
5
13
85
4
n
14
92
'^
18
26
15
100
6
16
105
7
35
17
110
8
45
56
18
115
9
19
120
10
68
20
125
(b) The "average purchase price" of a bus purchased during any fiscal
year means the quotient resulting from dividing the purchase price paid
for, by the number of, all new Class 1 school buses having a like number
of rows of seats which were purchased by all districts during that fiscal
year. The value of items required by Section 15272 to be deducted shall
be excluded from the purchase price. The Superintendent of Public In-
struction shall furnish to school districts a list of such "average purchase
prices."
§ 15324. Allowances for Expense of Replacing Class 2
School Buses.
The Superintendent of Public Instruction shall not approve, as a basis
for computafion of financial allowances for reimbursement of replace-
ment expenses incurred by a school district replacing a Class2 bus, ex-
penditures which exceed the lesser of the following:
(a) The difference between the purchase price of the bus paid by the
district, subject to the provisions of Section 15272, and the amount of
money received by the district for the sale, or credit received for the
trade-in, of the bus.
(b) The difference between the purchase price of the bus paid by the
district, subject to the provisions of Section 15272, and the value of the
bus at the date of application for allowance, as such value is shown in any
published used-automobile wholesale value guide in general use in Cali-
fornia selected by the Superintendent of Public Instruction.
§ 1 5325. Adjustment for Use in Other Than
Home-to-School Transportation.
(a) Types of Transportation.
For the purposes of this section, miles traveled under district owner-
ship by all buses owned by a district on the date of apphcation for replace-
ment allowance are divided as follows:
( 1 ) Home-to-school transportation.
(2) Community recreation under Education Code Section 39835.
(3) Other transportation.
(b) Reduction.
The replacement allowance approved for a school bus shall be reduced
if the total miles traveled by all of the buses for the purpose of subsection
(a)(4) exceed 20 percent of the total miles traveled by all of the buses for
the purposes of subsections (a)(1) and (a)(4).
(c) Amount of Reduction.
The reduction shall be in an amount which is the same percentage of
the approved replacement expense as the excess mileage is of the total
miles traveled under district ownership by all of the buses for the pur-
poses of subsections (a)(1) and (a)(4).
History
I. Amendment of subsection (a) filed 9-23-77; effective thirtieth day thereafter
(Register 77, No. 39).
Article 8.
Newly Formed Unified School
Districts
§15340. Notification.
A unified school district eligible for current expense allowance under
Education Code Section 41857 and/or capital outlay allowance under
Education Code Section 41860 shall notify the Superintendent of Public
Instruction by letter of its intentions to apply for such allowances on or
before May 1 of the fiscal year preceding the year in which such allow-
ances, if approved, will be made.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§ 15341. Inclusion in Annual Report.
Upon proper approval given by the Superintendent of Public Instruc-
tion, the expenses may be included on the Form No. J-141, "Annual Re-
port of Transportation Costs." The Superintendent of Public Instruction
shall determine the actual expense required because of a change of the
location of schoolhouses or the reorganizafion of attendance centers.
§ 15342. Maximum Allowance for Capital Outlay.
The maximum allowance for capital outlay expense shall be the lesser
of the following:
(a) The actual cost of the bus or buses required.
(b) An amount determined by dividing the number of pupils requiring
transportation by the capacity of the bus plus 25 percent, multiplied by
the actual cost of the bus.
§ 15343. AAaximum Allowance for Current Expense.
The maximum allowance for current expense required because of a
change in location of schoolhouses or the reorganizafion of attendance
centers shall be determined by muUiplying the actual mileage that the bus
or buses are required to travel in transporting pupils from closed schools
or to reorganized attendance centers by the average expense per mile for
bus operation in the district.
Page 184.10
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Title 5
California Department of Education
§ 15377
Subchapter 6.
Revenue Limits for School
Districts
Article 1. General Provisions
§ 1 5370. Scope of the Chapter.
The provisions of this chapter apply to the calculation of a district's
revenue limit pursuant to Article 2 of Chapter 7 of Part 24 of the Educa-
tion Code (Apportionments and Revenue Control, Section
42237-42246).
NOTE: Aulhoritv cited: Section 42246, Education Code. Reference: Sections
422.^7-42245. Education Code.
History
1. New Chapter 6 (Sections 15.^70-15392) filed 3-14-80; effective thirtieth day
thereafter (Register 80, No. 1 1 ).
§15371. Definitions.
(a) "School Revenue Limit." The revenue limit is a computed amount
that places a limit on the amount of revenue that a district is allowed to
receive from property taxes, certain local sources of income, and from the
stale. A district may receive state and federal categorical aid, property
taxes for repayment of capital projects outside the revenue limit, and
some limited fees in addition to the revenue limit. The total revenue hmit
consists of a base revenue limit plus any of a number of revenue limit ad-
justments.
(b) "Base Revenue Limit." The base revenue limit is an amount that
is computed by formula each year from the previous year's base revenue
limit. Some of the revenue limit adjustments are permanent increases or
decreases to the revenue limit and so become incorporated into the base
revenue limit. Other revenue limit adjustments are computed anew each
year.
(c) "Average Daily Attendance" (hereafter referred to as ADA). Un-
less otherwise indicated, attendance is measured as the count of daily at-
tendance averaged over the school year consisting of at least 175 school
days meeting for the minimum length school day as specified in the Edu-
cation Code. For classes for adults and classes for regional occupational
centers or programs pursuant to Education Code Section 41601 , the aver-
age daily attendance shall be determined by dividing the total number of
days of attendance in all full school months in the first period of atten-
dance by a divisor of 70, in the second period by 135, and at annual time
by 175. For classes for adults and classes for regional occupational cen-
ters or programs, three hours of attendance are equal to one apportion-
ment day of attendance. There are three attendance periods for each fiscal
year. The First Principal attendance period, designated PI, is the atten-
dance count from July 1 through December 31, and is used to compute
the First Principal Apportionment due February 20 of the fiscal year. The
second principal attendance period, designated P2, is the attendance
count from July 1 through the last school month that ends on or before
April 15 of the fiscal year, and is used to compute the Second Principal
Apportionment due June 25 of the fiscal year. Annual Attendance is the
attendance count from July 1 through June 30 of the fiscal year.
(d) "Categorical Aid." In addition to the revenue limit support, school
districts receive other state and federal funds which are apporfioned on
allotment for specific purposes named in the law, regulation, or statute.
These are known as categorical aid because they can be spent only for
specific categories.
(e) "General Aid." Revenue limit support, both local and state, are gen-
eral aid as it can be spent for general purposes of the district.
NOTE; Authority cited: Section 42246, Education Code. Reference: Sections
42237-42245, Education Code.
Article 2. Recomputation of 1978-79
School District Revenue Limits
§ 1 5375. Use of Official Schedules.
The Local Assistance Bureau of the State Department of Education
shall provide official schedules for use in making the recomputations re-
quired by this article. These schedules shall be known as;
(a) SCHEDULE B. SCHEDULE FOR THE RECOMPUTATION OF
THE DISTRICTS 1978-79 REVENUE LIMIT/BLOCK GRANT FOR
K-12 PROGRAMS TO BE USED AS A BASE FOR THE 1979-80
REVENUE LIMIT,
(b) SCHEDULE Q(B), SCHEDULE FOR THE DETERMINATION
OF THE ADJUSTMENT FACTOR FOR REDUCTION OF TOTAL
BLOCK GRANT FOR SCHOOL DISTRICTS.
(c) SCHEDULE F, 1979-80 SCHEDULE FOR THE DETERMINA-
TION OF THE ADDITION TO THE RECOMPUTATION OF THE
1978-79 STATE TEACHERS" RETIREMENT SYSTEM (STRS) AL-
LOWANCE ADJUSTMENT FOR HIGH SCHOOL DISTRICTS EDU-
CATING 7th and 8th GRADE PUPILS,
(d) SCHEDULE BB. SCHEDULE FOR THE RECOMPUTATION
OF THE DISTRICT" S 1 978-79 REVENUE LIMIT FOR EDUCATION
OF ADULTS TO BE USED AS A BASE FOR THE 1979-80 REVE-
NUE LIMIT.
These official schedules shall be used in making these calculations.
Reporting to the Local Assistance Bureau may be made on computer
tape, subject to the prior approval of the State Department of Education.
The Local Assistance Bureau shall issue two sets of official schedules
for use in recalculation of 1978-79 revenue limits. These schedules shall
have the designations "-PI" and "-P2," and shall be used in making the
Annual Recalculation of the Apportionment.
The Local Assistance Bureau shall modify these schedules, as re-
quired, pursuant to any legislation enacted subsequent to the approval of
these regulations.
NOTE: Authority cited: Section 42246, Education Code. Reference: Sections
42237-42245, Education Code.
§ 1 5376. Use of Actual Data.
References shall be made in this article to the form, schedules, and
worksheet issued by the Local Assistance Bureau of the State Depart-
ment of Education for use in recomputing the revenue limit/block grant
in the 1978-79 fiscal year. The amounts to be used in making the recom-
putations described herein shall be those reported to the Local Assistance
Bureau on the specified form or schedules issued by the Local Assistance
Bureau, unless authorization to use computer tape has been granted.
NOTE: Authority cited: Section 42246, Education Code. Reference; Sections
42237^2245, Education Code.
§ 1 5377. 1 978-79 Recomputed Revenue Limit for K-1 2
Programs Using Schedule B and Back-Up
Schedules Q(B) and F.
The county superintendent of schools shall recompute the 1978-79
revenue limit for K- 1 2 programs to be used as a base for the 1 979-80 rev-
enue limit for each school district in the county using Schedule B. Sched-
ule B shall be completed as follows:
(a) Line A: Report of the total 1978-79 revenue limit as shown on Line
C-18 of Form K-I2-A (1978-79).
(b) Line B: Report the revenue limit adjustments which are included
in the base amount reported in Line A, and which must be excluded from
the revenue base pursuant to Education Code Section 42237(a)( 1 ). These
revenue limit adjustments shall be reported as follows:
(1 ) Line B-1 : Declining Enrollment Adjustment (reference Education
Code Section 42239). Use the amount shown in Form K-12-A
(1978-79), Line C-5.
Page 184.11
Register 2004, No. 24; 6-11-2004
§ 15377
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(2) Line B-2: Unemployment Insurance Additional Costs Adjustment
(reference Education Code Section 42241.7). Use the amount shown in
Form K-12-A (1978-79). Line C-12.
(3) Line B-3: Adjustment for Mandated Costs Imposed by Final Court
Orders. Federal Statutes, or Initiative Enactments after January 1, 1978
(reference Education Code Section 42243.6). Use the amount shown in
Form K-12-A (1978-79), Line C-15.
(4) Line B-4: Prior Year and Other Adjustments (reference Education
Code Sections 42245, 46617.5, 52321, and 52501.5). Use the sum of the
amounts shown in Form K-12-A (1978-79), Lines C-]7a. C-17b,
C-17c. andC-17d.
(5) Line B-5: Adjustment in Revenue Limit for Nonimmigrant-Non-
citizen Children (reference Education Code Section 42950). Use the
amount shown in Form K-12-A (1978-79). Line C-14 times .50.
(6) Line B-6: Adjustments in Revenue Limit for Interdistrict Atten-
dance Agreements (reference Education Code Section 46605(d)). Use
the amount shown in Form K-12-A (1978-79), Line C-8.
(7) Line B-7: Report the total of these adjustments (sum of the
amounts in Lines B-1 through B-6). This amount shall be shown in
brackets () if negative.
(c) Line C: Report the total recomputed 1 978-79 revenue limit, which
is equal to the amount in Line A minus the amount in Line B-7.
NOTE: If the amount in Line B-7 is negative, this amount is added;
if the amount is positive, this amount is subtracted.
(d) Line D: Report the 1977-78 permissive overrides levied and re-
ceived which are to be added to the 1978-79 revenue limit for purposes
of block grant. This is the same amount as shown on Form K-12-A
(1978-79), Line D.
(e) Line E: Report the sum of the amounts in Lines C and D.
(f) Line F: Report the adjustment factor as recomputed using Schedule
Q(B). Schedule Q(B) shall be completed as follows:
(1) Line A: Report the 1978-79 recomputed revenue hmit as shown
on Line C of Schedule B (1979-80).
(2) Line B: Report the 1977-78 permissive overrides levied and re-
ceived to be added to the 1978-79 revenue limit for purposes of block
grant, as shown on Line D of Schedule B (1979-80).
(3) Line C: Report the sum of the amounts in Lines A and B to give the
total amount for adjustment factor determination.
(4) Line D: Report the total 1 978-79 revenue limit ADA. This amount
is the same as shown on Line C-1 of Form K-12-A (1978-79).
(5) Line E: Report the total amount per ADA, equal to the amount in
Line C divided by the ADA reported in Line D, rounded to two decimal
places.
(6) Line F shall be used to perform the computation of the adjustment
factor.
(A) Line F-la: Report the foundation program amount to be used in
this recomputation for districts which do not meet the provisions of
Chapter 1 19 of the Statutes of 1979 (AB 445). This amount is $1,241 for
elementary school districts, $ 1 ,427 for high school districts, or $ 1 ,322 for
unified school districts.
(B) Line F-lb: Report the foundation program amount to be used in
this calculation for districts that do meet the following three criteria spe-
cified by Chapter 119, Statutes of 1979 (AB 445), specifically that:
( 1) the district has an average daily attendance of less than 10,000. as
reported on Line C-1 of Form K-12-A (1978-79);
(2) the district maintained a necessary small school in 1977-78 and
1978-79 other than a continuation high school or a special education
school; and
(3) the district was credited with a foundation program amount in the
1 977-78 school year pursuant to Education Code Sections 41 701 , 41 703,
or subdivision (a) of Section 4171 1. For districts that meet all of these re-
quirements, the amount used in Line F-lb shall be equal to the district's
average foundation program amount per unit of average daily attendance
for the 1978-79 fiscal year, which is determined by dividing the founda-
tion program amount shown in Line C-3 of Form K-12-A (1978-79) by
the average daily attendance shown in Line C-1 of the same form. The
result shall be rounded to the nearest whole dollar. This amount must be
the same as that shown in Line F-lb in Schedule Q(B) (1978-79).
(C) Line F-2: Report the computed factor, equal to the amount in Line
E divided by the amount in Line F-la or F-lb, as appropriate, rounded
to four decimal places.
(D) Lines F-3, F-4, and F-5 shall be used to determine the adjustment
factor. If the factor in Line F-2 is less than or equal to 1 .1000, use Line
F-3 to report a deficit factor of .9 1 0000. If the factor in Line F-2 is greater
than or equal to 1 .5000. use line F-4 to report a deficit factor of .850000.
If the factor in Line F-2 is between 1 . 1 000 and 1 .5000, perform the fol-
lowing calculation: subtract 1 . 1 000 from the amount in Line F-2, divided
the difference by .4, and multiply quotient by .06 and then add this prod-
uct to .09, and then subtract that result from 1 .00. (Round the answer in
Line F-5 to six decimal places).
(7) Line G: Report the adjustment factor, which is equal to the amount
in Line F-3 or F-4 or F-5, as appropriate.
NOTE: Return to Schedule B and report this amount on Line F of
that schedule.
(g) Line G, Schedule B: The 1978-79 Total Recomputed Adult Reve-
nue Limit: The amount on Line G of Schedule B is the same as the amount
on Line C of Schedule BB, Schedule for the Recomputation of the Dis-
trict's 1978-79 Revenue Limit for Education of Adults. Use this amount
as the base, the recomputation of which is described in Section 15379.
(h) Line H, Schedule B: Report the total recomputed block grant sub-
ject to reduction. This amount is equal to the sum of the amounts in Lines
E and G.
(i) Line I: Report the total recomputed block grant after adjustment
factor which is equal to the amount in Line F times the amount in Line
H, rounded to the nearest dollar.
(j) Line J: Report the reduction of specified categorical programs and
state special schools adjustment as required by Education Code Sections
42237(a)(2)(A) and 42243.5. This reduction shall be made for the fol-
lowing programs:
(1 ) Line J-1 : Child Development (reference Education Code Section
8329). Use the amount levied and received for Child Development pur-
suant to Schedule P ( 1 978-79), Line 2 times the adjustment factor shown
in Form K-12-A (1978-79), Line F, but not to exceed the amount trans-
ferred to the Child Development Fund in 1978-79. Report this amount,
rounded to the nearest dollar, on Line J-1.
(2) Line J-2: Development Centers for Handicapped Pupils (reference
Education Code Section 5681 1). Use the amount levied and received for
Development Centers for Handicapped Pupils pursuant to Schedule P
(1978-79), Line 9, fimes the adjustment factor shown in Form K-12-A
(1978-79), Line F, but not to exceed the amount transferred to Develop-
ment Centers for Handicapped Pupils Fund in 1978-79. Report this
amount, rounded to the nearest dollar, on Line J-2.
(3) Line J-3: Meals for Needy Pupils (reference Education Code Sec-
tion 49502). Use the amount levied and received pursuant to Schedule P
(1978-79), Line 7 dmes the adjustment factor shown in Form K-12-A
(1978-79), Line F, but not to exceed the amount transferred to Meals for
Needy Programs in 1978-79. Report this amount, rounded to the nearest
dollar, on Line J-3.
(4) Line J-4: Decrease in Revenue Limit to Reflect a Required Reduc-
tion Because of Payments to Special Education Schools. State Special
Education Schools (reference Education Code Section 42243.5). Use the
amount of district contributions for state special education schools from
local tax revenues pursuant to former Education Code Sections 59021,
59121, and 59221 (repealed by Chapter 237, Statutes 1979) for the
1972-73 fiscal year, plus the 1978-79 fiscal year revenue limit adjust-
ment shown on Line C-1 1 of Form K-12-A (1978-79) pursuant to Sec-
fion 42243.5 as it read in that fiscal year. Report this amount on Line J^.
(5) Line J-5: Total Categorical Programs Reducfion. Report the sum
of the amounts in Lines J-1 through J^.
Page 184.12
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 15377
(k) Line K: Compute ihe amount of reduction for mandated adult pro-
grams, as required by Education Code Section 42237(a)(2)(B). The
amounts o1' the required reduction shall be computed as follows:
( 1 ) Line K-l : Compute the 1 978-79 adult base revenue limit per ADA
which includes the adult base revenue limit and the adult revenue limit
adjustment for additional STRS cost pursuant to Education Code Section
42238(i) (Chapter 232, Statutes 1978). This amount shall be equal to the
sum of the amounts in Lines C-2 and C-3 from Worksheet S (1978-79)
divided by the adult attendance shown in Line C-1 of Worksheet S
(1978-79). Report this result rounded totwodecimal places on Line K- 1 .
(2) Line K-2: Report the 1 978-79 adjustment factor as shown in Form
K-12-A (1978-79) Line F. rounded to six decimal places.
(3) Line K-3: Compute the 1978-79 reduced adult base revenue limit
which is equal to the amount in Line K-l times the amount in Line K-2.
Round this result to two decimal places and show this on Line K-3.
(4) Line K-4: Report the 1978-79 school year second principal adult
average daily attendance generated in the adult education programs man-
dated by Item 3 1 6. 1 of the Budget Act of 1 978 (Chapter 359, Statutes of
1 978). Do not report any adult attendance from the 1977-78 school year.
Report this amount on Line K-4.
(5) Line K-5: Compute the total reduction for mandated adult pro-
gram, which is equal to the amount in Line K-3 times the attendance in
Line K-4. Report this amount rounded to the nearest dollar on Line K-5.
(/) Line L: Additions to Revenue Limits Pursuant to Education Code
Section 42237(a)(3).
( 1 ) Line L-la: Report the amount of state apportionments received by
the district in fiscal year 1978-79 in Recalculated Second Principal Ap-
portionment for this State Teachers Retirement System pursuant to Item
316. 1 of the Budget Act of 1978 (Chapter 359. Statutes of 1978) exclud-
ing that portion allocated by the district for adults in Education Code Sec-
tion 42237(c)(4)(A). Use only the K-12 share of the amount shown on
Exhibit C, 1 978-79 Recalculated Second Principal Apportionments pur-
suant to both Sections 41716 and 41716.5 of the Education Code. This
recalculation is based on 1978-79 actual salaries shown on Page 21, Col-
umn 2 of the 1979-80 J-4] and the calculation in 1978-79^ Schedule
H(A).
(2) Line L-lb: To complete Line L-lb, see Schedule F to report the
revenue limit increase for those high school districts providing education
to 7th and 8th graders, as authorized by Section 42237.6 of the Education
Code.
NOTE: Only those high school districts educating 7th and 8th grade
pupils need to complete L-lb.
Schedule F shall be completed as follows:
(A) Column I reflects the recalculation of Schedule H(A) for fiscal
year 1978-79. Column II reflects calculations pursuant to Education
Code Section 42237.6.
1. Line A: Report the actual 1978-79 district contribution to STRS
(8.0%). This figure is obtained from Column 2, page 21 of the J-41 , Dis-
trict Budget and Financial Report.
2. Line B: Report the computation amount in Column I based on the
1 978-79 actual assessed valuation times (.05 divided by 1 00). In Column
11, multiply the 1978-79 actual assessed valuation times (.0692 divided
by 1 00). For 1 978-79. modified assessed valuation is actual assessed val-
uation.
3. Line C: Determine the balance by deducting Line B from Line A.
If the balance in both columns is negative, stop the calculation and pro-
ceed no further. If the balance in either column is positive, proceed with
the calculations.
4. Line D: Report the computation based on the 1978-79 modified as-
sessed valuation times (.03 divided by 100) for Column I and 1978-79
modified assessed valuation times (.0415 divided by 100) for Column II.
5. Line E: Determine the balance by deducting Line D from amount
in Line C. If the balance in both columns is negative, stop the calculation
and proceed no further. If the balance in either column is positive, pro-
ceed with the calculations.
6. Line F: Report the computation based on 1978-79 modified as-
sessed valuation times (.04 divided by 100) for Column 1 and 1978-79
modified assessed valuation times (.0554 divided by 100) for Column II.
7. LineG-1 : For each column (I and II). if the amount in Line F is equal
to or exceeds the amount in Line E. the state will pay one-half the amount
in Line E. If G-l is the alternate, proceed to line H.
8. Line G-2: For each column (I and II), if the amount in Line F is less
than the amount in Line E, the state will pay one-half the amount in Line
F. Do not proceed to Line H if Line G-2 is the alternate.
9. Line H: The local district is required from its own funds to pay an
amount equal to the amounts shov^n in Line G-l or G-2 in either column.
This additional local cost cannot be added to the revenue limit by the dis-
trict.
10. Line I: The balance required after deduction of the amount in Line
G-l or G-2 from the amount in Line E, minus the amount in Line H.
1 1. Line J-1: State pays 60 (sixty) percent of the amount in Line 1.
12. Line J-2: Local school district pays 40 (forty) percent of the
amount on Line I. District cannot add this amount to the revenue limit.
(B) Analysis of State Teachers Retirement Allowances for 1978-79.
1 . Line I: In Column 1, the 1978-79 Second Principal Actual STRS Al-
lowance from Column I, Line D plus Line G. It should be noted that this
amount reflects the recalculation of 1978-79 STRS allowances to take
into effect the actual district contribution to STRS paid in 1978-79.
2. Line II: In Column II, the actual 1 978-79 revised Second Principal
STRS Allowance from Column II, Line D plus Line G. This amount is
for purposes of Education Code Section 42237.6 (junior high STRS).
3. Line III: In Column I. the actual 1978-79 local district additive from
Schedule H(A), Line A-4d. This amount is based on .05 times the
1978-79 actual assessed valuation divided by 100.
4. Line IV: In Column II. show the actual 1 978-79 local district STRS
additive which would have been shown on Schedule H(A). Line A— Id.
Tliis amount is based on .0692 times the 1978-79 actual assessed valua-
tion divided by 100. From this amount, subtract the amount on Line
A-4d, 1978-79, Schedule H(A). From this difference, add the amount
shown on Line III.
5. Line V: Subtract the amount in Line III from the amount in Line IV
and subtract the amount in Line I from the amount in Line II. Add the two
amounts obtained and show in Line V. This amount is then used on
Schedule B. Line L-lb, and is a one-time permanent adjustment to the
base revenue limit. For further calculations, return to Schedule B. Line
L-2.
(3) Line L-2: Report the balances of funds on June 30. 1 977 restricted
for meals for needy pupils for districts which levied no meals for needy
pupils tax pursuant to Section 49502 of the Education Code in the
1977-78 fiscal year.
(4) Line L-3: (A) Report one-half of the amount of salary increases
granted to classified employees of a school district in the fiscal years
1974-75 to 1979-80, inclusive, by the board of supervisors of a com-
bined city and county (Education Code Section 42237(a)(3)(C)).
(B) Report any revenue limit increase authorized pursuant to Section
42244 of the Education Code which was not authorized to be levied prior
to the 1979-80 fiscal year (Education Code Section 42237(a)(3)(D)).
(C) If items (4)(A) and/or (4)(B) are claimed by a school district, the
county must provide the Local Assistance Bureau with an explanation of
how the amounts were derived.
(5) Line L-4: Report the sum of lines L-la, L-lb, L-2, and L-3 to the
revenue limit.
(m) Line M: Report the 1978-79 recomputed base revenue limit,
which amount shall be equal to the amount in Line I minus the amount
in Line J-5 minus the amount in Line K-5 plus the amount in Line L-4.
(n) Line N: Report the 1978-79 redefined second principal revenue
limit average daily attendance used for block grant purposes as follows:
(1) Line N-1: Report the actual K-12 average daily attendance used
in the 1978-79 Second Principal Apport:ionment, as shown in Form
K-12-A (1978-79), Line C-1.
Page 184.13
Register 2004, No. 24; 6- 1 1 - 2004
§ 15378
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(2) Line N-2: Report the actual 1978-79 second principal summer
school average daily attendance for programs for graduating seniors,
which amount shall be rounded to a whole number.
(3) Line N-3: Report the 1977-78 second principal apportionment av-
erage daily attendance in summer school programs that is included in
Line N-1. Summer school programs for substantially handicapped pu-
pils are regular attendance and shall not be included in the attendance re-
ported on Line N-3.
(4) LineN^: Report the total 1978-79 redefined second principal rev-
enue limit average daily attendance, which shall be equal to the average
daily attendance in Line N-1 plus the average daily attendance in Line
N-2 minus the average daily attendance in Line N-3.
(0) Line O: Determine the 1978-79 recomputed K-12 base revenue
limit amount per unit of average daily attendance which is to be used as
the base for the 1979-80 revenue hmit calculation. This amount shall be
equal to the amount in Line M divided by the average daily attendance
in Line N-4, and reported to two decimal places. Enter this result on Form
K-12, Line A.
NOTE: Authority cited: Section 42246, Education Code. Reference: Sections
42237-42245, Education Code.
§ 1 5378. Calculation of Statewide Average 1 978-79
Revenue Limits for K-12 Programs.
The Superintendent of Public Instruction shall determine the 1978-79
statewide weighted mean revenue limits for seven classifications of dis-
tricts by ADA for K-12 programs computed pursuant to Section
42237(a)(5) of the Education Code and reported on Line O of Schedule
B (1979-80) as described in Section 15377. As used in this section,
"ADA" is the district's 1978-79 regular average daily attendance, and is
equal to the average daily attendance in Line N-4 minus the average daily
attendance in Line N-2 of Schedule B ( 1 979-80). This computation shall
be made for the following groups of districts:
(a) Elementary districts with less than 101 units of ADA.
(b) Elementary districts with more than 100 and less than 901 units of
ADA.
(c) Elementary districts with greater than 900 units of ADA.
(d) High school districts with less than 301 units of ADA.
(e) High school districts with greater than 300 units of ADA.
(f) Unified districts with less than 1,501 units of ADA.
(g) Unified districts with greater than 1,500 units of ADA.
NOTE: Authority cited: Section 42246, Education Code. Reference: Sections
42237-42245, Education Code.
§ 15379. 1978-79 Recomputed Revenue Limit for Adult
Programs Using Schedule BB.
The county superintendent of schools shall recompute the 1978-79
revenue limit for adult programs to be used as a base for the 1 979-80 rev-
enue limit for each school district in the county providing education for
adults, using Schedule BB. Schedule BB shall be completed as follows:
(a) Line A: Report the total 1978-79 adult revenue limit as shown on
Line C-9 of Worksheet S (1978-79, dated 10/10/78). (Also the same as
Line G, Form K-12-A, 1978-79).
(b) Line B: Report the revenue limit adjustments which are included
in the base amount reported in Line A, and which must be excluded from
the revenue base pursuant to Education Code Secfion 42237(a)(1). These
revenue limit adjustments shall be reported as follows:
(1 ) Line B-1 : Prior year adjustments (reference Education Code Sec-
tion 42245). Use the amount shown in Worksheet S (1978-79). Line
C-4.
(2) Line B-2: Gain or loss from Interdistrict Attendance Agreements
(reference Education Code Section 46605(d)). Use the amount shown in
Worksheet S (1978-79), Line C-6.
(3) Line B-3: Report the total of these adjustments equal to the sum
of the amounts in Lines B-1 and B-2. This amount shall be shown in
brackets ( ) if negative.
(c) Line C: Report the total recomputed 1978-79 adult revenue limit
prior to adjustment factor, equal to the amounts in Line A minus the
amount in Line B-3.
NOTE: if the amount in Line B-3 is negative, add the amount. Positive amounts
are subtracted. Report this amount on Schedule B, Line G.
(d) Line D; Report the 1978-79 adjustment factor as shown on Line
F of Form K-12-A (1978-79), rounded to six decimal places.
(e) Line E: Compute the 1978-79 reduced adult revenue limit, equal
to the amount in Line C times the amount in Line D. Report this amount
rounded to the nearest dollar.
(f) Report an adjustment to the adult revenue limit pursuant to Educa-
tion Code Section 42237(a)(3). This adjustment is equal to the amount
of state apportionments received by the district for the State Teachers Re-
tirement System pursuant to Item 3 1 6. 1 of the Budget Act of 1 978 (Chap-
ter 359, Statutes of 1 978). Use the adult share of the amount shown on
Exhibit C, 1978-79 Recalculated Second Principal Apportionment. This
amount includes that portion allocated by the district for adult programs
and excluded from Schedule B, Lines L-la and L-lb.
(g) Line G: Report the 1978-79 recomputed adult base revenue limit,
equal to the amount in Line E plus the amount in Line F.
(h) Line H: Report the 1977-78 actual recalculated second principal
adult average daily attendance. Count all 1977-78 adult attendance ex-
cept for concurrently enrolled students.
NOTE: This must be the same attendance as shown on Line C-1 of
Worksheet S (1978-79 dated 10/10/78), unless ADA corrections were
processed after that time.
(i) Line 1: Report the recomputed 1978-79 adult base revenue limit per
unit of average daily attendance to be used as the base for the 1979-80
revenue limit calculation. This amount is equal to the amount in Line G
divided by the attendance in Line H, and shall be reported to two decimal
places. Use this amount on Schedule S, Line A.
NOTE: Authority cited: Section 42246, Education Code. Reference: Sections
42237-42245, Education Code.
§ 1 5380. Calculation of Statewide Average 1 978-79 Adult
Revenue Limit.
The Superintendent of Public Instruction shall take the amount shown
on 1979-80 Schedule BB, Line I, computed pursuant to Section
42237(c)(4)(A) of the Education Code and multiply this amount per
ADA by the 1978-79 mandated adult ADA shown on 1979-80 Form
K-12, Line K^. The product of this calculation will be summed for all
districts with adult programs. The amount obtained will then be divided
by the statewide 1978-79 mandated adult ADA (1979-80 Form K-12,
Line K-4) generated in the adult education program as specified in Item
316.1 of the Budget Act of 1978 (Chapter 359, Statutes of 1978). This
quotient, rounded to the nearest dollar, is the 1978-79 statewide average
adult revenue limit.
NOTE: Authority cited: Section 42246, Education Code. Reference: Sections
42237-42245, Education Code.
Article 3. Calculation of School District
Revenue Limits for 1979-80
§ 1 5384. Use of Official Schedules.
The Local Assistance Bureau of the State Department of Education
shall provide an official form and schedules for use in making the calcu-
lations required by this article. The form and schedules shall be known
as:
(a) FORM K-12. FORM FOR THE DETERMINATION OF THE
DISTRICT'S REVENUE LIMIT FOR K-12 PROGRAMS FOR RS-
CALYEAR 1979-80.
(b) SCHEDULE C, SCHEDULE FOR THE DETERMINATION OF
THE 1979-80 DECLINING ENROLLMENT ADJUSTMENT TO BE
ADDED TO LINE C-3 OF THE REVENUE LIMIT FORM K-12.
(c) SCHEDULE D, SCHEDULE FOR THE DETERMINATION OF
THE 1979-80 REVENUE LIMIT ADJUSTMENT FOR INSTITU-
TIONALIZED AND FOSTER HOME CHILDREN— SPECIAL EDU-
CATION AND SPECIAL PROGRAMS.
(d) SCHEDULE E, SCHEDULE FOR THE DETERMINATION OF
THE NECESSARY SMALL CONTINUATION HIGH SCHOOL AD-
Page 184.14
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
ij 15386
JUSTMENT FOR FISCAL YEAR J 979-80 FOR SCHOOLS AP-
PROVED FOR 1979-80 PRIOR TO NOVEMBER 30, 1979 AND THE
ADJUSTMENT FOR A NEWLY ORGANIZED UNIFIED DISTRICT
WHICH BECAME EFFECTIVE FOR ALL PURPOSES ON OR AF-
TER JUNE 30, 1978.
(c) SCHEDULE G, SCHEDULE FOR DETERMINATION OF REV-
ENUE LIMIT ADJUSTMENT FOR FISCAL YEAR 1979-80 FOR DE-
VELOPMENT CENTERS FOR HANDICAPPED PUPILS AND
MEALS FOR NEEDY PUPILS.
(0 SCHEDULE J. SCHEDULE FOR THE DETERMINATION OF
THE PERMANENT ADJUSTMENT TO THE K- 12 REVENUE LIM-
IT FOR FISCAL YEAR 1979-80 FOR HIGH SCHOOL DISTRICTS
MAINTAINING JUNIOR HIGH SCHOOL PROGRAMS.
(g) SCHEDULE S. SCHEDULE FOR THE DETERMINATION OF
THE DISTRICT" S 1979-80 REVENUE LIMIT FOR THE MAN-
DATED PROGRAMS FOR THE EDUCATION OF ADULTS.
The form and schedules shall be used in making the calculations. Re-
porting to the Local Assistance Bureau will be made using the form and
schedules or may be made on computer tape, subject to the prior approval
of the State Department of Education.
The Local Assistance Bureau shall issue three sets of official revenue
limit form and schedule for use in calculating 1979-80 revenue limits.
These forms and schedules shall have the designations (PI ), (P2) and (A)
and shall be used to collect data for use in making the First Principal Ap-
portionment, the Second Principal Apportionment and the Annual Recal-
culation of the Revenue Limit, respectively. TTie Local Assistance Bu-
reau shall modify this form and these schedules as required, pursuant to
any legislation enacted subsequent to the approval of these regulations.
NOTF: Authority cited: Section 42246, Education Code. Reference: Sections
42237-42245. Education Code.
§ 15385. Use of Estimated or Actual Data.
The data u.sed in calculating the revenue limit using the (PI ) set of form
and schedules for the First Principal Apportionment shall be the best
available estimates of data. The 1 979-80 data used in calculating revenue
limit using the (P2) set of form and schedules for the Second Principal
Apportionment shall include actual second principal data where avail-
able and the best available estimates of other data where actual data is not
available.
Data used in calculating the revenue limit using the (A) set of forms
and schedules for the Annual Recalculation shall be actual 1 979-80 data.
The ADA used in the annual recalculation is corrected actual second
principal ADA. Any data required from years 1978-79 or 1977-78 shall
be actual recalculated second principal data.
Pursuant to Section 41601 .5 of the Education Code, any district whose
annual ADA is equal to or greater than 2 percent more than the second
principal ADA specified herein, provided that this increase in attendance
is attributable to the children of migrant agricultural workers, may substi-
tute annual ADA for second principal. If annual attendance is used pur-
suant to Section 41601.5 of the Education Code, the county shall notify
the Local Assistance Bureau of the State Department of Education of the
actual annual ADA of the district.
Note. Authority cited: Section 42246, Education Code. Reference: Sections
42237-42245, Education Code.
§ 15386. Calculation of 1979-80 Revenue Limit for School
Districts Using Form K-12.
The county superintendent of schools shall calculate the 1979-80 rev-
enue limit for each school district in the county using Form K-12 and
Schedules C, D, E, G. J, and S. Form K-1 2 shall be completed as follows:
(a) Line A: Report the recomputed K-12 base revenue limit per unit
of average daily attendance as shown in Line O of Schedule B ( 1 979-80).
This amount shall be reported to two decimal places.
(b) Line B- 1 : Report the appropriate weighted mean base revenue lim-
it computed pursuant to Section 1 5378. The weighted mean revenue lim-
its provided on Forms K-12 (P-I) and K-1 2 (P-2) are an estimate. The
weighted mean revenue limits provided on Form K-1 2(A) shall be the
actual weighted mean. For purposes of Line B-1, "ADA" shall be the
1978-79 regular average daily attendance, equal to the attendance in
Line N-4 minus the attendance in Line N-2 of Schedule B (1979-80).
Use the appropriate weighted mean for the type and size of district as fol-
lows:
(1) Line B-1 a: For elementary districts with less than 101 ADA.
(2) Line B-lb: For elementary districts with greater than 100 but less
than 901 ADA.
(3) Line B-lc: For elementary districts with greater than 900 AI3A.
(4) Line B-ld: For high school districts with less than 301 ADA.
(5) Line B-le: For high school districts with greater than 300 ADA.
(6) Line B-lf: For unified districts with less than 1,501 ADA.
(7) Line B-lg: For unified districts with greater than l,5(X) ADA.
(c) Line B-2: Determine the computed factor equal to the appropriate
amount in Line B-1 divided by the amount in Line A. Report this amount
rounded to four decimal places. Note that this computed factor may be
greater than 1 .0000.
(d) Line B-3: Computation of the annual inflation adjustment. The ad-
justment for all districts is based on 8.6 percent (.086) times the weighted
mean revenue limit of a unified district with ADA greater than 1,500
ADA (estimated to $1,476). $1,476 times .086 = $127 when rounded to
whole dollars. The accuracy of the $l27/per ADA will not be totally
known until the final data to determine the $1,476 are available in the
summer of 1980.
(e) Line B-4: Report a permanent decrease in the revenue limit per unit
of average daily attendance which is required by Education Code Section
42244.7 when special education programs are transferred from a school
district to a county superintendent of schools pursuant to Section 1710
of the Education Code. The amount of reduction shall be equal to the
amount of excess cost which the district expended from its revenue limit,
exclusive of income from federal sources or tuition for such programs in
1978-79, divided by the average daily attendance in 1979-80 as shown
on Line C-1 of this form. This computed amount represents a decrease
to the revenue limit and so shall be shown in brackets () and shall be re-
ported to two decimal places.
(f) Line B-5: Report a permanent increase to the revenue limit autho-
rized by Section 42237.5 of the Education Code and calculated pursuant
to Section 15387. Add the amounts shown in Line I of Schedules J
(1979-80) for the feeder elementary districts, and divide this sum by the
high school ADA, as shown on Line C-l, 1979-80 Form K-12.
(g) Line B-6: Report the 1979-80 adjusted revenue limit per unit of
ADA, equal to the sum of the amounts in Lines A, B-3, B^, and B-5.
This result shall be reported to two decimal places.
(h) Line C-l: Report the 1979-80 second principal apportionment
revenue limit ADA. On forms K-12(P1 ) and K-1 2(P2) use the estimated
second principal ADA, and on Form K-1 2(A) use the actual second prin-
cipal ADA.
( 1 ) Line C- la: Report the regular average daily attendance reduced by
class-size penalties. Exclude summer school ADA and adult ADA atten-
dance in both adult and regional occupational programs and centers. Do
include concurrently enrolled pupils in ROP/C and adult programs. Also
count ADA in summer programs for the substantially handicapped, as
this is regular attendance and not summer school attendance.
(2) Line C-lb: Report the 1979-80 actual ADA in summer school pro-
grams for graduating seniors times .6, rounding the result to the nearest
whole number. If the district had a 1979-80 summer program for gra-
duating seniors and this result, prior to rounding, is less than one, report
one ADA. ADA in summer school programs hall be credited only for
those high school seniors who actually graduated by the end of Septem-
ber 1979.
(3) Line C-l : Report the sum of the ADA shown on Lines C-l a and
C-lb.
(i) Line C-2: Compute the 1979-80 adjusted revenue limit, equal to
the amount in Line B-6 times the ADA in Line C-l . Round the result to
the nearest whole dollar.
(j) Line C-3: Report the increase in revenue limit because of declining
enrollment authorized by Sections 42239 and 42239.5 of the Education
Page 184.15
Register 2004, No. 24; 6- 1 1-2004
§ 15386
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Code and calculated pursuant to Section 15388 of this Article. Report the
amount shown in Line K of Schedule C (1979-80).
(k) Line C-4: Report any gain or loss from Interdistrict Attendance
Agreements Authorized by Education Code Section 46605(d).
( 1 ) Under an interdistrict attendance agreement where tuition is paid,
as authorized by this Education Code Section, the district in which the
pupil lives shall claim the ADA and shall pay a tuition to the district in
which the pupil attends. Pursuant to subdivision (d) of Section 46605 of
the Education Code, the district of residence shall reduce its revenue limit
by the total excess, if any. which is determined by subtracting the district
of residence's revenue limit per unit of average daily attendance as re-
ported in Line B-6 of Form K-12 ( 1 979-80) multiplied by the total inter-
district average daily attendance from the total tuition to be paid to the
districts of attendance. Also, the district of residence may increase its rev-
enue limit by the total excess, if any, which is determined by subtracting
the total tuition to be paid to districts of attendance from the district of
residence's revenue limit per unit of average daily attendance as reported
in Line B-6 of Form K-1 2 (1979-80) multiplied by the total interdistrict
average daily attendance.
(2) If the district of attendance claims the units of average daily atten-
dance under an inter-district attendance agreement, and no tuition is col-
lected, the adjustment on Line C-4 shall not be allowed.
(/) Line C-5: Report the increase in the revenue limit to reflect addi-
tional costs incurred by the district for unemployment insurance pursuant
to Education Code Section 42241.7. This section of the Education Code
allows the district to increase its revenue limit by an amount equal to the
expenditures to be incurred by the district in 1 979-80 for the costs of un-
employment insurance for certificated personnel minus the costs of un-
employment insurance for certificated personnel in 1975-76 (the base
year for this calculation).
(m) Line C-6: Report the increase in the revenue limit to reflect man-
dated costs imposed by final court orders, federal statutes, or initiative
enactments after January 1 , 1978, as authorized by Education Code Sec-
tion 42243.6. If this revenue limit adjustment is used, the district and/or
the county shall provide a letter of explanation to the Local Assistance
Bureau of the State Department of Education.
(n) Line C-7a: Report of pupils in children's institutions and foster
home additive pursuant to Sections 42902 and 42903 of the Education
Code and calculated pursuant to Section 15389 of this Article. Report the
amount shown in Line C of Schedule D (1979-80).
(0) Line C-7b: Report necessary small continuation high school ad-
justment and newly organized unified district adjustment effective on or
after June 30, 1 978. Calculation is made pursuant to Education Code Sec-
tion 42243.7 and calculated pursuant to Section 15390 of this Article. Re-
port the amount shown in Line E of Schedule E (1979-80).
(p) Line C-8: Report the increase in revenue limit for meals for needy
pupils and development centers for handicapped pupils authorized by
Section 42237 of the Education Code and calculated pursuant to Section
15391 of this Article. Report the amount shown in Line C of Schedule G
(1979-80)
(q) Line C-9: Report the 1979-80 adult revenue limit authorized by
Section 42237 of the Education Code and calculated pursuant to Section
15392 of this Article. Report the amount shown in Line E of Schedule S
(1979-80).
(r) Line C-10: Report the following revenue limits adjustments. These
adjustments for 1 979-80 shall all be shown in brackets () since they rep-
resent reductions to the revenue limit.
(1) In 1980-81 and thereafter, Line C-lOa could be plus or minus.
(2) Line C-lOb: Report a reduction for excess reserves for Regional
Occupational Center or Program, as required by Section 52321 of the
Education Code. Excess reserves are defined in Section 52321 of the
Education Code to mean net ending balances, exclusive of capital outlay
balances accumulated through the regional occupational center or pro-
gram restricted capital outlay tax authorized by Sections 52312 and
52317 of the Education Code, which are in excess of 15 (fifteen) percent
of the previous fiscal year's expenditures for operation.
(3) Line C-lOc: Report a reduction for excess adult reserves as re-
quired by Section 52501 .5 of the Education Code. Excess adult reserves
are defined in this section of the Education Code to mean net ending bal-
ances in excess of 15 (fifteen) percent of the amount expended in the prior
year for the operation of the adult educafion program.
(4) Line C-lOd: Report a reducfion in the revenue limit to reflect the
difference between county-operated revenue limit or Joint Powers Re-
gional Occupational Center or Program actual cost and the district reve-
nue limit, as required by Section 52321 of the Educafion Code. Pursuant
to this section of the Education Code, a district shall pay an amount of
tuifion for each unit of average daily attendance equal to the base revenue
limit of the district, but not to exceed the revenue limit of a county-oper-
ated regional occupational center or program per unit of average daily at-
tendance or the actual cost per unit of average daily attendance of a re-
gional occupational center or program operated pursuant to a joint
powers agreement. The amount of any excess of the district's base reve-
nue limit over the amount the district is required to pay shall be a reduc-
fion in the district's revenue limit, and this amount shall be reported in
LineC-lOd.
Use Line C-IO to report the total of the adjustments shown on Lines
C-lOb, C-lOc. and C-lOd. Note: Prior-year adjustments pursuant to
Section 42245 of the Educafion Code shall not be a revenue limit adjust-
ment in the 1979-80 fiscal year and so Line C-lOa shall not be used. Any
corrections to the 1978-79 K-12 revenue limit shall be made through the
recalculafion of the 1978-79 K-12 revenue limit due February 1980.
(s) Line C-1 1 : Report the total Revenue Limit of he district first com-
putafion, which is the sum of the amounts in Lines C-2 through C-IO.
(t) Line C-1 2: Compute the minimum 1979-80 revenue limit, which
is equal to 1 .02 fimes the difference between the 1 978-79block grant (af-
ter applicafion of the adjustment factor shown on Line I of Form K-12-A
(1978-79) and the 1978-79 amount for Child Development shown on
Line J-l of Schedule B (1979-80)).
(u) Line C-1 3: Report the increase in the revenue limit for high trans-
portation costs in small school districts pursuant to Secfion 42240 of the
Educafion Code. The county office of education shall compute for each
school district with less than 2,501 units of average daily attendance in
regular programs, excluding attendance in adult programs, regional oc-
cupational centers or programs, and summer school programs in the
1978-79 second principal apporfionment, the difference between:
( 1 ) The approved 1977-78 home-to-school transportation expense as
shown in Line D-1 ofFormJ-141 issued by the Local Assistance Bureau
of the State Department of Education, and
(2) Three percent of the district's 1977-78 general fund total expense
of education as shown in the sum of accounts 1000 through 6000 in Form
J^l (1978-79), Column 2 issued by the Local Assistance Bureau of the
State Department of Education. If this difference is greater than zero, it
shall be added to the revenue limit of the school district.
(v) Line C-14: Compute the total 1979-80 revenue limit, equal to the
greater of:
(1) The sum of the amounts in Lines C-1 1 and C-13, or
(2) The sum of the amounts in Lines C-12 and C-13.
(w) Line D-l: Report 1979-80 secured roll tax collections pursuant
to Government Code Secfion 26912 excluding all subvenfions.
(x) Line D-2: Report the 1979-80 subventions for the homeowners
exempfion (HOX) and the business inventory exemption (BIX) for both
the secured and unsecured rolls.
(y) Line D-3: Report 1979-80 secured and unsecured roll tax collec-
tions for subventions other than homeowners and business inventory ex-
emptions, pursuant to Secfion 41052 of the Educafion Code and Secfion
992 of the Revenue and Taxation Code.
(z) Line D-4: Report the 1979-80 amount of timber tax yield revenue
received pursuant to Section 41760.5 of the Educafion Code and Section
38906 of the Revenue and Taxafion Code.
(aa) Line D-5: Report the 1979-80 tax income from the unsecured roll
excluding all subvenfions.
Page 184.16
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Title 5
California Department of Education
S 15388
•
(bb) Line D-6: Report the amount of regular prior-year taxes received
in 1979-80.
(cc) Line D-7: Report the amount of prior-year impounds released in
1 979-80.
(dd) Line D-8: [Report tor 1979-80 the amount of any unrestricted
prior year balances in any other lax funds. This amount shall be used in
1979-80 as local income.
(ee) Line I)-9: Report 50 (fifty) percent of the miscellaneous funds for
1979-80. Section 41604 of the Education Code defines miscellaneous
funds to be revenues that a district has received and which have been de-
posited to the credit of the general fund of the district on account of in-
lieu taxes or income from bonu.ses or royalties. Potash and potassium
royalties received pursuant to U.S. federal mineral deposits in excess of
$909,517 are considered to be miscellaneous funds. Federal forest re-
.serve revenues and revenues from rents are not considered to be miscella-
neous funds.
(ff) Line D-IO: Report total local revenue, equal to the sum of the
amounts on Lines D-1 through D-9.
(gg) Line E: Compute the state aid portion of the revenue limit, equal
to the amount in Line C- 1 4 minus the amount in Line D- 1 0. In no event
shall the state block grant be less than $2,4(X) or the product of the aver-
age daily attendance shown in Line C-1 and $120.
NOTE; Authority cited: Section 42246, Education Code. Reference: Sections
42237-42245, Education Code.
§ 15387. Calculation of Increase in Revenue Limit for a
High School District Maintaining a Junior High
School Using Schedule J.
Notr: Only high school districts with junior high programs are affected.
The increase in revenue limit for a high school district maintaining a
junior high school authorized by Section 42237.5 of the Education Code
shall be calculated using Schedule J. This calculation shall not apply to
any high school district whose 1978-79 recomputed base revenue limit
per unit of average daily attendance, as shown on Line A of Form K-12
( 1 979-80) exceeds 1 20 (one hundred and twenty) percent of the 1978-79
weighted average revenue limit for high school districts having over 300
units of average daily attendance computed pursuant to Section 15378,
nor shall this calculation apply to high school districts that do not receive
junior high school tuition payments pursuant to Section 37062 of the
Education Code. The calculation described in Steps (a) through (j) below
shall be made for each elementary school district sending junior high
school pupils to the high school district, using Schedule J.
(a) Line A: Compute the 1979-80 base revenue limit per unit of aver-
age daily attendance for the elementary school district, equal to the sum
of the amounts shown in Lines A and B-3 of Form K-12 (1979-80) for
the elementary school district. Report this amount rounded to two deci-
mal places on Line A.
(b) Line B: Compute the 1979-80 base revenue limit for the high
school district, equal to the sum of the amounts shown in Lines A and B-3
of Form K-12 (1979-80) for the high school district. Report this amount,
rounded to two decimal places, on Line B.
(c) Line C: Subtract the elementary district's base revenue limit shown
in Line A from the high school district's base revenue limit shown in Line
B and multiply this difference by .75. Report this result rounded to two
decimal places on Line C.
(d) Line D: Report the 1979-80 elementary school district junior high
school tuition rate pursuant to Section 37062 of the Education Code. This
amount shall be rounded to two decimal places.
(e) Line E: Subtract the elementary district's base revenue limit shown
in Line A from the junior high school tuition rate shown in Line D. and
report this result to two decimal places on Line E.
(0 Line F: Report the 1979-80 Second Principal seventh and eighth
grade average daily attendance attending the high school district.
(g) Line G: Subtract the amount in Line E from the amount in Line C,
and multiply this result by the average daily attendance shown in Line F.
Report this result to a whole dollar on Line G. If this result is less than
zero, report zero.
(h) Line H: Subtract the high school district's base revenue limit
shown in Line B from the junior high school tuition rate shown in Line
D. and multiply this result by the average daily attendance in Line F. Re-
port this result to a whole dollar on Line H. If this result is less than zero,
report zero.
(i) Line I: Subtract the amount in Line H from the amount in Line G.
Tliis is the amount for a single district. A separate Schedule J must be
completed for each of the elementary school districts that send junior
high school students to the high school district. When this has been done,
add the amounts shown in Line 1 of Schedule J lor all the feeder elementa-
ry districts of the high school district, and divide this sum by the high
school ADA, as shown on Line C- 1 , 1 979-80. Form K- 1 2. This quotient
shall be rounded to two decimal places and reported on Line B-5 on the
1979-80 Form K-12. Note: If the .sum of the Feeder elementary districts.
Line I adjustments, is less than zero, there is no adjustment to the high
school revenue limit.
NOTE: Authority cited: Section 42246, Education Code. Reference: Sections
42237-4224.S, Education Code.
§ 15388. Calculation of Increase in Revenue Limit Because
of Declining Enrollment Using Schedule C.
The increase in revenue limit for declining enrollment authorized by
Sections 42239 and 42239.5 of the Education Code shall be calculated
using Schedule C. Schedule C shall be completed as follows:
(a) For the purpose of Schedule C only, "ADA" shall mean regular
K-12 average daily attendance, but shall exclude ADA in summer school
programs, ADA for concurrently enrolled high school students in adult
education programs, ADA earned in regional occupational centers or
programs. ADA from interdistrict attendance agreements, ADA for
Sedgwick Act pupils, ADA in adult education programs. ADA gained or
lost because of district reorganization, ADA for pupils transferred to a
county superintendent of schools special education program, ADA for
Master Plan Special Education formerly reported by county offices of
education but, for 1979-80, reported as school district ADA (1979-80
compared to 1978-79 only), and ADA changes due to class-size penal-
ties. Attendance in summer school programs for substantially handi-
capped pupils is counted as regular attendance, not summer school atten-
dance. Changes in attendance due to district reorganization shall not be
counted as required by Section 42239 of the Education Code.
(b) Line A: Report the 1978-79 second principal ADA.
(c) Line B: Report the 1979-80 second principal ADA.
(d) Line C: Compute the loss in ADA between 1978-79 and 1979-80
equal to the attendance in Line A minus the attendance in Line B.
(e) Line D: Compute 1 (one) percent of the 1 978-79 ADA. equal to .0 1
times the attendance in Line A.
(f) If the loss in ADA in Line C is more than the I (one) percent loss
shown in Line D, then compute the additional ADA that the district is al-
lowed to count, equal to .75 times the attendance in Line C, and report
this amount in Line E rounded to a whole number.
(g) Line F: Report the 1977-78 second principal ADA.
(h) Line G: Compute the loss in ADA between 1 977-78 and 1 978-79,
equal to the attendance in Line F minus the attendance in Line A.
(i) Line H: Compute 1 (one) percent of the 1 977-78 ADA, equal to .0 1
times the attendance in Line F.
(j) Line I: If the loss in ADA shown in Line G is more than the 1 percent
loss shown in Line H. then compute the additional ADA that the district
is allowed to count, equal to .50 times the attendance in Line G, and report
this amount on Line I, rounded to a whole number. Proceed with this
computation even if the district did not qualify for the .75 adjustment.
(k) Line J: Report the base revenue limit per unit of average daily atten-
dance for 1979-80. This is the same amount as shown on Line B-6 of
Form K-12 (1979-80).
(1) Line K: Report the total additional revenue to be added as a declin-
ing enrollment adjustment. This amount is equal to the sum of the atten-
dance computed in Lines E and 1 multiplied by the amount in Line J, and
rounded to a whole dollar. Report this amount on Line C-3 of Form K-12
(1979-80).
Page 184.17
Register 2004, No. 24; 6- 1 1 -2004
§ 15389
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
NOTE; Authority cited: Section 42246, Education Code. Reference: Sections
42237-42245. Education Code.
§ 15389. Calculation of Increase in Revenue Limit for
Pupils in Children's Institutions and Foster
Homes Using Schedule D.
(a) The increase in revenue limit for pupils in children's institutions
and foster homes authorized by Sections 42902 and 42903 of the Educa-
tion Code shall be calculated using Schedule D.
(b) Part A of Schedule D is used to report the expenditures for a special
education program for foster home and institutionalized pupils operated
by a district as follows:
( 1 ) Line A- 1 a: Report actual 1 978-79 expenditure for special educa-
tion programs for pupils in foster homes and institutions.
(2) Line A- lb: Report actual 1978-79 expenditure for Development
Centers for Handicapped Pupils in foster homes and institutions.
(3) Line A-lc: The total expenditures are obtained by adding the
amounts in Lines A- la and A-lb.
(4) Line A-2: This line shows the 1978-79 ADA in special education
programs for pupils in foster homes and institutions.
(5) Line A-3a: Report the 1978-79 special education allowances re-
ceived for pupils in foster homes and institutions.
(6) Line A-3b: Report the 1978-79 state allowance for development
centers for handicapped pupils for those pupils in foster homes and insti-
tutions.
(7) Line A-3c: Report the revenue limit income for special education
pupils in foster homes and institutions. From the 1978-79 Form
K-12-A, add the base revenue limit (Line C-4) to the voted increase
(Line C-6) and divide by the ADA (Line C-1). Multiply the resultant
quotient by the reduction factor (Line F), and multiply that product by the
Special Education ADA on Line A-2 of the 1979-80 Schedule D.
(8) Line A-3d: Report any 1978-79 federal funds received for any
special education pupils in foster homes and institutions.
(9) Line A-3e: Add the amounts in Lines A-3a through A-3d. (10)
Line A^: Deduct the amount in Line A-3e from the expenditures in Line
A-lc.
(c) Part B is used to report special educational programs authorized
pursuant to Section 42904 of the Education Code as it read in 1977-78
or 1978-79.
(1) Line B-1 : Report the 1978-79 total expenditures in program.
(2) Line B-2: Report the 1 978-79 actual recalculated second principal
ADA in the special educational program.
(3) Line B-3a: Report the revenue limit income for special educational
pupils. From the 1978-79 Form K-12-A, add the base revenue limit
(Line C-4) to the voted increase (Line C-6) and divide the sum by the
ADA (Line C-l). Multiply the resultant quotient by the reduction factor
(Line F), and multiply that product by the special educational ADA on
Line B-2 of the 1979-80 Schedule D.
(4) Line B-3b: Report any 1 978-79 federal funds received for any spe-
cial educational pupils.
(5) Line B-3c: Report 1978-79 state categorical funds received for
any special educational pupils.
(6) Line B-3d: Sum the amounts in Lines B-3a through B-3c.
(7) Line B-4: Deduct the amount in Line B-3d from the expenditure
in Line B-1.
(8) Line C: Sum the amounts on Lines A-4 and B-4 and show on this
line and on the 1979-80 form K-12(P2), Line C-7a.
Chapter 1035, Statutes of 1979 (SB 186) provides $12,000,000 for the
purposes set forth on Schedule D. If the statewide total exceeds this
amount, a deficit across the board will be applied.
NOTE: Authority cited: Section 42246. Education Code. Reference: Sections
42237-42245, Education Code.
§ 15390. Calculation of Increase in Revenue Limit for
Necessary Small Continuation High Schools
for Fiscal Year 1979-80 and a Newly Organized
Unified School District Which Became
Effective for All Purposes on or After June 30,
1978, Using Schedule E.
The increase in revenue limit authorized by Section 42243.7 of the
Education Code for necessary small continuation high schools that were
approved for the 1979-80 fiscal year prior to November 30. 1979, and
a newly organized unified school district which became effective for all
purposes on or after July 1, 1978, shall be calculated by using Schedule
E. Schedule E shall be completed as follows:
(a) Line A: Report the name, the 1979-80 second principal average
daily attendance, and the number of cerfificated employees for each con-
tinuation high school that had not been approved prior to the 1 979-80 fis-
cal year and which was approved for the 1979-80 fiscal year before No-
vember 30, 1979. or for a necessary small high school in a newly
organized unified school district which became effecfive on or after July
1 , 1 978. Use one line for each school. Attach a copy of the necessary con-
tinuation high school approval if continuation high schools are listed. Do
not report any high schools that have over 300 units of second principal
average daily attendance in 1979-80.
(b) Lines B-1 and B-2: Report the computed foundafion programs for
each school listed in Line A-1 and A-2. The computed foundation pro-
gram for each school shall be the lesser of the foundation program
amount corresponding to the number of certificated employees or the
number of units of average daily attendance shown in the following
schedule: Necessary Small High Schools 1977-78
Necessary Small High Schools 1977-78
Certificated Foundation
Employees ADA Program
1 " 1-20 $22,240
3
4
5
6
7
8
9
10
11
12
13
14
13
1-20
1-20
1-20
21-40
41-60
61-75
76-90
91-105
106-120
121-135
136-150
151-180
181-220
221-260
261-300
44,480
112,020
134,260
156,500
178,740
200,980
223,220
245,460
267,700
289,940
312,180
334.420
356,660
378,900
(c) Line B-3: Add the foundafion programs shown in Lines B-1
through B-2 and report this sum on Line B-3.
(d) Line C: Use Line C to report the total second principal average dai-
ly attendance shown in Lines A-1 and A-2.
(e) Line D: Multiply the total average daily attendance shown in Line
C by $1,263. and report this product on Line D.
(f) Line E: Subtract the amount in Line D from the amount in Line B-3
and report the result on Line E. This amount is the revenue limit adjust-
ment for necessary small high schools in 1979-80 and shall also be re-
ported on Form K-12 (1979-80), Line C-7b.
NOTE: Authority cited: Section 42246, Education Code. Reference: Sections
42237-42245, Education Code.
§ 1 5391 . Calculation of Increase in Revenue Limit for
Meals for Needy Pupils and Development
Centers for Handicapped Pupils Using
Schedule G.
The increase in revenue limit for Meals for Needy Pupils and Develop-
ment Centers for Handicapped Pupils programs authorized by Section
•
•
Page 184.18
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 15400
•
42237 of the Education Code shall be calculated using Schedule G
{ 1979-80). Schedule G shall be completed as follows:
(a) Line A- 1 : Report the 1 978-79 amount for the Meals for Needy Pu-
pils Program on Line J-3 of Schedule B (1979-80).
(b) Line A-2; Report the 1978-79 pupil participation in the Meals for
Needy Pupils program, equal to the sum of the amounts shown in Lines
1 3 and 1 4 for columns A, B, and C on Forms BCNS 7 1 -5 for each school
month in 1978-79. If the district uses Form BCNS-73-6, data on this
form shall be used in lieu of data on Form BCNS-71-5.
(c) Line A-3: Compute the 1978-79 amount per pupil, equal to the
amount in Line A-1 divided by the amount in Line A-2. Report this result
rounded to four decimal places on Line A-3.
(d) Line A-4: Compute the 1979-80 amount per pupil, equal to the
amount in Line A-3 times 1.07, and report this amount rounded to four
decimal places on Line A-4.
(e) Line A-5: Report the 1979-80 pupil participation in the Meals for
Needy Pupils program, equal to the sum of the amounts shown in Lines
13 and 14 for columns A, B, and C on Forms BCNS 71-5 for each school
month in 1979-80. If the district uses form BCNS-73-6, data on this
form shall be used in lieu of data on Form BCNS-71-5.
(0 Line A-6: Compute the revenue limit adjustment for Meals for
Needy Pupils Program, equal to the amount in Line A-4 times the amount
in Line A-5. Report this result, rounded to the nearest dollar, on Line
A-6.
(g) Line B-1: Report the 1978-79 amount for the Development Cen-
ters for Handicapped Pupils program shown on Line J-2 of Schedule B
(1978-79).
(h) Line B-2: Report the 1978-79 pupil participation in clock hours
in Development Centers for Handicapped Pupils program, as shown on
Form J-65, Line V-C, for 1978-79.
(i) Line B-3: Compute the 1978-79 amount per clock hour, equal to
the amount in Line B-1 divided by the amount in Line B-2. Report this
amount rounded to four decimal places on Line B-3.
(j) Line B^: Compute the 1979-80 amount per clock hour, equal to
the amount in Line B-3 times 1.07, and report this amount rounded to
four decimal places on Line B-4.
(k) Line B-5: Report the 1979-80 clock hours for Development Cen-
ters for Handicapped Pupils program, as shown on Line V-C of Form
J-65 for 1979-80.
(1) Line B-6: Compute the revenue limit adjustment for Development
Centers for Handicapped Pupils program, equal to the amount in Line
B^ times the amount in Line B-5 . Report this result, rounded to the near-
est dollar, on Line B-6.
(m) Line C: Report the total amount to be added to the revenue limit
for the Meals for Needy Pupils and Development Centers for Handi-
capped Pupils programs, equal to the sum of the amounts in Lines A-6
and B-6. Also report this amount on Line C-8 of Form K-12 ( 1 979-80).
NOTE: Authority cited: Section 42246, Education Code. Reference: Sections
42237-42245, Education Code.
§ 15392. Calculation of Adult Revenue Limit Using
Schedule S.
The 1979-80 adult revenue limit shall be calculated pursuant to Sec-
tion 42237 of the Education Code using Schedule S (1979-80). Schedule
S shall be completed as follows:
(a) Line A: Report the 1978-79 recomputed adult base revenue limit
per unit of average daily attendance as shown on Line I of Schedule BB
(1979-80).
(b) Line B: Report the 1979-80 average daily attendance in programs
for adults mandated by paragraph (5) of subdivision (b) of Section 97 of
Chapter 282 of the Statutes of 1979 (AB 8) and by Section 41976 of the
Education Code. This shall be known as the 1979-80 mandated adult av-
erage daily attendance.
(c) Line C: Compute the 1 979-80 revenue limit for adults in mandated
programs as foUows:
(1) Line C-1: If the amount in Line A is less than the 1978-79 state-
wide average adult revenue Hmit computed in Section 15380, multiply
the amount in Line A times 1 .07 times the ADA in Line B, and report this
result rounded to a whole dollar in Line C-l .
(2) Line C-2: If the amount in Line A is greater than or equal to the
1978-79 statewide average adult revenue limit computed in Section
15380, but less than or equal to 1.07 times the 1978-79 statewide aver-
age, then compute an amount equal to 1.07 times that statewide average
times the ADA in Line B, and report this result to the nearest dollar in
Line C-2.
(3) Line C-3a and b:
(A) Line C-3a: If the amount in Line A is greater than the 1 978-79 sta-
tewide average adult revenue limit computed in Section 15380 times
1.07, compute the 1979-80 revenue limit as follows. Multiply the
amount in Line A by either the 1978-79 adult average daily attendance
in mandated programs shown in Line K-4 of Schedule B (1979-80) or
the 1979-80 average daily attendance in mandated adult programs
shown in Line B, whichever is less, and report the result to the nearest
dollar in Line C-3a.
(B) Line 3C-b: If the 1978-79 adult average daily attendance in man-
dated programs shown in Line K-4 of Schedule B ( 1 979-80) is less than
the 1979-80 average daily attendance in mandated adult programs
shown in Line B, then also compute an amount equal to:
1 . The 1978-79 statewide average amount computed in Section 1 5380
times
2. The factor 1.07 times
3. The 1979-80 average daily attendance in mandated adult programs,
minus the 1978-79 average daily attendance in mandated adult pro-
grams, and report this result, rounded to a whole dollar, on Line C-3b.
(d) Line D: Report any adjustments to the adult revenue limit. Note
that prior-year adjustments pursuant to Education Code Section 42245
shall not be a revenue limit adjustment in the 1979-80 fiscal year for the
prior fiscal year, and therefore Line D-1 is not to be used. Any correc-
tions to he 1978-79 adult revenue limit shall be made through the recal-
culation of the 1978-79 adult revenue limit due February 1980.
(1) Line D-2: Report any gain or loss from interdistrict attendance
agreements pursuant to subdivision (d) of Section 46605 of the Educa-
tion Code. This adjustment is computed in the same manner as that for
the K-12 program described in Section 15386(k), but relates only to
mandated adult average daily attendance.
(2) Line D-3: Report an increase in the revenue limit to reflect man-
dated costs imposed by final court orders, federal statutes, or initiative
enactments after January 1, 1978, pursuant to Section 42243.6 of the
Education Code. If this revenue limit adjustment is used, a letter of expla-
nation shall be sent to the Local Assistance Bureau.
(3) Line D-4: Report the total adjustments to the 1979-80 adult reve-
nue limit, equal to the amount in Line D-2 plus the amount in Line D-3.
(e) Line E: Compute the 1 979-80 adult revenue limit, which is equal
to either the amount in Line D-4 plus the amount in Line C-l, or the
amount in Line C-2, or the sum of the amounts in Lines C-3a and C-3b,
depending on the districts' prior-year adult revenue limit. Report this re-
sult on Line E and also on Line C-9 of Form K-1 2 (1979-80).
NOTE: Authority cited: Section 42246, Education Code. Reference: Sections
42237-42245, Education Code.
Subchapter 7. Revenue Limits for County
Superintendents of Schools
Article 1. General Provisions
§ 1 5400. Scope of the Chapter.
The provisions of this chapter apply to the computation of revenue
limits for county superintendents of schools pursuant to Article 3 of
Chapter 1 2 of Part 2 of the Education Code (computation of revenue lim-
its. Sections 2550-2558).
NOTE; Authority and reference cited: Sections 2550-2558. Education Code.
Page 184.19
Register 2004, No. 24; 6- 1 1 -2004
§ 15401
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
History
1. New Chapter 7 (Sections 15400-15408) filed 3-14-80; effective thirtieth day
thereafter (Register 80, No. 1 1 ).
§15401. Definitions.
(a) "Revenue Limits." The revenue limit for county superintendents
is a computed amount that places a limit on the amount of revenue that
the county supeiintendent can receive from property taxes, other local
sources of income, and from the state for the support of special education
programs, special schools and classes, vocational/technical schools and
classes, and other specified county school service fund operations (refer-
ence Sections 2550-2555, Education Code). The county superintendent
may also receive categorical funds, certain property taxes levied for spe-
cific indebtedness repayment purposes, and some limited fees in addition
to the revenue limit. The revenue limit is computed each year from the
prior year's base revenue limit, adjusted for inflation and/or various other
factors.
(b) "Categorical Funds." Revenue designated for direct service and
other purpose apportionments, contracted income and fees, and funds
designated exclusively for the support of a specific program (or pro-
grams) which cannot be used to supplant the revenue limit of that pro-
gram.
(c) "Average Daily Attendance" (hereinafter referred to as ADA). Un-
less otherwise indicated below, attendance is measured as the count of
daily attendance averaged over the school year consisting of at least 175
school days meeting for the minimum length school day as specified in
the Education Code. For Regional Occupational Centers/Programs pur-
suant to Section 41601 (Education Code), the average daily attendance
in all full school months in the first period of attendance by a divisor of
70, in the second period by 135. and at annual time by 1 75. For ROC/Ps,
three hours of attendance are equal to one apportionment day of atten-
dance.
(d) "Attendance Periods." There are three attendance periods for each
fiscal year. The First Principal attendance period, designated "PI," is the
attendance count from July 1 through the last school month that ends on
or before December 3 1 of the fiscal year, and is used to compute the First
Principal Apportionment due February 20 of the fiscal year. The Second
Principal attendance period, designated "P2," is the attendance count
from July 1 through the last school month that ends on or before April 1 5
of the fiscal year, and is used to compute the Second Principal Apportion-
ment due June 25 of the fiscal year. The annual attendance period, desig-
nated "A," is the attendance count from July 1 through June 30 of the fis-
cal year, and is used to compute the Annual Recalculation of the
Apportionment due February 20 of the following fiscal year.
(e) "Excess Costs." Excess costs are any and all costs for a particular
program that are in excess of the revenue limit and/or the state and federal
allowances for that program.
(f) "Allowed Average Expenditures." The average expenditure per
class or ADA, excluding capital outlay, as determined for a designated
base fiscal year and increased each year thereafter by an inflation adjust-
ment. Allowed average expenditures are used to establish certain base
revenue limits.
NOTE: Authority and reference cited: Sections 2550-2558, Education Code.
Article 2. Computation of Revenue Limits
for 1979-80
§ 15405. Use of Official Schedules.
The Local Assistance Bureau of the State Department of Education
shall provide an official form and schedule to use in making the computa-
tions required by this article. This form and schedule shall be known as
FORM O, FORM FOR THE COMPUTATION OF 1 979-80 REVENUE
LIMIT FOR THE COUNTY SCHOOL SERVICE FUND; and SCHED-
ULE W, SCHEDULE FOR THE COMPUTATION OF 1979-80 REVE-
NUE LIMITS FOR PHYSICALLY HANDICAPPED AND MENTAL-
LY RETARDED PROGRAMS. This form and schedule shall be used in
making these computations and in reporting to the State Department of
Education, Local Assistance Bureau.
The Local Assistance Bureau shall issue three sets of official forms
and schedules for use in computing 1 979-80 revenue limits. These forms
and schedules shall have the designations "P-1." "P-2," and "A" and
shall be used to collect the data for use in making the First Principal Ap-
portionment. Second Principal Apportionment, and Annual Recalcula-
tion of the Apportionment, respectively. The Local Assistance Bureau
shall modify the forms and schedules as frequently as may be required,
consistent with any legislation enacted subsequent to the approval of
these regulations.
Note. Authority and reference cited: Sections 2550-2558, Education Code.
§ 15406. Use of Estimated or Actual Data.
The 1979-80 data used in computing the revenue limit using the "P-1 "
form and schedule for the First Principal Apporfionment shall be the best
available estimates of annual data. The 1979-80 data used in computing
the revenue limit using the "P-2" form and schedule for the Second Prin-
cipal Apportionment shall be the best available estimates of annual data.
The 1979-80 data used in computing the revenue limit using the "A"
form and schedule for the Annual Recalculation of the Apportionment
shall be actual 1979-80 data, including actual annual counts of atten-
dance and participation. Any data required from fiscal year 1978-79 or
1977-78 shall be actual second period data.
Note, Authority and reference cited: Sections 2550-2558, Education Code.
§ 1 5407. Computation of 1 979-80 Revenue Limits for
Physically Handicapped and Mentally Retarded
Programs Using Schedule W and Back-Up
Schedules WW and T.
For each county superintendent of schools, the Superintendent of Pub-
lic Instruction shall calculate the 1979-80 revenue limits for physically
handicapped and mentally retarded programs using Schedule W. This
schedule shall be completed as follows:
(a) Use Schedule W to report data and make separate computations for
the following programs (reference Sections 2500b), (c), (d), and
2550(a)(1), Educafion Code).
( 1 ) Physically Handicapped — Special Day Classes:
(A) Hearing handicapped
(B) Vision handicapped
(C) Orthopedically handicapped — other health impaired
(D) Aphasic
(E) Pregnant minors
(F) Deaf-Blind and other multihandicapped
(G) Other handicapped
(H) Autistic
(2) Physically Handicapped — Other Classes:
(A) Remedial physical education
(B) Other remedial instruction — speech
(C) Individual instruction
(D) Special speech instrucfion — speech aides
(E) For the special blind allowance
(3) Mentally Retarded Programs for the Educable Mentally Retarded
(4) Mentally Retarded Programs for the Trainable Mentally Retarded
(b) Column 1 : Report on the appropriate program line the 1978-79 al-
lowed average expenditures per class or ADA. This is determined by
multiplying the 1977-78 allowed average expenditures per class or ADA
times 1.1327 and rounding the result to two decimal places (Reference
1978-79 Worksheet W and Form J-73-W(A)).
(1) Counties which have computed pupil transportauon separately
from special day class allowed average expenditures in prior years shall
complete Schedule WW (P-2). All other counties shall include transpor-
tation expenditures in their respective Physically Handicapped and Men-
tally Retarded programs and shall not complete Schedule WW (P-2).
(2) Those counties completing Schedule WW (P-2) shall prorate to the
respective special day classes in column (a) their 1978-79 total transpor-
tation expenses which had been reported as a separate program item on
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Title 5
California Department of Education
§ 15408
•
iheir 1978-79 Schedule J-73 W(A). The county shall report their
1978-79 actual special education transportation allowances in column
(b). Column (c) is computed as follows: Determine the allowed adjusted
transportation expenditure per special day class programs by subtracting
the amount in column (b) from the amount in column (a) and multiply the
difference by the adjustment factor (.90). The column (cl) is the sum of
column (b) (Special Allowances) and column (c). The county shall report
their actual number of 1978-79 ADA transported per respective special
class program in column (d). The actual allowed transportation expendi-
ture shall be determined by dividing the amount in column (cl) by the
ADA reported in column (d). This quotient is reported in column (e). The
county shall report their 179-80 annual ADA being transported in each
respective special class program in column (f) and multiply this ADA by
the allowed average transportation expenditure shown in column (e).
This product is reported in column (g) Schedule WW (P-2) and column
(7) of Schedule W (P-2).
(3) In determining allowed average expenditures per class or ADA for
programs involving more than one class size and/or level, it is necessary
to develop a weighted average expenditure per class or ADA for such
programs.
(4) Those counties that maintained programs but did not tax in prior
years shall use the 1977-78 current expenditures per class or ADA for
such programs increased by 1.1327.
(5) If a district transfers its physically handicapped or mentally re-
tarded program(s) to the county superintendent of schools pursuant to
Section 1 7 1 0 of the Education Code, the revenue limit of the district shall
be reduced by the amount of excess cost which the district expended from
its revenue limit for the program(s) in the prior fiscal year. This excess
cost shall not include expenditures of income from federal sources of tu-
ition (reference Section 42244.7, Education Code).
If a special education program is transferred from a district to the
county superintendent, it is necessary to develop a weighted average ex-
penditure per class or ADA for both the county and the district-operated
program.
(6) If the county superintendent started a new program in 1978-79 not
previously maintained by the county superintendent or a district within
the county, the allowed average expenditures shall be determined by us-
ing either the 1977-78 current expenditures of the most similar program
already in operation multiplied by 1 . 1 327 or the 1 977-78 statewide aver-
age expenditure for the program (obtained from the Local Assistance Bu-
reau) multiplied by 1.1327.
(c) Column 2: Report the 1978-79 actual average special allowances,
and any federal aid. per class or ADA determined by dividing the sum of
the actual 1 978-79 annual recalculated special allowances and any actual
1 978-79 federal aid for each program by the actual number of classes or
ADA for each program as reported in the 1 978-79 annual attendance
count (Form J-22-A). Report this result carried to two decimal places.
( 1 ) In determining average special allowances per class or ADA for
programs involving more than one class size and/or level, it is necessary
to develop a weighted average allowance per class or ADA for such pro-
grams.
(2) Include federal aid only if the allowed average expenditure base
included any such federal aid.
(d) Column 3: Report the 1978-79 deficit adjustment determined by
subtracting column 2 from column 1, and multiplying the difference by
.90. Report this result carried to two decimal places.
(e) Column 4: Determine the 1 978-79 revenue limit per class or ADA
by adding column 2 to column 3. Report this result carried to two decimal
places.
(f) Column 5: Report the number of classes or ADA as determined for
the 1979-80 annual attendance period. (Report to two decimal places if
fractional classes are involved.)
( 1) If a class is operated for only part of the year, arrive at a fraction
of a whole class by dividing the number of days taught for that class by
175 days. Carry the result to two decimal places.
(2) If a class is operated for extended sessions, arrive at an additional
fraction of a whole class by dividing the total number of days taught in
extended session for that class by 175 days. Carry the result to two deci-
mal places.
(g) Column 6; Determine the i 979-80 base revenue limit per class or
ADA by multiplying the 1978-79 allowed average adjusted expenditure
reported in column 3 by the 1 979-80 annual Class/ADA reported in col-
umn 4. Report this result rounded to two decimal places. If the county su-
perintendent starts a new program in 1 979-80 not previously maintained
by the county superintendent or a district within the county, the revenue
limit shall be computed by using either the 1 978-79 current expenditures
of the most similar program already in operation multiplied by 1 .086. or
the 1978-79 statewide average expenditure for the program (obtained
from the Local Assistance Bureau) multiplied by 1.086.
(h) Column 7: Those counties completing Schedule WW shall report,
on column 7 of Schedule W. their total transportation expenditure as re-
ported on column g of Schedule WW.
(i) Column 8: Determine the total 1979-80 revenue limits for physical-
ly handicapped and mentally retarded programs by adding column 5 and
column 6. Report this result rounded to the nearest dollar. Only the "TO-
TALS" lines, A & B, in column 7 shall be used to report the total 1 979-80
revenue limits for physically handicapped and mentally retarded pro-
grams on Form O, lines A- la and A- lb.
NOTE; Authority and reference cited: Sections 2550-2558. Education Code.
History
] . Amendment History filed 3-28-80 as an emergency ; effective upon filing. Cer-
tificate of Compliance included (Register 80, No. 13).
§ 1 5408. Computation of 1 979-80 Revenue Limit for
County School Service Fund Using Form 0.
The Superintendent of Public Instruction shall compute the 1979-80
revenue limit for the county school service fund using Form O. This form
shall be completed as follows:
(a) Subdivision A: Determination of the revenue limits for special edu-
cation programs:
(1) Line A-l: Report the revenue limits for physically handicapped
and mentally retarded programs computed in 1979-80 Schedule W as
follows:
(A) Line A-l a: Report the revenue limit for physically handicapped
programs as shown in 1979-80 Schedule W, column 7, line A. TOTAL
PHYSICALLY HANDICAPPED.
(B) Line A-lb: Report the revenue limit for mentally retarded pro-
grams as shown in 1979-80 Schedule W, column 7, line B, TOTAL
MENTALLY RETARDED.
(C) Line A-lc: Compute the sum of the amounts in lines A-l a and
A-lb, and report this result on Line A-l.
(2) Line A-2: Report the revenue limit pursuant to the tuition charges
for excess costs in mandated programs (reference Sections 2505 and
2550(a)(2), Education Code). For the county superintendent, whose re-
sponsibility it is to educate physically handicapped and mentally retarded
students, and who is contracting with another county superintendent of
schools or school district for educating its children, and whose ADA is
reported by the other county superintendent of schools or school district
which provides the education, the county of responsibility shall incorpo-
rate the cost of transporting those physically handicapped and mentally
retarded students with any excess cost of tuition by completing Schedule
T. The county of responsibility shall compute its expenses for transport-
ing those physically handicapped and mentally retarded students attend-
ing the other county or district schools on a per ADA basis and add this
to the tuition charges for excess cost in mandated programs and report the
total for the 1977-78 fiscal year on Line A-2 if applicable. This revenue
limit shall be computed as follows:
(A) Line A-2a: Report the total tuition actually paid for the 1 977-78
fiscal year for this program.
(B) Line A-2b: Report the actual 1977-78 Second Principal (P-2)
ADA in this program.
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§ 15408
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(C) Line A-2c: Divide the amount in Line A-2a by the attendance in
Line A-2b and report this result carried to two decimal places.
(D) Line A-2d: Determine the 1979-80 base revenue limit per ADA
by multiplying the amount in Line A-2c by 1.086. Report this result
rounded to two decimal places.
(E) Line A-2e: Use the underlined space in Line A-2e to report the
1979-80 annual ADA in this program. Multiply this attendance by the
amount in Line A-2d and report this result, rounded to the nearest dollar,
on Line A-2.
(3) Line A-3: Report the revenue limit for educationally handicapped
pupils in institutions (reference Sections 56604. 42902, and 2550(a)(3).
Education Code). This revenue limit shall be computed as follows:
(A) Line A-3a: Report the actual 1977-78 total current expenditures
for this program.
(B) Line A-3b: Report the actual 1977-78 Second Principal (P-2)
ADA in this program.
(C) Line A-3c: Divide the amount in Line A-3a by the attendance in
Line A-3b and report this result carried to two decimal places.
(D) Line A-3d: Determine the 1979-80 revenue limit per ADA by
multiplying the amount in Line A-3c by 1 .086. Report this result rounded
to two decimal places.
(E) Line A-3e: Use the underlined space in Line A-3e to report the
1979-80 annual ADA in this program. Multiply this attendance by the
amount in Line A-3d and report this result, rounded to the nearest dollar,
on Line A-3.
(4) Line A^: Report the revenue limit for those institutionalized/fos-
ter home students excess costs qualifying pursuant to Section 42904 of
the Education Code.
(5) Line A-5: Report the revenue limit for development centers for
handicapped pupils (reference Sections 56811 and 2550(a)(4), Educa-
tion Code). This revenue limit shall be computed as follows:
(A) Line A-5a: Report the actual 1977-78 total expenditures, includ-
ing transportation expenditures, in this program (reference 1977-78
Form J-73-D, "Cost of Operation for Development Centers").
(B) Line A-5b: Report the actual 1977-78 annual instructional hours
in tliis program (Form J-73-D or J-65).
(C) Line A-5c: Divide the amount in Line A-5a by the amount in Line
A-5b and report this result carried to two decimal places.
(D) Line A-5d: Determine the 1979-80 base revenue limit per instruc-
tional hour by multiplying the amount in Line A-5c by 1 .086. Report this
result rounded to two decimal places.
(E) Line A-5e: Use the underlined space in Line A-5e to report the
1979-80 annual instructional hours. Multiply this number of hours by the
amount in Line A-5d and report this result rounded to the nearest dollar
on Line A-5.
(6) Line A-6: Report the revenue for the planning stage of the coordi-
nation of the Master Plan for Special Education (reference Sections
56314 and 2550(a)(5), Education Code). The following classification of
counties, as defined by Section 1205 of the Education Code, shall be used
in making this computation.
— Class 1 includes all counties with over 750,000 units of average dai-
ly attendance.
— Class 2 includes all counties with an average daily attendance of be-
tween 140,000 and 749,999 inclusive.
— Class 3 includes all counties with an average daily attendance of be-
tween 60,000 and 1 39,999 inclusive. — Class 4 includes all counties with
an average daily attendance of between 30,000 and 59,999 inclusive.
— Classes 5-8 include all counties with an average daily attendance
of less than 30,000. The revenue amount, based on attendance counts tak-
en on December L 1979, shall be computed as follows:
(A) Class 1 counties: Use the underlined space in Line A-6a to report
the 1 979-80 count of special education students in the county. Multiply
this student count by $5 and report this result on Line A-6.
(B) Class 2 counties: Use the underlined space in Line A-6b to report
the 1979-80 count of special education students in the county. Multiply
this student count by $6 and report this result on Line A-6.
(C) Class 3 counties: Use the underlined space in Line A-6c to report
the 1979-80 count of special education students in the county. Multiply
this student count by $7 and report this result on Line A-6.
(D) Class 4 counties: Use the underlined space in Line A-6d to report
the 1979-80 count of special education students in the county. Multiply
this student count by $8 and report this result on Line A-6.
(E) Counties of Classes 5-8: Use the underlined space in Line A-6e
to report the 1979-80 count of special education students in the county.
Multiply this student count by $10 and report this result on Line A-6.
(7) Line A-7: Compute the sum of the amounts in Lines A- 1 through
A-6, and multiply the result by .994. Report this result, rounded to the
nearest dollar, on Line A.
(b) Subdivision B: Determination of revenue limits for special schools
and classes:
(1 ) Line B-l: Report the revenue limit for the juvenile hall program
(reference Sections 2500(e) and 2550(b)(1) and (2), Education Code).
This revenue limit shall be computed as follows:
(A) Line B-l a: Report the 1978-79 allowed average expenditures per
ADA in this program (determined by multiplying the 1977-78 allowed
average expenditures per ADA by 1 .1327 and rounding the result to two
decimal places). Reference 1978-79 Worksheet W and Form
J-73-W(A).
1 . In determining allowed average expenditures per ADA for pro-
grams involving more than one level, it is necessary to develop a
weighted average expenditure per ADA.
2. Those counties that maintained programs but did not tax in prior
years shall use the 1 977-78 current expenditures for such programs in-
creased by 1.1327.
3. If a district transfers its juvenile hall program to the county superin-
tendent of schools pursuant to Section 1 7 10 of the Education Code, the
revenue limit of the district shall be reduced by the amount of excess cost
which the district expended from its revenue limit for the program in the
prior fiscal year. This excess cost shall not include expenditures of in-
come from federal sources of tuition (reference Section 42244.7, Educa-
tion Code).
If a juvenile hall program is transferred from a district to the county
superintendent, it is necessary to develop a weighted average expendi-
ture per ADA for both the county and the district-operated program.
(B) Line B-lb: Report any 1978-79 federal aid per ADA. Include fed-
eral aid only if the allowed average expenditures base included any such
federal aid.
(C) Line B-lc: Report the 1978-79 deficit adjustment determined by
subtracting Line B-lb from B-l a and multiplying the difference by .90.
Report this result carried to two decimal places.
(D) Line B-ld: Determine the 1978-79 revenue hmit per ADA by
adding Line B-lb to Line B-lc. Report this result carried to two decimal
places.
(E) Line B-le: Determine the 1979-80 base revenue limit per ADA
by multiplying the 1978-79 revenue limit reported on Line B-ld by
1.086. Report this result rounded to two decimal places.
(F) Line B-lf: Use the underlined space in Line B-l f to report the
1 979-80 annual ADA in this program, including ADA in county commu-
nity school juvenile hall programs pursuant to Section 1981(c) of the
Education Code. Multiply this attendance by the amount in Line B-le
and report this result, rounded to the nearest dollar, on Line B-l.
(G) Funding for type A and B students in County Community Schools
E.C. 1981 (a) and (b) will be provided to county superintendent of
schools by participating districts. The contribution will be derived by
multiplying the district's base revenue limit per unit of ADA (1979-80
Form K, item B-6) times the district's ADA in the county community
school. The district's contribution will not be reported on Form O.
(2) Line B-2: Report the 1979-80 allowances for opportunity schools
programs (reference Sections 48633, 14057, and 2550(b)(2), Education
Code. These allowances shall be computed as follows:
(A) Line B-2a: Use the underlined space in B-2a to report the number
of classes or ADA. Report either the classroom computation which is the
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Title 5
California Department of Education
S 15408
product of $33,750 times the number of 1979-80 elementary classes in
this program, or the ADA computation which is the product of $1,360
times the number of 1979-80 elementary annual ADA in this program.
The classroom computation shall be used when the ADA for this program
is 100 units or less.
(B) Line B-2b: Use the underlined space in B-2b to report the respec-
tive ADA. Report the product of $1,546 times the 1979-80 high school
annual ADA in this program.
(C) Line B-2c: Compute the sum of the amounts in lines B-2a and
B-2b and report this result on Line B-2.
(3) Line B-3: Compute the sum of the amounts in lines B-1 and B-2,
and multiply the result by .994. Report this result, rounded to the nearest
dollar, on Line B.
(c) Subdivision C: Determination of the amount to be allocated for vo-
cational/technical schools and classes:
(1) Line C-1: Report the 1979-80 revenue limit for regional occupa-
tional centers and programs (reference Sections 52317 and 2550(c)(1),
Education Code). This revenue limit shall be computed as follows:
(A) Line C-1 a: Report the actual 1978-79 base revenue limit per ADA
for this program, carried to two decimal places, as shown on 1978-79
Schedule Y(a), Line C.
(B) Line C-lb: Report the 1978-79 deficit adjustment determined by
multiplying the amount in Line C-la by .90. Report this result carried to
two decimal places.
(C) Line C-lc: Determine the 1979-80 revenue limit per ADA by
multiplying the amount in Line C-1 b by 1 .086. Report this result rounded
to two decimal places.
(D) Line C-ld: Use the underlined space in line C-ld to report the
1 979-80 annual ADA for concurrently enrolled high school students and
for adults enrolled in short-term vocational programs. Multiply this at-
tendance by the amount in Line C-lc and report this result, rounded to
the nearest dollar, on Line C-1 .
(2) Line C-2: Report the 1 979-80 revenue limit for technical, agricul-
tural, and natural resource conservation schools (reference Sections 1806
and 2550(c)(2), Education Code). This revenue limit shall be computed
as follows:
(A) Line C-2a: Report the total 1 977-78 tax revenues per ADA for this
program (determined by dividing the amount shown on 1978-79 Form
0(A), Line A-6e, by the 1977-78 actual second principal (P-2) ADA in
this program and carrying the result to two decimal places).
(B) Line C-2b: Multiply the amount in Line C-2a by 1 .068 and report
this result rounded to two decimal places.
(C) Line C-2c: Compute the sum of the amounts in line C-2b and the
actual 1978-79 foundation program amount per second principal (P-2)
ADA (determined by dividing the foundation program amount shown on
1978-79 Form 0(A), Line A^f, by the 1978-79 actual second principal
(P-2) ADA in this program). Report this result carried to two decimal
places.
(D) Line C-2d: Report the 1978-79 deficit adjustment determined by
multiplying the amount in Line C-2c by .90. Report this result carried to
two decimal places.
(E) Line C-2e: Determine the 1979-80 revenue limit per ADA by
multiplying the amount in Line C-2d by 1 .086. Report this result rounded
to two decimal places.
(F) Line C-2f: Use the underiined space in hne C-2f to report the
1979-80 annual ADA in this program. Multiply this attendance by the
amount in Line C-2e and report this result, rounded to the nearest dollar,
on Line C-2.
(3) Line C-3: Report the 1979-80 revenue limit for the outdoor sci-
ence and conservation program (reference Sections 2520 and 2550(c)(2),
Education Code). This revenue limit shall be computed as follows:
(A) Line C-3a: Report the total 1977-1978 tax revenues for this pro-
gram as shown on 1978-79 Form 0(A), Line A-6j.
(B) Line C-3b: Multiply the amount in Line C-3a by 1 .068 and report
this result rounded to the nearest dollar.
(C) Line C-3c: Report the 1978-79 deficit adjustment determined by
multiplying the amount in Line C-3b by .90. Report this result carried to
the nearest dollar.
(D) Line C-3d: Determine the 1979-80 revenue limit by multiplying
the amount in Line C-3c by 1 .086. Report this result, rounded to the near-
est dollar, on Line C-3,
(4) Line C^: Compute the sum of the amounts in lines C-1 through
C-3. and multiply the result by .994. Report this result, rounded to the
nearest dollar, on Line C.
(d) Subdivision D: Determination of the allowances for other county
superintendent special schools and classes:
(1 ) Line D-i : Compute the revenue limit for the county jails program
(reference Section 1900, Education Code). This revenue limit shall be
equal to the product of (A) (($1,029 times .8) minus (.01 times the
1979-80 assessed value per ADA for the county)) times (B) the 1979-80
annual ADA in this program. Report this result rounded to the nearest
dollar.
(2) Line D-2: Report the 1 979-80 amount authorized for handicapped
adult programs (reference Section 52570, Education Code). This amount
shall be reported only for counties that participated in this program in
1978-79, and shall be based on the 1979-80 ADA actually served under
this program by these counties. However, in no case shall the total of the
amounts authorized for this program exceed $50,000.
(3) Line D-3: Report the 1979-80 foundation program amounts for
the educationally handicapped programs (reference Sections 14057,
14058, and 56600, Education Code). The foundation amounts retlect an
increase equal to that amount which would have been calculated if AB
65 had been continued. This foundation program shall be computed as
follows:
(A) Line D-3a: Use the underiined space in Line D-3a to report the
number of elementary classes in this program in 1979-80. Compute the
product of this number times $33,750 and report this result, carried to the
nearest dollar, on Line D-3a. Use this elementary small school founda-
tion only when half or more of the students are from districts that have
less than 901 elementary units of ADA.
(B) Line D-3b: If the elementary small school foundation computa-
tion in Line D-3a is not used, use Line D-3b to report the 1979-80 ele-
mentary foundation amounts for this program as follows:
1 . Use the underlined space in Li ne D-3b( 1 ) to report the 1 979-80 ele-
mentary annual ADA for pupils from districts that have less than 901 ele-
mentary units of ADA. Multiply this attendance by $1 ,350 and report this
result, rounded to the nearest dollar, on Line D-3b(l).
2. Use the underlined space in Line D-3b(2) to report the 1 979-80 ele-
mentary annual ADA for pupils from districts that have over 900 elemen-
tary units of ADA. Multiply this attendance by $ 1 ,360 and report this re-
sult, rounded to the nearest dollar, on Line D-3b(2).
(C) Line D-3c: Use Line D-3c to report the 1 979-80 high school foun-
dation amounts for this program as follows:
1 . Use the underlined space in Line D-3c( J ) to report the 1 979-80 high
school annual ADA for pupils from districts that have less than 30 1 high
school units of ADA. Multiply this attendance by $ 1 ,536 and report this
result, rounded to the nearest dollar, on Line D-3c(]).
2. Use the underlined space in Line D-3c(2) to report the 1 979-80 high
school annual ADA for pupils from districts that have over 300 high
school units of ADA. Multiply this attendance by $1,546 and report this
result, rounded to the nearest dollar, on Line D-3c(2). (D) Line D-3d:
Compute the sum of the amounts in lines D-3a, D-3b, and D-3c, and re-
port this result on Line D-3.
(4) Line D^: Compute the sum of the amounts in lines D-1 through
D-3, and multiply the result by .994. Report this result, rounded to the
nearest dollar, on Line D.
(e) Subdivision E: Determination of the revenue limit for other county
school service fund operations:
Page 184.23
Register 2004, No. 24; 6-11-2004
§ 15408
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
( 1 ) Line E-1 : Report the 1 979-80 revenue limit for county superinten-
dent office operations (reference Sections 1 5 1 0 or 2506, and 255 1 , Edu-
cation Code). This revenue Umit shall be computed as follows:
(A) Line E-la: Report the total 1977-78 secured, unsecured, and
prior-year taxes received pursuant to Section 2506 of the Education
Code as shown on 1978-79 Form 0(A), Line A-6i.
(B) Line E-lb: Report the total 1977-78 secured, unsecured, and
prior-year taxes received from the county board of supervisors pursuant
to Section 15 lOofthe Education Code as shown on 1978-79 Form 0(A),
Line A-61.
(C) Line E-lc: Multiply the amount in either Line E-la or E-lb, as
appropriate, by 1 .068 and report this result, rounded to the nearest dollar,
on Line E-lc.
(D) Line E-ld: Report the 1978-79 deficit adjustment determined by
muUiplying the amount in Line E-lc by .90. Report this result carried to
the nearest dollar.
(E) Line E-le: Report the difference between the amount paid to the
State Teachers' Retirement System in 1978-79 and that paid in 1976-77.
pursuant to Section 2507.7 of the Education Code.
(F) Line E- If: Compute the sum of lines E-ld and E-le and report the
result.
(G) Line E-lg: Determine the 1979-80 base revenue limit by muUi-
plying the amount in line E-lf by 1.086. Report this result rounded to the
nearest dollar.
(H) Line E-lh: Report the difference between the amount of unem-
ployment insurance paid in 1979-80 and that paid in 1975-76 pursuant
to Secfion 2507.5 of the Education Code.
(1) Line E-1 i: Report the mandated costs paid pursuant to Section 2510
of the Education Code.
(J) Line E-lj: Compute the sum of the amounts in lines E-lg, E-lh,
and E-li, and report this result on Line E-l.
(2) Line E-2: Report the 1 979-80 revenue limit for capital outlay (ref-
erence SecUons 2504 and 2552, Educafion Code). This revenue limit
shall be computed as follows:
(A) Line E-2a: Determine the greatest of:
1. The 1976-77 taxes collected for capital outlay;
2. The 1976-77 expenditures for capital outlay;
3. The 1977-78 taxes collected for capital outlay; or
4. The 1977-78 expenditures for capital outlay.
This result is not to exceed $.0005 times the modified assessed valua-
tion for the appropriate year. Use the underlined space in Line E-2a to
specify the selection and report the result on Line E-2a.
(B) Line E-2b: Determine the 1978-79 revenue limit by multiplying
the amount in Line E-2a by 1 .086. Report this result, rounded to the near-
est dollar, on Line E-2.
(3) Line E-3: Report the 1 979-80 billings for the county school tuition
program for out-of-state tuition pursuant to Sections 2006 and 2554 of
the Education Code.
(4) Line E-4: Report the 1979-80 payments required pursuant to the
State Building Aid Law (reference SecUons 2503 and 2555, Educafion
Code).
(5) Line E-5: Compute the sum of the amounts in lines E-1 through
E-A, and multiply the result by .994. Report this result, rounded to the
nearest dollar, on Line E.
(f) Subdivision F: Determinafion of the total 1979-80 county school
service fund revenue limit. Compute the sum of the amounts in lines A,
B, C, D, and E, and report this result in Line F.
(g) Subdivision G: Determination of 1979-80 sources of revenue:
(1) Line G-1: Report the 1979-80 secured tax collecfions pursuant to
Secfion 26912 of the Government Code, excluding all subvenfions.
(2) Line G-2: Report the 1979-80 unsecured tax collecfions pursuant
to Secfion 26912 of the Government Code, excluding all subventions.
(3) Line G-3: Report the 1 979-80 homeowners exemption (HOX) and
the business inventory exemption (BIX) income from both the secured
and unsecured tax rolls.
(4) Line G-4: Report the 1 979-80 tax collecfions for subventions, oth-
er than homeowners and business inventory exemptions, pursuant to
Section 4 1 052 of the Educafion Code and Section 992 of the Revenue and
Taxation Code.
(5) Line G-5: Report the 1979-80 equalizafion offset tax income in-
cluding any prior year balances in this fund (reference Secfion 2556,
Educafion Code).
(6) Line G-6: Report any amounts that county superintendent of
schools was required to maintain as restricted and not available for ex-
penditures in the 1978-79 fiscal year pursuant to Section 2558(b)(5) of
the Education Code. This is the negative amount shown on 1978-79
Form 0(A), Line D, which is the excess of the 1 978-79 State Block Grant
over the total 1978-79 revenue limit. This amount shall be reported as a
posifive amount on Line G-6.
(7) Line G-7: Report the 1 979-80 Timber Tax Yield paid by the State
Controller pursuant to Section 41760.5 of the Educafion Code and Sec-
fion 38906 of the Revenue and Taxafion Code.
(8) Line G-8: Report the 1979-80 prior-year tax collecfions.
(A) Line G-8a: Report the 1979-80 regular prior-year taxes.
(B) Line G-8b: Report the amount of released prior-year tax im-
pounds for 1979-80.
(9) Line G-9: Report the 1979-80 special educafion district billings
pursuant to Secfion 1705 of the Educafion Code and for excess costs.
(A) Line G-9a: Report the physically handicapped district billings
pursuant to Section 1705 of the Education Code and for excess costs.
(B) Line G-9b: Report the mentally retarded district billings pursuant
to Section 1705 of the Education Code and for excess costs.
(C) Line G-9c: Report the Educafionally Handicapped district billings
pursuant to Secfion 1705 of the Educafion Code.
(10) Line G-10: Report the 1979-80 district revenue limit contribu-
tions to the county regional occupational center or program. These dis-
trict contributions shall be equal to the district's revenue limit or the reve-
nue limit of the county ROC/P, whichever is less, mulfiplied by the
district P^2 ADA in this program.
(A) Line G-lOa: Report the district contributions for adults enrolled
in short-term vocational programs.
(B) Line G-1 Ob: Report the district contribufions for concurrenfiy en-
rolled students.
(11) Line G-1 1: Report the 1979-80 receipts from the county board
of supervisors pursuant to Secfion 1510 of the Educafion Code.
(12) Line G-1 2: Report the 1979-80 state categorical aid specified as
special allowances. This includes class or ADA allowances for physical-
ly handicapped and mentally retarded programs, attendance allowances
for development centers for the handicapped, and transportafion allow-
ances for physically handicapped, trainable mentally retarded, and de-
velopment centers for the handicapped programs.
(13) Line G-13: Report the 1979-80 federal categorical aid.
( 14) Line G-14: Report any 1979-80 income from other sources such
as the community college tuifion fund pursuant to Secfion 2104 of the
Education Code.
(15) Line G-1 5: Compute the sum of lines G-1 through G-14 and re-
port this result on Line G.
(h) Subdivision H: Determinafion of the state aid portion of the reve-
nue limit for 1 979-80. Subtract Line G from Line F and report the result
on Line H. If this result is negafive, no state aid shall be apportioned to
the county superintendent of schools. This negative amount of funds
shall be deemed restricted and not available for expenditures during the
current fiscal year. In the next fiscal year, this negative amount shall be
•
Page 184.24
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 15445
considered to be local property tax revenue for the 1980-81 fiscal year.
pursuant to Section 2558(d) of the Education Code.
NOTE; Authority and reference cited: Sections 2550-2558. Education Code.
Subchapter 8. Criteria and Standards for
School District Budgets and Interim Reports
Article 1. Budget Review
§15440. General.
(a) School districts shall use the following criteria and standards (be-
ginning with section 15441) and supplemental information (beginning
with section 15452) in the development of their annual budgets. The
county superintendent of schools will review the school district's budget
to determine whether it complies with the criteria and standards.
(b) The budget review includes an analysis of ten criteria, with stan-
dards, and additional information about the status of the budget. The ten
criteria are average daily attendance (ADA), enrollment, ADA to enroll-
ment, revenue limit, salaries and benefits, other revenues and expendi-
tures, facilities maintenance, deficit spending, fund balance, and re-
serves. School district budgets are measured against the standards for
each ofthe.se criteria. In addition to the criteria and standards, the review
must identify additional information regarding contingent liabihties, use
of one-time revenues for ongoing expenditures, use of ongoing revenues
for one-time expenditures, contingent revenues, contributions, long-
term commitments, unfunded liabilities, and the status of labor agree-
ments. Deviations from the standards must be explained, and may affect
the approval of the budget.
NOTE: Authority cited: Sections 33127 and 33129, Education Code. Reference:
Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment tiled 10-5-2000; operative 11-4-2000. Submitted to OAL for
printing only pursuant to Education Code section 3313 (Register 2000, No. 40).
3. Amendment of subsection (b) filed 9-19-2001; operative 9-19-2001. Sub-
mitted to OAL for printing only pursuant to Education Code section 33131
(Register 2001. No. 38).
4. Amendment of subchapter heading, article heading and section filed
.5-13-2008; operative 6-12-2008. Submitted to OAL for printing only pursuant
to Education Code section 33131 (Register 2008, No. 20).
§ 1 5441 . Average Daily Attendance (ADA).
Funded ADA has not been overestimated in the first prior fiscal year
or in two or more of the previous three fiscal years by more than the fol-
lowing percentage levels:
3%
2%
1%
for districts with 0-300 ADA
for districts with 301-1.000 ADA
for districts with 1,001 and over ADA
NOTE: Authority cited: Sections 33127 and 33129, Education Code. Reference:
Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment of section heading and section filed 5-13-2008; operative
6-12-2008. Submitted to OAL for printing only pursuant to Education Code
section 33131 (Register 2008, No. 20).
§15442. Enrollment.
Projected enrollment has not been overestimated in the first prior fiscal
year or in two or more of the previous three fiscal years by more than the
following percentage levels:
3% for districts with 0-300 ADA
2% for districts with 301-1 ,000 ADA
1% for districts with 1,001 and over ADA
NOTE: Authority cited: .Sections 33127 and 33129, Education Code. Retcrencc:
Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment of section heading and section filed 10-5-2000; operative
11-4-2000. Submitted to OAL foT printing only pursuant to Education Code
section 3313 (Register 2000, No. 40).
3. Amendment of section heading and section filed 5-13-2008; operative
6-12-2008. Submitted to OAL for printing only pursuant to Education Code
section 33131 (Register 2008. No 20).
§ 15443. Average Daily Attendance to Enrollment.
Projected second period ADA to enrollment ratio forany of the budget
year or two subsequent fiscal years has not increased from the historical
average ratio from the three prior fiscal years by more than one half of
one percent.
NOTE: Authority cited: Sections 33127 and 33129. Education Code. Reference:
Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment filed 10-5-2000; operative 11-4-2000. Submitted to OAL for
printing only pursuant to Education Code section 3313 (Register 2(X)0, No. 40).
3. Amendment filed 9-19-2001; operative 9-19-2001. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2001. No.
38).
4. Repealer and new section filed 5-1 3-2008; operative 6-12-2008. Submitted to
OAL for printing only pursuant to Education Code section 33131 (Register
2008, No. 20).
§15444. Revenue Limit.
Projected revenue limit for any of the budget year or two subsequent
fiscal years has not changed from the prior fiscal year by more than the
change in population and the funded cost of living adjustment plus or mi-
nus one percent.
For basic aid districts, projected revenue limit has not changed from
the prior fiscal year by more than the percent change in property tax reve-
nues plus or minus one percent.
Eor districts funded by necessary small school formulas, projected
revenue limit has not changed from the prior fiscal year amount by more
than the funded cost of living adjustment plus or minus one percent.
NOTE; Authority cited: Sections 33127 and 33129, Education Code. Reference:
Section 33128, Educafion Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment filed 10-5-2000; operative 11-4-2000. Submitted to OAL for
printing only pursuant to Education Code section 33 1 3 ( Register 2000, No. 40).
3. Amendment filed 9-19-2001; operative 9-19-2001. Submitted to OAL for
printing only pursuant to Education Code section 3313! (Register 2001, No.
38).
4. Repealer and new section filed 5-13-2008; operative 6-1 2-2008. Submitted to
OAL for printing only pursuant to Education Code section 33131 (Register
2008, No. 20).
§ 15445. Salaries and Benefits.
Projected ratio of total unrestricted salaries and benefits to total unre-
stricted general fund expenditures for any of the budget year or two sub-
sequent fiscal years has not changed from the historical average ratio
from the three prior fiscal years by more than the greater of three percent
or the district's required reserves percentage.
NOTE; Authority cited: Sections 33127 and 33129, Education Code. Reference:
Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment filed 10-5-2000; operative 11-4-2000. Submitted to OAL for
printing only pursuant to Education Code section 3313 (Register 2000, No. 40).
3. Amendment filed 9-19-2001; operative 9-19-2001. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2001, No.
38).
Page 184.25
Register 2008, No. 20; 5- 16-2008
§ 15446
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
4. Repealer of article 2 heading and repealer and new section filed 5-13-2008; op-
erative 6-12-2008. Submitted to OAL for printing only pursuant to Education
Code section 33131 (Register 2008, No. 20).
§ 15446. Other Revenues and Expenditures.
Projected operating revenues (including federal, other state and other
local) or expenditures (including books and supplies, and services and
other operating) for any of the budget year or two subsequent fiscal years,
have not changed from the prior fiscal year amount by more than the per-
centage change in population and the funded cost of living adjustment
plus or minus ten percent.
For each major object category, changes that exceed the percentage
change in population and the funded cost of living adjustment plus or mi-
nus five percent must be explained.
NOTE: Authority cited: Sections 33127 and 33129, Education Code. Reference:
Section 33128. Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Repealer and new section filed 5-13-2008; operative 6-1 2-2008. Submitted to
OAL for printing only pursuant to Education Code section 33131 (Register
2008, No. 20).
§15447. Facilities Maintenance.
Confirm that the annual contribudon for facilities maintenance fund-
ing is not less than the amounts required pursuant to Education Code sec-
fio^ns 17584 and 17070.75, if applicable.
NOTE: Authority cited: Sections 33127 and 33129, Education Code. Reference:
Sections 17070.75, 17584 and 33128, Education Code.
History
1. New section filed 5-13-2008; operative 6-12-2008. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2008, No.
20). For prior history, see Register 2000, No. 40.
§ 15448. Deficit Spending.
(a) Unrestricted deficit spending (total unrestricted expenditures and
other financing uses is greater than total unrestricted revenues and other
financing sources) as a percentage of total unrestricted expenditures and
other financing uses, has not exceeded one-third of the district's avail-
able reserves as a percentage of total expenditures and other financing
uses in two out of three prior fiscal years.
(b) For purposes of this secfion, available reserves are the unrestricted
reserves in the Designated for Economic Uncertainties and the Undesig-
nated/Unappropriated accounts in the General Fund and the Special Re-
serve Fund for Other Than Capital Outlay Projects. Available reserves
will be reduced by any negafive ending balances in restricted resources
in the General Fund.
(c) For purposes of this secfion, a school district that serves as the Ad-
ministrafive Unit (AU) of a Special Education Local Plan Area (SELPA)
may exclude from its expenditures the distribufion of funds to its partici-
pafing members.
Note: Authority cited: Sections 33127 and 33129, Education Code. Reference:
Section 33128, Education Code.
History
1 . New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Education Code
secfion 3313 (Register 92, No. 10).
2. Amendment of section heading filed 10-5-2000; operative 11^-2000. Sub-
mitted to OAL for printing only pursuant to Education Code section 3313 (Reg-
ister 2000, No. 40).
3. Repealer and new section filed 5-13-2008; operative 6-12-2008. Submitted to
OAL for printing only pursuant to Education Code section 33131 (Register
2008, No. 20).
§15449. Fund Balance.
(a) Budgeted beginning unrestricted general fund balance has not been
overesfimated for two out of three prior fiscal years by more than the fol-
lowing percentage levels:
1 .1% for districts with 0-300 ADA
1 3% for districts with 301-1 ,000 ADA
1 .0% for districts with 1 ,001-30,000 ADA
0.7% for districts with .30,001-400,000 ADA
0.3'7r for districts with 400,001 and over ADA
(b) For purposes of this secfion, the percentage levels equate to a rate
of deficit spending which would eliminate recommended reserves for
economic uncertainties over a three year period.
NOTE: Authority cited: Sections 33127 and 33129, Education Code. Reference:
Section 33128, Education Code.
History
1 . New section filed 8-19-91 ; operative 7-1-91 . Submitted to OAL for printing
only and exempt from Govemment Code section 1 1 343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment filed 10-5-2000; operative 11-4-2000. Submitted to OAL for
printing only pursuant to Education Code section 33 1 3 (Register 2000, No. 40).
3. Repealer and new section filed 5-13-2008; operative 6-12-2008. Submitted to
OAL for printing only pursuant to Education Code section 33131 (Register
2008, No. 20).
§15450. Reserves.
(a) Available reserves for any of the budget year or two subsequent fis-
cal years are not less than the following percentages or amounts as ap-
plied to total expenditures and other financing uses:
the greater of 5% or $55,000 for districts with 0-300 ADA
the greater of 4% or $55,000 for districts with 301-1 .000 ADA
3% for districts with 1,001-30,000 ADA
2% for districts with 30,001^00,000 ADA
1% for districts with 400,001 and over ADA
(b) For purposes of this secfion, the following shall apply:
(1) Available reserves are the unrestricted reserves in the Designated
for Economic Uncertainties and the Undesignated/Unappropriated ac-
counts in the General Fund and the Special Reserve Fund for Other Than
Capital Outlay Projects. Available reserves will be reduced by any nega-
tive ending balances in restricted resources in the General Fund.
(2) A school district that serves as the AU of a SELPA may exclude
from its expenditures the distribufion of funds to its participadng mem-
bers.
(3) The dollar amounts are to be adjusted annually by the prior year
statutory cost of living adjustment (Educafion Code section 42238),
rounded to the nearest thousand.
NOTE: Authority cited: Sections 33127 and 33129, Education Code. Reference:
Sections 33128 and 42238, Education Code.
History
1 . New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Govemment Code section 1 1 343 under Education Code
section 3313 (Register 92, No. 10).
2. Repealer and new section filed 5-13-2008; operafive 6-12-2008. Submitted to
OAL for printing only pursuant to Education Code section 33131 (Register
2008, No. 20).
§15451. Supplemental Information.
(a) School districts shall provide supplemental information in the fol-
lowing general areas:
(1) Provide the methodology and assumpfions used to esfimate ADA,
enrollment, revenues, expenditures, reserves and fund balance, and
mulfiyear commitments (including cost of fiving adjustments).
(2) Provide information on addifional indicators as requested.
(b) School districts shall provide supplemental information in the fol-
lowing specific areas:
(1 ) Confingent Liabilities. Idenfify any known or confingent habilifies
from financial or program audits, state compliance reviews, litigation,
etc., that may impact the budget.
(2) Use of One-time Revenues for Ongoing Expenditures. Idenfify
any ongoing general fund expenditures in excess of one percent of the to-
tal general fund expenditures that are funded with one-time resources in
the budget year, and explain how the one-ume resources will be replaced
to continue funding the ongoing expenditures in the following fiscal
years.
(3) Use of Ongoing Revenues for One-fime Expenditures. Idenfify
any large nonrecurring general fund expenditures that are funded with
ongoing general fund revenues.
•
Page 184.26
Register 2008, No. 20; 5-16-2008
Title 5
California Department of Education
§ 15453
•
(4) Contingent Revenues. Identify projected revenues for the budget
year and two subsequent fiscal years that are contingent on reauthoriza-
tion by the local government, special legislation, or other definitive act
(e.g. parcel taxes). If any of these revenues are dedicated for ongoing ex-
penses, explain how the revenues will be replaced or the expenditures re-
duced.
(5) Contributions. Provide information regarding contributions as fol-
lows:
(A) Identify projected contributions from unrestricted resources in the
general fund to restricted resources in the general fund for the budget year
and two subsequent fiscal years. Provide an explanation if contributions
have changed from the prior fiscal year amounts by more than $20,000
and more than ten percent. An explanation should include whether con-
tributions are ongoing or one-time in nature.
(B) Identify projected transfers to or from the general fund to cover op-
erating deficits in either the general fund or any other fund for the budget
year and two subsequent fiscal years. Provide an explanation if transfers
have changed from the prior fiscal year amounts by more than $20,000
and more than ten percent. An explanation should include whether trans-
fers are ongoing or one-time in nature.
(C) Estimate the impact of any capital projects on the general fund op-
erational budget.
(6) Long-term Commitments. Provide information regarding long-
term commitments as follows:
(A) Identify all existing and new multiyear commitments (include
multiyear commitments, multiyear debt agreements, and new programs
or contracts that result in long-term obligations) and their annual re-
quired payment for the budget year and two subsequent fiscal years.
(B) Explain how any increase in annual payments will be funded. Also
explain how any decrease to funding sources used to pay long-term com-
mitments will be replaced.
(7) Unfunded Liabilities. Provide information regarding unfunded lia-
bilities as follows:
(A) Estimate the unfunded liabihty for post employment benefits other
than pensions (OPEB) based on an actuarial valuation, if required, or oth-
er method; identify or estimate the annual required contribution; and in-
dicate how the obligation is funded (pay-as-you-go, amortized over a
specific period, etc.).
(B) Estimate the unfunded liability for self-insurance programs such
as workers' compensation based on an actuarial valuation, if required, or
other method; identify or estimate the required contribution; and indicate
how the obligation is funded (level of risk retained, funding approach,
etc).
(8) Status of Labor Agreements. Analyze the status of employee labor
agreements, including the following:
(A) Identify new labor agreements, as well as new commitments pro-
vided as part of previously ratified multiyear agreements; and include all
contracts, including all administrator contracts (and including all com-
pensation). For new agreements, indicate the date of the required board
meeting.
(B) Compare the increase in new commitments to the projected in-
crease in ongoing revenues, and explain how these commitments will be
funded in future fiscal years.
(C) If salary and benefit negotiations are not finalized at budget adop-
tion, upon settlement with certificated or classified staff:
1 . The school district must determine the cost of the settlement, includ-
ing salaries, benefits, and any other agreements that change costs, and
provide the county office of education with an analysis of the cost of the
settlement and its impact on the operating budget.
2. The county superintendent of schools shall review the analysis rela-
tive to the criteria and standards, and may provide written comments to
the president of the district governing board and superintendent.
NOTE: Authority cited: Sections 33127 and 33129, Education Code. Reference:
Section 33128, Education Code; and Sections 3540.2 and 3547.5, Government
Code.
HisrORY
1. New section Hied 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92. No. 10).
2. Amendment filed 10-5-2000; operative i]-4-20()0. Submitted to OAL for
printing only pursuant to Education Code section 331 3 (Register 2000. No. 40).
3. Repealer and new section filed .5-13-2008; operative 6- 12-2008. Submitted to
OAL for printing only pursuant to Education Code section 33131 (Rciii.stcr
2008, No. 20).
§ 15452. Supplemental Information. [Repealed]
NOTE: Authority cited: Section 33127 and 33129. Education Code. Reference:
Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Repealer and new section heading and section filed 10-5-2000; operative
11-4-2000. Submitted to OAL for printing only pursuant to Education Code
section 3313 (Register 2000, No. 40).
3. Repealer filed 5-13-2008; operative 6-12-2008. Submitted to OAL for print-
ing only pursuant to Education Code section 33131 (Register 2008. No. 20).
Article 2. Interim Report Review
§15453. General.
(a) School districts shall conduct a review of their budgets at Interim
Report fime in accordance with the following criteria and standards (be-
ginning with secfion 15454) and supplemental information (beginning
with secfion 15464). The county superintendent of schools will review
the school district's Interim Report using the criteria and standards.
(b) The school district superintendent shall submit two interim reports
to its governing board during each fiscal year. Both interim reports shall
be approved by the district's governing board along with a certification
on whether their school district is able to meet its financial obligations for
the remainder of the fiscal year and, based on current forecasts, for the
two subsequent fiscal years. The certification shall be based on the gov-
erning board's assessment and the criteria and standards. The certifica-
tion shall be classified as positive, qualified, or negafive.
(1 ) A positive cerfificafion indicates that, based on current projections
the school district will meet its financial obligations for the current fiscal
year and two subsequent fiscal years.
(2) A qualified certificafion indicates that, based on current projec-
fions the school district may not meet its financial obligafions for the cur-
rent fiscal year or two subsequent fiscal years.
(3) A negative certification indicates that, based on current projections
the school district will be unable to meet its financial obligations for the
remainder of the current fiscal year or the subsequent fiscal year.
(c) The review includes an analysis often criteria, with standards, and
supplemental information about the status of the budget at Interim Report
fime. The ten criteria are fund and cash balances, reserves, deficit spend-
ing, ADA, enrollment, ADA to enrollment, revenue limit, salaries and
benefits, other revenues and expenditures, and facilities maintenance.
Each of these criteria has a standard by which it is measured. In addition
to the criteria and standards, the review must identify addifional informa-
tion regarding contingent liabilities, use of one-time revenues for ongo-
ing expenditures, confingent revenues, contributions, long-term com-
mitments, unfunded liabilities, temporary interfund borrowings, status
of labor agreements, and the status of other funds. Deviations from the
standards must be explained, and may affect the interim certification.
NOTE: Authority cited: Sections 33127, 33129 and 42131, Education Code. Ref-
erence: Section 33128, Education Code.
History
1 . New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment of section and Note filed 10-5-2000; operative 1 1^4-2000. Sub-
mitted to OAL for printing only pursuant to Education Code section 33 1 3 (Reg-
ister 2000, No. 40).
Page 184.27
Register 2008, No. 20; 5-16-2008
§ 15454
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
3. Amendment of subsection (b) filed 9-19-2001; operative 9-19-2001. Sub-
mitted to OAL for printing only pursuant to Education Code section 33131
(Register 2001, No. 38).
4. Repealer of subchapter 9 heading and article 1 heading, new article 2 heading
and amendment of section filed 5-13-2008; operative 6-12-2008. Submitted
to OAL for printing only pursuant to Education Code section 33131 (Register
2008. No. 20).
§ 15454. Fund and Cash Balances.
Projected general fund balances will be positive at the end of the cur-
rent fiscal year and two subsequent fiscal years and the projected general
fund cash balance will be positive at the end of the current fiscal year.
NOTE: Authority cited: Sections 33127, 33129 and 42131, Education Code. Ref-
erence: Section 33128. Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Ainendment of section heading and section filed 10-5-2000; operative
1 1 -4-2000. Submitted to OAL for printing only pursuant to Education Code
section 3313 (Register 2000, No. 40).
3. Amendment filed 9-19-2001; operative 9-19-2001. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2001, No.
38).
4. Amendment filed 5-13-2008; operative 6-12-2008. Submitted to OAL for
printing only pursuant to Educadon Code section 33131 (Register 2008, No.
20).
§15455. Reserves.
(a) Available reserves for any of the current fiscal year or two subse-
quent fiscal years are not less than the following percentages or amounts
as applied to total expenditures and other financing uses:
the areater of 5% or $55,000 for districts with 0-300 ADA
the greater of 4% or $55,000 for districts with 301-1,000 ADA
3% for districts with 1,001-30,000 ADA
2% for districts with 30,001-400,000 ADA
1% for districts with 400,001 and over ADA
(b) For purposes of this section, the following shall apply:
(1) Available reserves are the unrestricted reserves in the Designated
for Economic Uncertainties and the Undesignated/Unappropriated ac-
counts in the General Fund and the Special Reserve Fund for Other Than
Capital Outlay Projects. Available reserves will be reduced by any nega-
tive ending balances in restricted resources in the General Fund.
(2) A school district that serves as the AU of a SELPA may exclude
from its expenditures the distribution of funds to its participating mem-
bers.
(3) The dollar amounts are to be adjusted annually by the prior year
statutory cost of living adjustment (Education Code section 42238),
rounded to the nearest thousand.
NOTE: Authority cited: Sections 33127, 33128, 33129 and 33131, Education
Code. Reference: Sections 33128 and 42238, Education Code.
History
1. New section filed 5-13-2008; operative 6-12-2008. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2008, No.
20). For prior history, see Register 2000, No. 40.
§15456. Deficit Spending.
(a) Unrestricted deficit spending (total unrestricted expenditures and
other financing uses is greater than total unrestricted revenues and other
financing sources) as a percentage of total unrestricted expenditures and
other financing uses, has not exceeded one-third of the district's avail-
able reserves as a percentage of total expenditures and other financing
uses in any of the current fiscal year or two subsequent fiscal years.
(b) For purposes of this secfion, the following shall apply:
(1) Available reserves are the unrestricted reserves in the Designated
for Economic Uncertainties and the Undesignated/Unappropriated ac-
counts in the General Fund and the Special Reserve Fund for Other Than
Capital Outlay Projects. Available reserves will be reduced by any nega-
tive ending balances in restricted resources in the General Fund.
(2) A school district that serves as the AU of a SELPA may exclude
from its expenditures the distribution of funds to its participating mem-
bers.
NOTE: Authority cited: Sections 33 127, 33129 and 42131. Education Code. Ref-
erence: Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91, Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment filed 10-5-2000; operative 11-4-2000. Submitted to OAL for
printing only pursuant to Education Code section 33 1 3 (Register 2000, No. 40).
3. Amendment filed 9-19-2001; operative 9-19-2001. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Reeister 2001, No.
38).
4. Repealer and new section filed 5-1 3-2008; operative 6-1 2-2008. Submitted to
OAL for printing only pursuant to Education Code section 33131 (Register
2008, No. 20).
§ 15457. Average Daily Attendance.
(a) Funded ADA for any of the current fiscal year or two subsequent
fiscal years has not changed by more than two percent since budget adop-
tion.
(b) For purposes of this section, first interim reports will be compared
to adopted budgets; second interim reports will be compared to first inter-
im projections.
NOTE: Authority cited: Sections 33127, 33129 and 42131, Education Code. Ref-
erence: Section 33128, Education Code.
History
1. New secfion filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment filed 10-5-2000; operative 11-4-2000. Submitted to OAL for
printing only pursuant to Education Code section 3313 (Register 2000, No. 40).
3. Amendment of subsection (a) filed 9-19-2001; operative 9-19-2001. Sub-
mitted to OAL for prinfing only pursuant to Education Code section 33131
(Register 2001, No. 38).
4. Repealer and new section filed 5-13-2008; operative 6-12-2008. Submitted to
OAL for printing only pursuant to Education Code section 33131 (Register
2008, No. 20).
§ 15458. Enrollment.
(a) Projected enrollment for any of the current fiscal year or two subse-
quent fiscal years has not changed by more than two percent since budget
adoption.
(b) For purposes of this section, first interim reports will be compared
to adopted budgets; second interim reports will be compared to first inter-
im projecfions.
NOTE: Authority cited: Sections 33127, 33129 and 42131, Education Code. Ref-
erence: Section 33128, Education Code.
History
1. New section filed 8-19-91; operafive 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Educadon Code
secfion 3313 (Register 92, No. 10).
2. Amendment of Note filed 10-5-2000; operative 1 1-4-2000. Submitted to
OAL for printing onl y pursuant to Education Code secfion 3313 (Register 2000,
No. 40).
3. Amendment filed 9-19-2001; operative 9-19-2001. Submitted to OAL for
printing only pursuant to Educafion Code section 33131 (Register 2001, No.
38).
4. Amendment of secfion heading and section filed 5-13-2008; operative
6-12-2008. Submitted to OAL for printing only pursuant to Education Code
secfion 33131 (Register 2008, No. 20).
§ 1 5459. ADA to Enrollment.
Projected second period ADA to enrollment ratio for any of the current
fiscal year or two subsequent fiscal years has not increased from the his-
torical average ratio from three prior fiscal years by more than one half
of one percent.
NOTE: Authority cited; Secfions 33127, 33129 and 42131, Educafion Code. Ref-
erence: Section 33128, Education Code.
History
1. New secfion filed 8-19-91; operafive 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Educafion Code
secfion 3313 (Register 92, No. 10).
2. Amendment of NOTE filed 10-5-2000; operafive 11-4-2000. Submitted to
OAL for printing only pursuant to Education Code section 3313 (Register 2000,
No. 40).
•
Page 184.28
Register 2008, No. 20; 5-16-2008
Title 5
California Department of Education
§ 15464
•
•
3. Amendment tiled 9-19-2001; operative 9-19-2001. Submitted to OAL for
printinc only puisuant lo Edueation Code seetion 33131 (Register 2001, No.
38).
4. Repealer and new section filed .S-13-2()OH: operative 6- 12-2008. Submitted to
OAL tor printiniz onlv pursuant lo Education Code section 33131 (Register
2008. No. 20).
§15460. Revenue Limit.
(a) Projected revenue limit for any of the current fiscal year or two sub-
sequent fiscal years has not changed by more than two percent since bud-
gel adoption.
(b) For purpo.ses of this section, first interim reports will be compared
to adopted budgets; second interim reports will be compared to first inter-
im projections.
No IT:: Authority ciled: Sections 33 1 27, 33 1 29 and 42 1 3 1 , Education Code. Ref-
erence: Section 33128. Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Education Code
seciion 3313 (Register 92. No. 10).
2. Amendment of section heading and NoTi; filed 10-5-2000; operative
1 1-4 2000. Submitted to OAL for printing onlv pursuant to Education Code
section 33 1 3 ( Register 2000, No. 40).
3. Amendment of section heading and section filed 5-13-2008; operative
6-12-2008. Submitted lo OAL for printing onlv pursuant to Education Code
section 33131 (Register 2008, No. 20).
§ 1 5461 . Salaries and Benefits.
Projected ratio of total unrestricted salaries and benefits to total unre-
stricted general fund expenditures for any of the current fiscal year or two
subsequent fiscal years has not changed from the historical average ratio
from the three prior fiscal years by more than the greater of three percent
or the district's required reserves percentage.
NOTE: Aulhonty cited: Sections 33127, 33129 and 42131, Education Code. Ref-
erence: Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section II 343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment of section and NoTi: filed 10-5-2000; operative 1 1-4-2000. Sub-
mitted lo OAL for printing only pursuant to Education Code section 33 1 3 (Reg-
ister 2000, No. 40).
3. Amendment of section filed 5-13-2008; operative 6-12-2008. Submitted to
OAL for printing only pursuant to Education Code section 33131 (Register
2008. No. 20).
§ 15462. Other Revenues and Expenditures.
(a) Projected operating revenues (including federal, other state and
other local) or expenditures (including books and supplies, and services
and other operating) for any of the current fiscal year or two subsequent
fiscal years, have not changed by more than five percent since budget
adoption.
(b) Changes that exceed five percent in any major object category must
be explained.
(c) For purposes of this section, first interim reports will be compared
to adopted budgets; second interim reports will be compared to first inter-
im projections.
Note: Authority cited: Sections 33127, 33129 and 42131, Education Code. Ref-
erence: Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment of Note filed 10-5-2000; operative 11-4-2000. Submitted to
OAL for printins only pursuant to Education Code section 3313 (Register 2000,
No. 40).
3. Amendment of section heading and section filed 5-13-2008; operative
6-12-2008. Submitted to OAL for printing only pursuant to Education Code
section 33131 (Register 2008, No. 20).
§15463. Facilities Maintenance.
(a) Identify changes that have occurred since budget adoption in the
projected contributions for facilities maintenance funding as required
pursuant to Education Code sections 17584 and 17070.75.
(b) For purposes of this section, first interim reports will be compared
to adopted budgets; second interim reports will be compared to first inter-
im projections.
Note: Authority cited: Sections 33 1 27. 33 1 29 and 42 1 3 1 . Education Code. Ref-
erence: Sections 17070.75, 17584 and 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL tor priming
only and exempt from Govemment Code section 1 1 343 under Education Code
section 3313 (Register 92. No. lOi.
2. Amendment of section and Note filed 10- .5-2000; operative 1 1— l-2(K)0. Sub-
mitted to OAL for printing only pursuant to Education Code section 33 1 3 (Rcl'-
ister 2000, No. 40).
4. Repealer and new section and amendment of Niri E filed .5-1 3-2008; operative
6-12-2008. Submitted to OAL for printing only pursuant to Education Code
section 33131 (Register 2008, No. 20).
§ 15464. Supplemental Information.
(a) School districts shall provide supplemental information in the fol-
lowing general areas:
( 1 ) Provide the methodology and assumpuons used to estimate ADA,
enrollment, revenues, expenditures, reserves and fund balance, and
multiyear commitments (including cost of living adjustments).
(2) Provide information on additional indicators as requested.
(b) School districts shall provide supplemental information in the fol-
lowing specific areas:
( 1 ) Contingent Liabilities. Identify any known or contingent liabilities
from financial or program audits, state compliance reviews, litigation,
etc.. that have occurred since budget adoption that may impact the bud-
get.
(2) Use of One-Time Revenues for Ongoing Expenditures. Identify
ongoing general fund expenditures funded by one-time revenues that
have changed by more than five percent since budget adoption. (For this
purpose, the first interim reports will be compared to adopted budgets;
the second interim reports will be compared to first interim projections).
(3) Contingent Revenues. Identify projected revenues for the current
fiscal year and two subsequent fiscal years that are contingent on reautho-
rizafion by the local govemment, special legislation, or other definitive
act (e.g., parcel taxes). If any ofthe.se revenues are dedicated for ongoing
expenses, explain how the revenues will be replaced or the expenditures
reduced.
(4) Contributions. Provide information regarding contributions as fol-
lows:
(A) Idenfify projected contributions from unrestricted resources in the
general fund to restricted resources in the general fund for the current fis-
cal year and two subsequent fiscal years. Provide an explanation if con-
tributions have changed by more than $20,000 and more than five percent
since budget adopfion. (For this purpose, the first interim reports will be
compared to adopted budgets; the second interim reports will be
compared to first interim projections).
(B) Identify projected transfers to or from the general fund to cover op-
erating deficits in either the general fund or any other fund for the current
fiscal year and two subsequent tlscal years. Provide an explanation if
transfers have changed by more than $20,000 and more than five percent
since budget adopfion. (For this purpo.se. the first interim reports will be
compared to adopted budgets; the second interim reports will be
compared to first interim projections).
(C) Identify capital project cost overruns that have occurred since bud-
get adoption that may impact the general fund budget. (For this purpose,
first interim reports will be compared to adopted budgets; second interim
reports will be compared to first interim projecfions.)
(5) Long-Term Commitments. Provide information regarding long-
term commitments as follows:
(A) Idenfify all exisfing and new multiyear commitments (include
muUiyear commitments, multiyear debt agreements, and new programs
or contracts that result in long-term obligations) and their annual re-
quired payment, for the current fiscal year and two subsequent fiscal
years.
Page 184.29
Register 2008, No. 20; 5-16-2008
§ 15465
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(B) Explain how any increase in annual payments will be funded. Also
explain how any decrease to funding sources used to pay long-term com-
mitments will be replaced.
(6) Unfunded Liabilities. Identify any changes in estimates for un-
funded liabilities since budget adoption, and indicate whether the
changes are the result of a new actuarial valuation. (For this purpose, the
first interim reports will be compared to adopted budgets; the second in-
terim reports will be compared to first interim projections).
(7) Temporary Interfund Borrowings. Identify projected temporary
borrowings between funds (refer to Education Code section 42603).
(8) Statusof Labor Agreements. Analyze the status of employee labor
agreements, including the following:
(A) Identify new labor agreements that have been ratified since budget
adoption, as well as new commitments provided as part of previously ra-
tified multiyear agreements; and include all contracts, including all ad-
ministrator contracts (and including all compensation). For new agree-
ments, indicate the date of the required board meeting. (For this purpose,
the first interim reports will be compared to adopted budgets; the second
interim reports will be compared to first interim projections).
(B) Compare the increase in new commitments to the projected in-
crease in ongoing revenues, and explain how these commitments will be
funded in future fiscal years.
(C) If salary and benefit negotiations are not finalized, upon settlement
with certificated or classified staff:
1 . The school district must determine the cost of the settlement, includ-
ing salaries, benefits, and any other agreements that change costs, and
provide the county office of education with an analysis of the cost of the
settlement and its impact on the operating budget.
2. The county superintendent of schools shall review the analysis rela-
tive to the criteria and standards, and may provide written comments to
the president of the district governing board and the district superinten-
dent.
(9) Status of Other Funds. Analyze the status of other funds that may
have negative fund balances at the end of the current fiscal year. If any
other fund has a projected negative fund balance, prepare an interim re-
port and multiyear projection for that fund. Explain plans for how and
when the negative fund balance will be addressed.
NOTE: Authority cited: Sections 33127 and 33129, Education Code. Reference:
Sections 33128 and 42603, Education Code; and Sections 3540.2 and 3547.5,
Government Code.
History
1. New section filed 5-13-2008; operative 6-12-2008. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2008, No.
20). For prior history, see Register 2000, No. 40.
§15465. Cash Balance.
NOTE: Authority cited: Sections 33127, 33129 and 35014, Education Code. Ref-
erence: Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted toOAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92, No. 10).
2. Repealer filed 10-5-2000; operative 1 1-4-2000. Submitted to OAL for print-
ing only pursuant to Education Code section 3313 (Register 2000, No. 40).
§ 15466. Supplemental Information.
NOTE: Authority cited: Sections 33127, 33129 and 35014, Education Code. Ref-
erence: Section 33128, Education Code.
History
1 . New section filed 8-19-9L, operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Repealer filed 10-5-2000; operative 1 1-4-2000. Submitted to OAL for print-
ing only pursuant to Education Code section 3313 (Register 2000, No. 40).
Subchapter 9. Criteria and Standards for
County Office of Education Budgets and
Interim Reports
•
Article 1. Budget Review
§15467. General.
(a) County offices of education shall use the following criteria and
standards (beginning with section 15468) and supplemental information
(beginning with section 15475) in the development of their annual bud-
gets. The State Superintendent of Public Instrucuon (SSPI) will review
the county office of education's budget to determine whether it complies
with the criteria and standards.
(b) The budget review includes an analysis of eight criteria, with stan-
dards, and additional information about the status of the budget. The
eight criteria are ADA, revenue limit, salaries and benefits, other reve-
nues and expenditures, facilifies maintenance, deficit spending, fund bal-
ance, and reserves. County office budgets are measured against a stan-
dard for each of these criteria. In addition to the criteria and standards,
the review must identify additional information regarding contingent lia-
bilities, use of one-fime revenues for ongoing expenditures, use of ongo-
ing revenues for one-fime expenditures, contingent revenues, contribu-
fions, long-term commitments, unfunded liabilities, and the status of
labor agreements. Deviations from the standards must be explained, and
may affect the approval of the budget.
NOTE: Authority cited: Sections 1621, 1622, 1623. 33127 and 33129, Education
Code. Reference: Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment filed 10-5-2000; operative 11-4-2000. Submitted to OAL for
printing only pursuant to Education Code section 33 1 3 (Register 2000, No. 40).
3. Amendment of subsection (b) filed 9-19-2001; operative 9-19-2001. Sub-
mitted to OAL for printing only pursuant to Education Code section 33131
(Register2001,No. 38).
4. Renumbering and amendment of former subchapter 1 0 to subchapter 9 and
amendment of article 1 heading and section filed 5-13-2008; operative
6-12-2008. Submitted to OAL for printing only pursuant to Education Code
section 33131 (Register 2008, No. 20).
§ 1 5468. Average Dally Attendance.
(a) Projected countywide other purpose ADA has not been overesfi-
mated in the first prior fiscal year or in two or more of the previous three
fiscal years by more than the following percentage levels:
3.0% for counties with under 7,000 ADA
2.0% for counties with 7,000 through 59.999 ADA
1 .0% for counties with over 59.999 ADA
(b) Projected ADA for county operated programs for any of the budget
year or two subsequent fiscal years has not increased from the historical
average from the three prior fiscal years by more than two percent each
year.
NOTE: Authority cited: Sections 1621, 1622, 1623, 33127 and 33129, Education
Code. Reference: Sections 1205 and 33128, Education Code.
History
1. New .section filed 8-19-91; operative 7-1-91. Submitted toOAL for printing
only and exempt from Government Code section 1 1343 under Education Code
section 33 1 3 (Register 92, No. 10).
2. Amendment filed 9-19-2001; operative 9-19-2001. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2001, No.
38).
3. Amendment of section and Note filed 5-13-2008; operative 6-12-2008. Sub-
mitted to OAL for printing only pursuant to Education Code section 33131
(Register 2008, No. 20).
§15469. Revenue Limit.
(a) Projected revenue limit for any of the budget year or two subse-
quent fiscal years has not changed from the prior fiscal year by more than
•
Page 18430
Register 2008, No. 20; 5-16-2008
Title 5
California Department of Education
§ 15474
•
Ihe change in population and the funded cost of living adjustment
(COLA) plus or minus one percent.
(b) For excess property tax counties, projected revenue limit has not
changed from the prior fiscal year by more than the percent change in
property tax revenues plus or minus one percent.
NOTK: Authority cited: Sections 1621, 1622, 1623. 33127 and 33129, Education
Code. Reference: Section 33128, Education Code.
History
1. New .section filed 5-1 3-2008; operative 6-12-2008. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2008. No.
20). For prior history, see Register 2001. No. 38.
§ 15470. Special Education Entitlement.
NOTE: Authority cited: Sections 1621, 1622, 1623, 33127 and 33129, Education
Code. Reference: Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Repealer filed 10-5-2000; operative 1 1-4-2000. Submitted to OAL for print-
ing only pursuant to Education Code section 3313 (Register 2000, No. 40).
§ 1 5471 . Salaries and Benefits.
Projected total salaries and benefits for any of the budget year or two
subsequent fiscal years has not changed from the prior fiscal year amount
by more than the change in funded COLA plus or minus five percent.
NOTE: Authority cited: Sections 1621, 1622, 1623, 33127 and 33129, Education
Code. Reference: Section 33128, Education Code.
History
I. New section filed 5-13-2008; operative 6-12-2008. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2008, No.
20). For prior history, see Register 2001, No. 38.
§ 1 5471 .1 . Other Revenues and Expenditures.
(a) Projected operating revenues (including federal, other state and
other local) or expenditures (including books and supplies, and services
and other operating) for any of the budget year or two subsequent fiscal
years, have not changed from the prior fiscal year amount by more than
the change in funded COLA plus or minus ten percent.
(b) For each major object category, changes that exceed the percentage
change in funded COLA plus or minus five percent must be explained.
NOTE: Authority cited: Sections 1621, 1622, 1623, 33127 and 33129, Education
Code. Reference: Section 33128, Education Code.
History
1. New section filed 5-13-2008; operative 6-12-2008. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2008, No.
20).
§ 1 5471 .2. Facilities Maintenance.
Confirm that the annual contribution for facilities maintenance fund-
ing is not less than the amounts required pursuant to Education Code sec-
tions 17584 and 17070.75.
NOTE: Authority cited: Sections 1621, 1622, 1623, 33127 and 33129, Education
Code. Reference: Sections 17070.75, 17584 and 33128, Education Code.
History
1. New section filed 5-13-2008; operative 6-12-2008. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2008, No.
20).
§ 15472. Deficit Spending.
(a) Unrestricted deficit spending (total unrestricted expenditures and
other financing uses is greater than total unrestricted revenues and other
financing sources) as a percentage of total unrestricted expenditures and
other financing uses, has not exceeded one-third of the county office's
available reserves as a percentage of total expenditures and other financ-
ing uses in two out of three prior fiscal years.
(b) For purposes of this section, the following shall apply:
(1) Available reserves from the Juvenile Court/County Community
Schools and Regional Occupational Centers/Programs may be included,
up to the applicable percentage of program expenditures. Funds desig-
nated as reserves for this purpose continue to be restricted for use only
in those programs. Also, available reserves are unrestricted reserves in
the Designated for Economic Uncertainties and the Undesignated/Unap-
propriated accounts in the County School Service Fund and Special I^e-
serve Fund for Other Than Capital Outlay Projects. Available reserves
will be reduced by any negative ending balances in restricted resources
in the County School Service Fund.
(2) A county office of education that serves as the AU of a SELPA may
exclude from its expenditures the distribution of funds to its participating
members.
NOTE: Authority cited: Sections 1621, 1622, 1623. 33127 and 33129, Education
Code. Reference: Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Goveniment Code section 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment of section heading and section filed 10-5-2000; operative
1 1-4-2000. Submitted to OAL for priming only pursuant to Education Code
section 3313 (Register 2000. No. 40).
3. Amendment tiled 9-19-2001; operative 9-19-2001. Submitted to OAL for
printina only pursuant to Education Code section 33131 (Register 2(K)L No.
38).
4. Amendment filed 5-13-2008; operative 6-12-2008. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2(K)8. No.
20).
§ 15473. Fund Balance.
(a) Budgeted beginning unrestricted county school service fund bal-
ance has not been overestimated for two out of three prior fiscal years by
more than the following percentage levels:
1.7% for counties with total expenditures and other financing uses of
less than $4,895,000
1 .3% for counties with total expenditures and other financing uses of
$4,895,000 through $12,235,999.
1 .0% for counties with total expenditures and other financing uses of
$12,236,000 through $55,064,000.
0.7% for counties with total expenditures and other financing uses of
over $55,064,000.
(b) For purposes of this section, the following shall apply:
(1 ) A county office of education that serves as the AU of a SELPA may
exclude from its expenditures the distribution of funds to its participating
members.
(2) Percentage levels equate to a rate of deficit spending which would
eliminate recommended reserves for economic uncertainties over a three
year period.
(3) The dollar amounts are to be adjusted annually by the prior year
statutory cost of living adjustment calculated pursuant to Education Code
section 2557, rounded to the nearest thousand.
NOTE: Authority cited: Sections 1621, 1622, 1623, 33127 and 33129, Education
Code. Reference: Section 33128, Education Code.
History
1. New section filed 5-13-2008; oijerative 6-12-2008. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2008, No.
20). For prior history, see Register 2001, No. 38.
§15474. Reserves.
(a) Available reserves for any of the budget year or two subsequent fi s-
cal years are not less than the following percentages or amounts as
applied to total expenditures and other financing uses:
the greater of 5% or $55,000 for counties with total expenditures and other fi-
nancing uses of less than $4,895,000.
the greater of 4% or $245,000 for counties with total expenditures and other fi-
nancing uses of $4,895,000 through $12,235,999.
the greater of 3% or $489,000 for counties with total expenditures and other fi-
nancing uses of $12,236,000 through $55,064,000.
the greater of 2% or $1 ,652.000 for counties with total expenditures and other
financing uses of over $55,064,000.
(b) For purposes of this section, the following shall apply:
(1) Available reserves from the Juvenile Court/County Community
Schools and Regional Occupational Centers/Programs may be included,
up to the applicable percentage of program expenditures. Funds desig-
nated as reserves for this purpose continue to be restricted for use only
in those programs. Also, available reserves are unrestricted reserves in
the Designated for Economic Uncertainties and the Undesignated/Unap-
propriated accounts in the County School Service Fund and Special Re-
Page 184.31
Register 2008, No. 20; 5-16-2008
§ 15475
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
serve Fund for Other Than Capital Outlay Projects. Available reserves
will be reduced by any negative ending balances in restricted resources
in the County School Service Fund.
(2) A county office of education that serves as the AU of a SELPA may
exclude from its expenditures the distribution of funds to its participating
members.
(3) The dollar amounts are to be adjusted annually by the prior year
statutory cost of living adjustment calculated pursuant to Education Code
section 2557. rounded to the nearest thousand.
NOTEi: Authority cited: Sections 1621, 1622, 1623. 33127 and 33129, Education
Code. Reference: Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment filed 9-19-2001; operative 9-19-2001. Submitted to OAL for
printina only pursuant to Education Code section 33131 (Reaister 2001, No.
38).
3. Amendment filed 5-13-2008; operative 6-12-2008. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2008, No.
20).
§ 15475. Supplemental Information.
(a) County offices of education shall provide supplemental informa-
tion in the following general areas:
( 1 ) Provide the methodology and assumptions used to estimate ADA,
enrollment, revenues, expenditures, reserves and fund balance, and
multiyear commitments (including cost of living adjustments).
(2) Provide information on additional indicators as requested.
(b) County offices of education shall provide supplemental informa-
tion in the following specific areas:
( 1 ) Contingent Liabilities. Identify any known or contingent liabilities
from financial or program audits, state compliance reviews, litigation,
etc., that may impact the budget.
(2) Use of One-time Revenues for Ongoing Expenditures. Identify
any ongoing county school service fund expenditures in excess of one
percent of the total county school service fund expenditures that are
funded with one-time resources in the budget year, and explain how the
one-time resources will be replaced to continue funding the ongoing ex-
penditures in the following fiscal years.
(3) Use of Ongoing Revenues for One-time Expenditures. Identify
any large nonrecurring county school service fund expenditures that are
funded with ongoing county school service fund revenues.
(4) Contingent Revenues. Identify projected revenues for the budget
year and two subsequent fiscal years that are contingent on reauthoriza-
tion by the local government, special legislation, or other definitive act
(e.g. parcel taxes). If any of these revenues are dedicated for ongoing ex-
penses, explain how the revenues will be replaced or the expenditures re-
duced.
(5) Contribufions. Provide information regarding contributions as fol-
lows:
(A) Identify projected contributions from unrestricted resources in the
county school service fund to restricted resources in the county school
service fund for the budget year and two subsequent fiscal years. Provide
an explanation if contributions have changed from prior fiscal year
amounts by more than $20,000 and more than ten percent. An explana-
tion should include whether contributions are ongoing or one-time in na-
ture.
(B) Identify projected transfers to or from the county school service
fund to cover operating deficits in either the county school service fund
or any other fund for the budget year and two subsequent fiscal years.
Provide an explanation if transfers have changed from the prior year
amounts by more than $20,000 and more than ten percent. An explana-
tion should include whether transfers are ongoing or one-time in nature.
(C) Estimate the impact of any capital projects on the county school
service fund operational budget.
(6) Long-term Commitments. Provide information regarding long-
term commitments as follows:
(A) Identify all existing and new multiyear commitments (include
multiyear commitments, multiyear debt agreements, and new programs
or contracts that result in long-term obligafions) and their annual re-
quired payment for the budget year and two subsequent fiscal years.
(B) Explain how any increase in annual payments will be funded. Also
explain how any decrease to funding sources used to pay long-term com-
mitments will be replaced.
(7) Unfunded Liabilifies. Provide information regarding unfunded lia-
bilities as follows:
(A) Estimate the unfunded liability for post employment benefits other
than pensions (OPEB) based on an actuarial valuation, if required, or oth-
er method; identify or esfimate the annual required contribution; and in-
dicate how the obligation is funded (pay-as-you-go, amortized over a
specific period, etc.).
(B) Esfimate the unfunded liability for self-insurance programs such
as workers" compensation based on an actuarial valuation, if required, or
other method; identify or esfimate the required contribution; and indicate
how the obligafion is funded (level of risk retained, funding approach,
etc).
(8) Analyze the status of labor agreements, including the following:
(A) Idenfify new labor agreements, as well as new commitments pro-
vided as part of previously ratified multiyear agreements; and include all
contracts, including all administrator contracts (and including all com-
pensation). For new agreements, indicate the date of the required board
meefing.
(B) Compare the increase in new commitments to the projected in-
crease in ongoing revenues, and explain how these commitments will be
funded in future fiscal years.
(C) If salary and benefit negotiations are not finalized at budget adop-
tion, upon settlement with ceruficated or classified staff:
( 1 ) The county office must determine the cost of the settlement, includ-
ing salaries, benefits, and any other agreements that change costs, and
provide the California Department of Educafion (CDE) with an analysis
of the cost of the settlement and its impact on the operaUng budget.
(2) The CDE shall review the analysis relative to the criteria and stan-
dards, and may provide written comments to the president of the govern-
ing board and the county superintendent of schools.
NOTE: Authority cited: Sections 162L 1622, 1623, 33127 and 33129, Education
Code. Reference: Section 33128, Educafion Code; Sections 3540.2 and 3547.5,
Government Code.
History
1. New section filed 8-19-91; operafive 7-1-91. Submitted to OAL forprinfing
only and exempt from Government Code section 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment filed 10-5-2000; operative 11-4-2000. Submitted to OAL for
printing only pursuant to Education Code section 3313 (Register 2000, No. 40).
3. Amendment filed 9-19-2001; operative 9-19-2001. Submitted to OAL for
printing only pursuant to Educafion Code section 33131 (Register 2001, No.
38).
4. Amendment of secfion and Note filed 5-13-2008; operative 6-12-2008. Sub-
mitted to OAL for printing only pursuant to Education Code section 33131
(Register 2008, No. 20).
•
Article 2. Interim Report Review
§15476. General. [Repealed]
NOTE: Authority cited: Secfions 1621, 1622, 1623, 33127 and 33129, Education
Code. Reference: Section 33128, Educafion Code.
History
1 . New secfion filed 8-19-91; operafive 7-1-91. Submitted to OAL for prinfing
only and exempt from Government Code section 1 1343 under Education Code
secfion 3313 (Register 92, No. 10).
2. Amendment filed 10-5-2000; operative 11-4-2000. Submitted to OAL for
printing only pursuant to Education Code secfion 3313 (Register 2000, No. 40).
3. Amendment filed 9-19-2001; operafive 9-19-2001. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2001, No.
38).
4. Amendment of article heading and repealer of section filed 5-13-2008; opera-
five 6-12-2008. Submitted to OAL for printing only pursuant to Education
Code secfion 33131 (Register 2008, No. 20).
•
Page 184.32
Register 2008, No. 20; 5-16-2008
Title 5
California Department of Education
§ 15483
§15477. Other Revenue. [Repealed]
NOTE: Authority cited: Sections 1621, 1622, 1623. 33127 and 33129, Education
Code. Reference: Section 33128. Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Repealer filed 3-13-2008; operative 6-12-2008. Submitted to OAL for print-
ing only pursuant to Education Code section 33131 (Register 2008, No. 20).
§ 15478. Other Operating Expenses. [Repealed]
NOTE: Authority cited: Sections 1621. 1622, 1623, 33127 and 33129, Education
Code. Reference: Section 33128. Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Repealer filed 5-13-2008; operative 6-12-2008. Submitted to OAL for print-
ing only pursuant to Education Code section 33131 (Register 2008. No. 20).
§ 15479. Other Sources and Uses. [Repealed]
NOTE: Authority cited: Sections 1621, 1622, 1623, 33127 and 33129, Education
Code. Reference: Section 33128, Education Code.
History
1. New section filed 8-19-91; operafive 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
.section 3313 (Register 92. No. 10).
2. Amendment filed 1(^.5-2000; operative 11-4-2000. Submitted to OAL for
printing only pursuant to Education Code section 3313 (Register 2000, No. 40).
3. Repealer filed 5-13-2008; operative 6-1 2-2008. Submitted to OAL for print-
ing only pursuant to Education Code section 33131 (Register 2008, No. 20).
§ 15479.5. Supplemental Information. [Repealed]
NOTE: Authority cited: Sections 1621, 1622, 1623, 33127 and 33129, Education
Code. Reference: Section 33128, Education Code.
History
1. New section filed 10-5-2000; operative 11-4-2000. Submitted to OAL for
printing only pursuant to Education Code section 33 1 3 (Register 2000, No. 40).
2. Repealer filed 5-13-2008; operative 6-12-2008. Submitted to OAL for print-
ing only pursuant to Education Code section 33131 (Register 2008, No. 20).
§15480. General.
(a) County offices of education shall conduct a review of their budgets
at Interim Report time in accordance with the following criteria and stan-
dards and supplemental information (beginning with section 15481) and
supplemental information (beginning with section 15493). The SSPI will
review the county office's Interim Report using the criteria and stan-
dards.
(b) The county superintendent of schools shall submit two interim re-
ports to its governing board during each fiscal year. Both interim reports
shall be reviewed by the county board of education and approved by the
county superintendent of schools, who shall certify whether their county
office of education is able to meet its financial obligations for the remain-
der of the fiscal year and, based on current forecast, for two subsequent
fiscal years. The certification shall be based on the criteria and standards
and shall be classified as positive, qualified, or negative.
( 1) A positive certification indicates that, based on current projections
the county office of education will meet its financial obligations for the
current fiscal year and two subsequent fiscal years.
(2) A qualified certification indicates that, based on current projec-
tions the county office of education may not meet its financial obligations
for the current fiscal year or two subsequent fiscal years.
(3) A negative certification indicates that, based on current projections
the county office of education will be unable to meet its financial obliga-
tions for the remainder of the current fiscal year or the subsequent fiscal
year.
(b) The review includes an analysis of eight criteria, with standards,
and supplemental information about the status of the budget at Interim
Report time. The eight criteria are fund and cash balances, reserves, defi-
cit spending, ADA, revenue limit, salaries and benefits, other revenues
and expenditures, and facilities maintenance. Each of these criteria has
a standard by which it is measured. In addition to the criteria and stan-
dards, the review must identify additional information regarding contin-
gent liabilities, use of one-tiine revenues for ongoing expenditures, con-
tingent revenues, contributions, long-term commitments, unfunded
liabilities, temporary interfund borrowings, the status of labor agree-
ments, and the status of other funds. Deviations froin the standards must
be explained, and may affect the interim certification.
NOTE: Authority cited: Sections 124(J(/), 33 1 27 and 33129, Education Code. Ref-
erence: Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 .343 under Education Code
section 3313 (Register 92. No. 10).
2. Repealer of subchapter 11 heading and article 1 heading and amendment of sec-
lion and Note filed 5-13-2008; operative 6-12-2008. Submitted (o OAL for
printing only pursuant to Education Code section 33131 (Register 2008. No.
20).
§15481. Fund and Cash Balances.
Projected county school service fund balances will be positive ai the
end of the current fiscal year and two subsequent fiscal years and the proj-
ected county school service fund cash balance will be positive at the end
of the current fiscal year.
NOTE: Authority cited; Secfions 1 240(/). 33 1 27 and 33 1 29, Education Code. Ref-
erence: Secfion 33128, Education Code.
History
1. New section filed 8-19-91; operafive 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment of section heading, section and NoTt: filed 10-5-2000; operative
1 1-4-2000. Submitted to OAL for printing only pursuant to Education Code
secfion 3313 (Register 2000, No. 40).
3. Amendment filed 9-19-2001; operative 9-19-2001. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2001, No.
38).
4. Amendment of section and Note filed 5-13-2008; operative 6-12-2008. Sub-
mitted to OAL for prinfing only pursuant to Education Code section 33131
(Register 2008, No. 20).
§15482. Fund Balance.
NOTE: Authority cited: Sections 33 127, 33 1 29 and 1 240(j). Education Code. Ref-
erence: Secfion 33128, Education Code.
History
1. New secfion filed 8-19-91; operafive 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92. No. 10).
2. Repealer filed 10-5-2000; operafive 1 1-4-2000. Submitted to OAL for print-
ing only pursuant to Educafion Code secfion 3313 (Register 2000, No. 40).
§15483. Reserves.
(a) Available reserves for any of the current fiscal year or two subse-
quent fiscal years are not less than the following percentages or amounts
as applied to total expenditures and other financing uses:
the greater of 5% or $55,000 for counties with total expenditures and other fi-
nancing uses of less than S4,895,000.
the greater of 4% or $245,000 for counties with total expenditures and other fi-
nancing uses of $4,895,000 thiough $12,235,999.
the greater of 3% or $489,000 for counties with total expenditures and other fi-
nancing uses of $12,236,000 tlu-ough $55,064,000.
the greater of 2% or $1,652,000 for counties with total expenditures and other
financing uses of over $55,064,000.
(b) For purposes of this section, the following shall apply:
(1) Available reserves from the Juvenile Court/County Community
Schools and Regional Occupational Centers/Programs may be included,
up to the applicable percentage of program expenditures. Funds desig-
nated as reserves for this purpose continue to be restricted for use only
in those programs. Also, available reserves are unrestricted reserves in
the Designated for Economic Uncertainties and the Undesignated/Unap-
propriated accounts in the County School Service Fund and Special Re-
serve Fund for Other Than Capital Outlay Projects. Available reserves
will be reduced by any negative ending balances in restricted resources
in the County School Service Fund.
(2) A county office of education that serves as the AD of a SELPA may
exclude from its expenditures the distribution of funds to its participating
members.
Page 184.32(a)
Register 2(X)8, No. 20; 5-16-2008
§ 15484
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(3) The dollar amounts are to be adjusted annually by the prior year
statutory cost of living adjustment calculated pursuant to Education Code
section 2557, rounded to the nearest thousand.
NOTE: Authority cited: Sections ]240(/), 33127 and 33129. Education Code. Ref-
erence: Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment of section and Note filed 10-5-2000; operative 1 1-4-2000. Sub-
mitted to OAL for printing only pursuant to Education Code section 331 3 (Reg-
ister 2000, No. 40).
3. Amendment filed 9-19-2001; operative 9-19-2001. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2001, No.
38).
4. Amendment of section heading, section and Note filed 5-13-2008; operative
6-12-2008. Subnutted to OAL for printine only pursuant to Education Code
section 33 1 3 1 (Register 2008, No. 20).
§15484. Deficit Spending.
(a) Unrestricted deficit spending (total unrestricted expenditures and
other financing uses is greater than total unrestricted revenues and other
financing sources) as a percentage of total unrestricted expenditures and
other financing uses, has not exceeded one-third of the county office's
available reserves as a percentage of total expenditures and other financ-
ing uses in any of the current fiscal year or two subsequent fiscal years.
(b) For purposes of this section, the following shall apply:
(1) Available reserves from the Juvenile Court/County Community
Schools and Regional OccupaUonal Centers/Programs may be included,
up to the applicable percentage of program expenditures. Funds desig-
nated as reserves for this purpose continue to be restricted for use only
in those programs. Also, available reserves are unrestricted reserves in
the Designated for Economic Uncertainties and the Undesignated/Unap-
propriated accounts in the County School Service Fund and Special Re-
serve Fund for Other Than Capital Outlay Projects. Available reserves
will be reduced by any negafive ending balances in restricted resources
in the County School Service Fund.
(2) A county office of education that serves as the AU of a SELPA may
exclude from its expenditures the distribuUon of funds to its participating
members.
NOTE: Authority cited: Sections 1240(/), 33127 and 33129, Education Code. Ref-
erence: Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment of section and Note filed 10-5-2000; operative 1 1-4-2000. Sub-
mitted to OAL for printing only pursuant to Education Code section 3313 (Reg-
ister 2000, No. 40).
3. Amendment filed 9-19-2001; operative 9-19-2001. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2001, No.
38).
4. Repealer of article 2 heading, repealer and new section and amendment of Note
filed 5-13-2008; operative 6-12-2008. Submitted to OAL for printing only
pursuant to Education Code section 33131 (Register 2008, No. 20).
§15485. Average Daily Attendance.
(a) Projected countywide other purpose (ADA) has not changed for
any of the current fiscal year or two subsequent fiscal years by more than
two percent since budget adopfion.
(b) Projected ADA for county operated programs has not changed for
any of the current fiscal year or two subsequent fiscal years by more than
two percent since budget adoption.
(c) For purposes of this section, first interim reports will be compared
to adopted budgets; second interim reports will be compared to first inter-
im projecfions.
NOTE: Authority cited: Sections 1240(/), 33127 and 33129, Education Code. Ref-
erence: Sections 1205 and 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code secfion 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment of Note filed 10-5-2000; operative 11-4-2000. Submitted to
OAL for printing only pursuant to Education Code section 33 1 3 (Register 2000,
No. 40).
3. Amendment filed 9-19-2001; operative 9-19-2001. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2001, No.
38).
4. Amendment of section and Note filed 5-1 3-2008; operative 6-12-2008. Sub-
mitted to OAL for printing only pursuant to Education Code section 33131
(Register2008, No. 20).
§15486. Revenue Limit.
(a) Projected revenue limit for any of the current fiscal year or two sub-
sequent fiscal years, has not changed by more than two percent since bud-
get adopfion.
(b) For purposes of this secfion, first interim reports will be compared
to adopted budgets; second interim reports will be compared to first inter-
im projecfions.
NOTE: Authority cited: Sections 1240(/), 33127 and 33129, Education Code. Ref-
erence: Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment of Note filed 10-5-2000; operative 11-4-2000. Submitted to
OAL for printing only pursuant to Education Code section 3313 (Register 2000,
No. 40).
3. Amendment filed 9-19-2001; operative 9-19-2001. Submitted to OAL for
printing only pursuant to Educafion Code secfion 33131 (Register 2001, No.
38).
4. Amendment of section and Note filed 5-13-2008; operative 6-12-2008. Sub-
nrutted to OAL for printing only pursuant to Education Code section 33131
(Register 2008. No. 20).
§ 15487. Other Revenues. [Repealed]
Note: Authority cited: Sections 1240(/), 33127 and 33 129, Education Code. Ref-
erence: Secfion 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for priming
only and exempt from Government Code section 1 1 343 under Education Code
section 33 1 3 (Register 92, No. 10).
2. Amendment of section heading and Note filed 10-5-2000; operative
1 1 ^i-2000. Submitted to OAL for printing only pursuant to Education Code
section 3313 (Register 2000, No. 40).
3. Repealer of section and amendment of Note filed 5-13-2008; operative
6-12-2008. Submitted to OAL for prinfing only pursuant to Education Code
section 33131 (Register 2008, No. 20).
§ 15488. Salaries and Benefits.
(a) Projected total salaries and benefits for any of the current fiscal year
or two subsequent fiscal years has not changed by more than five percent
since budget adopfion.
(b) For purposes of this section, first interim reports will be compared
to adopted budgets; second interim reports will be compared to first inter-
im projecfions.
NOTE: Authority cited; Sections 1240(/), 33127 and 33129, Education Code. Ref-
erence: Secfion 33128, Education Code.
History
1. New section filed 8-19-91; operafive 7-1-91. Submitted to OAL for printing
only and exempt from Government Code secfion 1 1343 under Education Code
secfion 3313 (Register 92, No. 10).
2. Amendment of secfion and Note filed 10-5-2000; operafive 1 l^f-2000. Sub-
mitted to OAL for printing only pursuant to Education Code section 33 1 3 (Reg-
ister 2000, No. 40).
3. Amendment of section and Note filed 5-13-2008; operative 6-12-2008. Sub-
mitted to OAL for prinfing only pursuant to Education Code section 33131
(Register 2008, No. 20).
§ 15489. Other Revenues and Expenditures.
(a) Projected operating revenues (including federal, other state and
other local) or expenditures (including books and supplies, and services
and other operafing) for any of the current fiscal year or two subsequent
fiscal years, have not changed by more than five percent since budget
adoption.
(b) Changes that exceed five percent in any major object category must
be explained.
•
Page 184.32(b)
Register 2008, No. 20; 5-16-2008
Title 5
California Department of Education
§ 15493
(c) For purposes of (his section, first interim reports will be compared
to adopted budgets; second interim reports will be compared to first inter-
im projections.
Note. Authority cited: Sections 1240(/). 33127 and 33 129. Education Code. Ref-
erence: Section 33128. Education Code.
History
1 . New section filed 8-19-91 ; operative 7-1-91 . Submitted to OAL for printing
only and exempt from Government Code section 1 1 343 under Education Code
section 3313 (Register 92. No. JO).
2. Amendment of Notf filed 10-5-2000; operative 11-4-2000. Submitted to
OAL for printinii only pursuant to Education Code section 33 1 3 (Register 2000,
No. 40).
3. Amendment of section heading, section and NoTi;. filed .S-1 3-2008; operative
6-12-2008. Submitted to OAL for printing onlv pursuant to Education Code
section 33 1 3 1 (Register 2008. No. 20).
§15490. Facilities Maintenance.
(a) Identify changes that have occurred since budget adoption in the
projected contributions for facilities maintenance funding as required
pursuant to Education Code sections 17584 and 17070.75.
(b) For purposes of this section, the first interim reports will be
compared to adopted budgets; second interim reports will be compared
to first interim projections.
NOTt; Authority cited: Sections 1240(/), 33127 and 33129. Education Code. Ref-
erence: Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code secfion 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Amendment of section and Note filed 10-5-2000; operative J 1^-2000. Sub-
mitted to OAL for printing only pursuant to Education Code section 3313 (Reg-
ister 2000. No. 40).
3. Repealer and new section and amendment of Note filed 5-13-2008; operative
6- J 2-2008. Submitted to OAL for printing only pursuant to Education Code
section 33131 (Register 2008, No. 20).
§ 15491. Fund Balance.
NOTE: Authority cited : Sections 33 1 27, 33 1 29 and 1 240(j ), Education Code. Ref-
erence: Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Repealer filed 10-5-2000; operative 1 1-4-2000. Submitted to OAL for print-
ing only pursuant to Education Code section 3313 (Register 2000, No. 40).
§ 15492. Cash Balance.
NOTE; Authority cited: Secfions 33127, 33129 and 1240(j), Educafion Code. Ref-
erence: Section 33128, Education Code.
History
1. New section filed 8-19-91; operative 7-1-91. Submitted to OAL for printing
only and exempt from Government Code section 1 1343 under Education Code
section 3313 (Register 92, No. 10).
2. Repealer filed 10-5-2000; operative 1 1-4-2000. Submitted to OAL for print-
ing only pursuant to Education Code section 3313 (Register 2000, No. 40).
§15493. Supplemental Information.
(a) County offices of education shall provide supplemental informa-
tion in the following general areas:
(1 ) Provide the methodology and assumptions used to estimate ADA,
enrollment, revenues, expenditures, reserves and fund balance, and
multiyear commitments (including cost of living adjustments).
(2) Provide information on additional indicators as requested.
(b) County offices of education shall provide supplemental informa-
tion in the following specific areas:
( 1 ) Contingent Liabilities. Identify any known or contingent liabilities
from financial or program audits, state compliance reviews, litigation,
etc., that have occurred since budget adoption that may impact the bud-
get.
(2) Use of One-Time Revenues for Ongoing Expenditures. Identify
the ongoing county school service fund (CSSF) expenditures funded by
one time revenues that have changed by more than five percent since bud-
get adoption. (For this purpose, the first interim reports will be compared
to adopted budgets; the second interim reports will be compared to first
interim projections).
(3) Contingent Revenues. Identify projected revenues for the current
fiscal year and two subsequent fiscal years that are cotitingent on reautho-
rization by the local government, special legislauon, or other definitive
act (e.g., parcel taxes). If any of these revenues are dedicated for ongoing
expenses, explain how the revenues will be replaced or the expenditures
reduced.
(4) Contributions. Provide information regarding contributions as fol-
lows;
(A) Identify projected contributions froin unrestricted resources in the
CSSF to restricted resources in the CSSF for the current year and two sub-
sequent fiscal years. Provide an explanation if contributions have
changed by more than $20,000 and more than five percent since budget
adoption. (For this purpose, the first interim reports will be compared to
adopted budgets; the second interim reports will be compared to first in-
terim projections.)
(B) Identify projected transfers to or from the CSSF to cover operating
deficits in either the CSSF or any other fund for the current year and two
subsequent fiscal years. Provide an explanation if transfers have changed
by more than $20,000 and more than five percent since budget adoption.
(For this purpose, the first interim reports will be compared to adopted
budgets; the second interim reports will be compared to first interim pro-
jections.)
(C) Identify capital project cost overruns that have occurred since bud-
get adopfion that may impact the CSSF budget. For this purpose, first in-
terim reports will be compared to adopted budgets; second interim re-
ports will be compared to first interim projections.
(5) Long-Term Commitments. Provide information regarding long-
term commitments as follows:
(A) Identify all exisfing and new multiyear commitments (include
multiyear commitments, multiyear debt agreements, and new programs
or contracts that result in long-term obligations) and their annual re-
quired payment, for the current fiscal year and two subsequent fiscal
years.
(B) Explain how any increase in annual payments will be funded. Also
explain how any decrease to funding sources used to pay long-term com-
mitments will be replaced.
(6) Unfunded Liabilities. Identify any changes in estimates for un-
funded liabilities since budget adoption, and indicate whether the
changes are the result of a new aci:uarial valuation. (For this purpose, first
interim reports will be compared to adopted budgets; second interim re-
ports will be compared to first interim projecfions.)
(7) Temporary Interfund Borrowings. Identify projected temporary
borrowings between funds (refer to Education Code section 42603).
(8) Status of Labor Agreements. Analyze the status of employee labor
agreements, including the following:
(A) Identify new labor agreements that have been ratified since budget
adoption, as well as new commitments provided as part of previously ra-
tified multiyear agreements; and include all contracts, including all ad-
ministrator contracts (and including all compensation). For new agree-
ments, indicate the date of the required board meeting.
(B) Compare the increase in new commitments to the projected in-
crease in ongoing revenues, and explain how these commitments will be
funded in future fiscal years.
(C) If salary and benefit negotiations are not finalized, upon settlement
with certificated or classified staff:
1 . The county office of education must determine the cost of the settle-
ment, including salaries, benefits, and any other agreements that change
costs, and provide the CDE with an analysis of the cost of the settlement
and its impact on the operating budget.
2. The CDE shall review the analysis relative to the criteria and stan-
dards, and may provide written comments to the president of the govern-
ing board and county superintendent of schools.
(9) Status of Other Funds. Analyze the status of other funds that may
have negative fund balances at the end of the current fiscal year. If any
Page 184.32(c)
I^egister 2008, No. 20; 5-16-2008
§ 15500
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
other fund has a projected negative fund balance, prepare an interim re-
port and multiyear projection for that fund. Explain plans for how and
when the negative fund balance will be addressed.
Note. Authority cited: Sections 1240(/), 33127 and 33129, Education Code. Ref-
erence: Sections 33128 and 42603, Education Code; and Sections 3540.2 and
3547. .5, Government Code.
History
1. New section filed 5-13-2008; operative 6-12-2008. Submitted to OAL for
printing only pursuant to Education Code section 33131 (Register 2008, No.
20). For prior history, see Register 2000, No. 40.
Chapter 15. Child Nutrition Programs
Subchapter 1 . Food Sales, Food Service,
and Nutrition Education
Article 1 . Food Sales by Student
Organizations
§ 15500. Food Sales in Elementary Schools.
(a) Except as provided in subsection (b) and Section 15501, no school
providing kindergarten or any of grades one through eight shall permit
the sale of food by pupil organizations if such school is participating in
the National School Lunch, School Breakfast, or Food Distribution pro-
gram.
( b) The governing board of a school district or a county superintendent
of schools may permit a student organization to sell not more than one
food item per sale when all of the following conditions are met:
(1) The specific nutritious food item is approved by the governing
board.
(2) The food sales do not begin until after the close of the regulariy
scheduled midday food service period.
(3) The sales during the regular school day are not of food items pre-
pared on the premises.
(4) There are no more than four such sales per year per school.
(5) The food item sold is a dessert type food, such as pastry, ice cream
or fruit.
(6) The food item sold is not one sold in the food service program at
that school during that school day.
NOTE: Authority cited for Article 1 : Sections 33031 and 48931, Education Code.
History
1. New Division 15 (Article 1, Sections 15.500-15501) filed 1-16-76; effective
thirtieth day thereafter (Register 76, No. 3).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
§ 15501. Sales In High Schools and Junior High Schools.
The governing board of any district or a county superintendent of
schools maintaining a high school or a junior high school may permit an
organization consisting solely of pupils of such school to sell food items
during or after the regular school day if the following conditions are met:
(a) The specific nutritious food items are approved by the governing
board.
(b) A student organization or organizations may be approved to sell
food at any time during the school day. including the regularly scheduled
food service period(s), as provided in (1) and/or (2):
( 1 ) Only one such organization each school day selling no more than
three types of food or beverage items such as confections, popcorn, nuts,
fruit, or soft drinks: and/or
(2) Any one or more student organizations may conduct no more than
four food sales of any food items during a school year in each school, but
such sales shall be held on the same four days for any or all organizations.
(c) The sales during the regular school day are not of food prepared on
the premises.
[The next page is 184.33.]
Page 184.32(d)
Register 2008, No. 20; 5-16-2008
Title 5
California Department of Education
§ 15535
(d) The food items sold during the regular school day are not those sold
by the district in the food service program at that school during that
school day.
Article 2. Mandatory Meals for Needy
Pupils
§15510. Definitions.
The rollowing definitions mean:
(a) A nutritionally adequate meal is a breakfast or lunch which meets
the requirements of Section 49553 of the Education Code and the federal
National School Lunch Act and the Child Nutrition Act.
(b) A needy pupil eligible to receive a free meal is one whose family
income is not more than twenty-five percent above the income poverty
guidelines prescribed by the United States Secretary of Agriculture for
such family size.
(c) A needy pupil eligible to receive a reduced price meal is one whose
family income is more than twenty-five percent and is equal to or less
than ninety-five percent above the income poverty guidelines prescribed
by the United States Secretary of Agriculture for such family size.
(d) For the purposes of this article, a school day is defined as enrol-
lment for a minimum of 180 minutes daily in preschool and kindergarten;
1 80 minutes in continuation and opportunity schools or classes; 1 80 min-
utes in Regional Occupational Centers and Regional Occupation Pro-
grams, except that no mandate exists when a meal is offered at any regu-
lar day school of enrollment; 230 minutes in grades 1. 2, and 3; and 240
minutes in grades 4 through 8. 9 through 1 2, summer school and interses-
sion programs in year-around schools. When free or reduced price meals
are served to needy pupils enrolled for less than the school day prescribed
by this section, such meals served are eligible for reimbursement in the
same manner as are meals served to pupils enrolled for the school day
prescribed by this section.
NOTE: Authority cited for Article 2: Sections 33031 , 49492 and 49551, Education
Code.
History
1 . New Article 2 (§§ 1 5510, 1 551 1 ) filed 2-25-76; effective thirtieth day thereaf-
ter (Register 76, No. 9).
2. Repealer and new subsection (d) filed 9-27-76; effective thirtieth day thereafter
(Register 76, No. 40).
3. Amendment of subsection (a) and NOTE filed 9-23-77; effective thirtieth day
thereafter (Register 77, No. 39).
§ 1 551 1 . Plan of Operation.
NOTE; Authority cited: Sections 33031 and 49551, Education Code. Reference:
Section 49555, Education Code.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Repealer filed 1 1-9-79; effective thirtieth day thereafter (Register 79, No. 45).
Article 3. Nutrition Education
§ 1 5530. Scope of Article.
The provisions of this Article apply to nutrition education programs
established pursuant to Section 49534 of the Education Code.
NOTE: Authority cited for Article 3: Sections 33031 and 49534, Education Code.
History
1. New Article 3 (Sections 15530-15535) filed 4-16-76; effective thirtieth day
thereafter (Register 76, No. 16).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
§15531. Eligibility.
Each "child nutrition entity" defined in Section 49530.5 of the Educa-
tion Code may submit a nutrition education application for funding to the
State Department of Education.
History
1. Amendment filed 9-23-77; effective thirtieth day ihereaher (Renister 77. No.
39).
§ 15532. Procedure for Filing an Application.
The State Superintendent of Public Instruction shall determine the
date for submission of each application. Each applicant shall:
(a) Prior to the submission of an application file a letter of intent at a
time prescribed by the State Superintendent of Public Instruction.
(b) Submit an application on forms and at times prescribed by the State
Superintendent of Public In.struction to the Office of Curriculum Ser-
vices, State Department of Education, 721 Capitol Mall, Sacramento,
California 95814.
§ 15533. Criteria for Approving Applications.
Each application shall be reviewed by a team appointed by the Super-
intendent of Public Instruction or his designee and shall be composed of
three persons who are knowledgeable in either nutrition, education cur-
riculum or evaluation and who reside outside of the county of the appli-
cant child nutrition entity, which team shall review an application based
on the following minimum criteria:
(a) The nutritional needs of the children;
(b) Trained nutritionists to provide direction and/or leadership;
(c) A comprehensive nutrition curriculum to be correlated with other
school programs including the school food service program;
(d) Current, scientifically accurate instructional materials;
(e) An economically sound project; and
(f) A comprehensive evaluation plan.
§15534. Procedure for Funding.
(a) Each application recommended by the State Department of Educa-
tion may be approved for funding by the State Board of Education on or
before June 15.
(b) Payment of expenses incurred by a child nutrition entity shall only
be based on actual cost in accordance with the approved project budget.
§ 15535. Procedure for Project Management.
Each child nutrition entity approved for funding shall establish a man-
agement procedure which shall include, but need not be limited to, the
following:
(a) Any amendment or revision in the project program shall be ap-
proved by the State Department of Education. Requests shall be sub-
mitted to the Office of Curriculum Services, State Department of Educa-
tion, 721 Capitol Mall, Sacramento, California 95814.
(b) Budget adjustments of 20 percent or more shall be approved in ad-
vance by the State Department of Education. Requests for budget revi-
sions shall be submitted to the Office of Curriculum Services, State De-
partment of Education, 721 Capitol Mall, Sacramento. California 958 1 4.
(c) Separate accounting records shall be maintained for each project
which shall be in accordance with generally accepted accounting stan-
dards and the project budget. Files of supporting documentation shall in-
clude, but not be limited to, purchase orders, work orders, contracts, item-
ized invoices, and correspondence shall be maintained separately or
otherwise identified for audit purposes.
(d) Project records shall be kept for at least three years after the close
of the fiscal year in which the funds were expended or until the grantee
is notified that such records are not needed for administrative review,
whichever occurs first. On request, records shall be made available for
inspection and verification.
(e) Any application for copyright of material developed under a proj-
ect shall first be approved by the State Department of Education.
(f) A child nutrition entity shall provide to the State Department of
Education a quarterly report on the progress of the project on forms pre-
scribed by the State Superintendent of Public Instruction. Such reports
shall be due on the 15th day of October, January, April, and July.
(g) An annual report shall be submitted within 90 days after the close
of the state fiscal year. A final report for projects which extend for more
than one fiscal year shall be due within 90 days after the project is com-
Page 184.33
Register 2004, No. 24; 6 - 1 1 - 2004
§ 15550
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
pleled. Such reports shall contain as a minimum a narrative summary of
tlie project, statistical analysis, evaluation, and financial summary.
(h) On-site visits may be conducted at the discretion of the State De-
partment of Education which shall include, but not be limited to, fiscal
audit, status of the project objectives, financial status, and summary of
the evaluation data.
Article 4.
School Lunch and Breakfast
Programs
§ 1 5550. Scope.
This article is applicable to school lunch and breakfast programs oper-
ated by child nutrition entities under agreements made with the State De-
partment of Education.
NOTE: Authority cited for Article 4: Sections 3303 1 and 49531 , Education Code.
History
1. New Article 4 (§i^ 15550-15565) filed 5-28-76; effective thirtieth day thereaf-
ter (Register 76, No. 22).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77. No. 39).
§15551. Definitions.
The following definitions mean:
(a) Lunch Program — a program operated by a child nutrition entity to
provide pupils with a nutritionally adequate lunch.
(b) Breakfast Program — a program operated by a child nutrition entity
to provide pupils with any of the following: nutritionally adequate break-
fast, basic breakfast, special breakfast.
(c) Nutritionally Adequate Lunch or Nutritionally Adequate Break-
fast— one which meets or exceeds minimum food and nutrition require-
ments pursuant to Section 15558.
(d) Basic Breakfast — one which meets or exceeds minimum food and
nutrition requirements pursuant to Section 15559.
(e) Special Breakfast — one which meets or exceeds minimum food
and nutrition requirements pursuant to Section 15560 and which pro-
vides eligibility to the child nutrition entity for increased reimbursement
when offered in especially needy schools.
(f) Especially Needy School — one which meets eligibility criteria es-
tablished by the State Department of Education and which may receive
increased reimbursement for special breakfasts.
(g) Child Nutrition Entity — any school district, county superintendent
of schools, private school, parochial school, local agency, or child devel-
opment program operated pursuant to Chapter 2 (commencing with Sec-
tion 8200) of Part 6 of the Education Code eligible to participate in child
nutrition programs authorized by the National School Lunch Act and/or
the Child Nutrition Act of 1966, as amended.
(h) Department — the State Department of Education.
(i) Agreement — the School Lunch Program Application-Agreement
or the School Breakfast Program Application-Agreement between the
child nutrition entity and the State Department of Education for operation
of a school lunch and/or breakfast program.
(j) Child Nutrition Program — any program authorized by state law, the
National School Lunch Act or the Child Nutrition Act of 1966.
History
1. Amendment of subsection (g) filed 9-23-77; effective thirtieth day thereafter
(Register 77, No. 39).
§15552. Authority.
Pursuant to Section 49531 of the Education Code, any child nutrition
entity may apply to the Department for all available federal and state
funds for the purpose of providing a nutritionally adequate breakfast or
lunch or both to pupils each school day. A State Child Nutrition Fund is
created and continuously appropriated to the Department pursuant to
Section 413 1 1 of the Education Code for the purpose of providing finan-
cial assistance, subject to the availability of funds, for the administration
and operation of child nutrition programs at the state and local levels.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§15553. Administration.
The Department shall be responsible for administration of child nutri-
tion programs authorized by state law, the National School Lunch Act,
and/or the Child Nutrition Act of 1966.
§15554. Agreements.
(a) To participate, the Department shall enter into a written agreement
with the U.S. Department of Agriculture each fiscal/budget year to ac-
cept responsibility for the administration of child nutrition programs at
the state level.
(b) To participate, each child nutrition entity shall enter into a written
agreement with the Department each fiscal/budget year to accept respon-
sibility for operation of a school lunch and/or breakfast program.
Agreement forms, provided by the Department, shall be submitted by
the child nutrition endty to the Department at least 30 calendar days prior
to the commencement date of school lunch and/or breakfast program op-
erations. The child nutrition entity may renew this agreement on an annu-
al basis by notice in writing submitted to the Department at least 30 days
prior to expiration of the initial agreement. Subsequent renewal notices
shall be submitted at least 30 days prior to expiration of the current agree-
ment notice.
§15555. Eligibility.
Each child nutrition entity shall be eligible for state and federal meal
reimbursement after completing and submitting a School Lunch Pro-
gram Application- Agreement and/or a School Breakfast Program Appli-
cation-Agreement to the Department and upon receiving approval of the
application-agreement(s).
§ 1 5556. Payment of Claims.
(a) Each child nutrition entity shall submit a claim for reimbursement
to the Department within 10 days after the close of each calendar month.
(b) If a child nutrition entity has not filed a claim within 30 days fol-
lowing the close of any calendar month, the department shall notify the
entity of its failure to file such claim.
(c) Each child nutrition entity failing to submit a claim within 90 days
after the close of any calendar month shall forfeit reimbursement for such
month.
§ 15557. Responsibilities of Child Nutrition Entities.
Responsibilities of child nutrition entities shall include, but not be lim-
ited to:
(a) Development and implementation of goals and objectives to pro-
vide pupils with high quality food service programs.
(b) Implementation of policies, regulations and guidelines established
by the Department for the management and operation of child nutrition
programs.
(c) Planning, management and supervision of programs to insure that
food service programs will become an integral part of the total education-
al program.
(d) Maintenance of records, preparation of reports, and submission of
claims as required by state and federal regulations.
§ 15558. Requirements for Nutritionally Adequate Lunch
or Breakfast.
A nutritionally adequate lunch or a nutritionally adequate breakfast
shall contain, as a minimum, each of the following food components in
the amount indicated as modified forage level pursuant to Section 15561 :
(a) One-half pint of fresh, fluid milk as a beverage or on cereal or used
in part for each purpose.
(b) Two ounces of lean meat, poultry, fish, or cheese; or one egg; or
one-half cup of cooked dry beans or peas, or 4 tablespoons of peanut but-
ter; or any equivalent quantity of any combination of the above listed
foods or acceptable alternates. To be counted in meeting this require-
ment, such foods shall be served as a main dish or as part of a main dish
plus one other menu item.
Page 184.34
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 15567
(c) Three-fourths cup of two or more vegetables or fruits, or both.
Full-strength vegetable or fruit juice may be counted to meet not more
than one-fourth cup of this requirement.
(d) One slice of whole grain or enriched bread; or an equivalent serv-
ing of cornbread, biscuits, rolls, tortillas, or acceptable alternates, made
o\' whole grain or enriched flour or meal; or three-fourths cup or one-
ounce serving of whole grain cereal or enriched or fortified cereal; or any
equivalent quantity of any combination of these foods.
(e) One teaspoon of butter or fortified margarine.
§ 15559. Requirements for Basic Breakfast.
(a) A basic breakfast shall contain, as a minimum, each of the follow-
ing food components in the amount indicated as modified for age level
pursuant to Section 15561:
(I )One-half pint of fresh, fluid milk served as a beverage or on cereal
or used in part for each purpose.
(2) One-half cup serving of fruit or full strength fruit or vegetable
juice, or combination thereof.
(3) One slice of whole grain or enriched bread; or an acceptable alter-
nate, made of whole grain or enriched meal or flour; or three-fourths cup
or one-ounce serving of whole grain cereal or enriched or fortified cere-
al; or an equivalent quantity of any combination of these foods.
(b) Approved formulated grain fruit products, when served with 1/2
pint milk, constitutes a reimbursable breakfast when the use of regular
food components is not possible.
§ 15560. Requirements for Special Breakfast.
A child nutrition entity providing a special breakfast shall be eligible
for increased reimbursement when such breakfast is served in especially
needy schools as determined by the Department. The breakfast shall con-
tain, in addition to all components of the basic breakfast as specified in
Section 1 5559: one ounce serving of meat, poultry, fish, cheese, or egg;
or two tablespoons of peanut butter; or an equivalent combination of such
foods. Each meal shall also contain at least one Vitamin C-rich food.
This requirement may be modified for age level pursuant to Section
15561.
§ 1 5561 . Modification of Nutrition Requirements.
The requirements of Sections 15558, 15559, and 15560 are estab-
lished for children at age level 10-12, inclusive, and may be modified for
other age levels in accordance with directives issued by the Department.
§ 15562. IVIeals Eligible for Reimbursement.
For purpose of meal reimbursement:
(a) Federal reimbursement may be claimed for:
(1) Lunches and/or breakfasts which meet requirements of Section
15558.
(2) Breakfasts which meet requirements of Section 15559 and Section
15560.
(b) State reimbursement may be claimed for:
( 1 ) Lunches and/or breakfasts which meet requirements of Section
15558.
(2) Breakfasts served under the provisions of Education Code Section
41 350(a) and which meet the requirements of Section 15559 or Section
15560.
(3) Breakfasts served under the provisions of Education Code Section
41350(b) are reimbursable when both a nutritionally adequate lunch and
a basic breakfast are offered, or when a nutritionally adequate lunch and
a special breakfast are offered. In either case they shall, together, provide
at least one-half to two-thirds of the daily dietary allowance as deter-
mined by the Department.
(c) Federal and stale reimbursements may be claimed for substitutions
made, due to medical reasons, for any food components required by Sec-
tions 15558, 15559, and 15560, provided that such substitutions are au-
thorized by a physician, in writing, and such authorizations are on file at
the school.
History
1. Amendment of subsection (b) filed 9-23-77; effective thirtieth day thcrcaltcr
(Register 77, No. 39).
§ 15563. Meal Requirement for Needy Students.
For purposes of Sections 49550 and 49553 of the Education Code, a
nutritionally adequate meal shall meet requirements for a nutritionally
adequate lunch or breakfast pursuant to Section 15558.
History
I . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39),
§ 15564. Reimbursement Procedure.
(a) Eligible child nutrition entities may submit claims to the Depart-
ment for reimbursement of each lunch and breakfast served to pupils pro-
vided such lunch and/or breakfa.st qualifies for reimbursement pursuant
to Section 15562. Claims are to be submitted in accordance with the pro-
visions of Section 15556.
(b) Claiins shall be computed by utilizing the lesser of the following:
(1) Multiplying the total number of meals served to students in each
reimbursement category by the current meal reimbursement rate, or
(2) Actual cash expenditures for food, labor, and other expenses of the
food service program.
(c) Reimbursement claims shall be submitted on forms provided by the
Department.
§ 15565. Notification of Changes in Reimbursement Rates.
Prior to July 15 the Department shall notify child nutrition entities re-
garding federal and state reimbursement rates for the current fiscal year.
Prior to January 15 the Department shall notify child nutrition entities as
to any changes in the federal reimbursement rates effective for the re-
mainder of the current fiscal year.
Article 5. California Fresh Start Pilot
Program
§ 15566. Purpose and Scope.
This article specifies the policies and requirements of the California
Fresh Start (CFS) Pilot Program to promote the consumption of fresh
fruits and vegetables by schoolage children and to provide supplemental
State reimbursement for breakfast meals served that meet the require-
ments of the CFS Pilot Program.
NOTE: Authority cited: Sections 33031 and 49565.8, Education Code. Reference:
Section 49565, Education Code.
History
1. New article 5 (sections 15566-15569) and section filed 3-16-2006 as an emer-
gency; operative 3-16-2006 (Register 2006, No. 1 1). A Certificate of Com-
pliance must be transmitted to OAL by 7-14-2006 or emergency language will
be repealed by operation of law on the following day.
2. Repealer of article 5 (sections 15566-15569) and repealer of section by opera-
tion of Government Code section 1 1346.1(g) (Register 2006, No. 29).
3. New article 5 (sections 15566-15569) and section filed 7-21-2006 as an emer-
gency; operative 7-21-2006 (Register 2006, No. 29). A Certificate of Com-
pliance must be transmitted to OAL by 1 l-20-2(X)6 or emergency language
will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-21-2006 order transmitted to OAL
7-19-2006 and filed 8-30-2006 (Register 2006, No. 35).
§15567. Definitions.
As used in this article and the CFS Pilot Program, the term:
(a) "After school" means following the end of the school day. For kin-
dergarten pupils, "after school" means following the end of a morning or
afternoon session.
(b) "Deep-fried" means any fruit or vegetable cooked by total submer-
sion in oil or fat.
(c) "Department" means the California Department of Education.
(d) "Funds" means program reimbursement provided by the Depart-
ment pursuant to provisions of the CFS Pilot Program.
(e) "Fresh fruits or vegetables" means whole or portioned fruits or veg-
etables, including, but not limited to, those that are minimally processed.
Page 184.35
Register 2006, No. 35; 9- 1 -2006
§ 15568
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(0 "Fniil" means ripened seed-bearing part of a plant developed from
a flower, usually considered to be sweet and fleshy, as in apples, oranges,
plums or strawberries.
(g) "Fruit bar" means a self-service counter featuring an array of
fruits.
(h) "Give priority to" means that fresh faiits or vegetables shall be
served unless they are not reasonably available on a commercial basis
within program funds.
(i) "Grab and Go" means food that is packaged in a bag, box, or other
container that can be picked up quickly and eaten "on the go."
(j) "Juice" means the extractable liquid that is contained in fruits or
vegetables. Any liquid or frozen product labeled "juice," "full-strength
juice," "100 percent juice," "single-strength juice," or "reconstituted
juice" is included in this definition.
(k) "Meal" means breakfast, as defined in 7 CFR 220.2(b).
(/) "Minimally processed" means fruits and vegetables prepared and
handled to maintain their fresh nature while providing convenience to the
user by pre-cleaning, washing, trimming, coring, slicing, shredding, and
other similar actions. Other terms used to refer to minimally processed
products are "lightly processed," "partially processed," "fresh pro-
cessed," and "prepared."
(m) "Nonprofit [school] food service" means all food service opera-
tions conducted by the School Food Authority principally for the benefit
of school children, all of the revenue from which is used solely for the
operation or improvement of such food service.
(n) "Nutrition education" means a broad range of activities that pro-
mote and enable healthy eating behaviors.
(o) "Nutritious fruits or vegetables" means fruits or vegetables that are
fresh, or that are canned, dried, or frozen. Fruits or vegetables that are
canned, dried or frozen shall contain no added sweeteners other than 100
percent fruit juice.
(p) "School Breakfast Program" (SBP) means the federal program op-
erated pursuant to 7 CFR 220.
(q) "Serving" means an amount of fruit(s) and/or vegetable(s), equal
to one half (1/2) cup or as referenced in Charts 2 A and B of the USD A
Food Buying Guide for Child Nutrition Programs (2001 edition), which
is incorporated by reference.
(r) "Site" means a public elementary school, middle school, junior
high school, or high school, including a charter school, in California, op-
erating classes for pupils in a single building or complex of buildings, or
any public classes of preprimary grade when they are conducted in the
aforementioned school that participate in the School Breakfast Program.
(s) "Supplant" means "to substitute for" and/or "take the place of."
(t) "Supplement" means (1) an additional serving to the number of
fruit or vegetable servings provided in the SBP prior to claiming CFS Pi-
lot Program reimbursement, or (2) increasing, by no less than 90 percent
of the CFS Pilot Program reimbursement, the total expenditure for nutri-
tious fruits or vegetables served as part of a SBP.
(u) "Tasting and Sampling" means offering a taste or small portion of
fresh fruits and/or vegetables to pupils not as part of the SBP or National
School Lunch Program (NSLP).
(v) "Universal classroom breakfast" means providing all children
breakfast in the classroom at no charge.
(w) "Vegetable" means a plant cultivated for an edible part, such as the
root, stem, leaf, or flower, such as spinach, broccoli or carrot.
NOTE: Authority cited: Sections 3303 1 and 49565.8, Education Code. Reference:
Sections 49534 and 49565, Education Code; and Title 7 CFR Parts 220.
History
1 . New section filed 3-1 6-2006 as an emergency; operative 3-16-2006 (Register
2006, No. 1 1 ). A Certificate of Compliance must be transmitted to OAL by
7-14-2006 or emergency language will be repealed by operation of law on the
following day.
2. Repealed by operation of Government Code section 1 1 346. 1 (g) (Register 2006,
No. 29).
3. New section filed 7-21-2006 as an emergency; operative 7-21-2006 (Register
2006, No. 29). A Certificate of Compliance must be transmitted to OAL by
1 1-20-2006 or emergency language will be repealed by operation of law on the
following day.
4. Certi llcate of Compliance as to 7-2 1 -2006 order, including amendment of sub-
sections (e). (j). (o) and (u), transmitted to OAL 7-19-2006 and filed
8-30-2006 (Register 2006, No. 35).
§ 15568. Requirements for Participation.
All school districts and charter schools that operate a SBP are eligible
to participate in the CFS Pilot Program. To receive reimbursement, the
school district or charter school shall:
(a)(1) Provide one or more supplemental servings of nutritious fruits
or vegetables, or both, at breakfast, at no additional charge to a pupil and
give priority to serving fresh fruits or vegetables;
(2) If already serving two nutritious fruits and/or vegetables at a site
during breakfast, the district or charter school may provide one to two
servings of nutritious fruits or vegetables for after school snacks. Such
snacks do not need to be provided through the NSLP, but if they are, serv-
ing size requirements may differ from the one-half (1/2) cup required for
the CFS Pilot Program.
(b) Spend at least 90 percent of the CFS Pilot Program funding re-
ceived on the direct purchase of nutritious fruits or vegetables, or both,
and give priority to purchasing fresh fruits or vegetables while adhering
to state and federal procurement requirements.
(c) Not spend any of the funding for the purchase of juice or for the
provision of fruits and vegetables that have been deep fried.
(d) Provide data as required by the independent evaluator pursuant to
Education Code section 49565.7(b).
(e) Expend the CFS Pilot Program reimbursement funds only for the
benefit of participating school sites.
(0 Claim reimbursement only for meals that provide at least one serv-
ing of a nutritious fruit and/or vegetable that is not juice or a fruit or vege-
table that has been deep fried. Reimbursement can be claimed for meals
served on all or some school days.
(g) Promote the consumption of California-grown fruits and vegeta-
bles through the tasting and sampling of nutritious fruits and vegetables
as part of nutrition education at school sites participating in the CFS Pilot
Program. Strategies for nutrition education that include tasting and sam-
pling of nutritious fruits or vegetables, or both, may include, but are not
limited to:
(1) Educational sampling and tasting supported with nutrition educa-
tion.
(2) An offering of fruits or vegetables in the classroom that is rein-
forced with nutrition and agricultural bulletins.
(3) A monthly school campus farmers' market that highlights Califor-
nia fruits and vegetables for the student body to sample and taste, includ-
ing:
(A) Demonstration markets that allow students or school-sponsored
organizations to sell and offer samples of California's fruits and vegeta-
bles, obtained by the school, school district, or school organization di-
rectly from farmers to students.
(B) Certified farmers' markets operated by, or in coordination with,
students or school-sponsored organizations, on school grounds, in com-
pliance with applicable state statutes and regulations.
(4) A produce sampling program that supports a school garden's har-
vest through additional purchases of local, in-season fruits or vegetables
to be used for a sampling and tasting program for the school campus fea-
turing what is growing in the school garden.
NOTE: Authority cited: Sections 33031 and 49565.8, Education Code. Reference:
Sections 49565, 49565.1, 49565.2, 49565.3, 49565.4 and 49565.6, Education
Code.
History
1. New section filed 3-16-2006 as an emergency; operative 3-16-2006 (Register
2006, No. 11). A Certificate of Compliance must be transmitted to OAL by
7-14-2006 or emergency language will be repealed by operation of law on the
following day.
2. Repealed by operation of Government Code section 1 1346. 1(g) (Register 2006,
No. 29).
3. New section filed 7-21-2006 as an emergency; operative 7-21-2006 (Register
2006, No. 29). A Certificate of Compliance must be transmitted to OAL by
1 1 -20-2006 or emergency language will be repealed by operation of law on the
following day.
Page 184.36
Register 2006, No. 35; 9-1-2006
Title 5
California Department of Education
§ 15577
4. Ccrtillcatc of Compliance as to 7-21-2006 order, including amendment of sec-
tion, transmitted to OAL 7-19-2006 and filed 8-30-2006 (Register 2006. No.
§15569. Strategies.
NOTl',: Authority cited: Sections .3.3031 and 4956.S.8, Education Code. Reference:
Section 49,^65. ."i. Hducation Code.
History
1. New section filed .3- 16-2006 as an emergency; operative 3-16-2006 (Register
2006. No. 1 1 ). A Certificate of Compliance must be transmitted to OAL by
7-14-2006 or emergency language will be repealed by operation of law on the
following day.
2. Repealed by operation ofGovcmment Code section 1 1.346. 1(g) (Register 2006.
No. 29).
3. New section filed 7-2 1-2006 as an emergency; operative 7-21-2006 (Register
2006, No. 29). A Certificate of Compliance must be transmitted to OAL by
1 1 -20-2006 or emergency language will berepealedby operation of law on the
following day.
4. Certificaie of Compliance as to 7-21-2006 order, including repealer of .section,
transmitted to OAL 7-19-2006 and filed 8-30-2006 (Register 2006, No. 3.S).
Article 6. Food and Beverage
Requirements Outside of the Federal School
Meal Programs
§ 15575. Definitions for Foods.
As u.sed in this article, the term:
(a) "Dairy" means a food made from milk with the exception of chee.se
packaged for individual sale.
(b) "Entree item" means a food generally regarded as the primary food
in a meal and contains:
( 1 ) Two or more of the following groups: meat/meat alternate, grain/
bread, vegetable/fruit that are eaten together (e.g., turkey sandwich, piz-
za, hamburger on a bun, bean burrito, chefs salad, fruit and cheese plat-
ter, baked potato with chili, chicken vegetable stir-fry, veggie
sandwich), or
(2) A meat/meat alternate alone (e.g., sausage patty, egg, chicken nug-
gets), excluding nuts, nut butters, seeds, cheese, and yogurt.
(c) "Exempt foods" means nuts, nut butters, seeds, eggs, cheese pack-
aged for individual sale, fruits, vegetables that have not been deep fried,
and legumes that do not contain added sugars or fat, and
(1) Fruit that is dried and contains added sugar is exempt only if the
added sugar is part of the dehydration process or added as dextrose to pre-
vent caking and maintain flowability.
(2) Fruit that is canned or frozen is exempt only if it contains no added
sugar other than 100 percent fruit juice.
(d) "Full meal" means any combination of food items that meet the
United States Department of Agriculture (USDA) approved School
Breakfast Program or National School Lunch Program meal pattern re-
quirements found in 7 CFR 210.10 or 220.8.
(e) "Meat/meal alternates." "grain/breads," and "vegetables/fruits"
mean those described in the USDA 's Food Buying Guide for Child Nutri-
tion Programs (2001 edition) Sections 1 . 2. and 3, which is incorporated
by reference.
(f) "Non-exempt foods" means foods other than nuts, nut butters,
seeds, eggs, cheese packaged for individual sale, fruits, vegetables that
have not been deep fried, and legumes that do not contain added sugars
or fat.
(g) "Whole grain" means, but is not limited to, whole wheat flour, gra-
ham flour, cracked wheat, crushed wheat, wheat berries, entire wheat
Hour, whole durum flour, whole oats, oat groats, oatmeal, rolled oats,
whole com. whole grain cornmeal. popcorn, brown rice, brown rice
flour, wild rice, whole rye, whole rye flour, dehulled barley, dehulled
bariey flour, whole grain bariey, whole grain barley flour, buckwheat
groats, whole buckwheat flour, bulgur (cracked wheat), whole millet,
whole millet flour, whole quinoa, whole quinoa flour, whole spelt, whole
spelt flour, whole sorghum (milo), whole sorghum flour, whole triticale,
whole triticale flour.
(h) "Whole grain food item" means:
(1 ) For purchased grain or bread products:
(A) A product that contains the following statement: "Diets rich in
whole grain foods and other plant foods and low in total fat, .saturated fat.
and cholesterol, may help reduce the risk of heart disease and certain can-
cers", or
(B) The first listed grain ingredient is a whole grain, or
(C) If the first listed ingredient is not specifically identified as a whole
grain, documentation has been obtained within the previous 12 months
from the manufacturer that lists whole grains, which, when combined,
shall represent at least 51 percent of the weight of the total grains in the
product.
(2) For grain or bread products prepared by schools:
(A) The weight of the whole grains shall represent at least 5\ percent
of the total grain weight of the product.
NOTE: Authority cited: Section 33031, Education Code; Reference: Sections
49430, 49431 and 49431 .2, Education Code; and 7 CFR Parts 2 1 0. 1 0 and 220.8.
History
1. New article 6 (sections L5.'S7.'S- 1 5.578) and section filed 8-4-2008; operative
9-3-2008 (Register 2008. No. 32).
§ 15576. Definitions for Beverages.
As used in this article the term:
(a) "Beverage" means any potable liquid.
(b) "Electrolyte replacement beverage" means a potable liquid that
meets all of the following requirements:
( 1 ) Water as the first ingredient.
(2) Contains no more than 2.1 grams of added sweetener per lluid
ounce.
(3) Contains at least 10 milligrams but no more than 150 milligrams
of sodium per 8 ounces.
(4) Contains at least 10 milligrams but no more than 90 milligrams of
potassium per 8 ounces.
(5) Contains no added caffeine.
(c) "Milk" means cow's or goat's milk that:
(1) Contains Vitamin A, Vitamin D, and at least 25 percent of the
FDA-established Daily Value (DV) for calcium per 8 ounces.
(2) Contains no added sweeteners exceeding 28 grams of total sugars
per 8 ounces.
(3) Is two-percent fat milk, one-percent fat milk, or nonfat milk.
(d) "Non-dairy milk" alternative (e.g., rice milk, soy milk) means a
beverage that:
( 1 ) Contains Vitamin A, Vitamin D and at least 25 percent of the DV
for calcium per 8 ounces,
(2) Contains no added sweeteners exceeding 28 grams of tola! sugars
per 8 ounces, and
(3) Contains no more than 5 grams of fat per 8 ounces.
NOTE; Authority cited: Section 33031, Education Code. Reference: Section
49431.5, Education Code; and Sections 38181, 38191 and 3821 1, Food and Agri-
cultural Code.
History
1. New section filed 8^4-2008; operative 9-3-2008 (Regi.ster 2008, No. 32).
§ 15577. Food and Beverages Restrictions.
As used in this article the term:
(a) "Caloric restriction" means:
(1 ) In elementary schools, no more than 175 calories per item.
(2) In middle, junior, or high schools, no more than 250 calories per
item for a snack item and no more than 400 calories per item for an entree
item.
(b) "Fat restriction" means no more than 35 percent of calories from
fat.
(c) "Saturated fat restriction" means no more than 10 percent calories
from saturated fat.
(d) "Sugar restriction" means no more than 35 percent sugar by
weight.
(e) "Sugar" means all free mono- and disaccharides, such as glucose,
fructose, lactose, and sucrose.
Page 184.36(a)
Register 2(X)8, No. 32; 8-8-2(X)8
§ 15578
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
NOTE; Authority cited: Section 33031, Education Code. Reference: Sections
49430. 49431 and 49431.2. Education Code; and 21 CFR Part 101.9(c)(6)(ii).
History
1 . New section filed 8-4-2008; operative 9-3-2008 (Register 2(X)8, No. 32).
§ 1 5578. Sale of Food Items.
(a) Any food items appearing together on a menu and sold together as
if they were a single food item, and typically combined for simultaneous
consumption (e.g.. pita with hummus, salad with dressing, chicken patty
on a bun), shall be considered as one item for compliance ( 1 ) with the fat
restriction, saturated fat restriction, sugar restriction and caloric restric-
tion for a snack item or (2) with the fat restriction and caloric restriction
for an entre'e item.
(b) All non-exempt food items for sale must meet the fat restriction,
saturated fat restriction, sugar restriction and caloric restriction for a
snack item or the fat restriction and caloric restriction for an entree item.
(c) A food item for sale containing non-exempted foods or ingredients
combined with fruits, vegetables, nuts, nut butters, seeds, eggs, or le-
gumes shall comply with the restrictions for non-exempted foods as de-
scribed in section 15578(b).
(d) A food item for sale containing solely a mix of exempted foods is
exempt from the fat restriction, saturated fat restriction, sugar restriction
and caloric restriction.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
49430, 49431 and 49431.2, Education Code.
History
1 . New section filed 8-4-2008; operative 9-3-2008 (Register 2008, No. 32).
Chapter 16. Governing Boards of School
Districts
Subchapter 1 . Contracts with Federal
Agencies
Article 1 . Approval of Contracts
§ 1 6000. Approval of Contracts with Federal Agency.
The governing board of a school district shall not execute or complete
any contract, agreement or arrangement with any agency of the Federal
Government for any loan or advance to aid in financing the cost of archi-
tectural, engineering, and economic investigations and studies, surveys,
designs, plans, working drawings, specifications, procedures, and other
action preliminary to school plant construction until the Bureau of School
Facilities Planning, State Department of Education shall have given said
board its approval, in writing, of the school plant construction on account
of which such loan or advance is desired as conforming to the over-all
state policy for school plant construction.
Such approval shall include the following conditions:
(a) No payment due an architect or engineer under a contract between
the governing board of a school district and the architect or engineer for
the completion of preliminary plans which are subject to the approval of
the Bureau of School Planning, State Department of Education, shall be
inade from funds lent or advanced by any agency of the Federal Govern-
ment until such preliminary plans bear the written approval of said bu-
reau.
(b) No final payment for complefion of plans and specifications by the
architect and engineer under the contract between the school district and
the architect and engineer from funds lent or advanced by any agency of
the Federal Government shall be made without the written approval of
the Department of General Services required by Article 3 of Chapter 2
of Part 23 of the Education Code.
NOTE: Authority cited for Chapter 1 : Sections 331 13 and 33 11 4, Education Code.
Issuing agency: Superintendent of Public Instruction.
History
1. New Chapter 1 (§^ 16000 and 16001) filed 12-18-69; effective thirtieth day
thereafter (Register 69. No. 51).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
§ 16001 . Contracts with Federal Agency by School District
or County Superintendent of Schools.
NotE; Authority cited: Section 33113, Education Code. Reference: Sections
33 1 1 3 and 33 1 14. Education Code.
History
I . Repealer filed 1 2- 14-83; effective thirtieth day thereafter (Register 83, No. 5 i ).
Subchapter 2. Destruction of Records of
School Districts
Article 1. General Provisions
§16020. Definition of Records.
(a) As used in this article, "records" means all records, maps, books,
papers, and documents of a school district required by law to be prepared
or retained or which are prepared or retained as necessary or convenient
to the discharge of official duty.
NOTE: Authority cited: Section 35253, Education Code. Reference: Sections
35250-35255, Education Code.
History
1 . New Chapter 2 (§§ 16020-16030) filed 2-24-70; effective thirtieth day thereaf-
ter (Register 70, No. 9).
2. Amendment of subsection (b)(2) filed 2-18-71; effective thirtieth day thereaf-
ter (Register 71, No. 8).
3. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
4. Amendment filed 1 2-14-83; effective thirtieth day thereafter (Register 83, No.
51).
§ 1 6021 . Scope of Chapter.
History
I . Repealer filed 12-14-83; effective thirtieth day thereafter (Register 83, No. 5 1 ).
§16022. Classification of Records.
(a) Prior Year Records. Before January 1, the district superintendent
(or a person designated by the district not employing a superintendent)
shall review documents and papers originating during the prior school
year and classify them as Class 1 — Permanent, Class 2 — Optional, or
Class 3 — Disposable.
(b) Continuing Records. Records of a continuing nature, i.e., active
and useful for administrative, legal, fiscal, or other purposes over a peri-
od of years, shall not be classified until such usefulness has ceased. A pu-
pil's cumulative record, if not transferred, is a continuing record until the
pupil ceases to be enrolled in the district.
(c) Microfilm Copy. Whenever an original record is photographed,
microphotographed, or otherwise reproduced on film, the copy thus
made is hereby classified as Class 1 — Permanent. The original record,
unless classified as Class 2 — Opfional, may be classified as Class
3 — Disposable and may then be destroyed in accordance with this chap-
ter if the following conditions have been met:
( 1 ) The reproduction was accurate in detail and on film of a type ap-
proved for permanent, photographic records by the United States Bureau
of Standards.
(2) The superintendent has attached to or incorporated in the microfilm
copy his signed and dated certificafion of compliance with the provisions
of Section 1531 of the Evidence Code.
(3) The microfilm copy was placed in a conveniently accessible file,
and provision was made for preserving permanently, examining and us-
ing same.
(d) Any "historical inventory of equipment" shall be a continuing re-
cord as provided in subdivision (b) and shall not be subject to classifica-
fion for retention or destruction until the inventory is superseded or until
the equipment is removed from district ownership.
Page 184.36(b)
Register 2008, No. 32; 8-8-2008
Title 5
California Department of Education
§ 16023
NOTI-; Authority cited: Section 35253, Education Code. Refeience: Sections
35168 and 35254. Education Code.
History
1 . Amendment filed 1 2-14-83; effective thirtieth day thereafter (Register 83, No.
51).
Article 2. Period of Retention
§16023. Class 1— Permanent Records.
The original of each of the records listed in this section, or one exact
copy thereof when the original is required by law to he filed with another
agency, is a Class 1 — Permanent record and shall be retained indefinite-
ly, unless microfilmed in accordance with Section 16()22(c).
(a) Annual Reports.
( 1 ) Official budget.
(2) Financial report of all funds, including cafeteria and student body
funds.
(3) Audit of all funds.
(4) Average daily attendance, including Period 1 and Period 2 reports.
(5) Other major annual reports, includitig:
(A) Those containing information relating to property, activities, fi-
nancial condition, or transactions.
(B) Those declared by board minutes to be permanent.
(b) Official Actions.
( 1 ) Minutes of the Board or Committees Thereof, including the text of
a rule, regulation, policy, or resolution not set forth verbatim in the min-
utes but included therein by reference only.
(2) Elections, including the call, if any, for and the result (but not in-
cluding detail documents, such as ballots) of an election called, con-
ducted or canvassed by the governing board for a board member, his re-
call, issuance of bonds incurring any long-term liability, change in
maximum tax rates, reorganization, or any other purpose.
(3) Records transmitted by another agency that pertain to that agency's
action with respect to district reorganization.
(c) Personnel Records.
(1) Employees.
(A) All detail records relating to employment, assignment, amounts
and dates of service rendered, termination or dismissal of an employee
in any position, sick leave record, rate of compen.sation. .salaries or wages
paid, deductions or withholdings made and the person or agency to whom
such amounts were paid. In lieu of the detail records, a complete proven
summary payroll record for every employee of the school district con-
taining the same data may be classified as Class I — Permanent, and the
detail records may then be classified as Class 3 — Disposable.
(B) Information of a derogatory nature as defined in Education Code
Section 4403 1 shall be Class 1 — Permanent only after it becomes final.
This information becomes final when:
1 . The time for filing a grievance has lapsed, or
2. The document has been sustained by the grievance process.
(C) Information of a derogatory nature as defined in Education Code
Section 4403 1 shall be Class 3 — Disposable if prior to the effective date
of this section the document was subject of grievance process and was
not sustained.
(2) Pupils.
(A) The records of enrollment and scholarship for each pupil required
by Section 432.
(B) All records pertaining to any accident or injury involving a minor
for which a claim for damages has been filed as required by law, includ-
ing any policy of liability insurance relating thereto, except that these re-
cords cease to be Class 1 — Permanent records one year after the claim
has been settled or the statute of limitations has run.
(d) Property Records. All detail records relating to land, buildings, and
equipment. In lieu of such detail records, a complete property ledger may
[The next page is 184.37.]
Page 184.36(c)
Register 2008, No. 32; 8-8-2008
Title 5
California Department of Education
§ 16040
be classified as Class I — Permanent, and the detail records may then be
classified as Class 3 — Disposable, if the property ledger includes:
( 1 ) All fixed assets.
(2) An equipment inventory.
(}) For each unit of property, the date of acquisition or augmentation,
the person from whom acquired, an adequate description or identifica-
tion, and the amount paid, and comparable data if the unit is disposed of
by sale, loss, or otherwise.
NOTE; Authority cited: Section 35253, Education Code. Reference: Section
35253, Hducation Code.
History
1. Amendment of subsection (c)(2)(A) filed9~27-76;effectivethirtiethday there-
after (Register 76, No. 40).
2. Amendment ofsubsection (c)( 1 ) filed 5-3 1-78; effective thirtieth day thereafter
(Register 78. No. 22). Issuing agency: State Board of Education.
3. Amendment filed 12-14-83;effective thirtieth day thereafter (Recister 83, No.
51).
§ 16024. Class 2 — Optional Records.
Any record worthy of temporary preservation but not classified as
Class I -Permanent may be classified as Class 2-Optional and shall then
be retained until reclassified as Class 3-Disposable. If the superintendent
and governing board agree that classification should not be made by the
time specified in section 16022, all records of the prior year may be clas-
sified as Class 2-OpUonal pending further review and classification
within one year.
NOTE: Authority cited: Section 35253. Education Code. Reference: Section
35253, Education Code.
History
1 . Amendment filed 12-14-83; effective thirtieth day thereafter (Register 83, No.
51),
2. Editorial correction of printing error restoring dropped text (Register 91, No.
29).
§ 16025. Class 3 — Disposable Records.
All records not classified as Class I — Permanent or Class 2 — Opfional
shall be classified as Class 3 — Disposable, including but not limited to
detail records relating to:
(a) Records Basic to Audit, including those relafing to attendance, av-
erage daily attendance, or a business or financial transaction (purchase
orders, invoices, warrants, ledger sheets, cancelled checks and stubs, stu-
dent body and cafeteria fund records, etc.), and detail records used in the
preparation of any other report. Teachers' registers may be classified as
Class 3 — Disposable only if all informafion required in Section 432 is re-
tained in other records or if the General Record pages are removed from
the register and are classified as Class 1 — Permanent.
(b) Periodic Reports, including daily, weekly, and monthly reports,
bullefins and instrucfions.
History
1 . Repealer ofsubsection (c) filed 2-18-71; effective thirtieth day thereafter (Reg-
ister 71, No. 8).
2. Amendment filed 9-27-76; effective thirtieth day thereafter (Register 76, No.
40).
§ 16026. Retention Period.
A Class 3 — Disposable record shall not be destroyed until after the
third July 1 succeeding the complefion of the audit required by Education
Code Section 41020 or of any other legally required audit, or after the
ending date of any retention period required by any agency other than the
State of California, whichever date is later. A continuing record shall not
be destroyed until the fourth year after it has been classified as Class
3 — Disposable.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Amendment filed 12-6-77; effective thirtieth day thereafter (Register 77, No.
50).
§ 16027. Destruction of Records.
Unless otherwise specified in this chapter, all Class 3 — Disposable re-
cords shall be destroyed during the third school year after the school year
in which they originated (e.g., 1976-77 records may be destroyed after
July 1, 1980).
NOTE: Authority cited: Section 35253. Education Code. Reference: Section
35253, Education Code.
History
1 . Amendment filed 1 2-14-83; effective thirtieth day thereafter ( Retiister 83. No.
51).
§ 16028. Transfer of Records.
History
1. Amendment of subsections (a) and (b) filed 9-27-76: effective thirtieth day
thereafter (Register 76. No. 40).
2. Repealer filed 12-14-83;effectivethirtiethdaythereafter(Register83, No. 51 ).
Article 3. Steps in Destruction
NOTE: Authority cited: Section 35253, Education Code. Reference: Sections
35250-35255, Education Code.
History
1. Repealer of Article 3 (Sections 16029-16030) filed 1 1-9-79; effective thirtieth
day thereafter (Register 79. No. 45).
Subchapter 2.5. Historical Inventory of
Equipment
§ 1 6035. Definition of Terms.
(a) As used in this arficle, "historical inventory of equipment." herein
referred to as inventory, means a list, a card file, or electronic data-pro-
cessed information containing the description, name, identification num-
bers and original cost of all items of district-owned equipment whose
current market value exceeds $200 per item (or exceeds any lesser
amount approved by the local governing board), the date of acquisition,
the locafion of use, and the date and mode of disposal.
(b) Any other system in use in a school district on June 30, 1 973. may
be approved by the State Superintendent of Public Instruction after due
consideraUon of the requirements and suggestions in the State manuals.
Administration of School Risk Management Program and California
School Accounting, 1976.
(c) Any "historical inventory of equipment" shall be a continuing re-
cord as provided in Section 16022(d) herein and shall not be subject to
classification for retention or destruction until the inventory is supersed-
ed or until the equipment is removed from district ownership.
NOTE: Authority cited for Chapter 2.5 (Sections 16035 and 16036); Secfion
35168, Education Code.
History
1 . New Chapter 2.5 (Sections 16035 and 1 6036) filed .3-22-74; effective thirtieth
day thereafter (Register 74, No. 12).
2. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
3. Repealer of Article 1 heading only filed 9-1 3-84; effective thirtieth day thereaf-
ter (Register 84, No. 37).
§16036. Listing.
NOTE: Authority cited: Sections 33031 and 35168, Education Code. Reference:
Section 35168, Education Code.
History
1. Repealer of Article 2 heading and Section 16036 filed 9-13-84; effective thir-
tieth day thereafter (Register 84. No. 37). shall be kept as a Class 3 record and
shall be destroyed only in accordance with Section 16026.
Subchapter 3. School Libraries
Article 1 . School Library Services
§16040. Definitions.
(a) "School library services" include, but are not limited to, the provi-
sion, organization, and utilization of materials and related activities sup-
portive of the educational requirements prescribed by law and by the
school districts which may include the following:
Page 184J7
Register 2005, No. 23; 6-10-2005
§ 16041
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(1) Library Instniction — Provide instruction to students that will en-
able them to become proficient users of library resources; and provide in-
service training for teachers.
(2) Curriculum Development — Provide information to teachers and
administrators concerning sources and availability of instructional mate-
rials that will aid in the development of school curriculum; team with
classroom teachers to develop units of instruction and activities using li-
brary resources in the instructional programs.
(3) Materials Selection — Provide assistance to teachers and students
in the evaluation, selection, production, and uses of instmctional materi-
als.
(4) Access to Materials and Information Resources — Provide a collec-
tion of materials and resources that support the curriculum and are appro-
priate for user needs. Plan a functional system, procedures, and services
for maximum utilization of resources.
(5) Professional Development — Assist teachers, administrators, and
other school staff members in becoming knowledgeable and current con-
cerning appropriate uses of library media services, materials and equip-
ment.
(b) A "School Library" is an area or group of areas where a program
of information sources, associated equipment, and services from appro-
priate staff are accessible to pupils and school personnel and may be iden-
tified by each school district by any title which is descriptive of its func-
tion such as Learning Resource Center, Library Media Center, or
Instructional Materials Center.
NOTE: Authority cited: Sections 18101 and 33031, Education Code. Reference:
Section 18100, Education Code.
History
1 . New Chapter 3 (§§ 16040-16043) filed 3-24-72; effective thirtieth day thereaf-
ter (Register 72, No. 13).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
3. Amendment filed 9-23-85; effective thirtieth day thereafter (Register 85, No.
39).
§ 1 6041 . Content of School Libraries.
Each school district may provide in its libraries books, reference
books, periodicals, photographs, pictorial or graphic works, maps,
charts, globes, sound recordings, films, filmstrips, kinescopes, video
tapes, videodiscs, video cassette recorders, other printed or audio visual
materials, and high technology systems such as computers approved for
use in the schools by the governing board pursuant to Article 1 (com-
mencing with Section 18100) of Chapter 2 of Part 11 of the Education
Code.
NOTE: Authority cited: Sections 18101 and 33031, Education Code. Reference:
Sections 18100, 18131 and 18170, Education Code.
History
1, Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Amendment filed 9-23-85; effective thirtieth day thereafter (Register 85, No.
38).
§ 16042. Services for Pupils and Teachers.
Opportunity is to be afforded pupils to borrow school library materials
at no charge for use in the district's libraries, classrooms and out-of-
school. A school district shall make no charge for the late return of library
materials unless authorized to do so by the governing board of such dis-
trict. Pupils and teachers are assisted in the selection and use of school
library materials.
§ 16043. Duties of Library Personnel.
Persons employed by a school district as school librarians, assisted by
other certificated personnel where deemed necessary, are responsible to
perform the duties assigned by the school district governing board, in-
cluding, but not limited to, supplementing classroom instruction, helping
and instructing pupils in the choice and use of library materials, planning
and coordinating school library programs with the instructional pro-
grams of a school district, selecting materials for school libraries, and
conducting a planned course of instruction for those pupils who assist in
the operation of school libraries, subject to such policies, rules and regu-
lations as may be established by the governing board for the operation
and utilization of school libraries. Classified personnel assigned school
library duties are to be under the supervision of certificated personnel;
instructional aides assigned to school libraries are subject to the provi-
sions of Education Code Sections 45340 through 45349; pupils are under
the supervision of certificated personnel.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39),
Chapter 17. County Superintendents
Subchapter 1. Duties of the County
Superintendent
Article 1 . Services to School Districts and
the California Department of Education
§ 17101. Definition of "Under Review."
For the purposes of ensuring the use and sufficiency of state adopted
textbooks and instructional materials and standards-aligned textbooks
and instructional materials that are adopted by local governing boards,
pursuant to Section 1240(i)(3) of the Education Code, schools "under re-
view" are schools undergoing interventions pursuant to Sections
52055.5(b)(2), 52055.51, or 52055.650(e) of the Education Code.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
1240, 52055.5, 52055.51, 52055.640 and 52055.650, Educafion Code.
History
1. Amendment of article heading and new section filed 6-8-2005; operative
6-8-2005 pursuant to Government Code secfion 1 1343.4 (Register 2005, No.
23).
Article 2. Reports to the State Department
of Education
NOTE: Authority cited: Secfion 1243, Education Code. Reference: None.
History
1 . New Chapter 1 filed 2-24-70; effecfi ve thirtieth day thereafter (Register 70, No.
9).
2. Amendment of section and NOTE filed 9-23-77; effecfive thirtieth day thereaf-
ter (Register 77, No. 39).
3. Repealer of Article 2 (Section 17220) filed 11-9-79; effective thirtieth day
thereafter (Register 79, No. 45).
Subchapter 2. Fiscal Responsibilities of
the County Superintendent
Article 1. Report of Miscellaneous Funds
Pursuant to Education Code Section 17606
§17260. Time of Report.
The county superintendent of schools shall report on or before August
1st of each year the amount of miscellaneous funds which each district
under his jurisdiction has received and which has been deposited to the
credit of the general fund of the district during the preceding fiscal year.
The report shall be made on forms prescribed by the Superintendent of
Public Instruction.
NOTE: Authority cited for Article 1: Section 41604, Education Code. Issuing
agency: Superintendent of Public Instrucfion.
History
1. New Chapter 2 (§§ 17260-17262, 17270-17278, 17280-17283, 17290-17292,
17300-17308, 17320-17322, 17340-17347, 17360-17363) filed 2-24-70; ef-
fective thirtieth day thereafter (Register 70, No. 9).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
Page 184.38
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Title 5
California Department of Education
§ 17276
§ 1 7261 . Funds to Be Reported.
Miscellaneous funds as defined in Education Code Section 41604
which shall be reported by a county superintendent include but are not
limited to:
(a) Payments by the federal, state, county or city government or any
agency of any such government that are payments in lieu of taxes. (State
lax relief subventions for homeowners and business inventory tax relief
are not "payments in lieu of taxes."")
(b) Payments by the federal, state, county or city government or by any
private individual, partnership, company, or corporation of all or a por-
tion of the royalties and bonuses received from the operation of any law
or under the terms of any agreement.
(c) Payments by any governmental agency, private individual, part-
nership, company or corporation for rental of property owned by the
school district and not on the tax rolls of the district in an amount that ex-
ceeds the actual expense of operating and maintaining the property.
(d) Payments received from or on account of school district property
or any other property within the district or State not being assessed for
tax purposes and not being used for school purposes.
History
I . Amendment tiled 9-23-77; effective thirtieth day thereafter (Recister 77, No.
39).
§ 1 7262. Funds Not to Be Included.
Miscellaneous funds as defined in Education Code Section 41604 do
not include:
(a) Payments of federal forest reserve funds.
(b) Payments of Indian education reimbursement funds.
(c) Payments for tuition of nonresident pupils attending the schools of
the district.
(d) Payments from the Veterans Administration for services rendered
to veterans.
(e) Payments received as a part of any state apportionment made under
the provisions of the Education Code or as a part of any federal-state ap-
portionment for vocational type courses.
(f) Payments received as interest from cash on deposit and investments
in United States bonds.
(g) Payments received for sale of property or from insurance indemni-
ties.
History
I . Amendment tiled 9-23-77; effective thirtieth dav thereafter (Register 77, No
39).
Article 2.
Allowances for Emergency
Purposes
§17270. Application.
The provisions of this article prescribed the conditions under which al-
lowances will be made to meet conditions of an emergency nature requir-
ing one or more of the following:
(a) The establishment and maintenance of emergency elementary
schools.
(b) The providing of emergency teachers to regular elementary
schools.
(c) The providing of emergency transportation to regular elementary
schools.
(d) Emergency apportionments to school districts.
NOTE; Authority cited for Article 2: Section 14050(f), Education Code. Issuing
agency: Superintendent of Public Instruction.
History
1 . Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
§17271, "Emergency" Defined.
For the purpose of granting allowances to meet emergency conditions,
an "emergency" is an extraordinary condition not of a continuing or per-
manent nature that cannot be met with the available funds of a .school dis-
trict, or from funds to be apportioned to the .school district from the State
School Fund during the then current fiscal year, or from other available
funds.
§ 17272. Allowances for Emergency Elementary Schools.
The direct operation of education programs, which may be financed
in part by allowances from the county school service fund, is limited to
emergency elementary schools for normal pupils, as authorized by Sec-
tion 1920 of the Education Code.
The proposed expenditures by county superintendents for such emer-
gency elementary schools shall be submitted on the annual budget forms
as prescribed by the Superintendent of Public Instruction. Such expendi-
tures as are properly justified will be approved as a part of the county
school service fund budget. Allowances of service funds to the counties,
when expenditures exceed the regular state allowances and other avail-
able funds, will be made only on a reimbursement basis following actual
expenditure. Claims for reimbursement shall be presented on forms pre-
scribed by the Superintendent of Public Instruction.
History
1. Amendment tiled 9-23-77; effective thirtieth day thereafter (Register 77. No.
39).
§ 17273. Other Emergency Financial Aid to School
Districts.
Emergency financial aid may be granted to school districts, other than
by the direct operation of education programs, as follows:
(a) Employment of emergency teachers for assignment to school dis-
tricts for the instruction of normal pupils, as authorized by subdivision
(b) of Section 1920 of the Education Code.
(b) Payment of transportation costs for normal pupils attending ele-
mentary schools, as authorized by subdivision (c) of Section 1 920 of the
Education Code.
(c) Apportionment to districts for current expense, as authorized by
subdivision (a) of Section 1602 of the Education Code.
(d) Apportionment to districts for transportation of pupils to and from
school to meet temporary emergency conditions, as authorized by subdi-
vision (b) of Section 1602 of the Education Code.
(e) Tuition to high .school districts for the education of pupils residing
on military reservations, as authorized by Sections 37106-371 1 1 of the
Education Code.
(0 Apportionment to districts with resident cerebral palsied minors
who attend special schools or classes in other districts if such districts of
residence are financially unable to pay the tuition charges of the districts
of attendance, as authorized by Section 56720 of the Education Code.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§ 17274. Allowances for Emergency Financial Aid.
Proposed expenditures and apportionments for emergency financial
aid described in Section 17273 shall be submitted on the annual budget
forms as prescribed by the Superintendent of Public Instruction. A de-
tailed statement of the emergency existing, the cause or reason for the
emergency, and the need for an allowance shall be provided. Subsequent
to the actual expenditure, a claim for reimbursement shall be presented
on Form J^, "Claim for Reimbursement for the County School Service
Fund."
§ 17275. Use of Funds of Suspended School Districts.
No allowances shall be made from the county school service funds for
the operation of emergency schools for normal pupils located in a sus-
pended district until all existing ftinds of the suspended school district are
exhausted.
§17276. Use of Forest Reserve Funds.
When proposing an allowance from the county school service funds
for emergency financial aid to a school district eligible to receive county
forest reserve school funds, certification shall be made by the county su-
Page 184.39
Register 2004, No. 24; 6- 11 -2004
§ 17277
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
periniendent of schools that an apportionment from the latter funds is not
possible.
§ 17277. Approvals by County Board of Education.
The direct operation of education programs, as set forth in Section
17272, or the granting of financial aid to school districts, as set forth in
Section 1 7273, must be approved by the county board of education, and
a copy of that board's resolution shall accompany any claim for reim-
bursement for the operation of an education program or any proposal for
allowances for other financial aids.
§ 17278. Final Filing Date for Claims.
No claim for reimbursement of expenditures for the purposes enumer-
ated in this article shall be allowed by the Superintendent of Public In-
struction unless the claim is received by him prior to the tenth day of June
of the fiscal year in which the expenditures were made.
Article 3. Reimbursement of Travel
Expense in Connection with Cooperative
County Publication Projects
§17280. Application.
The provisions of this article prescribe the conditions under which the
Superintendent of Public Instruction will make allowances to reimburse
necessary and actual travel expenses of county superintendents of
schools or their designated staff members in connection with cooperative
county publication projects.
NOTK: Authority cited for Article 3: Sections 14050 and 14052, Education Code.
Issuing agency: Superintendent of Public Instruction.
History
1 . Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77. No. 39).
§17281. Definition.
A cooperative county publication project for the purpose of this article
is a joint endeavor by two or more counties initiated by the Superinten-
dent of Public Instruction or by county superintendents with the approval
of the Superintendent of Public Instruction to develop written materials
for publication that will be used in connection with the curricular and spe-
cial services of the county superintendents.
§ 17282. Allowances for Reimbursement.
Anticipated travel expenses in connection with co-operative publica-
tion projects shall be budgeted as a part of the proposed expense of the
budget class to which the publication relates.
If additional funds are required, they shall be derived from the other
purpose balances of the participating counties. If no such funds exist in
any of the participating counties, a claim against the contingency fund
may be submitted along with a county school service fund budget revi-
sion and a memorandum of explanation. The claim shall be presented on
forms prescribed by the Superintendent of Public Instruction.
§ 17283. Final Filing Date for Claims.
No claim for reimbursement of expenditures in connection with coop-
erative county publication projects shall be allowed by the Superinten-
dent of Public Instruction unless such claim is received by him prior to
the tenth day of June of the fiscal year ending June 30th in which the ex-
penditures were made.
Article 4. Purchasing and Replacing of
Capital Outlay Items
§17290. Application.
The provisions of this article govern the purchasing and replacing of
capital outlay items by a county superintendent of schools from county
school service funds. These provisions do not apply to the purchasing and
replacing of automotive equipment. The latter subjects are included in
Article 6 of this subchapter.
NOTE: Authority cited for Article 4: Section 14050, Education Code. Issuing
agency; Superintendent of Public Instruction.
History
1 . Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77. No. .■^9).
§ 1 7291 . Purchasing Procedure,
A county superintendent shall purchase a capital outlay item involving
an expenditure of more than two thousand five hundred dollars ($2,500)
through the county purchasing agent, or he shall make the purchase di-
rectly from a vendor only after having secured in writing from responsi-
ble vendors at least three estimates of the cost of the item. The county su-
perintendent of schools shall purchase the capital outlay item at the
estimated cost from the vendor who submits the lowest estimate meeting
the prescribed specifications, or shall reject all estimates. The provisions
of this section shall not apply to the purchasing of films, filmstrips, and
books.
History
]. Amendment filed 5-2-75; effective thirtieth day thereafter (Register 75, No.
18).
§ 17292. Limitations on Purchases.
The county superintendent shall observe the following limitations in
purchasing or replacing capital outlay items:
(a) For the operation of a library and supplementary book service, the
purchases of books and other instructional materials shall be limited to
those books and materials adopted by the county board of education.
(b) For the operarion of audio-visual services, the purchases of films
and film strips shall be limited to films and film strips adopted by the
county board of education.
(c) The purchase of projection equipment shall be limited to:
( 1 ) Equipment for use of the staff of the county superintendent of
schools for authorized curricular and special services.
(2) Equipment for use of such staff in programs of orienting school dis-
tricts to audio-visual services.
(3) Equipment for loan to school districts in emergency cases of break-
down or failure of district-owned equipment.
(4) Equipment for use in educational services.
Article 5. Purchase, Replacement,
Operation, and Maintenance of Automotive
Equipment
§ 17300. Application.
The provisions of this article govern the purchase, replacement, opera-
tion, and maintenance of automotive equipment, title to which will be or
is vested in the office of the county superintendent.
Note: Authority cited for Article 5: Section 14050, Education Code. Issuing
agency; Superintendent of Public Instruction.
History
1 . Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
§17301. Purchasing Procedure.
The county superintendent shall make an initial or replacement pur-
chase of a motor vehicle, trailer, or other item of automotive equipment
involving an expenditure of more than three thousand five hundred dol-
lars ($3,500) through the county purchasing agent or he shall make the
purchase directly from the vendor only after having secured in writing
from responsible vendors at least three estimates of the cost thereof. The
county superintendent of schools shall purchase the equipment at the es-
timated cost from the vendor who submits the lowest estimate meeting
the prescribed specifications, or shall reject all estimates.
History
1. Amendment filed 5-2-75; effective thirtieth day thereafter (Register 75, No.
18).
Page 184.40
Register 2004, No. 24; 6- 1 1-2004
Title 5
California Department of Education
§ 17320
§ 17302. Motor Vehicle and Trailer Purchases.
The county supeiintendeni shall observe the following limitations in
the purchase of motor vehicles and trailers:
(a) A motor vehicle purchased primarily for the transportation of staff
personnel shall be an automobile of the light car class.
(b) A motor vehicle of the light car class shall be as described in the
specifications provided by the Superintendent of Public Instruction.
(c) A motor vehicle purchased for the transportation of pupils shall
meet all requirements of Chapter 4 (commencing with Section 14200) of
Division 13 relative to pupil transportation.
(d) A motor vehicle to be used primarily for the transportation of
equipment or supplies shall be purchased only after the Superintendent
of Public Instruction has approved the specifications therefor and the jus-
tification for the use thereof.
(e) A motor vehicle or trailer designed and built for a special use or
uses shall be purchased only after the Superintendent of Public Instruc-
tion has approved the specifications therefor and the justification for the
use thereof.
§ 17303. Motor Vehicle Replacements.
For a vehicle to be replaced, one of the following conditions shall exist,
or prior to the end of the budget year will exist, with respect to the vehicle
being replaced:
(a) The age of the vehicle exceeds four years since the date of first reg-
istration.
(b) The total mileage on the vehicle exceeds fifty thousand (50,000)
miles.
(c) The operating cost per mile is excessive due to unusual conditions,
or will, in the future, be excessive due to unusual need for repair.
(d) The vehicle has been so damaged by casualty that the cost of repair
would be excessive.
(e) There are special circumstances, other than those specified in (a)
through (d), which justify replacement.
§ 17304. Repair and Replacement of Parts of Passenger
Type Vehicles.
Where damages to passenger type vehicles due to casualty not covered
by insurance are suffered to the extent that repair and replacement of
parts on vehicles are not possible within the budgeted allowances for op-
eration and maintenance and normal replacement, sufficient amounts
may be allowed from available funds by transfer through use of the pre-
scribed budget revision forms.
§ 17305. Public Liability and Property Damage Insurance.
The county superintendent shall insure the office of the county super-
intendent against liability (other than a liability which is insured against
under the provisions of Divisions 4 and 5 of the Labor Code) for damages
by reason of death, or by reason of injury to person or property, resulting
from the use of any motor vehicle or trailer to which the office of the
county superintendent has title. The insurance shall be procured from an
admitted insurer and shall be in an amount deemed by the county superin-
tendent of schools to be appropriate. When a county superintendent of
schools holds title to five or more motor vehicles and trailers and the cost
of the insurance is charged to county school service funds, the insurance
shall be at rates applicable to motor vehicle fleets.
§17306. Comprehensive Insurance.
(a) The county superintendent shall insure the office of the county su-
perintendent against loss or damage with respect to commercial type mo-
tor vehicles, such as trucks, buses, trailers, and special type mobile units,
due to fire, theft, collision, upset, or other casualties ordinarily included
in provisions for comprehensive coverage. Collision insurance may be
of the type commonly referred to as "deductible."
(b) The county superintendent may insure his office against such
losses with respect to passenger type motor vehicles.
(c) Insurance shall be procured from an admitted insurer and shall be
in an amount deemed by the county superintendent o\' schools to be ap-
propriate.
§17307. Maintenance Procedures.
When the cost of operation and maintenance of motor vehicles and
trailers is paid from the county school service fund, the county superin-
tendent shall comply with the following:
(a) Motor vehicle fuel shall be purchased from either of the following:
(1) County-owned garage facilities.
(2) A private vendor, after the county superintendent has secured in
writing from responsible vendors at least three estimates of the cost. The
county superintendent shall purchase the fuel at the estimated cost from
the vendor who submitted the lowest estimate meeting the prescribed
specifications, or shall reject all estimates.
(b) When repair of motor vehicle or trailer involves more than six
hundred dollars ($600) and is to be made in other than a county-owned
garage, the county superintendent shall secure in writing from responsi-
ble persons or firms at least three estimates of the cost thereof and shall
authorize the repair to be made at the estimated cost from the person or
firm who submits the lowest estimate meeting the prescribed specifica-
tions, or he shall reject all estimates.
History
1. Amendment filed 5-2-75; effective thirtieth day thereafter (Register 75. No.
18).
§ 17308. Conditions Governing the Operation of Motor
Vehicles and Trailers.
When the cost of maintenance or operation of motor vehicles and trail-
ers is paid from the county school service fund, a county superintendent
and his employees shall comply with the following conditions regarding
the use and operation of such vehicles and trailers:
(a) All motor vehicles and trailers shall be adequately identified as
property of the office by the affixing of suitable seals or by other methods
showing suitable insignia or descripfion.
(b) The county superintendent shall designate the normal storage loca-
tion for all motor vehicles and trailers under his jurisdiction, and all such
vehicles and trailers shall normally be garaged at such locations.
(c) Motor vehicles and trailers shall be used only in the conduct of offi-
cial business; i.e., driven, or in the case of a trailer drawn by a motor ve-
hicle driven, by the county superintendent or by an employee of his office
acting in the performance of. or necessary to, or in the course of, official
duties. Any other use, including use for driving to and from the county
superintendent's or the employee's home, unless the county superinten-
dent or the employee is departing or returning from an official trip or un-
less his home is the officially designated storage station, will be consid-
ered misappropriation for private use.
Article 6. Coordination of the Educational
Program by the County Superintendent
§17320. Definition.
For the purposes of Section 1703 of the Education Code, coordination
of the educafional program consists of the actions, efforts, and proce-
dures of a county superintendent, directed to one or more districts, to:
(a) Enforce minimum educational standards
(b) Improve the educafional program
(c) Promote order and reasonable uniformity in the educational pro-
gram
(d) Effect working relationships between school districts and other
agencies serving youth whose functions are related to the programs of the
public schools
(e) Promote effective and efficient operation of the programs of in-
strucfion and special services in the areas of courses of study, guidance
services, health services, special education, attendance activities, library
services, audio-visual services, and advisory services in school business
administrafion among the districts under his jurisdiction.
Page 184.41
Register 2004, No. 24; 6- 1 1 -2004
§ 17321
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
NOTE: Authority cited for Article 6: Section 1703. Education Code. Issuing
agency: Superintendent of Public Instruction.
History
1. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
§ 1 7321 . Level at Which Services to Be Provided,
Coordination provided shall be at the district level through working
with district personnel who are responsible for the conduct in the district
of the service so that the service will supplement the work or responsibili-
ties assigned to members of the staff of the district, and not supplant dis-
trict personnel or the work and assignments that normally are given to
staff members of a district.
§ 1 7322. Responsibility of District.
Coordination services provided by the county superintendent of
schools shall be with full recognition that the responsibility for operating
the educational program and for effecting internal improvements in a dis-
trict is the responsibility of the governing board of the school district, and
such program and improvements shall be effected and financed by the
school district.
Article 7. County School Service Fund
Budget Procedures
§ 17340. Submitting the Budget.
The county superintendent shall, on or before June 30 of each year,
submit to the Superintendent of Public Instruction a proposed budget as
approved by the county board of education for the succeeding fiscal year,
on forms prescribed by the Superintendent of Public Instruction, pur-
suant to the provisions of Section 14050 of the Education Code.
NOTE; Authority cited: Section 14050, Education Code. Reference: None.
History
1 . Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
2. Amendment filed 1 1-9-79; effective thirtieth day thereafter (Register 79, No.
45).
§ 1 7341 . Tentative Approval of Budget.
The budget shall be tentatively approved by the Superintendent of
Public Instruction on or before July 1 to provide a basis for operation dur-
ing the early months of the fiscal year and to determine the amount of the
advance apportionment to be certified under the provisions of Section
41330 of the Education Code.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§ 17342. Approval of Final Budget.
(a) Immediately after certification of average daily attendance pur-
suant to Education Code Section 41303, the Superintendent of Public In-
struction shall adjust the tentatively approved budget, if necessary, in or-
der to:
(1) Assure certification of an amount under the provisions of Section
41332 of the Education Code not in excess of the amount provided by
law.
(2) Recognize the differences between the actual data for the preced-
ing fiscal year as of June 30 and the estimated amounts used in giving ten-
tative approval of the budget.
(b) The Superintendent of Public Instruction shall notify the county su-
perintendent of adjustments made in the tentatively approved budget.
The notice constitutes final approval of the budget.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§17343. Budget Review.
In determining the necessary expenses, the Superintendent of Public
Instruction shall consider but not be limited to the following:
(a) The explanations and justifications supporting the budget request.
(b) The level of expenditures for the two preceding fiscal years.
(c) The available net beginning balances and estimated income other
than state aid.
(d) The necessity of pilot projects of statewide interest or of nonrecur-
ring items of expense.
(e) The authorization for the use of the county school service fund to
pay for those services prescribed in Chapter 6, Part 2 of the Education
Code (commencing at Section 1700) and as specifically authorized in
Section 1500 of the Education Code.
(f) The adherence to applicable provisions of the Education Code and
of this title.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77. No.
39).
§ 17344. Appropriation for Contingencies.
In addition to expenditures, the county superintendent may request,
and the Superintendent of Public Instruction may approve, an appropri-
ation for contingencies, not to exceed 5 percent of the approved expendi-
tures from state funds in the budget. Amounts from the appropriation for
contingencies may be made available for expenditures during the fiscal
year upon approval by the Superintendent of Public Instruction, under the
provisions of Section 1604 of the Education Code, of a request for revi-
sion of the approved budget.
History
1. Amendment filed 6-7-74; effective thirtieth day thereafter (Register 74, No.
23).
2. Amendment of section and repealer of NOTE filed 9-23-77; effective thirtieth
day thereafter (Register 77, No. 39).
§17345. Cumulative Reserve.
In addition to normal expenditures, the county superintendent may re-
quest and the Superintendent of Public Instruction may approve a special
reserve for the accumulation of funds over a period of years for the re-
placement of equipment and for capital outlay purposes. The request for
a cumulative reserve shall be accompanied by a resolution of the county
superintendent, with the approval of the county board of education, set-
ting forth the purpose of each reserve, the amount to be accumulated each
fiscal year, and the plan of expenditure. The cumulative reserve may be
expended upon approval by the Superintendent of Public Instruction. The
county superintendent shall, on or before July 10 of each fiscal year, re-
port to the Superintendent of Public Instruction the expenditures made
during the preceding fiscal year in compliance with the resolution and the
approved budget revision. Any moneys not expended for the purposes
specified in the resolution, in conformance with the plan prescribed and
approved, shall be considered available for general support of the budget
for the succeeding year.
§ 17346. Trust Accounts.
The moneys deposited to the credit of the county school service fund
which remain in expendable trust accounts established for the purposes
specified in an agreement with the donor or grantor, and not contem-
plated to be expended from the county school service fund during the
budget year, shall not be considered by the Superintendent of Public In-
struction as available for meeting the needs of the current year. On or be-
fore July 10, the county superintendent of schools shall file a report with
the Superintendent of Public Instruction indicating the nature of such ex-
pendable trust accounts, the purposes for which the moneys are to be ex-
pended, the unexpended portion remaining from previous receipts, the
amount expended for the preceding year, and the amount proposed for
expenditure during the budget year.
Gifts, grants, and contributions received which are not restricted for
specific purposes shall be considered available for meeting the needs of
the current year.
Page 184.42
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 17401
§ 17347. Publications Included in Budget.
For the purposes of Education Code Section 14052, a publication is
any written, taped, or graphically presented communication, except a
communication lor use only in the operation of the office of the county
superintendent of schools or by cooperating agencies in the selection for
use of audio-visual, library, and instructional materials, that meets all of
the following criteria:
(a) The communication is prepared by. or intended for distribution by.
the county superintendent of schools in accordance with rules and regula-
tions of the county board of education.
(b) It is produced to disseminate information, data, or instructions re-
lating to any service the county superintendent of schools is authorized
to provide.
(c) It is approved by the county board of education.
History
I . Amendment filed 9-2.V77; effective thirtieth day thereafter (Resisler 77, No.
Article 8. County Tax for the Identification
and Education of Physically Handicapped
Minors by a County Superintendent
§ 17360. Requirement of a Tax Levy.
Whenever under Education Code Section 1850 a county superinten-
dent is required, or under Education Code Section 1852 is permitted to
maintain, or to contract with a school district or another county superin-
tendent of schools to provide, a program for the identification and educa-
tion of minors living in the county and in a school district who are consid-
ered to be physically handicapped under the provisions of Education
Code Sections 56700 and 56701 (hereinafter called physically handi-
capped minors), the board of supervisors shall levy an identical rate of
tax upon the taxable property in each school district in which such minors
live and which are designated as the responsible districts under Educa-
tion Code Section 56710.
NOTE: Authority cited for Article 8: Section 1836, Education Code. Issuing
agency: Superintendent of Public Instruction.
History
1 . Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
§17361. Definitions.
For the purposes of computing the tax as provided in this article, the
following definitions apply:
(a) "Schools or classes" are those categories of instruction identified
in the Education Code as: regular day classes, remedial classes in special
physical education classes, other remedial classes, individual instruc-
tion, and special day classes.
(b) The "average daily attendance" is the estimated average daily at-
tendance of pupils in the appropriate schools during the fiscal year taxes
are levied and consistent with that used for computing the foundation
program for apportionments from the State School Fund.
(c) The "total assessed valuation" of the districts is the sum of the as-
sessed valuations of each district as modified in computing equalization
aid allowances from the State School Fund.
(d) The "cost of the education" is the current expense of education as
defined in the CaUfomia School Accounting Manual, less any expendi-
tures for the rental of property.
(e) "Capital outlay" includes expenditures for sites, improvement of
sites, buildings, and equipment, as defined in the California School Ac-
counting Manual.
§ 1 7362. Determination of Amount.
The total amount of money required to be raised by the tax pursuant
to Section 17360 shall be computed as follows:
Current Expense of Education S
Less, Rental of Property S
Cost of Education (Section 17361(d)) S
Capital Outlay (Section 17361(e)) 3>
Plus. Rental of Property $ $
Total, Cost of Education and Capital Outlay $
Less, State Apportionment to
County School Service Fund S
Net Prior Year Adjustment S
Total Tax Required $
§17363. Restricted Account.
The tax collected shall be deposited in the county school service fund
and the revenues and expenditures shall be accounted separately within
such fund. If the collection is in excess of the expenses of educating the
physically handicapped pupils, or if there is a deficiency, the excess or
deficiency shall be applied to reduce or increase the amount, as the case
may be. which would otherwise be required in succeeding fi.scal years.
Article 9. Petty Theft Fine Fund
§ 17370. Establishment and Allocations.
The county superintendent of schools may. with the approval of the
county board of supervisors, establish in the County School Service Fund
Budget, a Petty Theft Fine Fund pursuant to Penal Code Section
490.5(d). Allocation of such funds shall be made by the county superin-
tendent to school districts submitting project applications for educational
programs providing counseling or other educational services designed to
discourage shoplifting, theft, and burglary. The county superintendent
shall review the project applications to ensure that the proposed use of
such funds shall be for newly developed programs which supplement
rather than supplant existing programs. A portion of the Petty Theft Fine
Fund may be retained by the county superintendent for necessary costs
of administration. A district shall budget and account for the use of Petty
Theft Fine Fund income separately within the general fund of the district.
NOTE: Authority and reference cited: Section 490.3(d), Penal Code.
History
1. New Article 9 (Section 17370) filed 12-6-77; effective thirtieth day thereafter
(Register 77, No. 50).
Subchapter 3. Destruction of Records of a
County Superintendent
Article 1. General Provisions
§17401. Definitions.
(a) Records. "Records," as used in this article, mean all records, maps,
books, papers, and documents of a county superintendent that he is re-
quired by law to prepare or retain or which he prepares or retains as neces-
sary or convenient to the discharge of his official duty, except that:
(1) The record, map, book, paper, or document shall have been pre-
pared, preserved, or maintained by the county superintendent with re-
spect to a matter of state concern, i.e., a matter dealing directly with the
administration and government of the public schools, including, but not
being limited to:
(A) Records relating to the county school service fund.
(B) Records relating to any activity financed by the county school ser-
vice fund.
(C) One exact copy of an original, made by carbon or other duplicating
process other than a photostatic or microfilmed copy, when the original
is required by law to be filed with another agency.
(D) All other records prepared, preserved, or maintained pursuant to
a state statute, except as specified in subsection (2) of this section.
(2) The term does not include the records, maps, books, papers or doc-
uments, destruction of which is provided for in the Government Code,
such as the following:
Page 184.43
Register 2004, No. 24; 6- 1 1 -2004
§ 17403
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(A) Records relating to county matters, such as expenses and travel
costs financed from the county general fund and matters imposed by
county ordinance.
(B) Records of a county board of education and of a county committee
on school district organization.
(b) Microfilm Copy. "Microfilm" copy means the same as in Section
16022(d), except that the copy was prepared under the direction of the
county superintendent.
NOTE: Authority cited: Section 1246, Education Code. Issuing agency: Superin-
tendent of Public Instruction.
History
1. New Chapter 3 ( §§ 17401. 17403, 17404) filed 2-24-70; effective thirtieth day
thereafter (Register 70, No. 9).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
Article 2. Authorization and Procedure
§ 1 7403. Applicable Provisions of Sections 1 6020 through
16028.
Sections 16020(b), 16021 and 16022 through 16028 apply to the re-
cords of the county superintendent, except that for the purposes of this
chapter where the expression "superintendent" or "school district" is
used it means the county superintendent and where the term "governing
board" is used it means the county board of education.
NOTE: Authority cited: Section 1246, Education Code. Reference: None.
History
1. Amendment filed 1 1-9-79; effective thirtieth day thereafter (Register 79, No.
45),
§ 17404. Classification of Records Filed by Districts.
The county superintendent shall classify as Class 3 — Disposable or as
Class 2 — Optional any record other than an original record required to
be filed with him by a school district. Copies of district invoices, war-
rants, ledger sheets, attendance reports, and correspondence are exam-
ples of records that may be so classified.
Subchapter 4. Travel Expenses for County
Superintendents of Schools and Designated
Staff Members
§17430. Application.
This chapter applies to the payment of travel expenses and related al-
lowances incurred by the county superintendent of schools and staff
members as authorized by Education Code Sections 1080(b). 1081,
1200, 1201 and 1942. Payments for such expenses are authorized within
the following criteria:
(a) The travel expenses are incurred either by the county superinten-
dent or members designated to incur travel expenses from funds under
the control of the county superintendent.
(b) The travel expenses are incurred for curricular and special services
or other activities legally authorized to be performed by the county super-
intendent of schools and staff members.
NOTE: Authority cited for Chapter 4: Sections 1942 and 14050, Education Code.
Issuing agency: Superintendent of Public Instruction.
History
1 . New Chapter 4 (§§ 17430-1 7436) filed 2-24-70; effecfive thirtieth day thereaf-
ter (Register 70, No. 9).
2. Repealer of Chapter 4 (Sections 17430-17436) and new Chapter 4 (Sections
17430-17436) filed 5-2-75; effective thirtieth day thereafter (Register 75, No.
18). For former history, see Register 73, No. 16.
3. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
§17431. Definitions.
(a) Headquarters — The headquarters of the county superintendent and
staff members is the main office of the county superintendent. The
county superintendent may establish an alternate location as headquar-
ters for designated staff members if these individuals are required to
spend more than fifty (50) percent of their time at an alternate location.
Headquarters shall be established for each staff member whose duties
require travel and each staff member's residence shall be noted.
(b) Curricular and Special Services — Curricular and special services
are those services authorized or required by law to be provided to the
school districts of the county that are financed from the county school
service fund.
(c) Other Acfivifies. Other acfivities are defined as those functions au-
thorized by law or regulation to be performed by the county superinten-
dent of schools.
§ 17432. Conditions of Payment.
The county superintendent may pay from funds under his or her con-
trol travel expenses incurred by the county superintendent and desig-
nated staff members if the following conditions are met:
(a) A claim has been filed in accordance with this article.
(b) The travel expenses were actual and necessary or meet the criteria
established by the county board of education pursuant to these regula-
uons.
(c) The expenses are authorized under Secfions 1080(b), 1081, 1200,
1201 and 1942 of the Education Code.
History
1 . Amendment of subsection (c) filed 9-23-77; effective thirtieth day thereafter
(Register 77, No, 39).
§ 17433. Claims for Travel Expense.
A claim for travel expenses shall be submitted in accordance with rules
and regulations adopted by the county board of educafion pursuant to
Secfions 1040 and 1042 of the Education Code. The following minimum
requirements shall apply:
(a) The purpose of the trip is shown.
(b) Sufficient detail is provided to establish that the expenses incurred
were actual and necessary to accomplish the purpose of the travel.
(c) The claim is approved by an officer designated by the county super-
intendent.
(d) Accompanying the claim are receipts or vouchers except for the
following:
( 1 ) Where published tariffs are available, and the travel is wholly with-
in the State.
(2) Where subsistence allowance is paid for travel within the State.
(3) Taxi or hotel bus fares.
(4) Fares and tolls paid for public transit, ferries, and bridges. (5) Long
distance telephone or telegraph charges under $2.50.
(6) All legal expenditures of $1.00 or less.
(7) Parking fees less than $3.00.
(e) Any claim shall be disapproved which does not comply with the
minimum provisions set forth in this section.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§17434. Subsistence Allowances.
A per diem allowance may be claimed pursuant to this section. Travel
shall have been more than 10 miles from the employee's headquarters.
(a) In-state Travel. Educafion Code Secfions 1080(b), 1081 and 1942
provide that actual and necessary travel expenses may be paid to a county
superintendent and designated staff members in accordance with regula-
fions established by the county board of educafion subject to the follow-
ing requirements:
(1) The county board of educafion shall adopt regulafions providing
for no greater than the actual and necessary travel expenses of the county
superintendent and designated staff members.
(2) For those offices of county superintendent of schools where the
staff is comprised of a combination of employees employed directly by
the county superintendent and employees assigned to the county superin-
tendent by the county board of supervisors, the county board of educafion
may adopt the same travel and per diem rules for employees of the county
Page 184.44
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 17602
•
•
•
superintendent as the county board of supervisors has adopted for their
employees.
(b) Out of State Travel. For out of state travel a county superintendent
and designated staff members shall be authorized only those actual and
necessary travel expenses which are provided for by regulations adopted
by the county board of education.
(c) Lunch Allovk/ance. On certain types of one-day trips as, for exam-
ple, trips routinely made for an extended period of time to the same place
or over the same route, the necessity for employees to incur additional
expenses for meals should be questioned. The person approving the
claim will determine the necessity for meal allowance in such cases pur-
suant to regulations adopted by the county board of education.
(d) Meal Allowance. When an employee is required to work by a su-
pervisor more than two hours past the normal quilting time (which re-
quires working more than 10 hours) and it is unreasonable to expect the
employee to return to his or her residence for meals, reimbursement may
be allowed for actual cost of a meal not to exceed $5.00 for the evening
meal and up to $4.00 for all others. An additional meal allowance may
be allowed for each additional six hours worked; a total of up to three
overtime meal allowances in any 24-hour period may be allowed. No
overtime meal will be allowed if an employee also claims per diem.
History
1. Amendinent of subsection (a) filed 9-23-77: effective thirtieth day thereafter
(Register77, No. 39).
§17435. Transportation Allowances.
NOTE: Authority cited: Section 1942, Education Code. Reference: Section 1942,
Hducation Code.
History
1. Repealer tiled 6-16-82; effective thirtieth day thereafter (Register 82, No. 25).
§ 17436. Budgeting and Accounting for Travel Expense.
The amounts required for travel expenses for a county superintendent
and staff members will be reviewed by the Superintendent of Public In-
struction as part of the budget and financial reporting processes.
Chapter 18. California State Special
Schools for the Deaf or Blind, or State
Diagnostic Centers
Subchapter 1. Employees
Article 1 . Pay Plan for the Exempt Teaching
Staff of the State Special Schools and
Diagnostic Centers
§17600. Application of Article.
This article applies to a person employed by a state special school or
diagnostic center, and who is appointed to a classification designated ex-
empt from civil service under California State Constitution, article VII,
section 4(i). If the provisions of this article are in conflict with the provi-
sions of a memorandum of understanding reached pursuant to Govern-
ment Code section 3517.5, the memorandum of understanding shall be
controlling.
NOTE: Authority cited: Sections 59(X)3, 59103 and 59203, Education Code. Ref-
erence: Sections 59003. 59103 and 59203, Education Code.
History
1. New Chapter 1 (§§ 17600-17608, 17625-17629, 17630-17634, 17640-17642,
17645-17649) filed 12-18-69; effective thirtieth day thereafter (Register 69,
No. 51).
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77. No. 39).
3. Amendment of chapter heading filed 8-13-2(X)7; operative 8-13-2007 pur-
suant to Government Code section 1 1 343.4 (Register 2007, No. 33).
4. Amendment of chapter heading, article heading, section and Note filed
9-24-2007; operative 10-24-2007 (Register 2007, No. .39).
§17601. Definitions.
The following words have in this Chapter the meaning specified in this
section:
(a) "Administrator" means the site superintendent of a special school
or the director of a diagnostic center.
(b) "Annual school term salary" means the product of 1 2 times an em-
ployee's monthly salary specified for the position.
(c) "Employee" means a member of the exempt teaching staff of a spe-
cial school.
(d) "Exempt classification" means a classification established to
employ persons exempt from civil service under California Constitution
Article VII, section 4(i).
(e) "Exempt staff means all employees, unless otherwise excluded,
appointed to an exempt classification.
(f) "Full-time service" means full-time service as one of the follow-
ing:
(1 ) A school term employee, for 90% of the work days in one schot)l
term applicable to the employee.
(2) A fiscal year employee, for 90% of the work days in one fiscal year.
(g) "Managerial employee" means an employee appointed to an ex-
empt classification that is designated managerial under Government
Code section 3513(e).
(h) "Personal Leave Day" means a day during the school term which
may be used without reduction of salary.
(i) "School holiday" means a day designated as a school holiday in the
academic calendar of the special school.
(j) "School term" means the period beginning in any fiscal year with
the first day upon which members of the exempt staff who are employed
for the school term are required to be present for duty and ending in the
following calendar year with the last day those members are required to
be present for duty, and shall include at least 184 work days. The total
number of workdays in the school term may vary by exempt classifica-
tion and by special school.
(k) "Special school" means any one campus of the California Schools
for the Deaf (CSD), the California School(s) for the Blind (CSB). or the
State Diagnostic Centers.
(/) SSPI" means State Superintendent of Public Instruction.
(m) "Summer Session" means a period between the end of one school
term and the beginning of the following school term during which ex-
empt staff members may be present for duty.
(n) "Supervisory employee" means an employee appointed to an ex-
empt classification that is designated supervisory under Government
Code section 3513(g)
(o) "Vacation credit" means time for which the employee may be ab-
sent from duty on pay status.
(p) "Workday" means each day during the school term designated by
the administrator as a workday for exempt employees, regardless of
whether or not any such workday is a legal holiday. Said workdays shall
be designated for any five days per week during the school term unless
an academic holiday or holidays fall thereon.
NOTE: Authority cited: Sections 59003, 59103 and 59203. Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
H [STORY
1. New subsection (h) filed 1-26-79; effective thirtieth day thereafter (Register
79, No. 4).
2. Amendment of section and Note filed 9-24-2007; operative 10-24-2007
(Register 2007, No. 39).
§ 17602. Fixing of School Term, Summer Session, and
School Holidays.
The administrator of a special school shall annually for pay plan pur-
poses:
(a) Fix and publish the academic calendar of the special school includ-
ing the beginning and ending dates of the school term as it applies to the
exempt staff and, if a summer session is held, the summer session. Any
combination of work days in any fiscal or calendar year is allowed for the
school term or the summer session subject to the minimum number of
work days set forth in section 17601 (j).
Page 184.45
Register 2007, No. 39; 9-28-2007
§ 17603
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(b) Publish in the academic calendar of the special school all days des-
ignated by the administrator as school holidays.
(c) Certify to the SSPI and to the State Controller:
( 1 ) The beginning and ending dates of the school term and of the sum-
mer session.
(2) The number of exempt staff workdays in the school term and sum-
mer session, respectively.
(3) The number and dates of school holidays in the school term and
summer session, respectively.
(4) The school term, workdays, and school holidays for each exempt
school term classification.
NOTE; Authority cited: Sections 59003. 59103 and 59203. Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1 . Amendment of section heading and section and new Note filed 9-24-2007; op-
erative 10-24-2007 (Register 2007, No. 39).
§17603. Amendment of Calendar.
The administrator, subject to the approval of the SSPI or designee,
may, at any time during the year, certify to the SSPI and the State Control-
ler an amendment to the calendar previously submitted.
NOTE: Authority cited: Sections 59003, 59103 and 59203, Education Code. Ref-
erence: Sections 59003, 59103 and 59203. Education Code.
History
1 . Amendment of section and new Note filed 9-24-2007; operative 10-24-2007
(Register2007, No. 39).
§ 17604. Categories of Employees for Pay Plan Purposes.
For pay plan purposes, the following categories of employees of the
special schools are established:
(a) School term employee — an exempt employee who is required to
render service for only the school term at a special school.
(b) Summer session employee — an exempt employee employed to
render service in a summer session conducted by a special school.
(c) Fiscal year employee — an exempt employee employed to render
service in a special school for the full fiscal year.
(d) Substitute teacher — an exempt employee who is employed for a
limited period to perform the duties of a teacher who is absent from duty.
(e) Reader for the blind — an exempt employee whose duties are to
read for blind persons.
NOTE: Authority cited: Sections 59003. 59103 and 59203, Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Amendment of section heading and section and new Note filed 9-24-2007; op-
erative 10-24-2007 (Register 2007, No. 39).
§ 1 7604.1 . Establishment of Exempt Classifications.
The SSPI or designee shall establish, modify, or abolish exempt classi-
fications. For each classification and assignment the SSPI may determine
the minimum requirements, including experience, education, and license
or credential, consistent with California licensing or credentialing re-
quirements. One or more classifications may be established with the title
of teacher, teacher specialist, supervising teacher, assistant site superin-
tendent, site superintendent, diagnostic center director, substitute teach-
er, reader for the blind, or other title as deemed necessary.
NOTE: Authority cited: Sections 59003, 59103 and 59203, Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1 . New section filed 9-24-2007; operafive 10-24-2007 (Register 2007, No. 39).
§ 17605. Effective Date of Initial Appointment.
The effective date of the appointment of an exempt employee of a spe-
cial school shall be the date the employee reports for duty.
NOTE: Authority cited: Sections 59003, 59103 and 59203. Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1 . Amendment of section and new Note filed 9-24-2007; operative 10-24-2007
(Register 2007, No. 39).
§ 1 7605.1 . Failure to Meet a Requirement for Continuing
Employment.
An employee who fails to meet a requirement for continuing employ-
ment, including the possession of a license or credential, may be termi-
nated, demoted, or transferred by .serving upon the employee, either per-
sonally or by certified mail, a written notice thereof, at least five calendar
days prior to the effective date of the action. The notice shall inform the
employee of the proposed action and allow the employee the opportunity
to discuss it with the SSPI or designee prior to the effective date. Within
thirty days after receipt of notice of action under this section the em-
ployee may appeal the action to the State Personnel Board (SPB). When
the employee regains the requirement for continuing employment, the
employee may be reinstated to the position.
NOTE: Authority cited: Sections .59003. 59103 and 59203. Education Code. Ref-
erence: Sections 59003. 59103 and 59203, Education Code.
History
1 . New section filed 9-24-2007; operative 10-24-2007 (Register 2007, No. .39).
§ 17606. Pay Plan for School Term Employee.
(a) Pay for Entire School Term. A school term employee who com-
pletes all the service required for an entire school term shall for such ser-
vice be paid his or her annual school term salary in installments payable
on state pay days covering the period of one year beginning with the ef-
fective date of his appointinent to the position. The first installment shall
be paid on an appropriate state pay day following the effective date of his
appointment for the year and shall be the amount of the established
monthly salary for the position. If such employee separates from the posi-
tion following the completion of assigned duties in the position but prior
to the end of the period of a year, the employee may on separation be paid
as a final settlement the unpaid balance of the salary due, such balance
to be computed by taking into account changes, if any, in the salary rate
and time base. Such balance will equal the amount which the employee
would have been paid if employment had continued until the end of the
period of a year. For each month the employee works one-half or more
of the workdays certified to the Controller for that month the employee
shall be granted a qualifying pay period.
(b) Interim Adjustment in Pay Due to Noncompensable Absence. If,
because of a late start or noncompensable absence of a school term em-
ployee, it is necessary to reduce the salary payment for any state pay peri-
od, the interim reduction for that period shall be computed as follows:
(1) First Step — Divide the annual salary by 210. The annual salary
shall be the monthly salary rate in effect at the time of dock multiplied
by twelve.
(2) Second Step — Divide the number of hours on dock by 8.
(3) Third Step — The amount of dock shall be the result of the first step
multiplied by the result of the second step.
(c) If the amount of dock computed in any one pay period would result
in zero or minus pay, the dock pay shall be calculated as follows:
( 1 ) First Step — Divide the annual salary by 210. The annual salary
shall be the monthly salary rate in effect at the time of dock multiplied
by twelve.
(2) Second Step — Divide the number of hours on dock by 8.
(3) Third Step — The amount of dock shall be the result of the first step
multiplied by the result of the second step.
(d) Settlement Payments. A school term employee who serves less
than a school term, or whose pay has been adjusted due to a late start or
a noncompensable absence, or who has had a change in time base, or who
is transferred to service in a position other than as a school term employee
shall, on the state pay day immediately following the final state pay peri-
od for which appointed and served or at the time separated or transferred
from the school term position, receive a final settlement payment com-
puted in accordance with the following formula:
(1) First step — The total salary earned equals the total days worked
by the employee divided by the number of workdays in the school term
for the employee's classification; the resulting figure is multiplied by the
employee's annual school term salary.
•
•
Page 184.46
Register 2007, No. 39; 9-28-2007
Title 5
California Department of Education
§ 17628
•
(2) Second step — The amount ofsetllemenl pay equals ihe total salary
earned minus the salary payment previously received by the employee
for the current school term.
(e) Report to Controller. The final settlement payment shall be com-
puted by the special school and a copy of such computation furnished lo
the Slate Controller.
NOTt;: Authority cited: Sections 59003, 591 13 and 59203, Education Code. Ref-
erence: Section 59003. 591 13 and 59203. Hducalion Code.
History
1. Amendment of .subsection (b) filed 9-12-SO; effective thirtieth day thereafter
(RegisterSO. No. 37).
2. Amendment of section and Noii; filed 9-24-2007: operative 10-24-2007
(Register 2007. No. 39).
§ 17607. Pay Plan for Summer Session Employee.
For service during the summer session, an exempt employee, except
a fiscal year employee, shall be paid at the rate established for the summer
sesssion position, but not to exceed a total of two months' salary, in addi-
tion to any salary due for service during the school term.
NoTt:: Authority cited: Sections 59(K)3, 59103 and 59203. Education Code. Ref-
erence: Sections 59003. 59103 and 59203, Education Code.
History
1. Amendment of section and new Note filed 9-24-2007: operative 10-24-2007
(Register2007, No. 39).
§ 17608. Pay Plan for Other Exempt Employees.
(a ) The workdays and pay plan for a fiscal year exempt employee shall
be the same as for a slate civil service employee. The employee shall be
paid at the established salary rate for the position on each slate pay day
for the time served during the immediately preceding slate pay per-
iod.Whenever a school work day falls on a state holiday the adminLstralor
may authorize appropriate compensation for working on the holiday.
(b) A substitute teacher or reader for the blind shall be paid at the estab-
lished daily or houriy rale for the position on each stale pay day for the
time served during the immediately preceding state pay period.
NOTE; Authoritv cited: Sections 59003, 59103 and 59203, Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1 . Amendment of section heading and section and new NoTi: filed 9-24-2007; op-
erative 10-24-2007 (Register 2007, No. 39).
§ 17609. Personal Leave Days.
The SSPI or designee may authorize one or more personal leave days
for each exempt employee, except a substitute teacher or reader for the
blind, in conformance with criteria and procedures developed and ad-
ministered by the California Departinent of Education.
NoTE: Authority cited: Sections 59003, 59103 and 59203, Education Code. Ref-
erence: Sections 59003, 59103 and 59203. Education Code.
History
1. New section filed 1-26-79; effective thirtieth day thereafter (Register 79, No.
4).
2. Amendment of section heading, section and NOTt filed 9-24-2007; operative
10-24-2007 (Register 2007, No. 39).
Article 2. Work Days and Vacation Credit
§ 17624. Application of Article.
This article applies lo a person employed by a stale special school or
diagnostic center, and who is appointed to a classification designated ex-
empt from civil service under California Stale Constitution, article VII,
seclion4(i). If the provisions of this article are in conflict with the provi-
sions of a memorandum of understanding reached pursuant to Govern-
ment Code section 3517.5, the memorandum of understanding shall be
controlling.
NOTE: Authority cited: Sections 33119, 59003, 59103 and 59203, Educafion
Code. Reference: Sections 331 19. 59003. 59103 and 59203, Education Code.
History
1. Amendment of article heading and new section filed 9-24-2007; operative
10-24-2007 (Register 2007, No. 39).
§17625. Definitions.
Definitions contained in article 1 apply to this article.
NOTE; Authority cited: Sections 33119, 59003, 59103 and 59203. Education
Code. Reference; Sections 331 19, 59003, .59103 and .59203. Education Code.
HiSIORY
1 . Amendment of NOTE filed 9-23-77; effective thirtieth dav thereafter ( Reiii.ster
77, No. .39).
2. Amendment of section and Non filed 9-24-2007; operative 10-24-2007
(Register 2007, No. 39).
§ 17626. Categories and Classifications of Employees.
Categories of employees contained in section 17(i04. and classifica-
tions of employees contained in section 1 7604. i . apply to this article.
NOTE; Authority cited: Sections 33119, 59003, 59103 and 59203, Education
Code. Reference: Sections 331 19. 59003, 59103 and 59203. Education Code.
History
1 . Amendment of section heading and section and new Noti. filed 9-24-2007; op-
erative 10-24-2007 (Register 2007, No. 39).
§ 17627. School Term Exempt Employees.
(a) Each school term employee is not required to work on days falling
between the end of one school term and the beginning of the next school
term, or on holidays during the school term as certified to the Slate Con-
troller on the academic calendar for the employee's exempt classifica-
tion. A school term employee does not earn additional compensation for
time worked on an official state holiday.
(b) A supervising teacher in the CSD or in the CSB shall be employed
for a school term of at least 1 94 days.
(c) An assistant superintendent in the CSD or in the CSB shall be
employed for a school term of at least 204 days.
(d) A supervising teacher in the Diagnostic Center shall be employed
for a school term of at least 219 days.
(e) A diagnostic center director shall be employed for a school term of
at least 224 days.
(f) A school term employee does not earn vacation credit.
NOTE: Authority cited: Sections 33119, 59003. 59103 and 59203. Education
Code. Reference: Secfions 331 19, 59003, 59103 and 59203, Education Code.
History
1. Amendment filed 8-15-77; effective thirtieth day thereafter (Register 77, No.
34).
2. Amendment of section heading and section filed 9-24-2007; operative
10-24-2007 (Register 2007, No. 39).
§17628. Fiscal Year Employees.
(a) Vacauon Credit for Full-time Employment. On the day following
completion of six qualifying pay periods of continuous service, an em-
ployee rendering full-fime service as a fiscal year employee shall be al-
lowed 10 1/2 workdays of vacation credit. Thereafter, for each additional
qualifying pay period such employee shall be allowed on the first day of
the following pay period 1 3/4 workdays of vacafion credit.
(b) Vacation Credit for Less Than Full-time Employment. A fiscal
year employee rendering service on less than a full-time basis, and who
has completed at least six qualifying pay periods of continuous .service
in this type of position, shall for such service be allowed on the first day
of the pay period following completion of 960 hours of paid employment
in the position or posiuons 10 1/2 workdays of vacation credit. Thereaf-
ter, on the first day of the pay period following completion of additional
service of 160 hours in the position or positions, the employee shall for
that service be allowed 1 3/4 workdays of vacation credit.
(c) Accumulation. A fiscal year employee shall be permitted to accu-
mulate and to be paid for vacation credit in accordance with the provi-
sions of California Code of Regulations, title 2, sections 599.737 and
599.738.
(d) Right to Vacafion. The administrator of the special school in which
a fiscal year employee is employed shall determine when the employee
shall take vacation. In the event the administrator does not provide vaca-
tion for an employee sufficient to reduce accumulated vacation credit to
the amount permitted by secfions 599.737 and 599.738 as of January 1 ,
the provisions of California Code of Regulafions, fitle 2, section 599.742
shall apply.
Page 184.47
Register 2007, No. 39; 9-28-2007
§ 17629
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(e) A site superintendent in the CSD or in the CSB shall be a fiseal year
employee. The SSPI or designee may establish other exempt classifica-
tions in which a person may be employed for the fiscal year.
NOTE: Authority cited: Sections .13119, .59003. 59103 and 59203, Education
Code. Reference: Sections 331 19, 59003. 59103 and .59203. Education Code.
History
I . Amendment of section and new NoTii filed 9-24-2007: operative 10-24-2007
(Register2007, No. 39).
§ 17629. Summer Session Employees, Substitute
Teachers, and Readers for the Blind.
(a) An employee rendering service as a suinmer session employee, a
substitute teacher, or a reader for the blind does not earn vacation credit
for such service.
(b) A summer session employee does not earn additional compensa-
tion for time worked on an official state holiday.
Note: Authority cited: Sections 33119, 59003. 59103 and 59203. Education
Code. Reference: Sections 331 19, 59003, 59103 and 59203, Education Code.
History
1 . Amendment of section and new N()Tt£ filed 9-24-2007; operative 10-24-2007
(Register 2007, No. 39).
Article 3. Tenure Rights of Exempt Staff
§ 17630. Definitions. [Renumbered]
History
1 . Amendment of article heading and renumbering of former section 1 7630to new
section 17630.2 filed 9-24-2007; operative 10-24-2007 (Register 2007, No.
39).
§ 1 7630.1 . Application of Article.
This article applies to a person employed by a state special school or
diagnostic center, and who is appointed to a classification designated ex-
empt from civil service under California State Constitution, article VII,
section4(i), except a person employed temporarily. Substitute teacher
and reader for the blind shall be temporary appointments for purposes of
tenure. If the provisions of this article are in conflict with the provisions
of a memorandum of understanding reached pursuant to Government
Code section 3517.5, the memorandum of understanding shall be con-
trolling.
Note: Authority cited: Sections 59003, 59103 and 59203, Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1 . New section filed 9-24-2007; operative 10-24-2007 (Register 2007. No. 39).
§ 17630.2. Categories and Classifications of Employees,
and Definitions.
(a) The categories of employees established by section 17604 and the
exempt classifications established by section 17604.1 apply to this ar-
ticle, except as excluded in section 17630.1.
(b) Definitions contained in section 17601 apply to this article.
(c) A "pre-tenure employee" means an exempt employee at a particu-
lar special school who does not have tenure.
(d) 'Tenure" means the right, under the provisions of this article, of an
employee to continued full-time employment in an exempt classification
that is not designated supervisory under Government Code section
35 1 3(g) or managerial under Government Code section 35 1 3(e). at a par-
ticular special school, subject to resignation, dismissal, suspension, or
termination.
(e) A "tenure employee" means an exempt employee who has met the
tenure requirements under the provisions of section 17631.
NOTE: Authority cited: Sections 59003, 59103 and 59203, Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1. Renumbering of former section 17630 to new section 17630.2, including
amendment of section heading and section and new Note, filed 9-24-2007; op-
erative 10-24-2007 (Register 2007, No. 39).
§ 1 7631 . Acquisition of Tenure.
Tenure is acquired by meeting all of the requirements specified in any
one of the following subsections:
(a) Full-time service as a pre-tenure employee at one special school
in one or more exempt classes, except service in classes excluded from
tenure in sections 17630.1 and 17632(c), for three successive school
terms or fiscal years, as applicable; and commencement of service upon
reappointment for full-time service at that special school for the next
school term or fiscal year, as applicable. The tenure is in that special
school.
(b) Voluntary transfer, including transfer in lieu of layoff, promotion,
or demotion, of a tenure employee at one special school to another special
school; full-time service for one school term, or fiscal year, as applica-
ble, immediately following the transfer, in the special school to which the
employee so transferred; and commencement of service upon reappoint-
ment for full-time service at that special school for the next school term
or fiscal year, as applicable. At the date of commencement of service for
the second school term, or fiscal year, as applicable, at that special
school, the transferee shall lose tenure at the special school from which
transferred, and shall have tenure at the special school to which trans-
ferred. If the transferee is notified that commencement of service for the
second school term, or fiscal year, as applicable, will not occur, the trans-
feree shall be reinstated to the special school from which transferred and
appointed to the classification at which tenure is earned at that special
school. If such reinstatement creates a need for a layoff at the special
school to which returned, the layoff provisions under sections
17638-17642, inclusive, shall apply.
(c) Transfer of a pre-tenure employee from a special school to a newly
established special school for the same type of student; rendition of full-
fime service for three successive school terms or fiscal years, as applica-
ble, at either or both of such special schools, and commencement of ser-
vice upon appointment for full-time service at the newly established
special school for the next school term or fiscal year, as applicable. At the
date of such commencement of service, the transferee shall lose all rights
toward tenure at the school from which transferred and shall have tenure
only at the special school to which transferred.
(d) Full-time service in a special school by a pre-tenure employee for
at least one school term or fiscal year, as applicable; transfer, including
promotion or demotion, to an existing special school and rendition of
full-time service therein for two successive school terms or fiscal years,
as applicable; and commencement of service therein upon reappointment
for full-time service at that special school for the next school term or fis-
cal year, as applicable. At the date of commencement of service under
such reappointment, the transferee shall lose all rights toward tenure at
the school from which transferred and shall have tenure only at the spe-
cial school to which transferred.
NOTE: Authority cited: Sections 59003, 59103 and 59203, Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1. Amendment of section and new Note filed 9-24-2007; operative 10-24-2007
(Register 2007, No. 39).
§ 17632. Tenure of a Supervisory or Managerial Employee.
(a) A supervisory employee at a school for the deaf or school for the
blind may acquire tenure only as a teacher.
(b) A supervisory employee at a diagnostic center may acquire tenure
only as a teacher specialist.
(c) A managerial employee does not acquire tenure for such service.
NOTE: Authority cited: Sections 59003, 59103 and 59203, Education Code. Ref
erence: Sections 59003, 59103 and 59203, Education Code.
History
1 . Amendinent of section heading and section and new Note filed 9-24-2007; op-
erative 10-24-2007 (Register 2007, No. 39).
•
•
Page 184.48
Register 2007, No. 39; 9-28-2007
Title 5
California Department of Education
§ 17646
§ 17633. Reappointment and Notice of Intention Not to
Reappoint. [Repealed]
History
1. Repealer filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§ 17634. Acceptance of Appointment or Reappointment.
[Repealed]
History
1 . Repealer filed 9-24-2007; operative 10-24-2007 (Register 2007. No. 39).
Article 4. Separation of Employees for Lack
of Funds or Lack of Work
§ 17638. Application of Article.
This article applies to a person employed by a state special school or
diagnostic center, and who is appointed to a classification designated ex-
empt from civil service under California State Constitution, article VII,
section4(i). If the provisions of this article are in conflict with the provi-
sions of a memorandum of understanding reached pursuant to Govern-
ment Code section 3517.5, the memorandum of understanding shall be
controlling.
NOTE: Authority cited: Sections 59003, 59103 and 59203, Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1. Amendment of article heading and new section filed 9-24-2007; operative
10-24-2007 (Register 2007, No. 39).
§ 17639. Definitions, Categories, and Classifications of
Employees.
(a) Definitions contained in sections 17601 and 17630.2 apply to this
article.
(b) Categories of employees established in section 17604 apply to this
article.
(c ) Exempt classifications established in section 1 7604. 1 apply to this
article.
NOTE: Authority cited: Sections 59003, 59103 and 59203, Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1 . New section filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§17640. Area and Order of Layoff.
Whenever a determination has been made that there is a lack of funds
or lack of work:
(a) The SSPI or designee may, without regard to area of layoff, sepa-
rate from service any part-time exempt staff, substitute teacher, or sum-
mer session exeinpt staff. Such persons, if performing the same or com-
parable work as that performed by a pre-tenure or tenure employee, shall
be separated before any pre-tenure or tenure employee whose work is the
same or comparable and who desires to continue in employment is laid
off under this article.
(b) Layoff of pre-tenure and tenure employees shall be by teaching
service areas of layoff within a special school. Teaching service areas of
layoff shall be developed according to the educational needs of students
and the operational needs of the special school. Employees in a teaching
service area of layoff shall be laid off in the following order:
(1 ) Pre-tenure employees shall be separated without regard to length
of service.
(2) Tenure employees shall be separated in the inverse order of their
length of employment as an employee appointed exempt under Califor-
nia State Constitution, article VH, section 4(i).
Note: Authority cited: Sections 59003, 59103 and 59203. Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
I . Amendment of section and new Note filed 9-24-2007; operative 10-24-2007
(Register 2007, No. 39).
§ 1 7641 . Notice of Layoff.
After a determination has been made of the areas to be reduced and the
number of employees to be laid off. the SSPI or designee shall notify each
employee to be laid off that the employee is being laid off for lack oi'
funds or lack of work and the effective date of the layoff. Such notice
shall be in writing and mailed by certified mail, return receipt requested,
to the employee's last known address as listed in the employee's official
personnel record, or the notice may be delivered to the employee in per-
son and verified by declaration of proof of service. The notice shall be
so delivered or mailed at least thirty days prior to the effective date of the
layoff. The decision of the SSPI or designee to issue a notice of layoff is
the final decision with respect to the affected employee. The final deci-
sion shall include a determination that the required procedures have been
complied with and that the layoff v^as made in good faith or was other-
wise proper. The employee may not appeal the final decision of the SSPI
or designee.
NOTE: Authority cited: Sections 59003. 59103 and 59203. Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1 . Amendment of section and new Note filed 9-24-2007: operative 10-24-2007
(Register 2007, No. 39).
§17642. Acceptance of Layoff.
An employee to be laid off may elect to accept such layoff prior to the
date named in the notice of layoff. If an employee elects to accept early
layoff, the employee shall give notice of such election as soon as possi-
ble.
Note: Authority cited: Sections 59003. 59103 and 59203, Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1. Amendment of section and new Note filed 9-24-2007; operafive 10-24-2007
(Register 2007, No. 39).
Article 5. Termination of a Supervisory or
Managerial Appointment
§17643. Application of Article.
This article applies to a person employed by a state special school or
diagnostic center, and who is appointed to a classification designated ex-
empt from civil service under California State Constitution, article VII,
section4(i), and who has an appointment as a supervisory employee or
as a managerial employee.
Note: Authority cited: Sections 59003, 59103 and 59203, Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1 . Repealer and new article heading and new section filed 9-24-2007; operative
10-24-2007 (Register 2007, No. 39).
§ 17644. Definitions, Categories, and Classifications of
Employees.
(a) Definitions contained in sections 17601 and 17630.2 apply to this
article.
(b) Categories of employees established in secUon 17604 apply to this
article.
(c) Exempt classifications established in section 1 7604. 1 apply to this
article.
Note: Authority cited: Sections 59003. 59103 and 59203. Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1 . New section filed 9-24-2007: operative 10-24-2007 (Register 2007, No. 39).
§17645. Cause. [Repealed]
History
1. Repealer filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§ 1 7646. Notice of Termination.
The SSPI or designee, may give notice of termination of the appoint-
ment of a managerial employee or a supervisory employee by serving
upon the employee, either personally or by certified mail, a written notice
thereof, at least twenty calendar days prior to the effective date of the ter-
mination. The notice shall inform the employee of the proposed action
and allow the employee the opportunity to discuss the termination with
the SSPI or designee prior to the effective date.
Page 184.48(a)
Register 2007, No. 39; 9-28-2007
§ 17647
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
NOTE: Authority cited: Sections 59003, 59103 and 59203, Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1 . Amendment of section heading and section and new Note filed 9-24-2007; op-
erative 10-24-2007 (Register 2007, No. 39).
§ 17647. Hearing. [Repealed]
History
1. Repealer filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§17648. Appeal.
Within thirty days after receipt of notice of lerinination of a superviso-
ry appointment or of a managerial appointment, the employee may ap-
peal to the SPB upon the grounds that the termination was effected for
reasons of age. sex. sexual preference, marital status, race, color, national
origin, ancestry, disability as defined in Government Code section
1 923 1 , religion, or religious opinions and affiliations. At the hearing, the
employee bears the burden of proving that the termination was for pro-
hibited discriminatory reasons. After the hearing, the SPB may affirm the
action of the appointing authority or restore the affected employee to the
managerial or supervisory appointment.
NOTE: Authority cited: Sections 59003, 59103 and 59203, Education Code. Ref-
erence: Sections 59003, 59103 and 59203. Education Code.
History
1. Repealer and new section and new Note filed 9-24-2007; operative
10-24-2007 (Register 2007, No. 39).
§ 17649. Termination. [Repealed]
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Repealer filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§ 1 7650. Appointment after Termination.
(a) A supervisory employee terminated under section 1 7646. and who
meets the tenure provisions under section 17631, shall be appointed to
the tenure classification specified in section 17632(a) or (b), as applica-
ble. Such appointment shall be subject to the provisions of section 1 7631 .
(b) A managerial employee terminated under section 1 7646. and who
met the tenure provisions under section 1 763 1 prior to the managerial ap-
pointment, shall be appointed to the same tenure classification as that
specified for a supervisory employee in sections 1 7632(a) or (b), as appli-
cable, provided no permanent separation from service occurred between
the date the tenure provisions were met and the date of the termination.
Such appointment shall be subject to the provisions of section 17631 .
NOTE: Authority cited: Sections 59003, 59103 and 59203, Education Code. Ref-
erence: Sections 59003, 59103 and 59203, Education Code.
History
1. New section filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
Subchapter 2. State Special Schools
Admission Process
Article 1 . California School for the Deaf
§17660. Definitions.
For the purposes of this article, the following definitions shall apply:
(a) "Assessment of suitability for placement" is the period of evalua-
tion and review for purposes of determining whether the California
School for the Deaf (CSD) is the appropriate placement for a deaf appli-
cant.
(b) "Deaf apphcant" is a pupil who seeks admission into the CSD's
educational program and whose primary disability is severe hearing loss.
A deaf applicant may also demonstrate the ability to use spoken language
and may require related speech services.
(c) "Enrollment" is the registration of the deaf applicant into CSD's
educational program.
(d) "Severe hearing loss" is a hearing loss so severe that it adversely
affects the pupil's educational performance and ability to access the gen-
eral education curriculum in a regular education program so that direct
instruction using sign language is required.
(e) "Temporary assignment" is an applicant's presence at the CSD for
purposes of completing an assessment of suitabihty for placement at the
school. A temporary assignment shall not exceed the time limits set forth
in Education Code section 56344(a), and does not guarantee admission.
For purposes of stay put, a temporary assignment shall not constitute the
last agreed upon placement.
NOTE: Authority cited: Section 59020, Education Code. Reference: 5 CCR Sec-
lion 3030(a); Section 56342(a), Education Code; and 34 CFR Section 300.555.
History
1. New subchapter 2 (articles 1-2, sections 17660-17667), article 1 (sections
17660-17663) and secdon filed 8-13-2007; operative 8-13-2007 pursuant to
Government Code section 1 1 343.4 (Register 2007, No. 33).
§ 1 7661 . Admission Process for the California School for
the Deaf (CSD).
For purposes of determining whether a deaf applicant meets the crite-
ria for enrollment, the following process shall be followed:
(a) The school district of residence (local education agency [LEA])
shall refer a deaf applicant to CSD by submitting an application packet
to CSD.
(b) The completed application packet must be received by CSD within
60 calendar days of the referral. It is the responsibility of the LEA to com-
plete the application packet and to submit it to CSD. Applications not
completed within 60 days of the referral shall be returned to the deaf ap-
plicant's district of residence (LEA), and shall not be assessed for suit-
ability of placement at CSD.
(c) The application packet shall contain the following information, as-
sessments and reports:
(1) The last three years of Individualized Education Programs (lEP)
or Individual Family Service Plans (IFSP) if completed;
(2) Audiograms, completed within one year of the date of the applica-
tion of admission;
(3) The current assessments and/or reports prepared pursuant to
Education Code section 56320, et seq. and as required to comply with
Education Code section 56381; and
(4) Any additional assessments and/or reports dated within two years
of the date of the application of admission which document:
(A) The impact of the deaf applicant's hearing loss:
(B) The deaf applicant's inability to auditorily access the general
education curriculum; and
(C) Any other disabilities, conditions, or behaviors that may affect the
deaf applicant's ability to access the general education curriculum.
(d) Once a completed application has been received, CSD shall initiate
and complete an assessment of suitability for placement at CSD, in accor-
dance with Education code section 56344. It is the sole responsibility of
the deaf applicant's district of residence (LEA) to ensure compliance
with Education Code section 56321 prior to CSD's commencement of
the deaf applicant' s assessment for suitability for placement. This assess-
ment plan may include temporary assignment at CSD for purposes of de-
termining eligibility for enrollment in the day or residential program and
should include any necessary and appropriate amendments to the lEP to
ensure appropriate services during this temporary assignment.
(e) Prior to the completion of the assessment of suitability for place-
ment at CSD, the deaf applicant's lEP team, including the appropriate
CSD personnel, shall meet to determine the appropriate placement. The
lEP team may not make a determination of placement at CSD without the
agreement of CSD personnel.
Note: Authority cited: Section 59020, Education Code. Reference: 5 CCR Sec-
tion 3030(a); Section 56342(a), Education Code; and 34 CFR Section 300.555.
History
1. New section filed 8-13-2007; operative 8-13-2(X)7 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 33).
Page 184.48(b)
Register 2007, No. 39; 9-28-2007
Title 5
California Department of Education
{} 17665
§ 17662. Eligibility for Enrollment in CSD's Day Program.
The Calilornia Schools for the Deafprovide intensive, specialized ser-
vices lo students with or without additional disabilities whose primary
education needs are due to their deafness. A deaf applicant who meets the
following criteria may be eligible for enrollment or continued enrollment
in the California School for the Deafs (CSD) Instructional Program:
(a) The deaf applicant demonstrates the ability to learn and/or use
American Sign Language as the primary mode of communication to ac-
cess instruction, including as follows:
( 1 ) The deaf applicant attends to communication in the environment;
(2) The deaf applicant visually attends to others in the environment;
(3) The deaf applicant evidences an understanding or awareness of the
intended communication;
(4) The deaf applicant initiates or sustains interactions with others; and
(5) The deaf applicant has the ability to respond to a majority of
instructions in an academic, functional, social, and self-care situation.
(b) The deaf applicant demonstrates that his or her primary educational
needs are related to a severe hearing loss with or without additional dis-
abilities.
(c) The deaf applicant demonstrates that he or she can benefit educa-
tionally from an ASL environment.
(d) The deaf applicant demonstrates the ability to access the general
education or alternative curriculum with reasonable accommodations
without requiring a fundamental alteration of the educational program of
CSD.
NOTR; Authority cited: Section 59020. Education Code. Reference: 5 CCR Sec-
tion .^030(a); Section 56342(a). Education Code; and 34 CFR Section 300.555.
History
1. New section filed 8-13-2007; operative 8-13-2007 pursuant to Government
Code section II. 343.4 (Register 2007, No. 33).
§ 1 7663. Eligibility for Enrollment in CSD's Residential
Program.
Deaf applicants eligible for the CSD's day program are not automati-
cally enrolled into the residential program. Enrollment into CSD's resi-
dential program is a separate and distinct consideration even for a pupil
currently enrolled in CSD's day program. A deaf applicant who meets the
criteria established by section 17662 may also be admitted into CSD's
residential program, if CSD determines:
(a) The deaf applicant resides beyond a 60-minute commute each way
between home and CSD using transportation the LEA provides for day
pupils.
(b) The deaf applicant has the abiUty to respond independently and ap-
propriately to life-threatening situations.
(c) The responsible local school district and parent/guardian have ap-
proved the deaf applicant's placement in the residential program.
(d) The deaf applicant does not have a history of un-rehabilitated be-
havior that poses a threat to themselves and/or others, including but not
limited to substance abuse, fire-starting, sexually predatory behavior, or
assault.
NOTC: Authority cited: Section 59020, Education Code. Reference: Section
59020. Education Code.
Hl.STORY
1. New section filed 8-L3-2007; operative 8-13-2007 pursuant to Government
Code section 11. 343.4 (Register 2007. No. 33).
Article 2. California School for the Blind
§17664. Definitions.
(a) An "applicant" includes "blind or visually impaired applicant." and
"deaf-blind applicant" and is a pupil between the age of 3 through 21
whose primary disability is a severe sensory loss which limits their ability
to access the general education curriculum and who seeks admission into
California School for the Blind's (CSB) educational program.
(b) "Assessment of suitability for placement" is the period of evalua-
tion and review for purposes of determining whether the CSB is the ap-
propriate placement for an applicant.
(c) "Enrollment" is the registration of the applicant into CSR's educa-
tional program.
(d) "Severe sensory loss" is a loss of vision, or vision and hearing com-
bined, that severely affects the pupil's ability to access the general educa-
tion or alternative curriculum and causes difficulty to such an extent that
it adversely affects his/her educational performance requiring the ser-
vices of personnel trained to work with blind, visually impaired or deaf-
blind children.
(e) "Temporary assignment" is an applicant's presence at the School
for purposes of completing an assessment of suitability for placement at
the school. Temporary assignment shall not exceed the time limits set
forth in Education Code section 56344(a), and does not guarantee admis-
sion. For purposes of stay put, the temporary assignment shall not consti-
tute the last agreed upon placement.
NOTE: Authority cited: Section 59020, Education Code. Reference: 5 CCR .Sec-
tion 3030(a); Section 56.342(a), Education Code; and .34 CER Section 300.555.
History
1. New article 2 (sections 1 7664- 1 7(i67 ) and section filed 8-13-2007: operative
8-1 .3-2007 pursuant to Government Code section 1 1 .343.4 (Register 2007, No.
33).
§ 17665. Admission Process for the California School for
the Blind (CSB).
For purposes of determining whether an applicant is qualified for en-
rollment in CSB, the following process shall be followed:
(a) The school district of residence (LEA) shall refer an applicant to
CSB by submitting an application packet to CSB.
(b) The completed application packet must be received by CSB within
60 calendar days of the referral. It is the responsibility of the LEA to com-
plete the application packet and submit it to CSB. Applications not com-
pleted within 60 days of the referral shall be returned to the applicant's
district of residence (LEA), and the applicant shall not be assessed for
suitability of placement at CSB.
(c) The Application shall contain the following information, assess-
ments and reports:
( 1 ) The last three years of lEF* or IFSP if completed;
(2) An Ophthalmologic or optometric assessment completed within
one year of the date of the application;
(3) TTie current assessments and/or reports prepared pursuant to
Education Code sections 56320, et seq. and 56352, and as required to
comply with Education Code section 56381; and
(4) Any additional assessments and/or reports dated within two years
of the date of the application of admission which document:
(A) The impact of the applicant's vision or vision and hearing loss,
(B) TTie applicant's inability to visually or visually and auditorily ac-
cess the general education curriculum; and
(C) Any other disabilities, conditions, or behaviors that may affect the
applicant's ability to access the general education curriculum.
(d) Once a completed application has been received, CSB shall initiate
and complete an assessment of suitability for placement at CSB, in accor-
dance with Education Code section 56344. It is the sole responsibility oi'
the applicant's district of residence (LEA) to ensure compliance with
Education Code section 56321 prior to CSB's commencement of the ap-
plicant's assessment for .suitability for placement. This assessment plan
may include temporary assignment at CSB for purposes of determining
eligibility for enrollment in the day or residential program and should in-
clude any necessary and appropriate amendments to the lEP to ensure ap-
propriate services during this temporary assignment.
(e) Prior to the completion of the assessment of suitability for place-
ment at CSB. the applicant's lEP team, including the appropriate CSB
personnel, shall meet to determine the appropriate placement. The lEP
team may not make a determination of placement at CSB without the
agreement of CSB personnel.
NOTE: Authority cited: Section 59020, Education Code. Reference: 5 CCR Sec-
tion 3030(a); Section 56342(a), Education Code; and 34 CER Section 300.555.
History
1. New section filed 8-13-2(X)7; operative 8-13-2007 pursuant to Govemmeni
Code section 1 1343.4 (Register 2007, No. 33).
Page 184.48(c)
Register 2(K)7, No. 39; 9-28-2007
§ 17666
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 17666. Eligibility for Enrollment in CSB's Day Program.
Applicants may be considered for admission if they can demonstrate
they will benefit educationally from the CSB instructional program by
showing:
(a) Applicant demonstrates that his or her primary educational needs
are related to a severe sensory loss such that it affects the pupil's ability
to access the general education or alternative curriculum.
(b) The ability to attend to non-visual stimuli.
(c) The ability to benefit from disability-specific instruction, as dem-
onstrated by the following:
( 1 ) potential to learn Braille, potential to use low vision aids;
(2) potential to benefit from expanded core curriculum instruction;
and
(3) potential to benefit from adaptations to the environment.
(d) The ability to learn simple mobility patterns and routes around
campus, as demonstrated by the following:
(1) The potential to use the white cane;
(2) The potential to orient self in space;
(3) The potential to learn own body and body parts; and
(4) The potential to learn concepts of directionality.
(e) Applicant demonstrates the ability to access the general education
or alternative curriculum with reasonable accommodations without re-
quiring a fundamental alteration of the educational program of CSB.
NOTE: Authority cited: Section 59020, Education Code. Reference: Sections
56350 and 56352, Education Code.
History
1. New section filed 8-13-2007: operative 8-13-2007 pursuant to Government
Code section 11. 343.4 (Register 2007. No. 33).
§ 17667. Eligibility for Enrollment in CSB's Residential
Program.
Applicants eligible for CSB's day program are not automatically en-
rolled into the residential program. Enrollment into CSB's residential
program is a separate and distinct consideration even for a pupil currently
enrolled in CSB's day program. An applicant who meets the criteria es-
tablished by section 17666 may also be admitted into CSB's residential
program, if CSB determines:
(a) The applicant resides beyond a 60-minute commute each way be-
tween home and CSB using transportation the LEA provides for day pu-
pils.
(b) The applicant has the ability to respond independently and ap-
propriately to life-threatening situations.
(c) The responsible local school district and parent/guardian have ap-
proved the applicant's placement in the residential program.
(d) The applicant does not have a history of un-rehabilitated behavior
that poses a threat to themselves and/or others, including but not limited
to substance abuse, fire-starting, sexually predatory behavior or assault.
NOTE: Authority cited: Section 59020, Education Code. Reference: Section
59020, Education Code.
History
1. New section filed 8-13-2007; operative 8-13-2007 pursuant to Government
Code section 1 1 343.4 (Register 2007, No. 33).
[The next page is 184.49.
Page 184.48(d)
Register 2007, No. 39; 9-28-2007
Title 5
California Department of Education
§18002
Chapter 19.
Child Care and Development
Programs
•
Subchapter 1. Award of Funding for Child
Care and Development Programs
Article 1. General Provisions
§17906. Fiscal Control.
NOTE: Authority cited: Section 8248, Education Code. Reference: Section 8243.
Education Code.
History
1. Repealer ol" Article 1 (Sections 17900-17918) filed 9-23-77; effective thirtieth
day thereafter (Register 77, No. 39). For prior history, see Register 69, No. 5 1 ;
Register 71. No. 20; Register 72, No. 30; and Register 74, No. 23.
2. New Article 1 (Section 17906) filed 8-18-78; effective thirtieth day thereafter
(Register78, No. 33).
3. Repealer filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50),
§17930. Definitions.
History
1. Amendment and renumbering of former Article 2 (Sections 17930-17946) to
Part Vlll, Chapter 1, Article 5 (Sections 80105-80117) filed 12-16-77; effec-
tive thirtieth day thereafter (Register 77. No. 51 ). For prior history see Register
77. No. 39; Registers 75, No. 44, No. 32, No. 25; and Register 74, No. 47.
§18000. Definitions.
As used in this Chapter:
(a) "Additional funds" means award of new contracts or expanded
contracts which increase the contractor's level of administrative respon-
sibility. Cost of living adjustments, rate increases, one-time-only
supplemental funds and Alternative Payment program contingency
funds are not considered to be "additional funds."
(b) "Applicants headquartered in" means:
( 1 ) Contractors or applicants who have provided child care and devel-
opment services in the service delivery area, as defined in Section
1 8000(g) of this Division, for at least three (3) years immediately preced-
ing the date of the Request for Applications; or
(2) Contractors or applicants who have their primary administrative
offices for the child development program in the service delivery area as
defined in Section 18000(g) of this Division. The primary administrative
office is that office which houses the executive officer(s), the fiscal func-
tions and other centralized support services.
(c) "Cost effective manner" for the purposes of Article 3 of this Chap-
ter, means that services are provided at rates which are within the range
of local market rates.
(d) "Extended day care" means before and after school care and care
during school vacation days for children kindergarten age through the
ninth (9th) grade.
(e) "New contract" means either:
(1) a contract award to applicants who do not currently contract with
the State Department of Education for child care and development ser-
vices; or
(2) a contract award to an existing contractor which is for a program
type as specified in Education Code Section 8208(h) that is different than
the child development contract(s) currently administered by the appli-
cant.
(0 "Request for Applications" means an announcement issued by the
Child Development Division for competitive award of a new contract for
child care and development services or expansion of an existing level of
services. The Request for Applications includes:
(1) the apphcation content requirements;
(2) procedures for submission of an application for funding; and
(3) the criteria to be used in evaluating the application.
(g) "Service delivery area" means the community, geographic area or
political subdivision in which the child care and development services
are to be provided as specified in the Request for Applications.
NotE: Authority cited: Section 8261, Education Code. Reference: Sections 8261,
8269, 8406.6, 8447 and 8465, Education Code.
History
1. Repealer and new section filed 1 1-21-88 operative 1-1-89 (Register 88, No.
50). For prior history, .see Register 77, No. 39.
§ 1 8001 . Eligibility for Funding.
(a) A contractor is not eligible for additional funds if the contractor has
received final notification, as specified in Section 18301 of this Division,
thai its contract has been terminated.
(b) A contractor is not eligible for additional funds if the contractor has
demonstrated fiscal and/or programmatic noncompliance and has re-
ceived final notification, as specified in Section 18303 of this Division,
that:
(1 ) its contract will be placed on conditional status; or
(2) it will not be offered continued funding.
(c) An applicant is not eligible for funding if it has had a prior contract
with the State Department of Education for child care and development
services within three (3) years immediately preceding the date of the Re-
quest for Applications and:
(1) the contract was terminated for fiscal and/or programmatic non-
compliance; or
(2) the contract funding was not continued because of fiscal and/or
programmatic noncompliance.
NOTE: Authority cited: Section 8261 . Education Code. Reference: Sections 826 1 .
8406.6 and 8447, Education Code.
History
1. Repealer and new section filed 1 1-21-88; operative 1-1-89 (Register 88. No.
50). For prior history, see Register 76, No. 34.
Article 2. Selection of Contractors
§ 18002. Application Review and Award of Contract.
(a) An applicant must submit a complete application in accordance
with the instructions contained in the Request for Applications.
(b) If an application is submitted that is incomplete or not completed
in accordance with the instructions, the Child Development Division
shall reject it and no further reviev/ will be made.
(c) If any change is made in the contents of the Request for Applica-
tions, that change will be made in writing and mailed to all agencies and
persons that received the Request for Application.
(d) All applicants that submit a complete application in accordance
with the instructions shall be evaluated as follows:
( 1 ) If the Request for Applications includes more than one service de-
livery area, applicants will be considered for the service area(s) specified
in their applications;
(2) Applicants headquartered in the service delivery area(s) specified
in the Request for Applications will be reviewed first;
(3) Applications will be evaluated and scored in accordance with the
rating criteria specified in the Request for Applications.
(4) The Request for Applicafions shall specify the minimum number
of points necessary for applicants to qualify for an interview.
(5) The interview will consist of an oral presentation by the applicant
regarding the content area of the application and a question and answer
portion to clarify or expand on the information presented.
(6) The interview will be evaluated and scored in accordance with the
rating criteria specified in the Request for Applications;
(7) The applicants will be ranked on the basis of the combined scores
for the written application and interview.
(8) If there are no applicants headquartered in the service delivery area
meeting the minimum criteria specified in the Request for Applications,
applications from applicants that are not headquartered in the specified
service delivery area(s) will be evaluated in accordance with the proce-
dures specified above.
Page 184.49
Register 2004, No. 24; 6- 1 1 -2004
§ 18003
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(9) The highest scoring application shall receive a tentative offer of
funding, subject to the provisions specified in Section 1 8003 of this Divi-
sion.
Note. Authority cited: Section 8261, Education Code. Reference: Sections 8261
and 8445.
History
1 . New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50). For histo-
ry of former Article 2 (Sections 179.^0-17946), see Register 77. No. 51.
§ 18003. Contract Award Disputes.
(a) Applicants may review applications, interview scores and any
reader comments after the date the proposed application results are
posted at the office of the Child Development Division. An unsuccessful
applicant may appeal the procedures used in the scoring of applications
and interviews. If the unsuccessful applicant intends to appeal, the fol-
lowing appeal process shall apply:
( 1 ) The unsuccessful applicant shall file a notice of appeal with the Ap-
peals Coordinator identified in the Request for Applications within seven
(7) calendar days after the date the proposed application results are
posted at the office of the Child Development Division.
(2) The Director of the Child Development Division shall designate a
Child Development Division staff person who shall coordinate the ap-
peal process and who shall be referred to as the "Appeals Coordinator."
The Request for Applications shall specify the name, address and tele-
phone number of the Appeals Coordinator.
(3) The Appeals Coordinator shall appoint no less than two (2) State
Department of Education staff who will be members of an Appeals Panel
that shall hear all appeals. The members of the Appeals Panel shall be in-
dependent from the application review process.
(4) A notice of appeal shall be deemed to be filed if the Appeals Coor-
dinator receives a written notice of appeal or a telephone communication
within the time period required for filing a notice of appeal.
(5) The notice to appeal shall contain the following information: the
appellant's name, mailing address and telephone number; the name(s) of
the person(s) who will represent the appellant at the appeal hearing; and
whether the representative(s) will appear in person at the appeal hearing
or will appear though a telephone conference call with the Appeals Panel.
(6) The Appeals Coordinator shall schedule an appeal hearing to be
held in Sacramento or with a telephone conference call by the Appeals
Panel within seven (7) calendar days of the receipt of the notice of appeal.
(7) The unsuccessful applicant shall not submit additional information
to be evaluated and scored during the appeal process.
(8) The Appeals Panel shall adjust scores assigned by the reviewers
and/or interviewers when there is evidence of an inconsistent application
of scoring criteria by a reader(s) or interviewer(s).
(9) The Appeals Panel shall notify the appellant in writing of the re-
sults of the appeal within seven (7) calendar days of the appeal hearing.
(b) If, after the Appeals Panel's decision, there is a change in the rank
order of appUcations, the applicant who received a tentative offer for
funding pursuant to Section 18002 of this Division shall receive a notice
of the change, and may file an appeal with the Appeals Coordinator with-
in seven (7) calendar days of the date the notice of the change was sent.
If a notice to appeal is filed pursuant to this Subsection, the procedures
specified above in Subsecfions (a)(2) through (a)(9), inclusive, shall ap-
ply.
(c) A contract award decision is final when an appeal is filed pursuant
to subsection (b) and the appellant is notified of the Appeal Panel's deci-
sion.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8261,
Education Code.
§ 1 8005. Contractor Eligibility for State Child Care
Facilities Fund.
In order for a contractor to be eligible to apply for a lease of a relocat-
able facility for extended day care, the contractor shall maintain a clear
or provisional contract status.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8477,
Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18006. Priorities for State Child Care Facilities Fund
(School Age Community Child Care Programs).
Priorities for the acquisition and leasing of facilities from the State
Child Care Facilities Fund are:
(a) First priority shall be given to extended day care programs that:
(1) Operate within the boundaries of a school district which has un-
housed pupils,
(2) Have developed a plan to provide extended day care services in a
cost effecfive manner.
(b) Second priority shall be given to extended day care programs that:
( 1 ) Operate within the boundaries of a school district with housed pu-
pils,
(2) Have developed a plan to provide extended day care services in a
cost effective manner.
NOTE: Authority cited: Section 8461, Education Code. Reference: Section 8477,
Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
1. New section filed 1 1-21-
History
5; operative 1-1-89 (Register 88, No. 50).
Article 3. State Child Care Facilities Fund
§ 18007. Priorities for State Child Care Facilities Fund
(GAIN).
For programs serving participants in the Greater Avenues for Indepen-
dence Act of 1985 (GAIN), priorities for the acquisition and leasing of
facilities from the Child Care Facilities Fund are:
(a) First priority shall be given to extended day care programs that:
( 1 ) Operate within the boundaries of school districts that have un-
housed pupils;
(2) Have developed a plan to provide extended day care services in a
cost effective manner; and
(3) Are providing or seeking to provide extended day care services in,
or in close proximity to, public housing projects, or in areas of high densi-
ty of recipients of benefits under the Aid to Families with Dependent
Children programs in order to serve participants under the Greater Ave-
nues for Independence Act of 1985 (GAIN).
(b) Second priority shall be given to extended day care programs that:
(1) Operate within the boundaries of a school district that has housed
pupils;
(2) Have developed a plan to provide extended day care services in a
cost effective manner; and
(3) Are providing or seeking to provide extended day care services in,
or in close proximity to public housing projects, or in areas of high density
of recipients of benefits under the Aid to Families with Dependent Chil-
dren programs in order to serve participants under the Greater Avenues
for Independence Act of 1985 (GAIN).
(c) Third priority shall be given to extended day care programs that:
(1) Operate within the boundaries of a school district that has un-
housed pupils;
(2) Have developed a plan to provide extended day care services in a
cost effecfive manner; and
Page 184.50
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 18013
(3) Arc providing or seeking lo provide extended day care services that
are not in or in close proximity to public housing projects, or in areas of
high density of recipients of benefits under the Aid to FamiHes with De-
pendent Children programs in order to serve participants under the Great-
er Avenues for Independence Act of 1985 (GAIN).
(d) Fourth priority shall be given to extended day care programs thai:
( 1 ) Operate within the boundaries of a school district that has housed
pupils;
(2) Have developed a plan to provide extended day care services in a
cost effective manner; and
(3 ) Are providing or seeking to provide extended day care services that
are not in or in close proximity to public housing projects, or in areas of
high density of recipients of benefits under the Aid to Families with De-
pendent Children programs in order to serve participants under the Great-
er Avenues for Independence Act of 1985 (GAIN).
NOTE: Authority cited: Section 8461. Education Code. Reference: Section
8478..'^, Education Code.
H I.STORY
I. New section filed 1 1-21-88; operative 1-1-89 (Register 88. No. 50).
§ 18008. Funding Award Procedures for State Child Care
Facility Funds.
(a) No additional eligibility criteria beyond those specified in Section
1 8005 of this Division and Education Code Sections 8477 and 8478.5
shall be imposed.
(b) Based on the priorities and procedures specified in Sections 18006
and 18007 above, the Child Development Division shall make recom-
mendations for funding to the State Allocation Board.
(c) Funds shall be awarded by the State Allocation Board based on
availability and ailes and procedures established by the State Allocation
Board pursuant to Education Code Sections 8477(e) and 8478.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8477,
Education Code.
History
I. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
Article 4. Contingency Funds for
Alternative Payment Programs
§ 18009. Application for Contingency Funds.
(a) Alternative Payment programs as defined in Section 18018(e) of
this Division may apply for funding for additional services which were
provided pursuant to Section 8222. 1 of the Education Code by submit-
ting a request to the State Department of Education, Office of External
Audits.
(b) The request shall be in the form of a letter which must be submitted
by October 3 1 of the fiscal year following the fiscal year in which the ad-
diUonal costs were incurred and services were provided.
(c) The Office of External Audits shall order payments from the con-
tingency fund after verifying;
(1) the costs incurred and the level of addifional services provided;
(2) that reimbursement from the contingency fund does not exceed
five thousand dollars ($5,000) or two percent (2%) of the contractor's
maximum reimbursable amount, whichever is greater; and
(3) that the contractor has not been reimbursed for additional services
from the contingency fund for the prior two (2) consecutive years.
NotE: Authority cited: Section 8269, Education Code. Reference: Sections
8222.1 and 8278, Education Code.
History
1. New section filed 11-21-88: operative 1-1-89 (Register 88, No. 50).
(b) Contractors that are not on conditional contract status but which
have evidenced fiscal or programmatic noncompliance with the provi-
sions of this Division or Education Code Sections 8200 et seq., shall re-
ceive an administrative review in accordance with Section 18303 of this
Division lo determine whether they will receive an offer for continued
funding.
(c) Contractors currently on conditional status thai do not meet the re-
quirements specified in the Conditional Status Addendum, as specified
in Section 18305 of this Division, may not be offered a subsequent con-
tract and shall be so notified by the Child Development Division at least
ninety (90) calendar days prior to the end of the current contract period.
(d) Contractors that intend to accept the offer to continue services in
the subsequent contract period shall respond to a continued funding
application request from the Child Development Division in accordance
with the instructions and timelines specified in the request.
(e) Failure to respond within the timelines specified in the continued
funding application request shall constitute notification to the Child De-
velopment Division of the contractor's intent to discontinue services at
the end of the current contract period unless the contractor has received
a written extension of the original timeline from the Child Development
Division.
NOTE: Authority cited: Sections 8261 and 8269. Education Code. Reference: Sec-
tions 8261 and 8406.6, Education Code.
History
1. Repealer and new section filed 1 1-21-88; operative 1-1-89 (Register 88. No.
50). For prior history, see Register 77, No. 39.
§ 1 801 1 . Location of the Program.
History
1. Repealer filed 1 1-2 1-88; operative 1-1-89 (Register 88. No. 50). For prior his-
tory, see Register 77, No. 39.
Subchapter 2. General Requirements
Article 5. Continued Funding
§ 18010. Continued Funding.
(a) Contractors have no vested right to a subsequent contract.
Article 1. General Provisions
§ 1 801 2. Scope of Chapter.
Unless otherwise provided in this Division, the regulations in this
Chapter apply to all contracting agencies authorized to establish, main-
tain, or operate services pursuant to the Child Care and Development Ser-
vices Act. Chapter 2, Part 6 of Title 1 of the California Education Code
(commencing with Secfion 8200).
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8203.
8261 and 8269, Education Code.
History
1. Renumbering of former Chapter 2 (Sections 18140-18174) to Chapter 5 (Sec-
tions 18140-18174) filed 11-21-88; operative 1-1-89 (Register 88. No. 50).
2. Repealer and new section filed 1 1-21-88; operative 1-1-89 (Register 88. No.
50). For prior history, see Register 77. No. 39.
§18013. Definitions.
As used in this Division;
(a) "Actual and allowable net costs" means the costs which may be re-
imbursed under a particular child development contract after disallowed
costs and restricted income have been subtracted from total expenditures.
(b) "Adjusted child days/hours of enrollment" means child days or
hours of enrollment after special needs adjustment factors specified in
Educafion Code Secfion 8265.5 have been applied.
(c) "Administrative costs" means costs incurred for administrative ac-
tivities where neither the family, the child nor the service providers for
Alternative Payment programs and family child care homes directly
benefit from the acfivity.
(d) "Adult" for the purposes of this Division means a person who is at
least eighteen (18) years of age.
(e) "Alternative Payment programs" means contracts designated as
Alternative Payment, County Welfare Department, or Child Protective
Services. Contracts designated as School Age Community Child Care
and Excepfional Needs which operate in a vendor payment mode are in-
Page 184.51
Register 2007, No. 16; 4-20-2007
§ 18014
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
eluded in the definition of Alternative Payment programs. Contractors
operating Alternative Payment programs are not precluded from con-
tracting for other program types as specified in Education Code Section
8208(h).
(f) "Authorized representative" means a person who has been dele-
gated the responsibility to sign a child in and out of a child care program
in the absence of the parent.
(g) "Benefit to the state" means that the activity will improve knowl-
edge or expertise in areas directly related to subsidized child care and de-
velopment services.
(h) "Ceases operation" means the contractor does not provide subsi-
dized services in accordance with the contractor's program operating cal-
endar submitted to and approved by the Child Development Division for
the applicable contract period.
(i) "Commingled child care services" means the provision of services
to both subsidized and nonsubsidized children in the same classroom at
the same dme.
(j) "Contract period" means the time span the contract is in effect as
specified in the child development contract.
(k) "Depreciation" means a cost in the current fiscal year that is based
on acquisition costs, less any estimated residual value, computed on a
straight line method (based on the normal, estimated useful life expectan-
cy of the asset).
(/) "Disallowed costs" means costs which have been incurred but are
not reimbursable because they are not reasonable and/or necessary for
the performance of the contract as defined in Section 1 801 3(s) of this Di-
vision or are nonreimbursable as specified in Section 1 8035 of this Divi-
sion.
(m) "Indirect cost allocation plan" means a written justification and ra-
tionale for assigning the relative share of indirect costs across more than
one program or contract.
(n) "Indirect cost" means an expense that cannot be readily assigned
to one specific program or one specific line item within a program.
(o) '"Maximum reimbursable amount" means the total dollar amount
of a contract. Reimbursement from the State shall not exceed the maxi-
mum reimbursable amount. The initial maximum reimbursable amount
shall be the approved original version of the annual contract based on the
Budget Act as signed by the Governor.
(p) "Net reimbursable program costs" means the portion of the actual
and allowable net costs which are incurred in the provision of child care
and development services for subsidized children.
(q) "Private contractor" means an entity other than a public agency
which is tax exempt or non-tax exempt and under contract with the State
Department of Education for the provision of child care and development
services.
(r) "Public contractor" means a school district, community college dis-
trict, county superintendent of schools, campus of the California State
University or the University of California system, county, city or other
public entity under contract with the State Department of Education for
the provision of child care and development services.
(s) "Reasonable and necessary costs" means expenditures that, in na-
ture and amount, do not exceed what an ordinarily prudent person would
incur in the conduct of a competitive business.
(t) "Restricted income" means income which the donor designates
may only be expended for specific limited purposes that are reimbursable
according to the contract.
(u) "Total contract amount" for the purpose of determining the limit
of allowable administrative and program support services for Alternative
Payment type programs means either the initial maximum reimbursable
amount or the total of direct payments to providers, which includes fami-
ly fees for certified children and interest earned on advanced contract
funds, plus reimbursable administrafive and support services costs,
whichever is greater.
(v) "Total expenditures" means all costs for the provision of subsi-
dized services under the contract and any nonsubsidized services which
are provided in commingled classrooms.
(w) "Unnecessarily increase the value" means an improvement of a
site beyond what isrequired to meet California Code of Regulations, title
22. Community Care Licensing Standards.
(x) "Unrestricted income" means income that has no restrictions re-
garding use by the donor, and income restricted by the donor for purposes
that are not reimbursable according to the contract, including income for
services to children not subsidized by the contract.
(y) "Use allowance" means an alternate method for claiming the use
of the contractor's assets as a cost when depreciation methods are not
used.
NOTC: Authority cited: Section 8261. Education Code. Reference: Sections 8208
and 8261. Hducation Code.
History
1 . Repealer and new section filed ! 1-21-88; operative 1-1-89 (Register 88. No.
50). For prior history, see Register 77, No. 39.
2. Amendment of subsection (o), new subsection (u), subsection relettering and
amendment of newly designated subsection (w) filed 1 ]-i3-2(X)6 as an emer-
gency; operative 11-13-2006 (Register 2006, No. 46). A Certificate of Com-
pliance must be transmitted toOAL by 3-13-2007 or emergency language will
be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-13-2006 order, including further amend-
ment of section, transmitted to OAL 3-8-2007 and filed 4-17-2007 (Register
2007, No. 16).
§ 18014. Notification of Address Change.
(a) Contractors shall notify the Child Development Division in writing
of any change in mailing address for communication regarding the con-
tract within ten (10) calendar days of the address change.
(b) Contractors shall notify the Child Development Division in writing
of any proposed change in operating facility address(es) at least thirty
(30) calendar days in advance of the change unless such change is re-
quired by an emergency such as fire, flood or earthquake.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8261,
Education Code.
History
1 . Repealer and new section filed 1 1-21-88; operafive 1-1-89 (Register 88, No.
50). For prior history, see Register 77, No. 39.
§ 18015. Private Agencies; Open Board Meetings.
Any private tax exempt or private non-tax exempt agency receiving
public funds under these regulations must, to the extent of the publicly
funded program, comply with the Ralph M. Brown Open Meetings Act,
Government Code Sections 54950-54961.
NOTE: Authority cited: Sections 8203(f) and 8261, Education Code. Reference:
Section 5495 1 .7, Government Code.
History
1. Repealer and new secUon filed 11-21-88; operative -1-89 (Register 88, No.
50). For prior history, see Register 77, No. 39.
§ 18016. Materials Developed with Contract Funds.
(a) If the contractor receives income from materials developed with
contract funds, the use of the income shall be restricted to the child devel-
opment program.
(b) If the materials were developed in part with contract funds, the in-
come from the sale of the materials that shall be used in the child develop-
ment program shall be computed in direct proportion to the share of con-
tract funds used in development of the materials.
(c) Materials developed with contract funds shall contain:
( 1 ) An acknowledgement of the use of State funds in the development
of materials;
(2) A disclaimer that the contents do not necessarily reflect the posi-
tion or policy of the State Department of Education.
NOTE; Authority cited: SecUon 8261, Education Code. Reference: Section 8261,
Education Code.
History
1. Repealer and new section filed 1 1-21-88; operative 1-1-89 (Register 88. No.
50). For prior history, see Register 77, No. 39.
§ 18017. Prohibition Against Religious Instruction or
Worship.
The contractor shall not provide nor be reimbursed for child care and
development services which include religious instruction or worship.
•
Page 184.52
liegister 2007, No. 16; 4-20-2007
Title 5
California Department of Education
§ 18024
•
•
Noi 1-: Audiority cited: Section 8269, Education Code. Reference: Section 8265,
Education Code.
History
1. Repealer and new section filed 1 1-21-88; operative 1-1-89 (Register 88. No.
30). For prior history, see Register 77, No. 39.
§ 18018. Prohibition Against Presigned Checks, Child
Development Division Prior Written Approval;
Two (2) Authorized Signatures on Checks.
Except for external payroll services, private contractors:
(a) Shall not use any presigned, preauthorized. or prc-stamped checks,
without the prior written approval of the Child Development Division;
and
(b) Shall require two (2) authorized signatures on all checks unless:
( 1 ) the contractor has a policy approved by its governing board requir-
ing dual signatures only on checks above a specified dollar amount; and
(2) the annual audit verifies that appropriate internal controls are main-
tained.
Norr,: Authority cited: Section 8261. Education Code. Reference: Section 8261,
Education Code.
History
1. Repealer and new section filed 1 1-21-88; operative 1-1-89 (Register 88, No.
50). For prior history, see Register 77, No. 39.
§ 18019. Prohibition Against Loans and Advances.
(a) Contractors shall not loan contract funds to individuals, corpora-
tions, organizations, public agencies or private agencies.
(b) Contractors shall not advance unearned salary to employees.
(c) Contractors shall not make advance payments to subcontractors
and shall compensate subcontractors after services are rendered or goods
are received except for:
(1) Subcontractors providing direct child care and development ser-
vices; and
(2) Subcontractors with subcontracts exempt from the provisions of
Article 2 of this Chapter as specified in Section 18026 of this Division.
NOTE: Authority cited: Section 8261. Education Code. Reference: Section 8261,
Education Code.
History
1. Repealer and new section filed 1 1-21-88; operative 1-1-89 (Register 88, No.
50). For prior history, see Register 77. No. 39.
§ 1 8020. Compliance with Title 22 California Code of
Regulations.
Contractors with facilities which are exempt by statute or otherwise
exempt from licensure shall comply with health and safety regulations
for day care centers and family child care homes as specified in Title 22
California Code of Regulations. Community Care Licensing Standards
in order to qualify for child care and development program contract
funds.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8261,
Education Code.
History
I . Repealer and new section filed 1 1-21-88; operative 1-1-89 (Register 88, No.
50). For prior history, see Register 77, No. 39.
§ 1 8021 . Payments to Family Child Care Providers.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8261,
Education Code.
History
1. Repealer and new section filed 1 1-21-88; operative 1-1-89 (Register 88, No.
.50). For prior history, see Register 77, No. 39.
2. Repealer filed 9-4-2003 as an emergency; operative 9-4-2003 (Register 2003,
No. 36). A Certificate of Compliance must be transmitted to OAL by 1-2-2004
or emergency language will be repealed by operation of law on the following
day.
3. Repealer refiled 12-29-2003 as an emergency; operative 12-29-2003 (Regis-
ter 2004. No. 1 ). A Certificate of Compliance must be transmitted to OAL by
4-27-2004 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 12-29-2003 order transmitted to OAL
4-26-2004 and filed 6-8-2004 (Register 2004, No. 24).
§ 18022. Contracts with Multiple Service Areas.
(a) A contractor with more than one service delivery area as specified
in and funded through a single contract shall maintain service at the same
level, plus or minus ten percent {]07() of the contracted child hours or
child days of enrollment, as applicable, in the individual service area(s)
specified in its current contract.
(b) The contractor may request approval from the Child Development
Division to vary service levels by more than ten percent ( 1 09( ) if the con-
tractor can demonstrate that the need for services in the designated
area(s) has changed.
(c) The Child Development Division shall approve or deny the request
within thirty (30) calendar days of receipt of the request.
(d) If the request is denied, the contractor may appeal this decision in
accordance with Section 18308 of this Division.
NOTE: Authority cited: Section 8261. Education Code. Reference: .Sections 8203
and 8269, Education Code.
HisroRY
1. Repealer and new section filed 1 1-21-88; operative 1-1-89 (Register 88. No.
50). For prior history, see Register 77. No. 39.
§ 18023. Compliance Reviews of Contractors.
(a) Definitions.
(1) "Compliance review" means that a team of California Department
of Education staff reviews a contractor's program at the program site to
determine compliance with applicable laws, regulations, or contractual
provisions.
(2) "CCR" means the monitoring and review instrument for child de-
velopment programs that is used to determine compliance and is con-
tained within the "Coordinated Compliance Review Guide —
2003-2004", a document that is incorporated by reference.
(b) At least once every three (3) years and as resources permit, the
California Department of Education shall conduct reviews at the contrac-
tor's office(s) and operating facility(ies) to determine the contractor's
compliance with applicable laws, regulations or contractual provisions.
(c) The reviews shall be conducted according to the provisions of
CCR, as defined in subsection (a)(2) of this section.
(d) The reviews shall be conducted by consultants, analysts, and/or
management staff of the California Department of Education or other
State of California representatives.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8261,
Education Code.
History
1. Repealer and new section filed 1 1-21-88; operative 1-1-89 (Register 88. No.
50). For prior history, see Register 77. No. 39.
2. Amendment of section and Note filed 9-23-2003; operative 9-23-2003 pur-
suant to Government Code section 1 1343.4 (Register 2003. No. 39).
§ 18024. Contractor's Termination for Convenience.
(a) A contractor may terminate the contract for any reason during the
contract term.
(b) The contractor shall notify the Child Development Division of its
intent to terminate the contract at least ninety (90) calendar days prior to
the date the contractor intends to terminate the contract.
(c) Within fifteen (15) days from the date the contractor notifies the
Child Development Division of its intent to terminate the contract, the
contractor shall submit:
(1) A current inventory of equipment purchased in whole or in part
with contract funds; and
(2) The names, addresses and telephone numbers of all families .served
by the contract and all staff members funded by the contract.
(3) Family child care home and Alternative Payment program contrac-
tors shall also submit the names, addresses and telephone numbers of all
providers of subsidized services funded by the contract.
(d) Upon receipt of a notice of intent to terminate, the Child Develop-
ment Division will transfer the program to another agency as soon as
practicable.
NOTE; Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tions 8261 and 8269, Education Code.
Page 184.53
Register 2007, No. 16; 4-20-2007
§ 18025
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
History
1. Repealer and new section tiled 1 1-21-88; operative
50). For prior histoiy, see Register 77, No. 39.
-1-89 (Register 88. No.
§ 18025. Title, Use, Disposition and Retention of
Equipment.
(a) Title. When equipment is purchased with State funds, title shall
vest in the contractor only for such period of time as the contractor has
a contract with the State Department of Education.
(b) Retention of Equipment. The Child Development Division may
provide written authorization for the contractor to retain the equipment
for the contractor" s own use if a fair compensation is paid to the State for
the State'sshareof the cost of the equipment. Fair compensation shall be
determined by the State using the State's share of original acquisition
cost, less depreciation, computed on a straight line method over the esti-
mated useful life expectancy of the equipment.
(,c) Use. When equipment is purchased in whole or in part with State
funds, the contractor shall use the equipment exclusively in the pro-
gram(s) from which funds were used to purchase the equipment. If the
contractor wishes to share the use of the equipment between/among two
(2) or more programs, the cost of .such equipment shall be prorated bet-
ween/among the programs.
(d) Disposition. If the contractor no longer has a contract with the State
Department of Education, the contractor shall dispose of the equipment
in accordance with written directions from the Child Development Divi-
sion.
NOTE; Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tions 8261 and 8269, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
Article 2. Subcontracts
§ 1 8026. Subcontracts Excluded from Scope of This
Article.
The following types of relationships are not subject to the regulations
contained in this Article:
(a) Employment agreements;
(b) Facility rental or lease agreements;
(c) Payment arrangements with family child care homes;
(d) Payment arrangements with child care providers for Alternative
Payment programs;
(e) Medical or dental service agreements;
(0 Bookkeeping/auditing agreements, except for Section 18027;
(g) Food services agreements;
(h) Janitorial and groundkeeping agreements;
(i) A subcontract with a public agency; and
(j) Subcontracts with an individual for less than ten thousand dollars
($10,000.00), except for Section 18027.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8261,
Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18027. Private Contractors; Three (3) Bids for
Subcontracts Exceeding the Amount Stated in
Annual Contract.
Private contractors shall obtain at least three (3) bids or estimates for
subcontracts that exceed the amount stated for subcontract bid require-
ments in the annual child development contract.
(a) The subcontract shall be awarded to the lowest responsible bidder.
(b) If three (3) bids or estimates cannot be obtained, the private con-
tractor shall maintain documents in its records that establish:
( 1 ) The reasons why three (3) bids or estimates could not be obtained;
and
(2) The reasonableness of the proposed expenditure without three (3)
bids or estimates.
(c ) The contractor shall not split subcontracts to avoid competitive bid-
ding requirements.
NOTE: Authority cited: Section 8261. Education Code. Reference: Section 8261,
Education Code.
History
1 . New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18028. Prior Child Development Division Approval
Required for All Subcontracts Exceeding the
Amount Stated in the Annual Child
Development Contract.
Contractors shall obtain prior written approval from the Child Devel-
opment Division for subcontracts that:
(a) Are not excluded from the provisions of this Article by Section
18026 of this Division; and
(b) Exceed the amount stated for subcontract approval in the annual
child development contract.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8261,
Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. .50).
§ 18029. Required Documents for Prior Child Development
Division Approval of Subcontracts.
The contractor shall submit the following documents to the Child De-
velopment Division before entering into any agreement with a proposed
subcontractor and before any work begins pursuant to the proposed sub-
contract:
(a) A copy of each bid or estimate;
(b) If applicable, the documents required to be maintained under Sec-
tion 18027(b) of this Division;
(c) Identification of the lowest responsible bidder selected by the con-
tractor;
(d ) For capital outlay subcontracts, documents showing that the bidder
selected by the contractor has obtained a payment bond in an amount not
less than one-half (1/2) the amount of the proposed subcontract; and
(e) Two (2) copies of the proposed subcontract, including a proposed
line-item budget which shows the costs of the services to be performed.
The budget for a proposed subcontract for renovation and repair shall
show the total cost of labor and the total cost of materials.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8261,
Education Code.
I . New section filed 11-21-
HlSTORY
operative 1-1-89 (Register 88, No. 50).
§ 18030. Child Development Division Approval or
Disapproval of Subcontract Within Thirty (30)
Calendar Days.
(a) The Child Development Division shall approve or disapprove a
proposed subcontract submitted for prior approval within thirty (30) cal-
endar days following the receipt of all required documents.
(b) Upon approval or disapproval, the Child Development Division
shall return a copy of the approved subcontract or a copy of the disap-
proved subcontract to the contractor.
(c) A disapproved contract will include a statement of the reason(s) for
not approving the subcontract.
(d) If the request for approval of a subcontract is denied, the contractor
may appeal the decision in accordance with instructions specified in Sec-
tion 18308 of this Division.
NOTE: Authority cited: Section 8261, Educafion Code. Reference: Section 8261,
Education Code.
History
1. New section filed 11-21-88; operafive 1-1-89 (Register 88, No. 50).
§ 18031. Required Subcontract Provisions.
Every subcontract shall specify:
(a) The dates within which the subcontractor is to perform the contract.
The time for subcontractor performance shall not begin prior to, nor shall
the time extend beyond, the time period of the contract between the con-
tractor and the State.
•
•
Page 184.54
Register 2(K)7, No. 15; 4-20-2007
Title 5
California Department of Education
§ 18035
•
•
(b) The dollar amount of the subcontracl or specify an amount not to
exceed a maximum dollar amount.
(c) The service(s) to be provided under the subcontract.
(d) The responsibilities of each party under the subcontract.
(e) That the subcontractor, and the agents and employees of the sub-
contractor, in the performance of the subcontract, are acting in an inde-
pendent capacity and not as officers or employees or agents of the Stale
of California.
(f) That modifications of the subcontract shall be in writing, and that
for subcontracts in excess of the amount staled in ihe annual child devel-
opment contract, prior wrillen Child Development Division approval is
required unless the subcontract is otherw/ise exempt from prior Child De-
velopment Division approval.
(g) That the subcontracl is the complete and exclusive statement of the
mutual understanding of the parlies and that the subcontract supersedes
and cancels all previous wrillen and oral agreements and communica-
tions relating to the subject matter of the subcontracl.
(h) Remedies, in case of a breach of contract, for subcontracts in ex-
cess often thousand dollars ($10,000.00).
( i ) That the State of California retains title to any equipment or supplies
purchased with State funds and that the equipment shall be relumed to
the contractor upon termination of the subcontracl. The subcontracl shall
also specify that the subcontractor shall obtain prior written approval
from the contractor and the Child Development Division for any unit of
equipment that costs in excess of the amount stated in the annual child
development contract.
(j) That the subcontractor shall be reimbursed for travel and per diem
expenses only at rales that do not exceed the rales paid lo the majority of
State Department of Education's represented employees computed in ac-
cordance with Slate Department of Personnel Administration regula-
tions. Title 2 California Code of Regulations. Subchapter 1.
(k) That the subcontractor agrees lo indemnify and hold harmless the
Stale of California, its officers, agents and employees from any and all
claims and losses occurring or resulting to any and all contractors, sub-
contractors, materialmen, laborers and any other person, firm or corpora-
lion furnishing or supplying work, services, materials or supplies in con-
nection with the performance of the subcontract, and from any and all
claims and losses occurring or resulting to any person, firm or corpora-
tion that may be injured or damaged by the subcontractor in Ihe perform-
ance of the subcontract.
( I) That for those subcontracts requiring Child Development Division
prior approval, the subcontractor shall maintain records for program re-
view, evaluation, audit and/or other purposes and make the records avail-
able to agents of the State for a period of five (5) years.
(m) Contain provisions of the "Nondiscrimination Clause"' included
in the prime contract as specified in Title 2 California Code of Regula-
tions. Chapter 5. Section 8107.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8261,
Hducalion Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18032. Audit Requirements for Subcontracts.
(a) Subcontracts requiring Child Development Division approval
shall be audited in accordance with Slate Department of Education Audit
Guidelines.
(b) The cost of the audit shall be reimbursable and shall be borne by
the contractor either directly or as an allowance in the subcontract.
(c) The audit of the subcontract shall be submitted to the State Depart-
ment of Education as follows:
( 1 ) School districts, county offices of education and community col-
leges shall submit the audit of the subcontract by the fifteenth day of the
fifth month following the fiscal year in which the subcontracted services
were performed;
(2) All other contractors shall submit the subcontract audit along with
the contractor's audit as specified in Section 18071 of this Division.
Note: Authority cited: Section 8261. Education Code. Reference: Section 8448,
Education Code.
1. New section filed 1 1-21 -J^
History
operative i-1-89 (Register 88, No. .SO).
Article 3. Costs
§ 18033. General Standards.
Contractors will be reimbursed for actual costs that are reasonable and
necessary to the performance of the contract as defined in Section
I8013(s) of this Division.
Note: Authority cited: Sections 8261 and 8269. Education Code. Reference: Sec-
tions 8265 and 8275, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. .50).
§ 18034. Specific Items of Reimbursable Costs.
Reimbursable costs include, but are not limited to. the following:
(a) Start-up costs specified in Education Code Section 8275, not to ex-
ceed fifteen percent (15%) of the annual contract amount.
(b) Close-down costs for Migrant Programs as specified in Education
Code Section 8233.
(c) Administrative costs, not to exceed fifteen percent ( 1 5% ) of net re-
imbursable program costs. Such costs include activities that do not pro-
vide a direct benefit to the children, parents, or providers.
(d) Employee compensation, including fringe benefits, and personal
service contracts.
(e) Equipment and equipment replacement with prior Child Develop-
ment Division approval if required in the annual child development con-
tract.
(f) Improvement of sites and adjacent grounds to meet or continue to
meet Title 22 California Code of Regulations, Community Care Licens-
ing Standards. Reimbursable improvements are those that:
(1) do not unnecessarily increase the value as defined in 18013(v) of
this Division of a facility; and
(2) the contractor has obtained prior Child Development Division ap-
proval if required in the annual child development contract.
(g) Taxes, insurance, and maintenance for buildings and/or equip-
ment.
(h) Depreciafion based on the useful life of an asset using a straight line
method from the original date of acquisition. Depreciation shall not be
claimed on land, donated assets or assets purchased with public funds.
(i) A use allowance for buildings and improvements, computed at an-
nual rate not to exceed two percent (%) of acquisition costs. A use allow-
ance for equipment computed at an annual rate not to exceed six and two-
thirds percent (6 2/3%) of acquisifion costs. A use allowance shall not be
claimed on assets purchased with contract funds or on land, and shall not
be claimed for assets for which depreciation has been claimed.
(j) Travel and per diem expenses, including approved out-of-state
travel, at rates not to exceed those rates paid to the majority of State De-
partment of EducaUon's represented employees computed in accordance
with State Department of Personnel Administration regulaUons. Title 2
California Code of Regulations, Subchapter 1. The Child Development
Division shall notify the contractor of a change in expense rales within
thirty (30) calendar days after the Child Development Division has re-
ceived notification of a change in rates from the State Department of Per-
sonnel Administration.
(k) An indirect cost rate based on an approved cost allocation plan, not
to exceed the rate specified in the annual child development contract.
Note: Authority cited: Sections 8261 and 8269. Education Code. Reference: Sec-
tions 8261 and 8269, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. .50).
§ 18035. Nonreimbursable Costs.
The following costs shall not be reimbursable under the child develop-
ment contract:
(a) Bad debts, including losses arising from uncollectible accounts and
any related legal costs. Uncollected parent fees are not considered to be
bad debts if documentaUon of collection attempts exists;
(b) Contributions;
Page 184.55
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§ 18037
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(c) Costs of amusement or entertainment;
(d) Costs of fines or penalties;
(e) Costs of idle facilities unless those costs are related to a partial year
program and the costs of the idle facilities have been approved by the
Child Development Division:
(f) Costs incurred after the contract has been terminated;
(g) Fund raising costs except as specified in Section 1 8277 of this Divi-
sion;
(h) Consumer interest except:
( 1 ) Interest on borrowed funds when apportionments are withheld be-
cause of a delay or error attributable to the State and the amount of inter-
est claimed is approved by the Child Development Division; or
(2) when interest is part of a lease purchase agreement.
(i) Investment management costs;
(j) Costs of organization of a nonprofit corporation such as incorpora-
tion fees or consultant fees;
(k) Public relations consultant fees:
(/) Costs of legal, consulting and accounting services incurred in
prosecution of claims against the State;
(m) State and federal income taxes;
(n) Costs for the acquisition of sites and buildings except through de-
preciation;
(0) Bonuses unless part of a collective bargaining agreement;
(p) Compensation to the members of the board of directors except for:
(1) reimbursement, computed in accordance with Section 18034 of
this Division, for travel and/or per diem incurred while the members are
conducting business for the organization; and
(2) as provided in the California Corporation Code Section 5227. et
seq.
(g) Costs of subcontracts which increase the contractor's cost or sub-
contracts which contain a provision for reimbursement for cost-plus a
percentage-of-costs.
NOTE; Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tions 8208(0) and 8269. Education Code.
History
i. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
§18037. Charging of Expenditures.
Reimbursement for net reimbursable program costs shall meet the fol-
lowing criteria:
(a) Costs must be incurred during the contract period.
(b) Contractors shall not use current year contract funds to pay prior
or future year obligations.
(c) The cost of the annual independent audit may be claimed either in
the contract period which was the subject of the audit or during the con-
tract period in which the audit is completed.
NOTE: Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tions 8261 and 8269, Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18038. Recoupment of Advanced Contract Funds.
(a) The State Department of Education shall recoup any payments
made for costs which were not reasonable and necessary. The amount
that is recouped shall be the excess payment over the reasonable or fair
market value, or one hundred percent (100%) of the cost, if the cost was
not necessary.
(b) The State Department of Education may elect to recover any costs
of recoupment, including collection services or attorney fees.
NOTE: Authority cited: Sections 8265 and 8269, Education Code. Reference: Sec-
tion 8269, Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18039. Use of Subsidized Parent Fees.
(a) Fees received from subsidized parents are to be expended and
earned by the contractor before contract funds shall be claimed for reim-
bursement.
(h) Such fees shall be expended on reimbursable costs and earned by
providing child days/hours of enrollment beyond the minimum required
by the contract at a rate equal to the lesser of the daily/hourly contract rate
or the actual cost.
NOTE: Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tions 8261 and 8265, Education Code.
History
1, New .section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18040. Prior Approval for Certain Capital Outlay
Expenditures.
(a) When expenditures for equipment, equipment replacement and im-
provements exceed the level specified in the annual child development
contract, private contractors shall obtain at least three (3) bids or esti-
mates;
( 1 ) Award shall be made to the lowest responsible bidder;
(2) If three (3) bids or estimates cannot be obtained, the contractor
shall maintain documentation that specifies the reason(s) why three (3)
bids or estimates could not be obtained and establishes the reasonable-
ness of the cost without three (3) bids or estimates;
(b) When expenditures for equipment, equipment replacement and
improvements exceed the level specified in the annual child development
contract, the contractor shall request prior written approval from the
Child Development Division.
(c) The Child Development Division shall approve or deny the request
for the capital outlay expenditure within thirty (30) calendar days of the
receipt of the request;
(d) If the request is denied, the contractor may appeal the decision in
accordance with instructions specified in Section 18302 of this Division.
NOTE; Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tions 8261 and 8265, Education Code.
History
1 . New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
§ 1 8041 . Prior Approval for Out-of-State Travel.
(a) Contractors shall be reimbursed for out-of-state travel expenses
only with prior written approval from the Child Development Division.
The Child Development Division shall not approve out-of-state travel
expenses:
( 1 ) For more than one employee per contract per year;
(2) For contractors with delinquent accounts payable which are delin-
quent more than ninety (90) calendar days after the date of the original
invoice;
(3) For contractors on conditional status;
(4) When there is no clear benefit to the state; or
(5) When the benefit to the state can be obtained within California.
(b) The Child Development Division shall approve or deny the request
for out-of-state travel within thirty (30) calendar days of the receipt of
the request;
(c) If the request is denied, the contractor may appeal the decision in
accordance with instructions specified in Section 18308 of this Division.
NOTE: Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tions 8261 and 8265, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
•
Article 4. Determination of Reimbursement
§ 18054. Determination of Reimbursable Amount.
(a) Except for Resource and Referral programs and Alternative Pay-
ment type programs, all contractors shall be reimbursed for an audited
claim that is the least of the following:
( 1 ) The maximum reimbursable amount as stated in the annual child
development contract; or
(2) The net reimbursable program costs; or
(3) The product of the adjusted child days/hours of enrollment for cer-
tified children, times the contract rate per child day/hour of enrollment,
times the actual percentage of attendance plus five percent (5%), but in
no case to exceed one hundred percent (100%) of enrollment;
•
Page 184.56
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Title 5
California Department of Education
§ 18066
(b) Resource and Referral programs will be reimbursed for the lesser
of (a)( 1 ) or (a)(2) of this section.
(c) Alternative Payment type programs shall be reimbursed for an au-
dited claim that is the least of the following:
( 1 ) The maximum reimbursable amount as stated in the annual child
development contract; or
(2) The amount earned, which is reimbursable expenditures of:
(A) direct payments to providers, which includes family fees for certi-
fied children and interest earned on advanced contract funds; and
(B) actual administrative and support costs directly related to child
care services provided, which combined cannot exceed the allowable
percentage of the total contract amount.
NOTE: Authority cited: Sections 8261 and 8269. Education Code. Reference: Sec-
tion 8265. Hduealion Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88. No. 50).
2. Amendment of subsection (a) and new subsections (c)-(c)(2)(B) filed
I l-i.V2()()6 as an emergency; operative 1 1-13-2006 (Register 2006, No. 46).
A Ceililleate of Compliance must be transmitted to OAL by 3-13-2007 or
emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1 1-13-2006 order, including amendment of
subsection (c)(2)(B). transmitted to OAL 3-8-2007 and filed 4-1 7-2007 (Res-
ister2007. No. 16).
§ 18055. Minimum Days of Operation.
If the contractor fails to operate at least ninety eight percent (98%) of
the minimum days of operation required in its contract, ceases operation
or the contract is terminated prior to the end of the contract period, the
maxiinum reimbursable amount shall be reduced in proportion to the per-
centage of the contract minimum days of operation that the contractor
was not in operation.
NOTt:: Authority cited: Section 8269. Education Code. Reference: Section 8269.
Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. .SO).
§ 18056. Reduction, Withholding, and Cancelling
Apportionments to Contractors.
(a) The State Department of Education shall reduce, withhold or can-
cel any scheduled apportionment when one or more of the following con-
ditions exist:
( 1 ) The contractor has not submitted an acceptable audit for any prior
year of operation on or before the date due.
(2) The contractor has not submitted the reports required by Sections
18068, 18069. 18070, 18071, 18072 and 1807.3 of this Division, if appli-
cable, on or before the date due.
(3) The contractor will not earn the full contract amount based on the
current year projected and the prior year actual net reimbursable pro-
grams costs as determined by the State Department of Education, Local
Assistance Bureau.
(4) A creditor of the contractor has placed a lien on the contractor's
.scheduled apportionments.
(5) The contractor has accounts payable which are:
(A) more than ninety (90) days delinquent to the State Department of
Education; and
(B) not under appeal as specified in either Section 18301 or Section
18.308 of this Division.
(b) If any apportionment is to be reduced, withheld or cancelled, the
State Department of Education shall provide the contractor prior written
notice of the intended action.
NOTl:; Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tions 8261 and 826.5, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 1 8057. Order of Expenditure.
Expenditure from the Child Development Fund shall occur in the fol-
lowing order:
(a) Fees collected from parents of certified children shall be first in and
first out.
(b) State or federal contract funds apportioned by the State Department
of Education shall be second in and second out.
(e) Interest received on advanced State Departinent of Education
funds shall be last in and last out.
Note. Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tions 8261 and 8265. Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88. No. ,50).
Article 5.
Accounting and Reporting
Requirements
§18063. General Provisions.
Contractors shall report expenditures on an accrual basis.
Note: Authority cited: Section 8261, Education Code. Reference: Sections 8261
and 8448(g), Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 0).
§ 18064. Child Development Fund; Interest Bearing
Accounts.
(a) All contractors shall establish a fund to be known as the "Child De-
velopment Fund" as specified in Education Code Section 8328, except
that private contractors shall establish the fund in a federally insured
banking institution located in California.
(b) Contractors with multiple fund sources shall establish .separate
program cost accounts for each source of funds.
(c) If a contractor places advanced contract funds in an interest bearing
account, the interest bearing account shall be a separate account within
the Child Development Fund.
(d) Interest earned shall be retained by the contractor if:
(1) Expended on reimbursable costs; and
(2) Except Resource and Referral programs, earned by providing sub-
sidized days/hours of enrollment beyond the minimum required to earn
the maximum reimbursable amount at a rate equal to the lesser of the dai-
ly/houriy contract rate or the actual program costs.
NOTE; Authority cited: Sections 826 1 and 8269, Education Code. Reference: Sec-
tions 8261 and 8328, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 1 8065. Enrollment and Attendance Accounting.
(a) Contractors operating centers and/or family child care homes shall
use daily sign-in/sign-out sheets as a primary source document for audit
and reimbursement purposes.
(b) One of the following persons shall enter the lime of arrival and de-
parture on a sign-in/sign-out sheet and, except as specified in Subsection
(c) below, shall sign the sheet using their full signature:
(1 ) The parent or other adult authorized by the parent to drop ofl7pick
up a child; or
(2) The staff person designated by the contractor as the person respon-
sible for entering the times of arrival and departure if the child is not
dropped off/picked up by a parent or other adult authorized by the parent.
(c) First and last initials of the contractor's authorized representative
along with a notation of the time are required to document when a
school-age child departs for and returns from school during the day.
(d) Contractors operating an Alternative Payment program may use an
alternative to daily sign-in/sign-out sheets as documentation of atten-
dance for reimbursement purposes with the prior written approval of the
Child Development Division.
NOTE: Authority cited: Sections 826 1 and 8269, Education Code. Reference: Sec-
tions 8261 and 8269, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. .50).
§ 18066. Verification of Excused Absence; Policies.
(a) If the absence is claimed by the contractor as an excused absence
as defined in Education Code Section 8208(d), the attendance accounting
records shall contain verification that includes:
( 1 ) The name of the child;
Page 184.57
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§ 18067
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(2) The dale(s) of absence;
(3) The specific reason for the absence; and
(4) The signature of the parent or the contractor's authorized represen-
tative if verification is made by telephone.
(b) If an excused absence is based on time spent with a parent or other
relative as required by a court of law. the basic data file shall contain a
copy of the Court Order.
(c) Contractors shall adopt reasonable policies delineating circum-
stances that would constitute an excused absence for "family emergen-
cy" and "in the best interest of the child."
(d) Contractors shall also adopt a policy governing unexcu.sed ab-
sences which may include reasonable limitations, if any.
(e) Contractors shall inform parents of these policies.
(f) Except for children who are recipients of protective services or at
risk of abuse or neglect, excused absences "in the best interest of the
child" shall be limited to ten (10) days during the contract period.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8208(d), 826! and 8263, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of subsection (f) filed 5-6-2005 as an emergency; operative
5-6-2005 (Register 2005, No. 18). A Certificate of Compliance must be trans-
mitted to OAL by 9-6-2005 or emergency language will be repealed by opera-
tion of law on the following day.
3. Reinstatement of section as it existed prior to emergency amendment filed
10-14-2005 by ojjeration of Government Code section 1 1346.1(f). Certificate
of Compliance as to 5-6-2005 order transmitted to OAL 9-2-2005; disap-
proved by OAL and order of repeal as to 5-6-2005 order filed on 10-14-2005
(Register 2005, No. 41).
4. Amendment filed 10-14-2005 as an emergency; operative 10-14-2005 (Regis-
ter 2005, No. 41 ). A Certificate of Compliance must be transmitted to OAL by
2-13-2(X)6 or emergency language will be repealed by operation of law on the
following day.
5. Reinstatement of section as it existed prior to 10-14-2005 emergency amend-
ment by operation of Government Code section 11 346. 1(f) (Register 2006, No.
20).
§ 18067. General Recordkeeping Requirements.
(a) All records shall be retained for a minimum period of five (5) years.
(b) Claims for reimbursement shall not be paid unless there are docu-
ments to support the claims. The contractor has the burden of supporting
claims for reimbursement.
NOTE: Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tions 8261 and 8269, Education Code.
History
1. New section filed 11-21-88; operafive 1-1-89 (Register 88, No. 50).
§ 18068. Attendance and Expenditure Reports.
(a) Contractors shall submit reports containing the following informa-
tion for each contract to the California Department of Education at inter-
vals specified in the annual child development contract:
(1 ) Days/hours of enrollment and attendance for all children served in
the program in the current reporting period and year to date;
(2) Total days of operation in the current reporting period and year to
date;
(3) Except for contractors operating Alternative Payment programs,
the report shall include all services, revenues and expenditures for both
subsidized and nonsubsidized children if nonsubsidized and subsidized
children are commingled as defined in section 18013(i) of this division;
(4) Amount and sources of all revenues other than advanced contract
funds for the current reporting period and the year to date; restricted and
unrestricted income shall be reported as follows:
(A) restricted income expended during the contract period shall be re-
ported as "restricted"; restricted income that is not expended during the
contract period remains restricted and shall be considered "deferred reve-
nue";
(B) all unrestricted income shall be reported as "unrestricted";
(5) Total expenditures related to the program operation for the current
reporting period and the year to date, including all expenses for specific
purposes as designated by restricted income and all non-reimbursable
expenses.
(b) Reports not received by the due dates shall be considered delin-
quent. Penalties for delinquent reporting are specified in section 18056
of this division.
(c ) Contractors on conditional or provisional status shall report month-
ly.
NOTE: Authority cited: Section 8269, Education Code. Reference: Section 8269,
Education Code.
History
1. New .section filed 1 1-21-88; operative 1-1-89 (Register 88, No. .50).
2. Amendment filed 4-17-2007; operative 4-17-2007 pursuant to Government
Code section 1 1.343.4 (Register 2007, No. 16).
§ 18069. Service Data Report for Resource and Referral
Programs.
Contractors operating Resource and Referral programs shall submit
reports to the Child Development Division which contain the following
data at intervals specified in the annual child development contract:
(a) Number of requests for general child care information and child
care referrals.
(b) Age categories of child care requests and referrals:
(1) Infants (birth to eighteen months);
(2) Toddlers (eighteen months to thirty-six months);
(3) Preschool (3 years to kindergarten enrollment); and
(4) School-age (kindergarten enrollment to age 14).
(c) Time categories of child care referrals:
(1) Full-time;
(2) Part-time;
(3) Before and after school;
(4) Occasional (drop-in, temporary, emergency care);
(5) Summer care only; and
(6) Special time categories (nights, weekends, rotating shifts, swing
shift, graveyard shift, etc.).
(d) Reasons for requesting referrals:
(1) Employed or seeking employment;
(2) School or training;
(3) Respite care (emergency only);
(4) Parental relief (non-emergency);
(5) Child's developmental or special need;
(6) Child is ill and cannot attend school or usual child care arrange-
ment; and
(7) Child Protective Service referral.
(e) Number of technical services provided:
(1) Written materials;
(2) Telephone consultations;
(3) Program visitations;
(4) Office consultations;
(5) Resource information Ubrary;
(6) Toy/equipment lending library;
(7) Published newsletters;
(8) Conducted workshops or conferences;
(9) Attended meetings with child care providers;
(10) Attended meetings with child care related service agencies;
(11) Coordinated workshops or conferences; and
(12) Media contacts.
(f) Referral procedures utilized:
( 1 ) Telephone referrals service;
(2) Answering machine requests for referrals;
(3) Office hours for appointments or drop-in referrals; and
(4) Evening or weekend office hours for referrals.
(g) Types of child care providers in resource file:
( 1 ) Centers;
(2) Family child care home (licensed); and
(3) In-home caregivers.
(h) Responses to referral requests:
( 1 ) Method of response;
(2) Number of responses; and
(3) Languages used to respond.
Page 184.58
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Title 5
California Department of Education
§ 18073
Note;: Authority cited: Section 8261, Education Code. Rel'erence: Section 8212.
Hducation Code.
History
1. New section tiled 1 1-21 -88-. operative 1-1-89 (Register 88, No. 50).
2. Amendment of subsection (d)(7) and amendment of Noti filed 5-6-2005 as an
emergency; operative 5-6-2005 ( Register 2005, No. 1 8). A Certificate of Com-
pliance must be transmitted to OAL by 9-6-2005 or emergency language will
be repealed by operation of law on the following day.
.^. Reinstatement of section as it existed prior to emergency amendment tiled
10-14-2005 by operation of Government Code .section 1 1346.1(0. Certificate
ol Compliance as to 5-6-2005 order iransnutled to OAL 9-2-2005; disap-
proved by OAL and order of repeal as to 5-6-2005 order filed on 1 0-14-2005
(Regi.slcr2005, No. 41).
4. Amendment filed 10-14-2005 as an emergency; operative 10-14-2005 (Regis-
ter 2005. No. 41 ). A Certificate of Compliance must be transmitted to OAL by
2-13-2006 or emergency language will be repealed by operation of law on the
following day.
5. Reinstatement of section as it existed prior to 10-14-2005 emergency amend-
ment bv operation of Government Code section 1 1 346. 1 (f) (Resister 2006, No.
20).
§18070. Report Data.
(a) Contractors .shall submit statistical, cost and program data as re-
quested by the Stale Department of Education in order for the Depart-
ment to prepare various legislatively mandated reports, to meet state and
federal reporting requirements, and for the effective administration of
child care and development programs.
(b) By September 30 of each year, the State Department of Education
shall issue a notice to all affected child development contractors of any
data collection efforts planned for the current contract period.
(c) Contractors shall submit the data to the State Department of Educa-
tion by the date specified in the State Department of Education's request
for this information.
(d) Reports not received by the required due date shall be considered
delinquent. Penalties for delinquent reporting are specified in Section
18056 of this Division.
(e)( 1 ) Contractors shall provide a copy of the Child Care Data Collec-
tion Privacy Notice and Consent Form CD 9600A (New 01/01/00) which
is incorporated by reference herein, to any head of a family unit at the
time of enrollment and shall obtain a signed copy of that form indicating
the head of household's decision whether to authorize or not authorize
release of his or her social security number for the purposes of data
collection and program management as described in this section.
(2) Each signed Child Care Data Collection Privacy Notice and Con-
sent Form CD 9600A (New 01/01/00), whether the head of a family unit
authorized or did not authorize release of his or her social security num-
ber, shall be retained by the contractor pursuant to the requirements of
sections 18081 and 181 17 of these regulations.
NOTE: Authority cited: Sections 8261 and 8261.5, Education Code. Reference:
Sections 826 1 .5 and 8280, Education Code; Section 1 798.24, Civil Code; and Sec-
tion 7 of the Privacy Act of 1974 (Title 5, Dnited States Code, Section 552a, Note:
Disclosure of Social Security Numbers).
History
1. New section filed 11 -2 1-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of section heading and subsections (a) and (b), new subsections
(e)i 1 ) and (e)(2), and amendment of Note filed 12-29-99 as an emergency; op-
erative 1-1-2000 (Register 99, No. 53). A Certificate of Compliance must be
transmitted to OAL by 5-1-2000 or emergency language will be repealed by
operation of law on the following day.
3. Amendment of section heading and subsections (a) and (b), new subsections
(c)( 1 ) and (c)(2) and amendment of Note refiled 4-28-2000 as an emergency;
operative 4-28-2000 (Register 2000, No. 17). A Certificate of Compliance
must be transmitted to OAL by 8-28-2000 or emergency language will be re-
pealed by operation of law on the following day.
4. Certificate of Compliance as to 4-28-2000 order, including further amendment
of Note, transmitted to OAL 7-19-2000 and filed 8-30-2000 (Register 2000,
No. 35).
§ 1 8071 . Audits and Auditors.
(a) Contractors shall submit to the State Department of Education Of-
fice of External Audits an acceptable annual financial and compliance
audit.
(b) All audits shall be performed by:
(1) A Certified Public Accountant who posses.ses a valid license to
practice within the State of California;
(2) A Public Accountant licensed on or before December 31.1 970 and
currently certified and licensed by the State of California; or
(3) A member of the State Department of Education staff of auditors.
(c) Non-school district contractors shall submit the audit by the fif-
teenth day of the fifth month following the end of the contract period or
eariier if specified by the State Department of Education.
(d) The audits for school districts and county offices of education shall
be submitted to the State Controller by November 15, or by December
31 if an extension has been approved by the applicable county superin-
tendent of schools.
(e) If, for any reason, the contract is terminated during the contract pe-
riod, the audit shall cover the period from the beginning of the contract
through the date of termination.
(f) Public agencies may have their audits prepared by in-house audi-
tors if the public contractor has internal audit staff that performs auditing
functions and meets the tests of independence found in Standards for Au-
dits of Governmental Organization, Programs, Activities, and Functions
issued by the Comptroller General of the United States.
(g) Subcontracts which are required to have approval from the Child
Development Division prior to their execution as specified in Section
18028 of this Division shall be audited in accordance with the require-
ments stated in Section 18032 of this Division.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8261.
8448, 33420 and 41020.5.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88. No. 50).
§ 1 8072. Review of Audit by the State Department of
Education Office of External Audits.
(a) The State Department of Education Office of External Audits shall
conduct a review of the audit to determine whether the audit is acceptable
and to determine the contractor's net reimbursable program costs. The
Office of External Audits' determinadon of earnings shall be the final ac-
counting of any amount payable to or receivable from the contractor pur-
suant to the contract.
(b) The contractor may appeal the Office of External Audits' findings
according to the procedures specified in Secfion 1 8301 of this Division
if the amount of the demand for remittance meets or exceeds the thresh-
old specified in Educafion Code Section 8402(c).
NOTE: Authority cited: Section 8261., Education Code. Reference: Sections 8261.
8402(c) and 8448, Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18073. Delinquent Audits; One-Time Extension; Liability
for State Department of Education Audit Costs.
(a) If an audit is not received on or before the required due dale and an
extension has not been granted, the audit shall be considered delinquent
and all apportionments shall be withheld as specified in Secfion 18056
of this Division.
(b) Except for contractors on conditional status, the State Department
of Education Office of External Audits may grant a contractor a one-lime
only, thirty (30) calendar day extension of the audit due date provided the
inability of the contractor to submit the audit by the due date was beyond
the fault and control of the contractor.
(c) Contractors shall be liable for all State Department of Education
costs incurred in obtaining an independent audit if the contractor fails to
produce or submit an acceptable audit.
Page 184.59
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§ 18074
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
NOTE: Authority cited: Section 8261 , Education Code. Reference: Sections 8261
and 8448, Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88. No. 50).
Subchapter 2.5. Utilization of the Regional
Market Rate Ceiling
Article 1. General Provisions
§18074. Applicable Regulations.
The regulations contained in this Subchapter, except for those con-
tained in Section 18075.1, shall apply to contractors using the regional
market rate ceiling to develop reimbursement agreements with licensed
and license-exempt providers of child care and development services to
eligible fainilies. Section 18075.1 applies to contractors developing re-
imbursement agreements with licensed providers only. For the purposes
of this subchapter, the term "contractor" shall also apply to county wel-
fare departments operating programs pursuant to Article 15.5, commenc-
ing with Section 8350, of Chapter 2 of Division 1 of the Education Code.
NOTE: Authority cited: Sections 8265 and 8269, Education Code. Reference: Sec-
tions 8265 and 8269, Education Code.
History
1 . New subchapter 2.5 (article 1), article 1 (sections 18074-18076.2) and section
filed 9-4-2003 as an emergency, operative 9-4-2003 (Register 2003. No. 36).
A Certificate of Compliance must be transmitted to OAL by 1-2-2004 or emer-
gency language will be repealed by operation of law on the following day.
2. New subchapter 2.5 (article 1), article 1 (sections 18074-18076.2) and section
refiled 12-29-2003 as an emergency; operative 12-29-2003 (Register 2004,
No. 1). A Certificate of Compliance must be transmitted to OAL by 4-27-2004
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 12-29-2003 order, including amendment of
subchapter heading and section, transmitted to OAL 4-26-2004 and filed
6-8-2004 (Register 2004, No. 24).
§18074.1. Definition(s).
(a) "Certified need for child care" means the number of days and hours
of child care and development services approved and documented by the
contractor as sufficient to meet the family's need for child care.
(b) "Maximum subsidy amount" means the regional market rate ceil-
ing plus any applicable adjustments pursuant to Sections 18075.1 or
18075.2.
(c) "Regional market rate ceilings" means the maximum amount cal-
culated by the Department that providers in different regions of the state
may be reimbursed for the same type of child care for the same age child
in accordance with statutory ceilings currently in effect.
(d) "Subsidized families" means eligible families who are receiving
child care and development services and on whose behalf the Department
or the California Department of Social Services is providing a reimburse-
ment, in whole or in part.
(e) "Unsubsidized" means children or families other than those de-
fined in subdivision (d).
NOTE: Authority cited: Sections 8261, 8263 and 8269, Education Code. Refer-
ence: Sections 8263, 8269 and 8461, Education Code.
History
1. New section filed 9-4-2003 as an emergency; operative 9^1-2003 (Register
2003, No. 36). A Certificate of Compliance must be transmitted to OAL by
1-2-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 12-29-2003 as an emergency; operative 12-29-2003 (Reg-
ister 2004, No. 1 ). A Cenificate of Compliance must be transmitted to OAL by
4-27-2004 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 12-29-2003 order, including amendment of
secnon, transmitted to OAL 4-26-2004 and filed 6-8-2004 (Register 2004, No.
24).
4. Change without regulatory effect repealing subsections (b)-(d), relettering sub-
sections and amending newly designated subsecfion (e) filed 9-15-2006 pur-
suant to section 100, title 1, California Code of Reculations (Register 2006, No.
.37).
§ 18074.2. Application of Regional Market Rate Ceilings.
Contractors shall use the age of the child, the certified need for child
care, and the facility type to identify the applicable regional market rate
ceiling.
(a) The applicable facility type shall be determined as follows:
( 1 ) Child care center rate ceilings shall be used for those providers
who:
(A) Operate licensed centers; or
(B) Are public or private schools operating extended day programs; or
(C) Operate centers on tribal or federal lands; or
(D) Operate recreation programs exempt from licensure pursuant to
Health and Safety Code Section 1596.792 and that meet the requirements
for participation in the alternative payment program, including:
1 . Using sign-in/sign-out documents to record attendance pursuant to
Section 18065;
2. Providing adult supervision for all children during all hours of op-
eration; and
3. Ensuring that all employees who have contact with children have
completed criminal history background examinations comparable to the
criminal history background examinations required by Chapter 3.35 of
Division 2 of the Health and Safety Code, commencing with Section
1596.60.
(2) Family child care home rate ceilings shall be used for those provid-
ers who;
(A) Operate licensed family child care homes; or
(B) Operate a child care business in a home setting on tribal or federal
land.
(3) In-home/exempt rate ceilings shall be used for all other providers.
If no ceiling is provided for the applicable reimbursement rate category
pursuant to Section 18075, the contractor shall determine a ceiling by
multiplying the regional market rate hourly ceiling by the hours of certi-
fied need.
(b) For children enrolled in kindergarten who are less than six years
of age, the applicable age category shall be determined as follows:
(1) Providers identified in (a)(1) above shall utilize:
(A) The 6+ age category when the child is considered school-age for
licensing purposes.
(B) The 2-5 age category when the child is considered preschool age
for licensing purposes.
(2) Providers identified in (a)(2) and (a)(3) above shall utilize:
(A) The 6-1- age category when the child is six years of age or older.
(B) The 2-5 age category when the child is less than six years of age.
NOTE: Authority cited: Sections 8265 and 8269, Education Code. Reference; Sec-
Uons 8265 and 8269, Education Code.
History
1 . New section filed 9-4-2003 as an emergency; operative 9-4-2003 (Register
2003, No. 36). A Certificate of Compliance must be transmitted to OAL by
1-2-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 12-29-2003 as an emergency; operative 12-29-2003 (Reg-
ister 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by
4-27-2004 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 1 2-29-2003 order, including repealer and new
section, transmitted to OAL 4-26-2004 and filed 6-8-2004 (Register 2004, No.
24).
§ 18074.3. Establishment of Reimbursement Rate.
NOTE: Authority cited: Sections 8265 and 8269, Education Code. Reference: Sec-
tions 8222, 8265, 8266.5, 8269 and 8357, Education Code.
History
1 . New section filed 9-4-2003 as an emergency; operative 9-4-2003 (Register
2003, No. 36). A Certificate of Compliance must be transmitted to OAL by
1-2-2004 or emergency language will be repealed by operafion of law on the
following day.
2. New section refiled 12-29-2003 as an emergency; operative 12-29-2003 (Reg-
ister 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by
4-27-2004 or emergency language will be repealed by operafion of law on the
following day.
Page 184.60
Register 2006, No. 46; 11-17-2006
Title 5
California Department of Education
§ 18075.2
3. Certificate of Compliance as to 12-29-2003 order, including amendment of
section heading, repealer and new section and amendment of Note, transmitted
to OAL 4-26-2004 and filed 6-8-2004 (Register 2004. No. 24).
4. Change without regulatory effect repealing section filed 9-15-2006 pursuant
to secUon 100. title 1 , California Code of Regulations (Register 2006. No. 37).
§ 1 8074.4. Establishment of Provider Reimbursement Rate
Utilizing the Comparable Local Rate.
NOTIr;: Authority cited: Sections 826.5 and 8269, Education Code. Reference: Sec-
tions 8222, 826.5, 8266.5, 8269 and 8357, Education Code.
H [.STORY
1. New section filed 6-8-2004: operative 6-8-2004 (Register 2004, No. 24).
2. Change without regulatory effect repealing section filed 9-15-2006 pursuant
to .secnon 100, title 1 . California Code of Regulations (Register 2006. No. 37).
§ 18074.5. Establishment of Hourly Reimbursement Rate
for In-Home/Exempt Providers.
NOTE: Authority cited: Sections 8265 and 8269. Education Code. Reference: Sec-
tions 8265 and 8269, Education Code.
History
1. New section filed 6-8-2004; operative 6-8-2004 (Register 2004, No. 24).
2. Change without regulatory effect repealing .section filed 9-15-2006 pursuant
to .section 1 00, title 1 , California Code of Regulations (Register 2006, No. 37).
§ 1 8074.6. Determination of Reimbursement Amount.
NOTE: Authority cited: Sections 8265 and 8269, Education Code. Reference: Sec-
tions 8265 and 8269, Education Code.
History
1 . New section filed 6-8-2004; operative 6-8-2004 (Register 2004, No. 24).
2. Change without regulatory effect repealing section filed 9-15-2006 pursuant
to section 100, title 1 , California Code of R^egulations (Register 2006, No. 37).
§ 18075. Reimbursement Rate Categories.
Contractors shall reimburse providers in accordance with the follow-
ing rate categories.
(a) Hourly, which shall only be used for the following:
( 1 ) A child's certified need for child care of less than 30 hours per week
and less than six hours on any day; or
(2) An unscheduled but documented need of less than six hours per oc-
currence, such as the parent's need to work overtime, that exceeds the
certified need for child care; or
(3) That portion of the certified need for child care that exceeds 52.5
hours per week and is not included in the provider's full-time weekly or
full-time monthly rate. This provision applies only if the family utilizes
no more than one provider to meet the child's entire need for child care
and development services. Additional payment made under the hourly
rate for this purpose cannot exceed the provider's full-time weekly or
full-time monthly rate.
(b) Daily, which shall only be used for the following:
( J ) A certified need for child care of six hours or more per day; or
(2) An unscheduled but documented need of six hours or more per oc-
currence, such as the parent's need to work on a regularly scheduled day
off, that exceeds the certified need for child care.
(c) Part-time weekly, which shall only be used when a certified need
for child care less than 30 hours per week.
(d) Full-time weekly, which shall only be used when a certified need
for child care is 30 hours or more per week.
(e) Part-time monthly, which shall only be used for the following:
( 1 ) A certified need for child care of less than 30 hours per week and
that need occurs in every week of the month; or
(2) A certified need for child care averages less than 30 hours per week
when calculated by dividing the total number of hours of need in the
month by 4.33, and that need occurs in every week of the month.
(f) Full-time monthly, which shall only be used for the following:
(1) A certified need for child care of 30 hours or more per week and
that need occurs in every week of the month; or
(2) A certified need for child care averages 30 hours or more per week
when calculated by dividing the total number of hours of need in the
month by 4.33, and that need occurs in every week of the month.
Note: Authority cited: Sections 8265 and 8269, Education Code. Reference: Sec-
tions 8220, 8222 and 8357, Education Code.
History
1. New .section filed 9^-2003 as an emergency; operative 9-4-2003 (Register
2003, No. 36). A Certificate of Compliance must be transmitted to OAL by
1-2-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 1 2-29-2003 as an emergency; operati ve 1 2-29-2003 ( Reg-
ister 2004, No. 1 ). A Certificate of Compliance must be transmitted to OAL by
4-27-2004 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 12-29-2003 order, including amendment of
section, transmitted to OAL 4-26-2004 and filed 6-8-2004 (Register 2004. No.
24).
§ 1 8075.1 . Adjustment for Evenings and/or Weekends for
Licensed Providers.
(a) This section applies only to reimbursement to licensed providers,
except this section shall not apply to reimbursement provided pursuant
to the hourly rate defined in Section 1 8075(a).
(b) When a licensed provider is meeting the certified need for child
care that includes hours during the period from 6:00 p.m. to 6:00 a.m. on
any day of the week or from 6 a.m. Saturday to 6:00 a.m. Monday, the
contractor shall multiply the regional market rate ceiling for the applica-
ble rate category by the appropriate adjustment factor as follows:
( 1) By 1 .25 when 50 percent or more of the certified need for child care
occurs during this period.
(2) By 1.125 when at least ten percent, but less than 50 percent of the
certified need for child care occurs during this period.
(c) Reimbursement to the provider shall be the lesser of the amount the
provider charges unsubsidized families for the same hours of child care,
or the maximum subsidy amount as determined pursuant to subsection
(b) above.
NotE: Authority cited: Sections 8265 and 8269, Iiducation Code. Reference: .Sec-
tions 8220, 8222 and 8357, Education Code.
History
1. New section filed 9-4-2003 as an emergency; operative 9-4-2003 (Register
2003, No. 36). A Certificate of Compliance must be transmitted to OAL by
1-2-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 1 2-29-2003 as an emergency; operative 1 2-29-2003 (Reg-
ister 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by
4-27-2004 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 12-29-2003 order, including amendment of
section heading and section, transmitted to OAL 4-26-2004 and filed
6^8-2004 (Register 2004, No. 24).
§ 18075.2. Adjustment for Children with Exceptional
Needs.
(a) When child care and development services are provided to a child
with exceptional needs, the contractor shall multiply the lesser of the re-
gional market rate ceiling or the rate determined pursuant to Section
18074.3 or 18074.4, whichever is lower, by only one of the following:
(1) By 1.2, when the child has exceptional needs as defined in Educa-
tion Code Section 8208(/).
(2) By 1.5, when the child is severely disabled as defined in Education
Code Section 8208(x).
(b) Contractors shall apply this adjustment only when there is docu-
mentation that additional services and/or accommodations for that par-
ticular child are being provided, and such services and/or accommoda-
tions result in an on-going financial impact on the provider.
NOTE: Authority cited: Sections 8222, 8265, 8265.5 and 8269, Education Code.
Reference: Secnons 8208(0 and 8208(x), Education Code.
History
1. New section filed 9-4-2003 as an emergency; operative 9-4-2003 (Register
2003. No. 36). A Certificate of Compliance must be transmitted to OAL by
1-2-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 1 2-29-2003 as an emergency; operative 1 2-29-2003 (Reg-
ister 2004. No. 1 ). A Certificate of Compliance must be transmitted to OAL by
4-27-2004 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 12-29-2003 order, including amendment of
section heading and section, transmitted to OAL 4-26-2004 and filed
6-8-2004 (Register 2004, No. 24).
Page 184.61
Register 2006, No. 46; 1 1 - 1 7 - 2006
§ 18076
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 18076. Limitations on Reimbursement.
(a) Single Rale Category. Contractors shall only reimburse providers
using a single rate category as defined in Section 18075.
(b) Notwithstanding subsection (a), contractors may provide reim-
bursement to a provider using both a daily and an hourly rate when:
( 1 ) No single rate established by the provider corresponds to the fami-
ly's need for care; and
(2) The provider has established a rate in both daily and hourly rate
categories pursuant to Section 18074.3; and
(3) Using both rates is consistent with the rates the provider charges
unsubsidized families needing similar hours of care.
(c) Notwithstanding subsection (a), when Sections 18075(a)(2).
18075(a)(3), or 18075(b)(2) are applicable, contractors may reimburse
providers for those categories in addition to the applicable single catego-
ry.
(d) Contractors shall not be bound by the regional market rate ceilings
when there are, in the region, no more than two child care providers of
the type needed by the subsidized family. For the purposes of this subsec-
tion, types of providers are licensed child care centers, licensed family
child care homes, and exempt providers.
Note. Authority cited: Sections 8265 and 8269, Education Code. Reference: Sec-
tions 8222, 8266.5 and 8357, Education Code.
History
1. New section filed 9-4-2003 as an emergency; operative 9-4-2003 (Register
2003, No. 36). A Certificate of Compliance must be transmitted to OAL by
1-2-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 1 2-29-2003 as an emergency; operative 1 2-29-2003 (Reg-
ister 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by
4-27-2004 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 12-29-2003 order, including amendment of
section, transmitted to OAL 4-26-2004 and filed 6-8-2004 (Register 2004, No.
24).
§ 1 8076.1 . Other Reimbursable Fees.
(a) The contractor shall reimburse fees charged by providers such as
registration, materials, and insurance, either in a single payment or pro-
rated over a 12-month period, as long as:
( 1 ) The provider documents that the contractual terms used for ser-
vices to unsubsidized families require payment for such fees; and
(2) The fees or prorated portion thereof, plus the rate established for
the provider pursuant to this subchapter, do not exceed the maximum
subsidy amount.
NOTE: Authority cited: Sections 8265 and 8269, Education Code. Reference: Sec-
tions 8222, 8266.5 and 8357, Education Code.
History
1. New section filed 9^-2003 as an emergency; operative 9-4-2003 (Register
2003, No. 36). A Certificate of Compliance must be transmitted to OAL by
1-2-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 1 2-29-2003 as an emergency; operative 1 2-29-2003 (Reg-
ister 2004, No. 1 ). A Certificate of Compliance must be transmitted to OAL by
4-27-2004 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 12-29-2003 order, including amendment of
section heading and section, transmitted to OAL 4-26-2004 and filed
6-8-2004 (Register 2004, No. 24).
§ 18076.2. Reimbursable Hours of Care.
(a) This section does not apply to reimbursement for services provided
pursuant to Sections 18075(a)(2), (a)(3), and (b)(2) of this subchapter.
•
Page 184.62
Register 2006, No. 46; 11-17-2006
Title 5
California Department of Education
§ 18078
•
(b) Reimbursable hours for the child's regular provider shall include:
( 1 ) Time that a child's absence is deemed excused pursuant to Section
18066 and the time the child is absent when the contractual terms used
by the provider for services to unsubsidized families require payment for
such absences. Reimbursement for an excused absence based on the
child's illness shall not occur in lieu ofproviding accommodations for the
child pursuant to the applicable provisions of the Americans with Disabi-
lities Act.
(2) Time that the provider has a paid day of non-operation and can pro-
vide documentation that the contractual terms used by the provider for
services to unsubsidized families require payment for such day(s) of
non-operation. The number of reimbursable paid day(s) of non-opera-
tion shall be limited to a maximum of ten days per fiscal year per provid-
er.
(c) Reimbursable hours for an eligible alternate provider shall include:
(1) Time that services are provided when the regular provider has a
paid day of non-operation, and the parent has to obtain an alternate pro-
vider to meet the certified need for child care. Payment to an alternate
provider when the regular provider has a paid day of non-operation shall
be limited to ten days per child per fiscal year.
(2) Time that child care services are provided by an eligible alternate
provider when the child is ill and the parent has to obtain care from an
eligible alternate provider. Payment to an alternate provider when the
child is ill shall be limited to a maximum of ten days per child per fiscal
year. Contractors may reimburse an alternate provider in excess of ten
days per year based on the illness of the child if the parent provides a phy-
sician verification.
(d) Reimbursable hours do not include:
( 1 ) The scheduled instructional minutes of a public educational pro-
gram available to a school-age child, or a private school in which the
child is enrolled and attending.
(2) Time when the child is receiving any other child care and develop-
ment services.
(3) Days on which the provider is not open to provide services, except
as specified in subsection (b)(2). A contractor shall reimburse an alter-
nate provider when the regular provider is not open to provide services
and the subsidized family must obtain an alternate provider during the
certified need for child care.
NOTE: Authority cited: Sections 8265 and 8269, Education Code. Reference: Sec-
tion 8208(e), 8263, 8266.5 and 8357, Education Code.
History
1. New section filed 9-4-2003 as an emergency; operative 9^-2003 (Register
2003, No. 36). A Certificate of Compliance must be transmitted to OAL by
1-2-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 1 2-29-2003 as an emergency; operative 1 2-29-2003 (Reg-
ister 2004, No. 1 ). A Certificate of Compliance must be transmitted to OAL by
4-27-2004 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 12-29-2003 order, including amendment of
section heading and section, transmitted to OAL 4-26-2004 and filed
6-8-2004 (Register 2004, No. 24).
§ 18076.3. Reimbursement to Multiple Providers.
(a) Except for reimbursement pursuant to Section 18076.2(c). contrac-
tors shall reimburse only one provider of child care services per child
when the hours of operation of the child care provider selected by the par-
ent can accommodate the certified need for child care. Contractors may
reimburse more than one provider per child when the hours of operation
of the first provider cannot accommodate the certified need for child care.
(b) Notwithstanding subsection (a), when a family's first provider is
not a licensed center and the parent also chooses a licensed center for the
specific purpose of providing the child with large group school readiness
experiences, the contractor may also reimburse the services provided by
the licensed center provider.
(c) Contractors who pay multiple providers pursuant to this section
shall not pay more than one provider for the same portion of a child' s cer-
tified need for child care.
NOTE; Authority cited: Sections 8265 and 8269, Education Code. Reference: Sec-
tions 8265 and 8269, Education Code.
History
1. New section filed 6-8-2004: operative 6-8-2004 (Register 2004, No. 24).
Subchapter 3. General Child Care
Programs
Article 1. General Provisions
§ 1 8077. Scope of Chapter.
Unless otherwise provided in this Division, the regulations in this
chapter apply to all contracting agencies authorized to establish, main-
tain, or operate services pursuant to the Child Care and Development Ser-
vices Act, Chapter 2. Part 6 of Title 1 of the California Education Code
(commencing with Section 8200).
NOTE: Authority cited: Section 8261 and 8263. Education Code. Reference: Sec-
tions 826 J and 8265, Education Code.
History
1. New section filed 1 1-2 1-88; operative 1-1-89 (Register 88, No. .50). For histo-
ry of former Chapter 3 (Sections 18201-18208), see Register 79, No, 16.
§18078. Definitions.
For the purposes of this chapter, the following definitions shall apply:
(a) "Adjusted monthly income" means the total countable income as
defined in subdivision (q) below, minus verified child support payments
paid by the parent whose child is receiving child development services,
excluding the non-countable income listed below:
(1 ) Earnings of a child under age 1 8 years;
(2) Loans;
(3) Grants or scholarships to students for educational purposes other
than any balance available for living costs;
(4) Food stamps or other food assistance;
(5) Earned Income Tax Credit or tax refund;
(6) GI Bill enfitlements. hardship duty pay, hazardous duty pay. hos-
tile fire pay, or imminent danger pay;
(7) Adoption assistance payments received pursuant to Welfare and
InsUtufions Code section 16115 et seq.;
(8) Non-cash assistance or gifts;
(9) All income of any individual counted in the family size who is col-
lecUng federal Supplemental Security Income (SSI) or State Supplemen-
tal Program (SSP) benefits;
(10) Insurance or court settlements including pain and suffering and
excluding lost wages and punitive damages;
(11) Reimbursements for work-required expenses such as uniforms,
mileage, or per diem expenses for food and lodging;
(12) Business expenses for self-employed family members;
(13) When there is no cash value to the employee, the portion of medi-
cal and/or dental insurance documented as paid by the employer and in-
cluded in gross pay; and
(14) Disaster relief grants or payments, except any portion for rental
assistance or unemployment.
(b) "Certify eligibility" means the formal process the contractor goes
through to collect information and documentation to determine that the
family and/or child meets the criteria for receipt of subsidized child de-
velopment services as specified in Education Code .sections 8263(a)(1)
and 8263 (a)(2). The signature of the contractor's authorized representa-
tive on an application for services attests that the criteria have been met.
(c) "Child protective services" means children receiving protective
services through the local county welfare department as well as children
identified by a legal, medical, social service agency or emergency shelter
as abused, neglected or exploited or at risk of abuse, neglect or exploita-
tion.
(d) "Declaration" means a written statement signed by a parent under
penalty of perjury attesting that the contents of the statement are true and
correct to the best of his or her knowledge.
Page 184.63
Register 2007, No. 33; 8- 17-2007
§ 18081
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(e) "Displace families" means to disenroll families in order to reduce
service levels due to insufficient funding or inability of a contractor to
operate one or more sites because of reasons stated in Education Code
section 8271.
(f) "Family" means the parents and the children for whom the parents
are responsible, who comprise the household in which the child receiving
services is living. For purposes of income eligibility and family fee deter-
mination, when a child and his or her siblings are living in a family that
does not include their biological or adoptive parent, "family" shall be
considered the child and related siblings.
(g) "Fee schedule" means the "Family Fee Schedule," issued by the
department pursuant to Education Code section 8447(e). The "fee sched-
ule" is used by child development contractors to assess fees for families
utilizing child care and development services.
(h) "Homeless" means a person or family that lacks a fixed, regular,
and adequate night-time residence and has a primary night time resi-
dence that is:
(1) A supervised publicly or privately operated shelter, transitional
housing, or homeless support program designed to provide temporary
living accommodations; or
(2) A public or private place not designed for, or ordinarily used as, a
regular sleeping accommodation for human beings.
(i) "Income eligible" means for the purpose of child care and develop-
ment services that a family's adjusted monthly income is at or below 75
percent of the state median income, adjusted for family size.
(j) "Income fluctuation" means income that varies due to:
(1) Migrant, agricultural, or seasonal work;
(2) Intermittent earnings or income, bonuses, commissions, lottery
winnings, inheritance, back child support payment, or net proceeds from
the sale of real property or stock;
(3) Unpredictable days and hours of employment, overtime, or self-
employment.
(k) "Legally qualified professional" means a person licensed under
applicable laws and regulations of the State of California to perform le-
gal, medical, health or social services for the general public.
(/) "Parent" means a biological parent, adoptive parent, stepparent,
foster parent, caretaker relative, legal guardian, domestic partner of the
parent as defined in Family Code section 297, or any other adult living
with a child who has responsibihty for the care and welfare of the child.
(m) "Parental Incapacity" means the temporary or permanent inability
of the child's parent(s) to provide care and supervision of the child(ren)
for part of the day due to a physical or mental health condition.
(n) "Recipients of service" means families and/or children enrolled in
a child care and development program subsidized by the California De-
partment of Education.
(0) "Self-Certification of Income" means a declaration signed by the
parent under penalty of perjury identifying:
( 1 ) To the extent known, the employer and date of hire and stating the
rate and frequency of pay, total amount of income received for the pre-
ceding month(s), the type of work performed, and the hours and days
worked, when an employer refuses or fails to provide requested employ-
ment information or when a request for documentation would adversely
affect the parent's employment; or
(2) The amount and frequency of sources of income for which no doc-
umentation is possible.
(p) "State median income" means the most recent median income for
California families as determined by the State Department of Finance.
(q) "Total countable income" means all income of the individuals
counted in the family size that includes, but is not limited to, the follow-
ing:
( 1 ) Gross wages or salary, advances, commissions, overtime, tips, bo-
nuses, gambling or lottery winnings;
(2) Wages for migrant, agricultural, or seasonal work;
(3) Public cash assistance;
(4) Gross income from self-employment less business expenses with
the exception of wage draws;
(5) Disability or unemployment compensation;
(6) Workers compensation;
(7) Spousal support, child support received from the former spouse or
absent parent, or financial assistance for housing costs or car payments
paid as part of or in addition to spousal or child support;
(8) Survivor and retirement benefits;
(9) Dividends, interest on bonds, income from estates or trusts, net
rental income or royalties;
(10) Rent for room within the family's residence;
(11) Foster care grants, payments or clothing allowance for children
placed through child welfare services;
( 1 2) Financial assistance received for the care of a child living with an
adult who is not the child's biological or adoptive parent;
( 1 3) Veterans pensions;
(J 4) Pensions or annuities;
(15) Inheritance;
( 1 6) Allowances for housing or automobiles provided as part of com-
pensation;
(17) Portion of student grants or scholarships not identified for educa-
tional purposes as tuition, books, or supplies;
( 1 8) Insurance or court settlements for lost wages or punitive damages;
(19) Net proceeds from the sale of real property, stocks, or inherited
property; or
(20) Other enterprise for gain.
(r) "Update the application" means the process of revising the applica-
tion for services between recertifications as specified in section 1 81 03 of
this chapter. The application shall be revised by inserting the latest family
information that documents the continued need and eligibility for child
care and development services.
NOTE; Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8203, 8208 and 8261, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of section and Note filed 5-6-2005 as an emergency; operative
5-6-2005 (Register 2005, No. 18). A Certificate of Compliance must be trans-
mitted to OAL by 9-6-2005 or emergency language will be repealed by opera-
tion of law on the following day.
3. Reinstatement of section as it existed prior to emergency amendment filed
10-14-2005 by operation of Government Code section 11346. 1(f). Certificate
of Compliance as to 5-6-2005 order transmitted to OAL 9-2-2005; disap-
proved by OAL and order of repeal as to 5-6-2005 order filed on 10-14-2005
(Register2005, No. 41).
4. Amendment filed 10-14-2005 as an emergency;operative 10-14-2005 (Regis-
ter 2005, No. 41). A Certificate of Compliance must be transmitted to OAL by
2-13-2006 or emergency language will be repealed by operation of law on the
following day.
5. Reinstatement of section as it existed prior to 10-14-2005 emergency amend-
ment by operation of Government Code section 1 1346.1(f) (Register 2006, No.
20).
6. Amendment of section and Note filed 8-16-2007; operative 9-15-2007 (Reg-
ister 2007, No. 33).
Article 2. Family Data File
§ 1 8081 . Contents of Family Data File.
(a) Contractors shall establish and maintain a family data file for each
family receiving child care and development services.
(b) The family data file shall contain a completed and signed applica-
tion for services and the following records as applicable to determine eli-
gibility and need in accordance with Education Code section 8263(a)(1)
and (a)(2):
(1 ) Documentation of income eligibility, including an income calcula-
tion worksheet;
(2) Documentation of employment;
(3) Documentation of seeking employment;
(4) Documentation of training;
(5) Documentation of parental incapacity;
(6) Documentation of child's exceptional needs;
(7) Documentation of homelessness;
(8) Documentation of seeking permanent housing for family stability;
•
Page 184.64
Itegister 2007, No. 33; 8-17-2007
Title 5
California Department of Education
!^ 18084
(9) Written releiTal from a legally qualified professional from a legal,
medical, or social services agency, or emergency shelter for children at
risk of abuse, neglect, or exploitation.
( 10) Written referral from a county welfare department, child welfare
services worker, certifying that the child is receiving protective services
and the family requires child care and development services as part of the
case plan.
(11) Iftheparentofthechild was on cash assistance, the date the paren-
tal cash aid was terminated.
(c) A signed Child Care Data Collection Privacy Notice and Consent
Form CD %00A (Rev. 01/04) shall be included.
(d) Notice of Action. Application for Services and/or Recipient of Ser-
vices shall be included.
(e) The family data file shall contain all child health and current emer-
gency information required by California Code of Regulations, title 22,
Social Security, Division 12. Community Care Facilities Licensing Reg-
ulations with the following exception. Immunization records are not re-
quired to be in the family data file for children attending a public or pri-
vate elementary school or for children receiving care in licensed facilities
and reimbursed pursuant to Education Code sections 8220 and 8350.
NOTE; Authority cited; Sections 8261, 8261.5, 8263 and 8269, Education Code.
Reference: Sections 8261 . 8261.5. 826.3 and 8269. Education Code; and Sections
16500.5 and 16506, Welfare and institutions Code.
History
1. New section tiled 11-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of subsection (b) and amendment of NoTi: filed 12-29-99 as an
emergency; operative 1-1-2000 (Register 99. No. 53). A Certitlcate of Com-
pliance must be transmitted to OAL by .5-1-2000 or emergency language will
be repealed by operation of law on the following day.
3. Amendment of subsection (b) and amendment of Note refiled 4-28-2000 as an
emergency; operative 4-28-2000 (Register 2000, No. 17). A Certificate of
Compliance must be transmitted to OAL by 8-28-2000 or emergency language
will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-28-2(X)0 order, includine further amendment
of Non.. transmitted to OAL 7-19-2000 and tiled 8-30-2000 (Register 2000,
No. 35).
5. Amendment of sub.sections (b) and (b)(8), new subsection (b)(9) and amend-
ment of NOTL filed 5-6-2005 as an emergency; operative 5-6-2005 (Register
2005, No. 18). A Certificate of Compliance must be transmitted to OAL by
9-6-2005 or emergency language will be repealed by operation of law on the
following day.
6. Reinstatement of section as it existed prior to emergency amendment tiled
10-14-2005 by operation of Government Code section 1 1346.1(f). Certificate
o( Compliance as to 5-6-2005 order transmitted to OAL 9-2-2005; disap-
proved by OAL and order of repeal as to 5-6-2005 order filed on 10-14-2005
(Register2005, No. 41).
7. Amendment filed 10-14-2005 as an emergency; operative 10-14-2005 (Regis-
ter 2005, No. 41 ). A Certificate of Compliance must be transmitted to OAL by
2-1 3-2006 or emergency language will be repealed by operation of law on the
following day.
8. Reinstatement of section as it existed prior to 10-14-2005 emergency amend-
ment by operation ofGovemment Code section 1 1346.1(f) (Register 2006, No.
20).
9. Amendment of article heading, section heading, section and Note filed
8-16^2007; operative 9-15-2007 (Register 2007, No. 33).
§ 18082. Certification of Eligibility.
(a) The contractor shall designate the staff person(s) authorized to cer-
tify family/child eligibility; and
(b) Prior to initial enrollment and at the time of recertification, an au-
thorized representative of the contractor shall certify each family's/
child' s eligibility for child care and development services after reviewing
the completed application and docuinentation contained in the basic data
file.
NOTE: Authority cited: Sections 8261, 8263 and 8269, Education Code. Refer-
ence: Sections 8261. 8263 and 8269, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18083. Application for Services; Contents.
The application for services shall contain the following information:
(a) The parent' s(s') full name(s), address(es) and telephone num-
ber(s);
(b) The names and birth dates of all children under the age of eighteen
(18) in the family, whether or not they are served by the program;
(c) The number of hours of care needed each day for each child;
(d) The names of other family members in the household related by
blood, marriage or adoption;
(e) The reason for needing child care and development services as spe-
cified in Education Code Section 8263(a)(2):
( 1 ) Child Protective Services:
(2) Employment;
(3) Training;
(4) Seeking Employment:
(5) Incapacitation of the parent:
(6) Special Need of the Child: or
(7) Seeking Permanent Housing for Family Stability.
(f) Employment or training information for parent(s) including name
and address of employer(s) or training institution(s) and days and hours
of employment or training, if applicable:
(g) Eligibility status as specified in Education Code Section
8263(a)(r):
(1) Child Protective Services:
(2) Current Aid Recipient;
(3) Income Eligible: or
(4) Homeless.
(h) Fainily size and income, if applicable;
(i) The parent's signature and date of the signature;
(j) The signature of the contractor's authorized representative certify-
ing the eligibility.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8261 and 8263, Education Code.
History
1. New secnon filed 1 l-21-88;operative 1-1-89 (Register 88. No. 50).
2. Amendment of subsections (e) and (g), new subsections (e)(2) and (g)(2). sub-
section renumbering and amendment of Note filed 5-6-2005 as an emergency;
operative .5-6-2005 (Register 2005. No. 1 8). A Certificate of Compliance must
be transmitted to OAL by 9-6-2005 or emergency language will be repealed by
operation of law on the following day.
3. Reinstatement of section as it existed prior to emergency amendment filed
10-14-2005 by operation of Government Code section 1 1346.1(f). Certificate
of Compliance as to 5-6-2005 order transmitted to OAL 9-2-2005; disap-
proved by OAL and order of repeal as to .5-6-2005 order filed on 1()-14-2CK)5
(Register 2005, No. 41).
4. Amendment filed 10- 14-2005 as an emergency; operative 10-14-2(X)5 (Regis-
ter 2005, No. 4 1 ). A Certificate of Compliance must be transmitted to OAL by
2-1 3-2006 or emergency language will be repealed by operation of law on the
following day.
5. Reinstatement of section as it existed prior to 10-14-2005 emergency amend-
ment by operation of Government Code section 1 1 346. 1(f) (Register 2006, No.
20).
§ 18084. Documentation of Income Eligibility.
The parent is responsible for providing documentation of the family's
total countable income and the contractor is required to verify the in-
formation, as described below:
(a) The parent(s) shall document total countable income for all the in-
dividuals counted in the family size as follows:
(1 ) If the parent is employed, provide:
(A) A release authorizing the contractor to contact the employer(s). to
the extent known, that includes the employer's name, address, telephone
number, and usual business hours, and
(B) All payroll check stubs.a letter from the employer, or other record
of wages issued by the employer for the month preceding the initial certi-
fication, an update of the application, or the recertification that esta-
blishes eligibility for services
(2) When the employer refuses or fails to provide requested documen-
tation or when a request for documentation would adversely affect the
parent's employment, provide other means of verification that may in-
clude a list of clients and amounts paid, the most recently signed and
completed tax returns, quarterly estimated tax statements, or other re-
cords of income to support the reported income, along with a self-certifi-
cation of income.
Page 184.65
Register 2008, No. 22; 5-30-2008
§ 18085
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(3) If the parent is self-employed, provide a combination of documen-
tation necessary to establish current income eligibility for at least the
month preceding the initial certification, an update of the application, or
the recertification that establishes eligibility for services. Documentation
shall consist of as many of the following types of documentation as nec-
essary to determine income:
(A) A letter from the source of the income,
(B) A copy of the most recently signed and completed tax return with
a statement of current estimated income for tax purposes, or
(C) Other business records, such as ledgers, receipts, or business logs.
(4) Provide copies of the documentation of all non-wage income pur-
suant to section 18078(q). self-certification of any income for which no
documentation is possible, and any verified child support payments pur-
suant to section 1 8078(a) of this chapter.
(b) The contractor:
( 1 ) Shall retain copies of the documentation of total countable income
and adjusted monthly income in the family data file.
(2) When the parent is employed, shall, as applicable, verify the par-
ent's salary/wage; rate(s) of pay; potential for overtime, tips or additional
compensation; hours and days of work; variability of hours and days of
work; pay periods and frequency of pay, start date for the employee. If
the employer refuses or is non-responsive in providing requested in-
formation or a request for employer documentation would adversely af-
fect the parent's employment, and if the information provided pursuant
to subdivision (a)(3) is inconsistent with the contractor's knowledge or
community practice, shall request clarification in the self-certification of
income, additional income information or a reasonable basis for conclud-
ing that the employer exists.
(3) When the parent is self-employed, shall obtain and make a record
of independent verification regarding the cost for services provided by
the parent that may be obtained by contacting clients, reviewing bank
statements, or confirming the information in the parent's advertisements
or website.
If the income cannot be independently verified, the contractor shall as-
sess whether the reported income is reasonable or consistent with the
community practice for this employment.
(4) May request additional documentation to verify total countable in-
come to the extent that the information provided by the parent or the em-
ployer is insufficient to make a reasonable assessment of income eligibil-
ity.
(5) To establish eligibility, shall, by signing the application for ser-
vices, certify to the contractor's reasonable belief that the income docu-
mentation obtained and, if applicable, the self-certification, support the
reported income, are reliable and are consistent with all other family in-
formation and the contractor's knowledge, if applicable, of this type of
employment or employer.
(c) If the family is receiving child care and development services be-
cause the child(ren) is/are at risk of abuse, neglect, or exploitation or re-
ceiving child protective services, and the written referral required by sec-
fions 18081(b)(9) and (b)(10) specifies that it is necessary to exempt the
family from paying a fee, then the parent will not be required to provide
documentation of total countable income.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8261 and 8263, Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of subsections (a) and (c), new subsection (e) and amendment of
Note filed 5-6-2005 as an emergency; operative 5-6-2005 (Register 2005, No.
18). A Certificate of Compliance must be transmitted to OAL by 9-6-2005 or
emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to emergency amendment filed
10-14-2005 by operation of Government Code section 11346.1(f). Certificate
of Compliance as to 5-6-2005 order transmitted to OAL 9-2-2005; disap-
proved by OAL and order of repeal as to 5-6-2005 order filed on 10-14-2005
(Register 2005, No. 41).
4. Amendment filed 10-14-2005 as an emergency; operative 10-14-2005 (Regis-
ter 2005, No. 41). A Certificate of Compliance must be transmitted to OAL by
2-13-2006 or emergency language will be repealed by operation of law on the
following day.
5. Reinstatemenl of section as it existed prior to 10-14-2005 emergency amend-
ment by operation of Government Code section 1 1 346. 1 (f) (Register 2006, No.
20).
6. Amendment of .section heading and section filed 8-16-2007: operative
9-15-2007 (Register 2007, No. 33).
§ 18085. Documentation of Public Assistance.
If the basis of ehgibility as specified in Education Code section
8263(a)( 1 ) is a current aid recipient, the parent shall provide documenta-
tion of public cash assistance, unless the contractor has and elects to use
other means of obtaining verification.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8261 and 8263. Education Code.
History
1 . New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment filed 8-16-2007; operative 9-15-2007 (Register 2007, No. 33).
§ 18085.5. Documentation of Need Based on Employment,
Seeking Employment, Training, Seeking
Housing, and Incapacity; In General.
(a) Families who are eligible for subsidized child care and develop-
ment services based on income, public assistance, or homelessness must
document that each parent in the family, pursuant to section 18078(f),
meets a need criterion, as specified in Education Code section
8263(a)(2)(B). The need criteria are: vocational training leading directly
to a recognized trade, paraprofession, or profession; employment or
seeking employment; seeking permanent housing for family stability;
and incapacitation.
(b) Subsidized child care and development services shall only be avail-
able to the extent to which:
(1) The parent meets a need criterion as specified in subdivision (a)
that precludes the provision of care and supervision of the family's child
for some of the day;
(2) There is no parent in the family capable of providing care for the
family's child during the time care is requested; and
(3) Supervision of the family's child is not otherwise being provided
by school or another person or entity.
NOTE: Authority cited: Sections 8261, 8263 and 8265, Education Code. Refer-
ence: Secfions 8206, 8261 and 8263, Education Code.
History
1 . New section filed 5-28-2008; operative 6-27-2008 (Register 2008, No. 22).
§ 18086. Documentation of Employment.
(a) If the basis of need as stated on the applicaUon for services is em-
ployment of the parent, the documentation of the parent's employment
shall include the days and hours of employment.
(b) If the parent has an employer, the documentation of need based on
employment shall consist of one of the following:
(1) The pay stubs provided to determine income eligibility that indi-
cate the days and hours of employment;
(2) When the provided pay stubs do not indicate the days and hours of
employment, the contractor shall verify the days and hours of employ-
ment by doing one of the following;
(A) Secure an independent written statement from the employer;
(B) Telephone theemployer and maintain a record;
(C) If the provided pay stubs indicate the total hours of employment
per pay period and if the contractor is satisfied that the pay stubs have
been issued by the employer, specify on the application for services the
days and hours of employment to correlate with the total hours of em-
ployment and the parent's need;
(D) If the variability of the parent's employment is unpredictable and
precludes the contractor from verifying specific days and hours of em-
ployment or work week cycles, specify on the applicafion for services
that the parent is authorized for a variable schedule for the actual hours
worked, idenfifying the maximum number of hours of need based on the
week with the greatest number of hours within the preceding four weeks
and the verification pursuant to subdivisions (A), (B), or (C) above. Until
such time as the employment pattern becomes predictable, need for ser-
vices shall be updated at least every four months and shall be based on
the requirements of subdivision (b) and the child care services utilized;
Page 184.66
Register 2008, No. 22; 5-30-2008
Title 5
California Department of Education
§ 18086.5
(E) If the employer refuses or is non-responsive in providing the re-
quested inlbrmation, record the contractor's attempts to contact the em-
ployer, and specify and attest on the application for services to the reason-
ableness of the days and hours of employment based on the description
of the employment and community practice; or
( F) 1 f the parent asserts in a declaration signed under penalty of perjury
that a request for employer documentation would adversely affect the
parent's employment, on the application for services:
(i) Attest to the reasonableness of the parent's assertion; and
(ii) Specify and attest to the reasonableness of the days and hours of
employment based on the description of the employment and community
practice.
(3) When the employed parent does not have pay stubs or other record
of wages from the employer and has provided a self-certification of in-
come, as defined in section 18078(o). the contractor shall assess the rea-
sonableness of the days and hours of employment, based on the descrip-
tion of the employment and the documentation provided pursuant to
section 1 8084(a)(3 ). and authorize only the time determined to be reason-
able.
(c) If the parent is self-employed, the documentation of need based on
employment shall consist of the following;
( 1 ) Parent provided information that includes:
(A) A declaration of need under penalty of perjury that includes a de-
scription of the employment and an estimate of the days and hours
worked per week;
(B) To demonstrate the days and hours worked, a copy of one or more
of the following: appointment logs, client receipts, job logs, mileage
logs, a list of clients with contact information, or similar records; and
(C) As applicable, a copy of a business license, a workspace lease, or
a workspace rental agreement.
(2) A statement by the contractor assessing the reasonableness of the
total number of days and hours requested per week based on the descrip-
tion of the employment and the documentation provided pursuant to this
section and section 18084. If the parent has unpredictable hours of em-
ployment, the contractor shall authorize the parent for a variable schedule
not to exceed the number of hours determined to be needed per week.
Need for services for unpredictable hours shall be updated at least every
four months and shall be based on the requirements of subdivision (c).
if the contractor has been unable to verify need based on the documenta-
tion provided, the contractor shall take additional action to verify self-
employment that includes any one or more of the following:
(A) If the self-employment occurs in a rented space, contacting the
parent's lessor or other person holding the right of possession to verify
the parent's renting of the space;
(B) If the self-employment occurs in variable locations, independent-
ly verifying this information by contacting one or more clients whose
names and contact information have been voluntarily provided by the
parent; or
(C) Making other reasonable contacts or requests to determine the
amount of time for self-employment.
(3) If the contractor is unable to make a reasonable assessment of the
hours needed for self-employment after attempdng to verify such hours
and documenting the attempts, the contractor may divide the parent's
self-employment income, as defined in section 18078(q)(4), by the ap-
plicable minimum wage. The resulting quotient shall be the maximum
hours needed for employment per month.
(d) For the instances identified in subdivision (b)(2)(A) through (E)
and (c), the parent shall provide a release to enable the contractor to ob-
tain the informafion it deems necessary to support the parent's asserted
days and hours worked per week.
(e) If additional services are requested for travel time or sleep time to
support employment, the contractor shall determine, as applicable, the
time authorized for:
(1) Travel to and from the location at which services are provided and
the place of employment, not to exceed half of the daily hours authorized
for employment to a maximum of four hours per day; or
(2) Sleep, if the parent is employed anytime between 10:00 p.m. and
6:00 a.m., not to exceed the number of hours authorized for employment
and travel between those hours.
NOTE: Authority cited: Sections 826! and 8263. Education Code. Relcrencc: .Sec-
tions 8206. 8261 and 8263. Education Code.
History
1. New .section fded 1 1-21-88: operative 1-1-89 (Register 88. No. .SO).
2. Amendment of section headin'j and section tiled .^-28-2008; operative
6-27-2008 (Register 2008. No. 22).
§ 18086.1. Documentation of Employment in the Home or a
Licensed Family Day Care Home; Service
Limitations.
(a) The requirements of this section are in addition to those stated in
section 18086.
(b) If the parent's employment is in the family's home or on property
that includes the family's home, the parent must provide justification for
requesting subsidized child care and development services based on the
type of work being done and its requirements, the age of the family's
child for whom services are sought, and, if the child is more than \"i\c
years old, the specific child care needs. The contractor shall determine
and document whether the parent's employment and the identified child
care needs preclude the supervision of the family's child.
(c) If the parent is a licensed family day care home provider pursuant
to Health and Safety Code section \59bJ^ or an individual licen.se-ex-
empt provider pursuant to Health and Safety Code section LS96.792, sub-
divisions (d) or (f), the parent is not eligible for subsidized .services dur-
ing the parent's business hours because the parent's employment does
not preclude the supervision of the family's child.
(d) If the parent is employed as an assistant in a licensed large family
day care home, pursuant to Health and Safety Code section 1596.78(b).
and is requesting services for the family's child in the same family day
care home, the parent shall provide documentation that substantiates all
of the following:
( 1 ) A copy of the family day care home license indicating it is licensed
as a large family day care home;
(2) A signed statement from the licensee stating that the parent is the
assistant, pursuant to the staffing ratio requirement of California Code of
Regulations, Utle 22, section 102416.5(c);
(3) Proof that the parent's fingerprints are associated with that licensed
family day care home as its assistant, which the contractor may verify
with the local community care licensing office; and
(4) Payroll deducfions withheld for the assistant by the licensee, which
may be a pay stub.
NOTE: Authority cited: Sections 8261. 8263 and 8265, Education Code. Refer-
ence: Sections 8206, 8261 and 8263, Education Code.
History
1. New section filed 5-28-2008: operative 6-27-2008 (Register 2(K)8. No. 22).
§ 18086.5. Documentation of Seeking Employment;
Service Limitations.
(a) If the basis of need as stated on the application for services is seek-
ing employment, the parent's period of eligibility for child care and de-
velopment services is limited to 60 working days during the contract peri-
od, except as specified in subdivisions (d) and (e). Services shall occur
on no more than five days per week and for less than 30 hours per week.
The period of eligibility shall start on the day authorized by the contractor
and extend for consecutive working days.
(b) Documentation of seeking employment shall include a written pa-
rental declaration signed under penalty of perjury stating that the parent
is seeking employment. The declaration shall include the parent's plan
to secure, change, or increase employment and shall identify a general
description of when services will be necessary.
(c) The contractor shall determine the number of working days avail-
able for seeking employment and the child care schedule, which may be
a variable schedule, based on the documentation. During the period of
authorization and if necessary to verify need, the contractor may request
that the parent provide, no more than once a week, a description of the
Page 184.67
Register 2008, No. 22; 5-30-2008
§ 18087
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
acliviiies he or she has undertaken during the previous week to seek em-
ployment and, as appropriate, may require additional documentation.
(d) If the Governor declares a state of emergency and if the factual
bases for the Governor's declaration indicate that opportunities lor em-
ployment have temporarily diminished to such a degree that parents can-
not be reasonably expected to find employment within 60 working days
of diligent searching, the State Superintendent of Public Instruction
(SSPI) may investigate to determine whether the 60-working-days li-
mitation described in paragraph (a) should be suspended. If the SSPI de-
termines that it is in the public interest to do so, he or she may, by order,
suspend the 60-working-days limitation on eligibility during the period
of the emergency or for a lesser time. The scope of the suspension, in-
cluding the geographic areas and the persons affected, and its duration,
shall be no more than necessary to respond to the emergency as deter-
mined in the SSPl's investigation, and shall be specifically described in
the SSPl's order. If a parent's services for seeking employment were ex-
hausted after an emergency was declared and before the SSPI suspends
the eligibility limitation, the contractor may re-authorize services for
seeking employment in accordance with the conditions specified in the
SSPI's order.
(e) If the parent has concurrently received services based on employ-
ment or vocational training for at least 20 working days while receiving
services for seeking employment, eligibility for seeking employment
may be extended for an additional 20 working days. For such a parent,
services for this purpose shall not exceed 80 working days during the
contract period.
(f ) If services for this purpose are discontinued, the number of working
days remaining in the period of eligibihty shall be available for a subse-
quent period of eligibility during the contract period.
(g) As used in this section, the working days used to determine the pe-
riod of eligibility shall include the consecutive Mondays through Fri-
days, excluding any federal holidays.
NOTE: Authority cited: Sections 8261, 8263 and 8265, Education Code. Refer-
ence: Sections 8206, 8261 and 8263, Education Code.
History
1. Renumbering of former section 18101 to new section 18086.3, including
amendment of section heading, section and Note, filed 5-28-2008; operative
6-27-2008 (Register 2008, No. 22).
§ 1 8087. Documentation of Training Toward Vocational
Goals; Service Limitations.
(a) If the basis of need as stated on the application for services is voca-
tional training leading directly to a recognized trade, paraprofession, or
profession, child care and development services shall be limited, except
as specified in subdivision (/), to whichever expires first:
( 1 ) Six years from the initiation of services pursuant to this section; or
(2) Twenty four semester units, or its equivalent, after the attainment
of a Bachelor's Degree.
(b) The parent shall provide documentation of the days and hours of
vocational training to include:
(1) A statement of the parent's vocational goal;
(2) The name of the training institution that is providing the vocational
training;
(3) The dates that current quarter, semester, or training period, as ap-
plicable, will begin and end;
(4) A current class schedule that is either an electronic print-out from
the training institution of the parent's current class schedule or, if un-
available, a document that includes all of the following:
(A) The classes in which the parent is currently enrolled;
(B) The days of the week and fimes of day of the classes; and
(C) The signature or stamp of the training institution's registrar.
(5) The anticipated completion date of all required training activities
to meet the vocational goal; and
(6) Upon completion of a quarter, semester, or training period, as ap-
plicable, a report card, a transcript, or, if the training institution does not
use formal letter grades, other records to document that the parent is mak-
ing progress toward the attainment of the vocational goal in accordance
with subdivision (f).
(c) A parent shall report any change in his or her class schedule related
to the days and times of any class, including a withdrawal from a class,
within five calendar days of requesting the change from the insUtution.
(d) Services may be provided for classes related to the General Educa-
tion Development (GED) test or English language acquisition if such
courses support the attainment of the parent's vocational goal.
(e) On-line or televised instructional classes that are unit bearing
classes from an accredited training insUtufion shall be counted as class
time at one hour a week for each unit. The parent shall provide a copy of
the syllabus or other class documentation and, as applicable, the Web ad-
dress of the on-line program. The accrediting body of the training institu-
tion shall be among those recognized by the United States Department
of Education.
(0 Continuafion of services based on training is contingent upon mak-
ing adequate progress. To make progress each quarter, semester, or train-
ing period, as applicable, the parent shall, in the college classes, technical
school, or apprenticeship for which subsidized care is provided:
(1 ) In a graded program, earn a 2.0 grade point average; or
(2) In a non-graded program, pass the program's requirements in at
least 50 percent of the classes or meet the training institufion's standard
for making adequate progress.
(g) The first time the parent does not meet the condition in subdivision
(f). the parent may continue to receive services for one additional quarter,
semester, or training period, as applicable, to improve the parent's prog-
ress. At the conclusion of that session, the parent shall, in the classes for
which subsidized care was provided, have made adequate progress pur-
suant to subdivision (f). If the parent has not made adequate progress pur-
suant to subdivision (f), services for this purpose shall be:
(1) Terminated; and
(2) Available to the parent, to the extent provided by subdivision (a),
after six months from the date of terminafion.
(h) No later than ten calendar days after the training institution's re-
lease of progress reports for the quarter, semester, or vocational training
period, as applicable, the parent shall provide the contractor with a copy
of the parent's official progress report. As it deems appropriate, the con-
tractor may require the parent to:
( 1 ) Have an official copy of a progress report sent directly from the
training institution to the contractor; or
(2) Provide a release, as may be required by the training institution, to
enable the contractor to verify the parent's progress with the institution.
(i) A parent may change his or her vocational goal, but services shall
be limited to the time or units remaining from the initiation of the provi-
sion of services for vocational training as specified in subdivision (a).
(j) The contractor shall determine the days and hours needed per week,
and whether the parent is making progress, based on the documentation.
The contractor may request that the parent provide a publication from the
training institution describing the classes required to complete the par-
ent's vocational goal.
(k) If additional services are requested for study time or travel time to
support the vocational training, the contractor shall determine, as ap-
propriate, the amount of services needed for:
( 1 ) Travel to and from the location at which services are provided and
the training location, not to exceed half of the weekly hours authorized
for training to a maximum of four hours per day; or
(2) Study time, including study Ume for on-line and televised instruc-
fional classes, according to the following:
(A) Two hours per week per academic unit in which the parent is en-
rolled;
(B) On a case-by-case basis and as may be confirmed with the class
instructor, additional time not to exceed one hour per week per academic
unit in which the parent is enrolled; and
(C) On a case-by-case basis, no more than the number of class hours
per week for non-academic or non-unit bearing training.
Page 184.68
Register 2008, No. 22; 5-30-2008
Title 5
California Department of Education
§ 18091
(/) The service limitations specified in subdivision (a) shall not apply
to a parent who demonstrates he or she is:
( 1 ) As of June 27, 2008 receiving services for vocational training and
has attained a Bachelor's Degree;
(2) Receiving services from a program operating pursuant to Educa-
tion Code section 66060;
(3) Attending vocational training when the parent has been deemed el-
igible for rehabilitation services by the California Department of Rehabi-
litation; or
(4) Attending retraining services available through the Employment
Development Department of the State or its contractors due to a business
closure or mass layoff.
Note: Authority cited: Sections 8261, 8263 and 8265, Education Code. Refer-
ence; Sections 8206. 8261 and 8263. Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of section heading, section and Notk, filed 5-28-2008; operative
6-27-2008 (Register 2008, No. 22).
§ 18088. Documentation of Parental Incapacity; Service
Limitations.
(a) If the basis of need as stated on the application for services is paren-
tal incapacity, child care and development services shall not exceed 50
hours per week.
(b) Documentation shall include a release signed by the incapacitated
parent authorizing a legally qualified health professional to disclose in-
formation necessary to establish that the parent meets the definition of
incapacity, pursuant to section 18078, and needs services.
(c) The documentation of incapacitation provided by the legally quali-
fied health professional shall include:
( 1 ) A statement that the parent is incapacitated, that the parent is inca-
pable of providing care and supervision for the child for part of the day,
and, if the parent is physically incapacitated, that identifies the extent to
which the parent is incapable of providing care and supervision;
(2) The days and hours per week that services are recommended to ac-
commodate the incapacitation, taking into account the age of the child
and the care needs. This may include time for the parent's regularly
scheduled medical or mental health appointments;
(3) The probable duration of the incapacitation; and
(4) The name, business address, telephone number, professional li-
cense number, and signature of the legally qualified health professional
who is rendering the opinion of incapacitation and, if applicable, the
name of the health organization with which the professional is
associated.
(d) The contractor may contact the legally qualified health profession-
al for verification, clarification, or completion of the provided statement.
(e ) The contractor shall determine the days and hours of service based
on the recommendation of the health professional and consistent with the
provisions of this article.
NOTE: Authority cited: Sections 8261, 8263 and 8265, Education Code. Refer-
ence: Secfions 8261 and 8263, Education Code.
History
1 . New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of section heading, section and Note, filed 5-28-2008; operative
6-27-2008 (Register 2008, No. 22).
§ 18089. Documentation of the Child's Exceptional Needs.
The family data file shall contain documentation of the child's excep-
tional needs if the contractor is claiming adjustment factors pursuant to
Education Code section 8265.5(b)(4) or (b)(5), the child with exceptional
needs is 1 3 through 2 1 years of age, or the contractor is operating a pro-
gram pursuant to Education Code section 8250(d). The documentation
of exceptional needs shall include:
(a) A copy of the portion of the active individual family service plan
(IFSP) or the individualized education program (lEP) that includes the
information as specified in Education Code section 56026 and California
Code of Regulations, title 5, sections 3030 and 3031; and
(b) A statement signed by a legally qualified professional that:
(1 ) The child requires the special attention of adults in a child care set-
ting; and
(2) Includes the name, address, license number, and telephone number
of the legally qualified professional who is rendering the opinion.
NOTF.: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8208, 8250. 8261, 8263 and 56026, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of section heading, section and Noth filed 8-16-2007: operative
9-1.5-2007 (Register 2007. No. 33).
§ 1 8090. Documentation of Homelessness.
If the basis of eligibility as specified in Educafion Code section
8263(a)( I ) is homelessness, the family data file shall include documenta-
tion of homelessness. The documentation of homelessness shall include:
(a) A written referral from an emergency shelter or other legal, medical
or social service agency; or
(b) A written parental declaration that the family is homeless and a
statement describing the family's current living situation.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8261 and 8263, Educafion Code.
History
1. New secfion filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment filed 8-16-2007: operative 9-15-2007 (Register 2007. No. 33).
§ 18091. Documentation of Seeking Permanent Housing;
Service Limitations.
(a) If the basis of need as stated on the application for services is seek-
ing permanent housing for family stability, the parent's period of eligibil-
ity for child care and development services is limited to 60-working-
days during the contract period, except as specified in subdivision (d).
Services shall occur on no more than five days per week and for less than
30 hours per week. The period of eligibility shall start on the day autho-
rized by the contractor and extend for consecutive working days.
(b) Documentation of seeking permanent housing shall include a writ-
ten parental declaration signed under penalty of perjury that the family
is seeking permanent housing. Thie declaration shall include the parent's
search plan to secure a fixed, regular, and adequate residence and shall
identify a general description of when services will be necessary. If the
family is residing in a shelter, services may also be provided while the
parent attends appointments or activities necessary to comply with the
shelter participation requirements.
(c) The contractor shall determine the number of weeks available for
seeking permanent housing and the child care schedule, which may be
a variable schedule, based on the documentation. During the period of
authorization and if necessary to verify need, the contractor may request
that the parent provide, no more than once a week, either a declaration
signed under penalty of perjury describing the acfivities the parent has
undertaken during the previous week to seek permanent housing or a
signed statement from the shelter, transitional housing agency, or home-
less support program regarding the parent's search progress to date.
(d) If the parent does not expect to secure housing prior to the end of
the eligibility period:
( 1 ) The parent may request an extension in a declaration of need signed
under penalty of perjury that includes an update of the parent's search
plan and either a description of the activities undertaken during the pre-
vious week to seek permanent housing or a signed statement from the
shelter, transitional housing agency, or homeless support program indi-
cating the parent's continued need for services; and
(2) The contractor may authorize an extension of search eligibility for
up to 20 additional working days.
(e) If services for this purpose are discontinued, the number of work-
ing days remaining in the period of eligibility shall be available for a sub-
sequent period of eligibility during the contract period.
(f) As used in this section, the working days used to determine the peri-
od of eligibility shall include the consecutive Mondays through Fridays,
excluding any federal holidays.
NOTE; Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8261 and 8263. Educafion Code.
Page 184.68(a)
Register 2008, No. 22; 5-30-2008
§ 18092
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of section heading and section, filed 5-28-2008; operative
6-27-2008 (Register 2008, No. 22).
§ 18092. Documentation of Child Protective Services.
If eligibility and need as specified in Education Code Sections
8263(a)(1) and (a)(2) are based on child protective services, the basic
data file shall contain a written referral, dated within the six (6) months
immediately preceding the date of application for services, from a legal,
medical, social service agency or emergency shelter. The written referral
shall include either:
(a) A statement from the local county welfare department, child pro-
tective services unit certifying that the child is receiving child protective
services and that child care and development services are a necessary
component of the child protective services plan; or
(b) A statement by a legally qualified professional that the child is at
risk of abuse or neglect and the child care and development services are
needed to reduce or eliminate that risk; and
(c) The probable duration of the child protective service plan or the at
risk situation; and
(d) The name, address, telephone number and signature of the legally
qualified professional who is making the referral.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8261 and 8263, Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88. No. 50).
2. Amendment of section and Note filed 5-6-2005 as an emergency; operative
5-6-2005 (Register 2005, No. 18). A Certificate of Compliance must be trans-
mitted to OAL by 9-6-2005 or emergency language will be repealed by opera-
tion of law on the following day.
3. Reinstatement of section as it existed prior to emergency amendment filed
10-14-2005 by operation of Government Code section 11346.1(0- Certificate
of Compliance as to 5-6-2005 order transmitted to OAL 9-2-2005; disap-
proved by OAL and order of repeal as to 5-6-2005 order filed on 10-14-2005
(Register 2005, No. 41).
4. Amendment filed 10-14-2005 as an emergency; operative ] 0-14-2005 (Regis-
ter 2005, No. 41). A Certificate of Compliance must be transmitted to OAL by
2-13-2006 or emergency language will be repealed by operation of law on the
following day.
5. Reinstatement of section as it existed prior to 10-14-2005 emergency amend-
ment by operation of Government Code section 1 1 346. 1 (f) (Register 2006, No.
20).
§ 18092.5. Documentation of At Risk of Abuse, Neglect, or
Exploitation. [Repealed]
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8208(k) and 8263, Education Code.
History
1. New section filed 5-6-2005 as an emergency; operative 5-6-2005 (Register
2005, No. 18). A Certificate of Compliance must be transmitted to OAL by
9-6-2005 or emergency language will be repealed by operation of law on the
following day.
2. Repeal of emergency adoption filed 10-14-2005 by operation of Government
Code section 11 346. 1(g). Certificate ofCompliance as to 5-6-2005 order trans-
mitted to OAL 9-2-2005; disapproved by OAL and order of repeal as to
5-6-2005 order filed on 10-14-2005 (Register 2005, No. 41).
3. New section filed 10-14-2005 as an emergency; operative 10-14-2005 (Regis-
ter 2005, No. 41). A Certificate ofCompliance must be transmitted to OAL by
2-13-2006 or emergency language will be repealed by operation of law on the
following day.
4. Repealed by operation of Government Code section 1 1346.1(g) (Register 2006,
No. 20).
§ 18093. Certification of Federal Eligibility for the Federal
Based Migrant Program.
Prior to enrolling a child in the Federal Based Migrant Program, the
contractor shall certify that the child meets eligibility requirements of the
Education Consolidation Improvement Act (E.C.I. A.), Chapter 1 Mi-
grant funds. The certification documentation shall include:
(a) The child's full name, date of birth and birthplace;
(b) The parent(s) full name(s);
(c) The child's most recent address and date of departure;
(d) The child's current address and the date of arrival;
(e) Information about the employment of the parent(s) which identi-
fies such employment as:
( 1 ) seasonal or temporary and
(2) relating to fishing or agriculture;
(f) The purpose of the child's last move which qualifies the child for
migrant services as defined in 34 Code of Federal Regulations, Section
201.3(b);
(g) A statement signed by the parent(s) certifying that the child has
moved with the family in order for the parent(s) to seek temporary or sea-
sonal agriculturally related work;
(h) A statement signed by the contractor's authorized representative
certifying that the child meets the eligibility criteria necessary to receive
services funded by E.C.I. A.. Chapter 1 Migrant funds; and
(i) Documentation that the parent has given consent for the child to
participate in the program.
NOTE: Authority cited: Sections 8261 and 8263. Education Code. Reference: Sec-
tions 8233, 8261 and 8263, Education Code and 34 Code of Federal Regulations,
Part 201.
History
1 . New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18094. Notice of Action, Application for Services.
(a) The contractor' s decision to approve or deny services shall be com-
municated to the applicant through a written statement referred to as a
Notice of Action. Applicafion for Services, in accordance with SecUon
181 18 of this Division. The contractor shall maintain copies of theNofice
of Action, Application for Services in the basic data file. The Notice of
Action, Application for Services shall include:
(1) The applicant's name and address;
(2) The contractor's name and address;
(3) The name and telephone number of the contractor's authorized
representative who made the decision;
(4) The date of the notice;
(5) The method of distribution of the notice.
(b) If services are approved, the notice shall contain:
(1) Basis of eligibility;
(2) Daily/hourly fee. if applicable;
(3) Duration of the eligibility;
(4) Names of children approved to receive services;
(5) Hours of service approved for each day;
(c) If the services are denied, the notice shall contain:
(1) The basis of denial; and
(2) Instructions for the parent(s) on how to request a hearing if they do
not agree with the contractor's decision as stated in the Notice of Action,
Applicafion for Services in accordance with procedures specified in Sec-
fions 18120 and 18121 of this Division.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tion 8263, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 1 8095. Notice of Action, Recipient of Services.
If upon recertification or update of the application, the contractor de-
termines that the need or ehgibility requirements are no longer being met,
or the fee or amount of service needs to be modified, the contractor shall
notify the family through a written Notice of Acfion, Recipient of Ser-
vices in accordance with Section 181 19 of this Division. The contractor
shall maintain copies of all Nofices of Action, Recipient of Services in
the family's basic data file. The Notice of Action, Recipient of Services
shall include:
(a) The type of action being taken;
(b) The effective date of the action;
(c) The name and address of the recipient;
(d) The name and address of the contractor;
(e) The name and telephone number of the contractor' s authorized rep-
resentative who is taking the action;
(f) The date the notice is mailed or given to the recipient;
(g) The method of distribution to the recipient;
(h) A descripdon of the action;
Page 184.68(b)
Register 2008, No. 22; 5-30-2008
Title 5
California Department of Education
§ 18103
(i) A statement of the reason(s) for the changes;
(j) A statement of the reason(s) for termination, if applicable; and
(k) Instructions for the parent(s) on how to request a hearing if they do
not agree with the contractor' s decisions as stated in the Notice of Action,
Recipient of Services in accordance with procedures specified in Sec-
lions 18120 and 18121 of this Division. These instioictions shall inform
parents how to request a hearing from the contractor and, if necessary,
from the Child Development Division as described in Sections 18120
and 18121 of this Division.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tion 8263, Education Code.
History
1. New section Hied 1 I -21 -88-. operative 1-1-89 (Register 88, No. 50).
§ 18096. Calculation of Income.
The contractor shall calculate total countable income based on income
information reflecting the family's current and on-going income:
(a) Using an income calculation worksheet that specifies the frequen-
cy and amount of the payroll check stubs provided by the parent and all
other sources of income pursuant to section 18078(q).
(b) When income fluctuates because of:
( 1 ) Agricultural work as referenced in section 18078(i)( 1), by averag-
ing income from the 12 months preceding the initial certification, an up-
date of the application, or the recertification that establishes eligibility for
services.
(2) Intermittent income as referenced in section 18078(j)(2). by aver-
aging the intermittent income from the preceding 12 months by dividing
by 1 2 and add this amount to the other countable income.
{?>) Unpredictable income as referenced in section 18078(j)(3), by av-
eraging the income from at least three consecutive months and no more
than 12 months preceding the initial certification, an update of the ap-
plication, or the recertification that estabHshes eligibility for services.
NOTt:: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8261 and 8263, Education Code.
History
1. New section filed 8-16-2007; operative 9-15-2007 (Register 2007, No. 33).
Article 3. Enrollment
§ 18100. Documentation and Determination of Family Size.
(a) A parent shall provide the names of the parents and the names, gen-
der and birthdates of the children identified in the family. This informa-
tion shall be documented on a confidential application for child care and
development services and used to determine family size. The parent shall
provide supporting documentation regarding the number of children and
parents in the family.
(l)The number of children shall be documented by providing at least
one of the following documents, as applicable:
(A) Birth certificates;
(B) Court orders regarding child custody;
(C) Adoption documents;
(D) Records of Foster Care placements;
(E) School or medical records;
(F) County welfare department records; or
(G) Other reliable documentation indicating the relationship of the
child to the parent.
(2) When only one parent has signed the application and the informa-
tion provided pursuant to subdivision (a)( 1 ) indicates the child(ren) in the
family has another parent whose name does not appear on the applica-
tion, then the presence or absence of that parent shall be documented by
providing any one of the following documents, as applicable:
(A) Records of marriage, divorce, domestic partnership or legal sepa-
ration;
(B) Court-ordered child custody arrangements;
(C) Evidence that the parent signing the application is receiving child
support payments from that person, has filed for child support with the
appropriate local agency, or has e;<ecuted documents with that agency
declining to file for child support;
(D) Rental receipts or agreeinents, contracts, utility bills or other docu-
ments for the residence of the family indicating that the parent is the re-
sponsible party; or
(E) Any other documentation, excluding a self-declaration except as
provided in subdivision (A)(3). \o confirin the presence or absence of a
parent of a child in the family.
(3) If, due to the recent departure of a parent from the family, the re-
maining applicant parent cannot provide any documentation pursuant to
subdivision (a)(2), the applicant parent inay submit a self-declaration
signed under penalty of perjury explaining the absence of that parent
from the family. Within six months of applying or reporting this change
in family size, the parent must provide documentation pursuant to subdi-
vision (a)(2).
(b) If the information provided by the parent is insufficient, the con-
tractor shall request any additional documentation necessary from subdi-
vision (a) above to verify the family composition and family size.
(c) For income eligibility and family fee purposes, when a child and
his or her siblings are living in a family that does not include their biologi-
cal or adopfive parent, only the child and related siblings shall be counted
to determine fainily size. In these cases, the adult(s) must meet a need cri-
terion as specified in Education Code section 8263(a)(2).
(d) Upon the transfer of a fainily from CalWORKs Stage I to Cal-
WORKs Stage 2 or Stage 3, the CalWORKs Stage 2 or Stage 3 contractor
shall accept the CalWORKs Stage I agency's determination of family
size until the family is re-certified.
NOTE: Authority cited: Sections 826 1 and 8263, Education Code. Reference: Sec-
tion 8263, Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of section heading and section filed 8-16-2007; operative
9-15-2007 (Register 2007, No. 33).
§ 18101. Parents Seeking Employment; Eligibility and
Service Limitation. [Renumbered]
Note: Authority cited: Sections 826 1 and 8263. Education Code. Reference: Sec-
tion 8263, Education Code.
History
1 . New section filed 1 1-21-88; operative 1-1-89 (Register 88. No. .50).
2. Amendment filed 6-26-91 as an emergency; operative 6-26-91 (Register 91,
No. 39). A Certificate of Compliance must be transmiued to OAL by 10-24-9 1
or emergency language will be repealed by operation of law on the following
day.
3. Certificate of Compliance as to 10-24-91 order including deletion of ( 1 ) desig-
nator and repealer of subsection (a)(2) transmitted to OAL 10-22-91 and tiled
11-15-91 (Register92, No. 7).
4. Renumbering of former section 18101 to new section 18086.5 filed .5-28-2008;
operative 6-27-2008 (Register 2008. No. 22).
§ 18102. Notice to Families of Their Responsibility to
Notify Contractor of Changes to Family
Circumstances.
At the time the contractor certifies or recertifies eligibility of a family/
child for child care and development services, the contractor shall inform
the family of the family's responsibility to notify the contractor within
five calendar days of any changes in family income, family size, or the
need for services as specified in Education Code section 8263(a)(2).
NOTE: Authority cited: Sections 8261, 8263 and 8265, Education Code. Refer-
ence: Sections 8206, 8261 and 8263, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of section and Note filed 5-28-2008; operative 6-27-2008 (Reg-
ister 2008, No. 22).
§ 18103. Recertification.
(a) After initial certification and enrollment, the contractor shall verify
need and eligibility and recertify each family/child as follows:
( 1) Families receiving services because the child is at risk of abuse, ne-
glect or exploitation shall be recertified at least once every six (6)
months;
Page 184.68(c)
Register 2008, No. 22; 5-30-2008
§ 18104
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(2) Families receiving services because of actual abuse, neglect or ex-
ploitation shall be recertified at least every six (6) months and, at the time
of recertification. the contractor shall document that the family is partici-
pating in a protective services plan in accordance with the requirements
of their local county welfare department, child protective services unit to
alleviate the circumstances causing the abuse, neglect or exploitation;
(3) All other families shall be recertified at least once each contract pe-
riod and at intervals not to exceed twelve (12) months;
(b) Contractors shall update the family's application to document con-
tinued need and eligibility as specified in Education Code Section
8263(a)(1) and (a)(2) and determine any change to fee assessment, if
applicable, as follows;
( 1 ) For migrant and other seasonally employed families, the applica-
tion shall be updated within thirty (30) days whenever there is a change
in family size or need as specified in Section 18083(e) of this Division
if need is based on training or incapacity of the parent;
(2) For all other families, the application shall be updated within thirty
(30) days whenever there is a change in family size, income, public assis-
tance status or need as specified in Section 18083(e) of this Division;
(3) The requirement for updating the files does not apply to families
receiving services because the child is abused, neglected or exploited or
at risk of abuse, neglect, or exploitation.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8261 and 8263, Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment filed 5-6-2005 as an emergency; operative 5-6-2005 (Register
2005. No. 18). A Certificate of Compliance must be transmitted to OAL by
9-6-2005 or emergency language will be repealed by operation of law on the
following day.
3. Reinstatement of section as it existed prior to emergency amendment filed
10-14-2005 by operation of Government Code section 1 1346.1(f). Certificate
of Compliance as to 5-6-2005 order transmitted to OAL 9-2-2005; disap-
proved by OAL and order of repeal as to 5-6-2005 order filed on 10-14-2005
(Register 2005, No. 41).
4. Amendment filed 10-14-2005 as an emergency; operative 10-14-2005 (Regis-
ter 2005, No. 41). A Certificate of Compliance must be transmitted to OAL by
2-13-2006 or emergency language will be repealed by operation of law on the
following day.
5. Reinstatement of section as it existed prior to 10-14-2005 emergency amend-
ment by operation of Government Code section 1 1 346. 1 (f) (Register 2006, No.
20).
§ 18104. Limited Term Service Leave Requirements.
(a) If the family will temporarily not have a need for subsidized child
care and development services as specified in Education Code section
8263(a)(2), the contractor may grant the family a limited term service
leave. Reasons for a limited term service leave shall include medical
leave and family leave, and may include, but are not limited to. break in
employment, school break, the child' s visit with the non-custodial parent
that is not ordered by the court, or family vacation in excess of best inter-
est days as specified in secfion 18066(0- Family leave means a leave:
( 1 ) For the birth and care of the newborn child of the parent,
(2) For placement with the parent of a child for adoption or foster care,
and
(3) To care for the parent's child, spouse, or parent who has a health
condifion.
(b) If the contractor offers limited term service leaves, the contractor:
(1) Shall provide equal access to limited term service leaves; and
(2) May set a limit on the number of leaves to be granted in a contract
year based on an assessment of contract resources pursuant to section
18054.
(c) If the contractor grants a limited term service leave:
(1 ) The family shall not be disenrolled from the program;
(2) The service agreement with the parent shall indicate that no ser-
vices will be provided during the limited term service leave; and
(3) The contractor shall not report the child as enrolled nor claim reim-
bursement from the California Department of Education while the child
is on a limited term service leave.
(d) A limited term service leave shall not exceed 12 consecutive weeks
in duration, except as specified in subdivisions (e) and (f).
(e) A limited term service leave from employment or training shall not
exceed 16 consecutive weeks in duration if the leave is for;
( 1 ) A medical or family leave; or
(2) A period when the vocational training program is not in spring, fall,
or winter sessions.
(f) A limited term service leave may be granted for any portion of the
contract period in which a child is attending an After School Education
and Safety Program, pursuant to Education Code sections 8482 et seq..
or a federal 2 1st Century Community Learning Centers program, as ref-
erenced in Education Code sections 8484.7 et seq.
NOTE: Authority cited: Sections 8261, 8263, 8265 and 8269, Education Code.
Reference: Sections 8206. 8261, 8263 and 8265, Education Code.
History
1. New section filed 11-21-88: operative 1-1-89 (Register 88, No. 50).
2. Amendment of section and Note filed 5-28-2008; operative 6-27-2008 (Reg-
ister 2008, No. 22).
Article 4.
Admission Policies and
Procedures
§ 18105. Admission Policies and Procedures; Interview.
(a) Contractors shall develop written admission policies and proce-
dures which shall be made available to the public.
(b) The admission procedures established shall conform to require-
ments in Title 22 California Code of Regulafions, Secfion 101319.
NOTE: Authority cited: Sections 8261 and 8263. Education Code. Reference: Sec-
tions 8203 and 8263. Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18106. Admission Priorities; Waiting List; and
Displacement.
(a) Within the first priority for services stated in Education Code sec-
tion 8263(b)(1), children receiving protective services through the local
county welfare department shall be enrolled before children idenfified as
at risk of being neglected or abused.
(b) Except for situations where not all of the children in a family are
certified based on child protecUve services, or the child's special need,
a family that has a child or children emolled in a program shall be allowed
to enroll additional children provided there exists an appropriate program
opening such as infant care or services to school age care children in
which to enroll the child.
(c) When not all of the children in a family are cerfified based on child
protective services, or the child's special need, the other children or the
parents in the family must meet both eligibility and need criteria as speci-
fied in Education Code section 8263(a)(1) and (a)(2) prior to enrollment
and shall be admitted in accordance with priorities specified in Education
Code secfion 8263(b).
(d) Contractors shall not deny service to nor assign a lower priority to
a family that needs less than full-time services.
(e) Contractors shall maintain a current waiting list in accordance with
admission prioriues. Contractors may satisfy the requirement for main-
taining a waiting list by pardcipafing in a county child care centralized
eligibility list. Contractors shall contact applicants in order of priority
from the waiting list as vacancies occur.
(f) If it is necessary to displace families, families shall be displaced in
reverse order of admission priorities.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tion 8263, Education Code.
History
1. New section filed 1 1-21-88; operafive 1-1-89 (Register 88, No. 50).
2. Amendment of subsection (e) filed 4-15-2003; operative 5-15-2003 (Register
2003, No. 16).
3. Amendment of subsections (b) and (c) and amendment of Note filed 5-6-2005
as an emergency; operative 5-6-2005 (Register 2005, No. 18). A Certificate of
Compliance must be transmitted to OAL by 9-6-2005 or emergency language
will be repealed by operation of law on the following day.
Page 184.68(d)
Register 2008, No. 22; 5-30-2008
Title 5
California Department of Education
§ 18107
4. Reiiistatcmcnl of section as it existed prior to emergency amendment filed
10~l4~200.'i by operation ot Government Code section 1 1346.1(1"). Certificate
ol Compliance as to 5-6-200.'i order transmitted to OAL 9-2-2005; disap-
proved by OAL and order ol repeal as to .S-6-2005 order Tiled on 10-14-2005
(Kegister2005. No. 41).
5. Amendment filed 10-14-2005 as an emergency; operative 10-14-2005 (Regis-
ter 2005, Nt). 41 ). A Certificate of Compliance must be transmitted to OAL by
2- 1 .^-2006 or emergency language will be repealed by operation of law on the
following day.
6. Reinstatement of section as it existed prior to 10-14-2005 emergency amend-
ment bv operation of Government Code section 1 l.M6.1(f) (Reeister2006. No.
20).
§18107, Residency Requirements.
(a) In addiiion to other applicable eligibility requirements as specified
elsewhere in this Division, to be eligible for child care and development
services the child must live in the State of California while services are
being received.
(b) Any evidence of a street address or post office address in California
will be sufficient to establish residency. A person identified as homeless
pursuant to section 18078(h)(2) is exempted from this requirement and
shall submit a declaration of intent to reside in California.
(c) The governing board of any school district, community college or
county superintendent of schools may accommodate children residing
outside its district boundaries in accordance with Education Code section
8322(a).
(d) The determination of eligibility for child care and developinent ser-
vices shall be without regard to the immigration status of the child or the
child's parent(s), unless the child or the child's parent(s) are under a final
order of deportation from the United States Departinent of Justice.
NOTE: Authority cited: Section 8263. Education Code. Reference: Section 8263,
Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. .50).
2. Amendment filed 8-16-2007; operative 9-15-2007 (Register 2007, No. 33).
[The next page is 184.69.
Page 184.68(e)
Register 2008, No. 22; 5-30-2008
Title 5
California Department of Education
§18114
•
Article 5. Parent Fees
§ 1 81 08. Fee Schedule.
Contractors shall use a fee schedule prepared and issued by the Child
Development Division.
NOTK: Authority cited: Section 8263, Education Code. Rclerence: Sections 8263
and 8265. Education Code.
History
1. New section tiled 1 1-21-88; operative 1-1-89 (Register 88. No. 50).
§ 18109. Fee Assessment; Explanation to Parents.
(a) The contractor shall utilize the following factors in determining the
fee to be assessed for each family:
(1) The adjusted monthly family income;
(2) Family size; families having fewer than three (3) members shall be
regarded as a family of three (3).
(3) The fee shall be assessed and collected based on the family's child
who is enrolled for the longest period.
(4) The fee assessed and collected shall be either the fee indicated on
the fee schedule, the actual costs of services or the contract maximum
daily/hourly rate, whichever is least.
(-5) No adjustment shall be made for excused or unexcused absences.
(6) The fee shall be the full portion of the family's cost for services.
(b) The contractor shall maintain a record of each family's fee asses-
sment, the effective date(s) of each fee increase or decrease, the dates and
amounts of fees collected and any amounts which are delinquent.
(c) The contractor shall explain to the parent(s) the contractor's poli-
cies regarding fee assessment and collection and the possible conse-
quences for delinquent payment of fees.
NOTE: Authority cited: Section 8263, Education Code. Reference: Sections 8263
and 8265, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. New subsection (d) and amendment of Note filed 5-6-2005 as an emergency;
operative 5-6-2005 (Register 2005, No. 1 8). A Certificate of Compliance must
be transmitted to OAL by 9-6-2005 or emergency language will be repealed by
operation of law on the following day.
3. Reinstatement of section as it existed prior to emergency amendment filed
10-14-2005 by operation of Government Code section 1 1346.1(f). Certificate
of Compliance as to 5-6-2005 order transmitted to OAL 9-2-2005; disap-
proved by OAL and order of repeal as to 5-6-2005 order filed on 10-14-2005
(Register2005, No. 41).
4. Amendment filed 10-14-2005 as an emergency; operative 10-14-2005 (Regis-
ter 2005, No. 41). A Certificate of Compliance must be transmitted to OAL by
2-13-2006 or emergency language will be repealed by operation of law on the
following day.
5. Reinstatement of section as it existed prior to 10-14-2005 emergency amend-
ment by operafion of Government Code section 1 1346.1(0 (Register 2006, No.
20).
§ 1 81 1 0. Exceptions to Fee Assessment.
No fees shall be collected from the following types of families whose
children are enrolled:
(a) Because of a need for child protective services;
(b) In the State Preschool Program;
(c) In the Federal Based Migrant program;
(d) In the Severely Handicapped program; or
(e) With an income level that, in relation to family size, is less than the
first entry in the fee schedule.
NOTE: Authority cited: Sections 8250 and 8263, Education Code. Reference: Sec-
tions 8250 and 8263, Education Code.
History
1. New secfion filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of section and Note filed 5-6-2005 as an emergency; operative
5-6-2005 (Register 2005, No. 1 8). A Certificate of Compliance must be trans-
mitted to OAL by 9-6-2005 or emergency language will be repealed by opera-
tion of law on the following day.
3. Reinstatement of section as it existed prior to emergency amendment filed
10-14-2005 by operafion of Government Code section 1 1346.1(f). Certificate
of Compliance as to 5-6-2005 order transmitted to OAL 9-2-2005; disap-
proved by OAL and order of repeal as to 5-6-2005 order filed on 1 0- 1 4-2005
(Register2005, No. 41).
4. Amendment filed 10-14-2005 as an emergency: operative 10-14-2005 (Regis-
ter 2005, No. 41 ). A Certificaie of Compliance must be transmitted to OAL by
2-13-2006 or emergency language will be repealed by operation of law on the
following day.
5. Reinstatement of section as it existed prior to 10-14-2005 emergency amend-
ment bv operafion of Government Code section 1 1346. 1(f) (Register 2006, No.
20).
§ 1 81 1 1 . No Additional Payments or Costs; Refunds;
Exceptions.
(a) Except as provided in Subsection (b) below, neither a contractor
nor a provider of services .shall require or solicit, in cash or in kind, addi-
tional payments from the recipients of .service. The prohibition includes
activities or services that would increase the family's cost of participation
including meals, recreation and field trips. If additional payments are
made or additional costs are incurred by the family, the contractor shall
refund to the parent(s) the amount of payments made or costs incurred.
(b) A contractoror a provider of service need not make a refund as spe-
cified in Subsection (a) above under the following conditions:
(1 ) The family is enrolled in an Alternative Payinent program and the
parent(s) has voluntarily placed the child with a service provider that re-
quires all parent(s) to provide a sack lunch or supplies such as diapers.
(2) School Age Community Child Care programs may require all par-
ents to provide a sack lunch. The contractor shall provide a meal if the
parent does not provide a sack lunch. A contractor that requires parents
to provide sack lunches may develop a policy which includes reasonable
penalties for parents who fail to provide a sack lunch.
NOTE: Authority cited: Section 8263, Education Code. Reference: Sections 8263
and 8265, Education Code.
History
1. New secfion filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
§ 1 81 1 2. Credit for Fees Paid to Other Service Providers.
This section shall apply to child care and development services pro-
vided by someone other than the contractor:
(a) When a contractor cannot meet all of a family's needs for child care
for which eligibility and need as specified in Education Code Section
8263(a)(1) and (a)(2) have been established, the contractor shall grant a
fee credit equal to the amount paid to the other provider(s) of these child
care and development services.
(b) The contractor shall apply the fee credit to the family's subsequent
fee billing period. The family shall not be allowed to carry over the fee
credit beyond the family's subsequent fee billing period.
(c) The contractor shall obtain copies of receipts or cancelled checks
for the other child care and development services from the parent. The
copies of the receipts or cancelled checks shall be maintained in the con-
tractor's fee assessment records.
NoTE: Authority cited: Secfion 8263, Education Code. Reference: Sections 8263
and 8265, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 1 81 1 3. Receipt for Payment of Fee; Retention of Copy for
Records.
(a) The contractor or service provider shall provide an original copy
of a pre-numbered receipt to each person who pays a fee. The receipt
shall show the amount paid, the date of payment, the rate of payment and
the period of service purchased.
(b) The contractor shall retain a copy of the receipt in its fee assessment
records.
NoTE: Authority cited: Section 8263, Educafion Code. Reference: Sections 8263
and 8265, Education Code.
History
1. New secfion filed 11-21-88; operafive 1-1-89 (Register 88, No. 50).
§ 18114. Advance Payment of Fees; Delinquent Fees;
Notice of Delinquency.
(a) Contractors shall adopt a policy for the collection of fees in advance
of providing services. The written policy shall be provided to families at
the time of initial enrollment into the program.
Page 184.69
Register 2006, No. 20; 5-19-2006
§ 18115
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(b) For contractors providing direct services to children, fees shall be
considered delinquent after seven (7) calendar days from the date the fees
were due.
(c) For contractors providing services through Alternative Payment
programs, fees shall be considered delinquent on the date they are noti-
fied by the provider that fees have not been paid.
(d) A Notice of Action, Recipient of Services shall be used to inform
the family of the following:
( 1 ) The total amount of unpaid fees;
(2) The fee rate;
(3) The period of delinquency; and
(4) That services shall be terminated two (2) weeks from the date of
the Notice unless all delinquent fees are paid before the end of the two
(2)-week period.
Note-. Authority cited: Section 8263, Education Code. Reference: Sections 8263
and 8265, Education Code.
History
1. New section filed 1 1-21-88: operative 1-1-89 (Register 88, No. 50).
§ 1 81 1 5. Plan for Payment of Delinquent Fees.
The contractor shall accept a reasonable plan from the parent(s) for
payment of delinquent fees. The contractor shall continue to provide ser-
vices to the child, provided the parent(s) pays current fees when due and
complies with the provisions of the repayment plan.
NOTE: Authority cited: Section 8263, Education Code. Reference: Sections 8263
and 8265, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 1 811 6. Consequences of Nonpayment of Delinquent
Fees.
Upon termination of services for nonpayment of delinquent fees, the
family shall be ineligible for child care and development services until
all delinquent fees are paid.
NOTE: Authority cited: Section 8263, Education Code. Reference: Sections 8263
and 8265, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18117. Confidentiality of Records.
(a) The use or disclosure of all information pertaining to the child and
his/her family shall be restricted to purposes directly connected with the
administration of the program.
(b) The contractor shall permit the review of the basic data file by the
child's parent(s) or parent's authorized representative, upon request and
at reasonable times and places.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8261,
Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
Article 6. Due Process Requirements
§ 1 81 1 8. Approval or Denial of Child Care and
Development Services.
The contractor shall mail or deliver a completed Notice of Action,
Application for Services to the parents within thirty (30) calendar days
from the date the application is signed by the parent(s) in accordance with
Sections 18094 and 18095 of this Division.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8261,
Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 1 81 1 9. Changes Affecting Service.
(a) The contractor shall complete a Notice of Action, Recipient of Ser-
vices when changes are made to the service agreement. Such changes
may include, but are not limited to, an increase or decrease in parent fees,
an increase or decrease in the amount of services, or termination of ser-
vice.
(b) The contractor shall mail or deliver the notice of action to the par-
ents at least fourteen (14) calendar days before the effective date of the
intended action whenever:
( 1 ) The contractor has factual information that confirms the death of
the parent or the child;
(2) The contractor receives notification from the parent that the parent
no longer wants the service;
(3) The agreement for services was a limited term authorization which
has come to the end of the term, and at the time of approval of the limited
term authorization, the parent was informed in writing of the date ser-
vices would terminate; or
(4) The parent does not provide eligibility or need information after a
written request by the contractor.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8261 and 8263, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18120. Clients Request for a Hearing; Rules and
Procedures.
(a) If the parent disagrees with an action, the parent(s) may file a re-
quest for a hearing with the contractor within fourteen (14) calendar days
of the date the Notice of Action was received.
(b) Upon the filing of a request for hearing, the intended action shall
be suspended until the review process has been completed. The review
process is complete when the appeal process has been exhausted or when
the parent(s) abandons the appeal process.
(c) Within ten (10) calendar days following the receipt of the request
for a hearing, the contractor shall notify the parent(s) of the time and
place of the hearing. The time and place of the hearing shall, to the extent
possible, be convenient for the parent(s).
(d) The hearing shall be conducted by an administrative staff person
who shall be referred to as "the hearing officer." The hearing officer shall
Page 184.70
Register 2006, No. 20; 5-19-2006
Title 5
California Department of Education
§ 18132
•
be al a slatT level higher in authority than the statT person who made the
contested decision.
(e) The parent(s) or parent's authorized representative is required to
attend the hearing. Ifthe parent or the parent's authorized representative
tails to appear at the hearing, the parent will be deemed to have aban-
doned his or her appeal.
(1) Only persons directly affected by the hearing shall be allowed to
attend.
(g) The contractor shall arrange for the presence of an interpreter at the
hearing, if one is requested by the parent(s).
(h)The hearing officer shall explain totheparent(s) the legal, regulato-
ry, or policy basis for the intended action.
(i) During the hearing, the pareni(s) shall have an opportunity to ex-
plain the reason(s) they believe the contractor's decision was incorrect.
The contractor's staff shall present any material facts omitted by the par-
entis).
(j) The hearing officer shall mail or deliver to the parent(s) a written
decision within ten (10) calendar days after the hearing.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8261,
Hducalion Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. .SO).
§18121. Appeal Procedure for Child Development Division
Review.
(a) If the parent disagrees with the written decision from the contrac-
tor, the parent has fourteen (14) calendar days in which to appeal to the
Child Developinent Division.
(b) Ifthe parent(s) do(es) not submit an appeal request to the Child De-
velopment Division within fourteen (14) calendar days, the parents' ap-
peal process shall be deemed abandoned and the contractor may imple-
ment the intended action,
(c) The parent(s) shall specify in the appeal request the reason(s) why
he/she believes the contractor's decision was incorrect.
(d) A copy of the contractor's notice of intended action and written de-
cision shall be submitted by the parent(s) with the appeal request.
(e) Upon receipt of an appeal request, the Child Development Division
may request copies of the basic data file and other relevant materials from
the contractor. The Child Development Division may also conduct any
investigations, interviews or mediation necessary to resolve the appeal.
(0 The decision of the Child Development Division shall be mailed or
delivered to the parent(s) and to the contractor within thirty (30) calendar
days after receipt of the appeal request.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8261,
Education Code.
History
1. New section filed 1 1-21-88: operative 1-1-89 (Register 88, No. 50).
§ 18122. Contractor Compliance with Child Development
Division Decision; Reimbursement for Services
During the Appeal Process.
(a) The contractor shall comply with the decision of the Child Devel-
opment Division immediately upon receipt thereof.
(b) The contractor shall be reimbursed for child care and development
services delivered to the fainily which is appealing during the appeal pro-
cess.
(c) If a contractor's determination that a family is ineligible is upheld
by the Child Development Division, services to the family shall cease
upon receipt of the Child Development Division's decision by the con-
tractor.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8261,
Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
Subchapter 4. State Preschool Program
Article 1. Scope of Chapter
§ 18130. Scope of Chapter: Applicable Regulations.
(a) The regulations contained in this Chapter shall apply only to eon-
tractors funded for the State Preschool Program.
(b) Except as otherwise provided in this Chapter, contractors funded
for the State Preschool program shall also comply with regulations con-
tained in Chapters 1.2, 12. 14 and 15 in whole, and Sections 18077.
18078 (a)(d)(h)(l). 18081 (aj(b)(l), 18082. 18083 (a)(b)(h)(i)(j), 18084.
1 8094, 1 8095. 1 8 1 00, 1 8 1 05, 1 8 1 07. 18117 and 18118 through 18122 of
Chapter 3 and Section 1829()(c)(e) of Chapter 13 of this Division.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 820.1
and 8235, Education Code.
History
1. New secfion filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50). Eor histo-
ry of former Chapter 4 (Sections 18201-18208), .see Register 79, No. 16.
2. Editorial correction of subsection (b) (Register 95, No. 9).
Article 2. Enrollment Priorities
§ 18131. Enrollment Priorities for State Preschool
Programs.
(a) The first priority for services shall be given to eligible children
whose families have the lowest adjusted monthly income at the time of
enrollment not to exceed the most recent schedule of income ceilings is-
sued by the Child Development Division.
(b) Thereafter, the contractor may establish the following priorities in
an order determined by the contractor:
( 1 ) Children who are identified as limited English or non-English pro-
ficient.
(2) Children with exceptional needs and whose Individualized Educa-
tion Plan (lEP) as described in Section 56026 of the Education Code and
Sections 3030 and 303 1 of Title 5 California Code of Regulations, identi-
fies a State Preschool program as being an appropriate placement during
all or part of the state preschool day as defined in Section 1 8 1 36 of this
Division.
(3) Children from families whose special circumstances may diminish
the children's opportunities for normal development.
(4) Children who range in age from three years-nine months to four
years-nine months.
(5) Within these additional priorities, families with the lowest adjusted
monthly income shall be admitted first.
(c) The basic data file shall include documentation to support the de-
termination that the child meets the priority for service. Ifthe priority for
service is the child's exceptional need, the basic data file shall include
documentation as specified in Section 18089(0 of this Division.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 82.'^5,
Education Code.
1. New section filed 11-21-
H I STORY
operative 1-1-89 (Register 88, No. .50).
§ 18132. Certification of Eligibility; Waiting List.
(a) The contractor shall certify eligibility no more than thirty (30) cal-
endar days prior to the first day of the beginning of the new pre.school
year.
(b) After full enrollment is attained, the contractor shall prepare a wait-
ing list based on the enrollment priorities set forth in Section 18131 of this
Division.
NOTE; Authority cited: Section 8263, Education Code. Reference: Sections 8235
and 8263, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
Page 184.71
Register 2(X)8, No. 17; 4-25-2008
§ 18133
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 18133. Exceptions to Enrollment Priorities; Ten Percent
(10%) Limitation.
(a) If no eligible children are on the waiting list, the contractor may en-
roll children who are not otherwise eligible for participation. This in-
cludes children who exceed the age limitations and children from fami-
lies whose income exceeds the current income ceiling issued by the Child
Development Division by fifteen percent (15%) or less of the adjusted
monthly income for income eligible families of the same size.
(b) Children enrolled pursuant to subsection (a) above shall comprise
a maximum of ten percent (10%) of the total enrollment.
(c) The contractor shall maintain the following information in the ba-
sic data file of children enrolled pursuant to this section:
( 1 ) Evidence that shows the contractor has made a diligent search for
eligible children;
(2) The child's family income; and
(3) The specific reason(s) for enrolling each child.
(d) To the greatest extent possible, the contractor shall assign children
enrolled pursuant to this section to all of the State Preschool program
classes within the contractor's jurisdiction.
NOTE: Authority cited: Section 8263, Education Code. Reference: Sections 82.^i.S
and 8263, Education Code.
History
1. New section filed 1 1-21-88: operative 1-1-89 (Register 88, No. 50).
§ 1 81 34. Exceptions to Calculation of Adjusted Monthly
Income (as Defined in Section 18078) for
Military Personnel.
Program vacancies shall be filled first by children pursuant to all statu-
torily mandated priorities. For programs located on or in close proximity
to a military base or base housing, for purposes of determining eligibility
and income ranking for families when an individual counted in the family
size is on federal active duty, state active duty, active duty for special
work, or Active Guard and Reserve duty in the military, and the families
reside on a military base or in military housing, the contractor may, with
prior written approval from the State Superintendent of Public Instruc-
tion or his or her designee, exclude the amount of the basic allowance for
housing provided to the individual pursuant to 37 USC 403.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8235, 8236, 8263 and 8263.1, Education Code.
History
1 . New section filed 1 1-5-2007 as an emergency; operative 1 1-5-2007 (Register
2007, No. 45). A Certificate of Compliance must be transmitted to OAL by
5-5-2008 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 1 1-5-2007 order, including amendment of sec-
tion, transmitted to OAL 3-1 1-2008 and filed 4-21-2008 (Register 2008, No.
17).
History
New section filed 1 1-21-88; operative 1-1-89 (Register 88. No. 50).
Article 3. Other Requirements
§ 18135. Volunteers; Staffing Ratios.
If the contractor cannot recruit a sufficient number of parents or volun-
teers, the contractor shall hire teacher aides for each class to the extent
required to meet adult/child ratios as set forth in Section 1 8290 of this Di-
vision.
NOTE: Authority cited: Section 8287, Education Code. Reference: Secfions 8235
and 8288, Education Code.
History
1. New secfion filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18136. Minimum Hours and Days of Operation.
The contractor shall operate classes a minimum of three (3) hours per
day, excluding home-to-school transportation time, for a minimum of
1 75 days per year, unless the child development contract specified a low-
er minimum days of operation.
NOTE: Authority cited: Sections 8261, Education Code. Reference: Sections 8235
and 8265. Education Code.
Subchapter 5. School-Age Parenting and
Infant Development Programs*
(Originally filed 5-21-75)
■ Regulations contained in Division 19, Chapter 3 prior to tiling of 4-23-79.
Article 1. General Provisions
§18140. Definitions.
NOTE: Authority cited for Subchapter 5: Sections 8391 and 33031, Education
Code.
History
1 . Repealer of Chapter 2 ( Sections 1 8 1 00- 1 8 1 39, not consecuti ve) filed 4-23-79;
effective thirtieth day thereafter (Register 79, No. 16). Regulations concerning
similar subject matter contained in Title 5. Division 3. Chapter 5. Subchapter
5.4. For history of former Chapter 2, see Registers 69, No. 51 ; 73, No. 40; 75,
No. 39; and 77, No. .39.
2. Renumbering from Chapter 3 (Sections 18140-18174) to Chapter 2 (Sections
18140-18174) filed 4-23-79; effective thirtieth day thereafter (Register 79,
No. 1 6). For history of former Chapter 3. see Registers 75, No. 21 ; and 77, No.
39.
3. Renumbering of former Chapter 2 (Sections 1 8140-18174) to Chapter 5 (Sec-
tions 18140-18174) filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
4. Editorial correction of Authority cite (Register 95, No. 9).
5. Change without regulatory effect repealing section filed 11-5-2001 pursuant
to section 100, title 1 , California Code of Regulations (Register 2001 , No. 45).
§18141. Agencies Who May Operate This Program.
History
1 . Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
§ 18142. Services Which Shall Be Provided.
History
1. Change without regulatory effect repealing section filed 11-5-2001 pursuant
to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
§ 1 81 43. Location of the Program.
History
1. Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
§ 18144. Eligibility for School-Age Parenting and Infant
Development Program.
History
1 . Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100, title 1 , California Code of Regulations (Register 2001 , No. 45).
§ 1 81 45. Priority for Service.
History
1. Change without regulatory effect repealing section filed 11-5-2001 pursuant
to section 100. title 1 , California Code of Regulations (Register 2001 , No. 45).
§ 18146. Advisory Council Component.
History
1. Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
§ 18147. Composition of Advisory Council.
History
1 . Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
§ 18148. Minimum Number of Meetings.
History
1. Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
§ 18149. Records of Council Meetings.
History
I . Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
•
•
•
Page 184.72
Register 2008, No. 17; 4-25-2008
•
Titles California Department of Education §18154
§18150. Admission Policies and Procedures. §18153. Compliance Reviews.
History History
1. Change without regulatoi^ effect repealing section filed 1 1-5-2001 pursuant 1. Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100. title 1 , California Code of Regulations (Register 2001 , No. 43). to seclion 100. title"] , California Code of Regulations (Register 2001 . No. 4.5).
§18151. Confidentiality of Record. ^^3^5^ Compliance Review Worksheet.
History
History
1. Chanse without regulatory effect repealing section filed 1 1-^-2001 pursuant
to section 100, title 1. CaliYomia Code of Reeulations (Register 2001, No. 45). 1- Change without regulatory effect repealing section filed 11-5-2001 pursuant
to section 100, title 1, California Code of Regulations (Register 2001 . No. 45).
§18152. Parent Fee.
History
1. Change without regulatory effect repealing section filed 11-5-2001 pursuant
to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
•
[The next page is 184.73.
Page 184.72(a) Register 2008, No. 17; 4-25-2008
Title 5
California Department of Education
§ 18175
§18155. Quality Evaluation.
History
1. Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100, title 1, California Code of Regulations (Register 2001. No. 43).
§ 18156. Compliance Review Process.
History
1. Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100. titled. California Code of R^egulations (Register 2001, No. 45).
§ 1 81 57. Adequacy of Program Components.
History
I. Change without regulatory effect repealing section filed J 1-5-2001 pursuant
to secUon 100. title 1 . California Code of R^egulations (Register 2001 , No. 45).
§ 18158. Evaluation Requirements.
History
1. Change without regulatory effect repealing section filed 11-5-2001 pursuant
to .secfion 100. title 1 . California Code of Regulations (Register 2001 , No. 45).
§18159. Application Procedure.
History
1. Change without regulatory effect repealing section filed 11-5-2001 pursuant
to secfion 100. title 1, California Code of R^egulations (Register 2001, No. 45).
§ 18160. Renewal of Current Operating Programs.
History
1. Change without regulatory effect repealing section filed 11-5-2001 pursuant
to section 100, title 1 , California Code of Regulations (Register 2001, No. 45).
§ 18167. Educational Stimulation Component.
History
1. Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100. title 1 , California Code of Regulations (Register 2001 . No. 45).
Article 4. Personnel Provisions
§ 18168. Personnel and Their Duties with Infants and
Toddlers.
History
1. Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100. title 1, California Code of Regulations (Register 2001 . No. 45).
Article 5. Structural and Safety Provisions
§ 18169. Standards for Building and Ground.
History
1. Change without regulatory effect repealing section filed 1 1 -.5-2001 pursuant
to section 100, title 1, California Code of Regulations (Register 2001 , No. 45).
Article 6. Health Provisions
§ 18170. Health Services Component.
History
I. Change without regulatory effect repealing secfion filed 1 1-.5-200I pursuant
to section 100, title 1 , California Code of Regulations (Register 2001 , No. 45).
Article 2. Fiscal Provisions
§18161. Funding.
History
1. Amendment of subsection (b) filed 9-23-77; effective thirtieth day thereafter
(Register 77, No. 39).
Article 7. Nutrition Provisions
§18171. Nutritional Component.
History
2. Change without regulatory effect repealing section filed 1 1-5-2001 pursuant ' • Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
§18162. Method of Reimbursement.
History
1. Renumbering of Section 1862 to Section 18162 filed 9-23-77; effecfive thir-
tieth day thereafter (Register 77, No. 39).
2. Change without regulatory effect repealing secfion filed 1 1-5-2001 pursuant
to section 100. title 1 . California Code of Regulations (Register 2001, No. 45).
§18163. Attendance Factor.
History
1 . Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100, title 1 , California Code of Regulations (Register 2001 , No. 45).
§ 1 81 64. Claim for Reimbursement.
History
1. Change without regulatory effect repealing section filed 11-5-2001 pursuant
to secfion 100, title 1 , California Code of Regulations (Register 2001 , No. 45).
§ 1 81 65. Budget Procedures.
History
1. Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100, title 1, California Code of R^egulafions (Register 2001, No. 45).
to section 100, fifie 1, California Code of Regulations (Register 2001. No. 45)
Article 8. Social Services Provisions
§ 18172. Social Services Requirement.
History
1, Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100, title I , California Code of Regulations (Register 2001, No. 45).
§18173. Social Services Contracts.
History
1. Change without regulatory effect repealing section filed 1 1-5-2001 pursuant
to section 100, fitle 1, California Code of Regulafions (Register 2001 , No. 45).
§ 18174. Social Services Components.
History
1. Change without regulatory effect rep<;aling section filed 1 1-5-2001 pursuant
to section 100, title 1, California Code of Regulafions (Register 2001. No. 45).
Article 3. Educational Provisions
§ 18166. Program Components for School-Age Parents
and Other Participating Students.
History
I. Change without regulatory effect repealing secfion filed 11-5-2001 pursuant
Subchapter 6. Campus Child Care Program
§18175. Applicable Regulations.
Except as provided in Education Code Section 8225(b), contractors
funded by the Campus Child Care Program shall also comply with the
regulations set forth in Chapters 1,2, 3, 12, 13, 14 and 15 of this Division.
NOTE: Authority cited: Section 826 1 , Education Code. Reference: Sections 8225
and 8263, Education Code.
History
to secfion 100. fitle I, California Code of Regulafions (Register 2001, No. 45). 1. New secfion filed 1 1-21-88; operafive 1-1-89 (Register 88. No. 50).
Page 184.73 Register 2005, No. 41; 10-14-2005
§ 18180
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Subchapter 7. Federal Based Migrant
Program
Article 1 . Scope of Chapter
§ 18180. Scope of Chapter: Applicable Regulations.
(a) The regulations contained in this Chapter shall apply only to con-
tractors funded through the Federal Based Migrant program.
(b) Except as otherwise provided in this Chapter, contractors funded
by the Federal Based Migrant program shall also comply with regula-
tions contained in Chapters 1,2, 12, 13, 14 and 15 in whole and Sections
18077, 18078(d). 18081 (a) (b) (c) and (d), 18093, 18094, 18095. 18103,
18105, 18110, 18117, 18118, 18119, 18120, 18121 and 18122 of Chap-
ter 3 of this Division.
NoTE; Authority cited: Section 8261 . Education Code. Reference: Sections 8233
and 8261, Education Code; 34 Code of Federal Regulations, Part 201; and 20
United States Code, Parts 2761 , 2762, 2763.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88. No. 50).
Article 2.
Eligibility and Enrollment
Priorities
§18181. Definitions.
Definitions contained in 34 Code of Federal Regulations Section
201.3 apply.
NOTE: Authority cited: Section 8261, Education Code. Reference: 34 Code of
Federal Regulations, Section 201.3.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
§18182. Enrollment Priorities.
(a) The following are the enrollment priorities for the Federal Based
Migrant program:
( 1 ) First Priority: Currently migratory child.
(2) Second Priority: Formerly migratory child.
(b) A newborn infant whose family's residence has not changed since
birth is not considered to be a currently migratory child.
(c) Contractors operating in a federally funded public migrant housing
center shall reserve the first fourteen (14) days of their initial enrollment
period for residents of the public housing center.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tion 8231, Education Code; and 34 Code of Federal Regulations Part 201.31.
History
1. New section filed 1 1-21-88; operafive 1-1-89 (Register 88, No. 50).
§ 1 81 83. Eligibility Certification for Federal Based Migrant
Programs.
Federal eligibility shall be determined before the child is enrolled or
served in the program.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tion 8263, Education Code; and 34 Code of Federal Reguiafions Part 201.30.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 1 81 84. Migrant Student Record Transfer System.
The contractor shall register all children enrolled on the Migrant Stu-
dent Record Transfer System (MSRTS).
NOTE: Authority cited: Secfion 8261, Education Code. Reference: Section 8231,
Education Code; and 34 Code of Federal Regulations, Part 201 .32.
History
1. New section filed 11-21-88; operafive 1-1-89 (Register 88, No. 50).
Subchapter 7.5. State Based Migrant
Program
Article 1 . Scope of Chapter
§ 18190. Scope of Chapter: Applicable Regulations.
(a) The regulations contained in this Chapter shall apply only to con-
tractors funded by the State Based Migrant program.
(b) Except as otherwise provided in this Chapter, contractors funded
by the State Based Migrant program shall also comply with regulations
contained in Chapters 1,2, 12, 13, 14, 15 in whole and Chapter 3, except
for Section 18106, of this Division.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8231, 8232, 8233 and 8261, Education Code.
History
I. New secfion filed 11-21-88; operafive 1-1-89 (Register 88, No. 50).
Article 2.
Eligibility and Enrollment
Priorities
§18191. Eligibility Criteria.
In addition to meeting the criteria for being an agricultural worker fam-
ily as specified in Education Code Section 823 1(a), the family shall also
meet eligibility and need criteria specified in Education Code Section
8263(a)(1) and (a) (2).
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
fions 8231 and 8263, Education Code.
History
1. New secfion filed 1 1-21-88; operafive 1-1-89 (Register 88, No. 50).
§ 18192. Priorities for Enrollment; Waiting List;
Displacement Order.
(a) Children of eligible migrant agricultural worker families shall be
enrolled in the order of priorities specified in Education Code Section
8231(b).
(b) Contractors operating in federally funded public migrant housing
centers shall reserve the first fourteen (14) days of their enrollment period
for residents of the public migrant housing center.
(c) The contractor shall maintain a waiting list in accordance with the
enrollnnent priorities specified in Education Code Section 8231(b).
(d) If it is necessary to displace families, families shall be displaced in
reverse order of enrollment priorities.
Note: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
fions 8231 and 8263, Education Code.
History
1. New section filed 1 1-21-88; operafive 1-1-89 (Register 88, No. 50).
Subchapter 8. School Age Community
Child Care Services Program (Latch Key)
Article 1 . Scope of Chapter
§ 18200. Scope of Chapter: Applicable Regulations.
Except as otherwise provided in this Chapter, contractors funded by
the School Age Community Child Care Services program (Latchkey)
shall also comply with the regulations contained in Chapters 1, 2, 12 and
15 in whole, and Chapter 3 except for Section 18106 and Section
18290(d)(e) of Chapter 13 of this Division. Contractors operating a
School Age Community Child Care Services-Alternative Payment pro-
gram shall also comply with Chapter 10 of this Division.
NOTE: Authority cited: Section 8461, Education Code. Reference: Section 8463,
Educafion Code.
•
•
Page 184.74
Register 2005, No. 41; 10-14-2005
Title 5
California Department of Education
§ 18212
History
I. New section filed 1 1-21-88; operative 1-1-89 (Register 88. No. 50).
•
Article 2. General Provisions
§ 18201. Waiting List; Priorities for Enrollment.
(a) The contractor shall maintain a waiting list of families seeking
entry into the program in accordance with the enrollment priorities set
forth in Education Code Section 8468.5.
(b) As vacancies occur in the program, families shall be enrolled in the
order of priority established on the waiting list.
(c) When displacement from services is required either temporarily or
permanently, families shall be displaced in the reverse order of the priori-
ties set forth in paragraph (a) of this section.
NoiR: Authority cited: Section 8461, Education Code. Reference: Section
8468. .5, Education Code.
History
1 . Repealer and new section filed 1 1-21-88; operative 1-1-89 (Register 88, No.
50). For prior history, see Register 79. No. 16.
§18202. Age Limitation.
(a) Only school age children are eligible to be enrolled in School Age
Community Child Care program.
(b) "School age" means children enrolled in kindergarten through 9th
grade.
(c) A child is considered to be enrolled in kindergarten on June 1 of
each year if he or she will be four years nine months of age by September
1 of the same year.
NOTE: Authority cited: Section 8461, Education Code. Reference: Section
8468.5, Education Code.
History
1 . Repealer and new section filed 1 1-21-88; operative 1-1-89 (Register 88, No.
50). For prior histoi-y, see Register 79, No. 16.
§ 18203. Staff Qualifications— Program Director for School
Age Programs.
(a) The contractor shall employ a program director who has overall ad-
ministrative responsibility for programs operated at one or more sites.
(b) The program director may also serve as a site supervisor at one of
the sites if he/she assumes responsibility for the day-to-day operation of
the program at that site.
(c) The program director shall meet the requirements of either Subsec-
tion (c)(l)(A)(B) or (c)(2)(A)(B)(C)(D)(E) below:
( 1 ) A baccalaureate degree in recreation, recreational therapy, special
education or a related field; and
(A) Three (3) semester units of administration and supervision of rec-
reation, child development or related programs; and
(B) Two (2) years of teaching or supervisory experience in recreation
or related programs; or
(2) Hold one of the following valid permits or credentials issued by the
Commission on Teacher Credentialing:
(A) Children's Center Supervision Permit;
(B) Life Children's Center Supervision Permit;
(C) Preliminary Administrative Services Credential;
(D) Professional Administrative Services Credential; or
(E) Be deemed to hold a permit pursuant to Education Code Section
8360 and have three (3) semester units of administration and supervision
of child development programs.
Note: Authority cited: Sections 8287 and 8461 , Education Code. Reference: Sec-
tion 8463(1), Education Code.
History
1. Repealer and new section filed 11-21-88; operative 1-1-89 (Register 88, No.
50). For prior history, see Register 79, No. 16.
§ 18204. Adult/Child Ratios in Group Child Development
Programs.
History
1 . Repealer filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50). For prior his-
tory, see Register 79, No. 16.
§ 1 8205. Staff Qualifications— Site Supervisor.
Each site shall have a site supervisor who meets the requiremenis spe-
cified in Title 22 California Code of Regulations, Division 12, Chapters
1 and 2, Sections 101215, 101315 and 101515.
NOTE: Authority cited: Sections 8287 and 8461, Education Code. Reference: Sec-
tion 8463(1), Education Code.
History
1. Repealer and new section filed 11-21-88: operative i-1-89 (Register 88. No.
50). For prior history, see Register 79, No. 16.
§ 18206. Staff Qualifications— Teacher.
Each contractor shall employ sufficient numbers of qualified teachers
to meet the requirements specified in Title 22 California Code of Regula-
tions, Chapters 1 and 2, Sections 101216, 101316.2 and 101516.2.
Note; Authority cited: Sections 8287 and 8461 , Education Code. Reference: Sec-
tion 8463(1), Education Code.
History
1. Repealer and new section filed 1 1-21-88; operative 1-1-89 (Register 88. No.
50). For prior history, see Register 79, No. 16.
§ 1 8207. Staff Qualifications— Teacher Aide.
Each contractor shall employ sufficient numbers of teacher aides to
meet the requirements specified in Title 22 California Code of Regula-
tions. Chapter 1 and 2, Sections 101216 and 101316.3.
NOTE: Authority cited: Sections 8287 and 8461 , Education Code. Reference: Sec-
tion 8463(1), Education Code.
History
1. Repealer and new section filed 1 1-21-88; operative 1-1-89 (Register 88, No.
50). For prior history, see Register 79, No. 16.
§ 18208. Ratios Based on Average Attendance.
History
1 . Repealer tiled 11-21-88; operative 1-1-89 (Register 88, No. 50). For prior his-
tory, see Register 79, No. 16.
Subchapter 9. Severely Handicapped
Program
§ 18210. Scope of Chapter: Applicable Regulations.
(a) The regulations contained in this Chapter shall only apply to con-
tractors funded through the Severely Handicapped program.
(b) Except as otherwise provided in this Chapter contractors funded by
the Severely Handicapped program shall also comply with regulations
contained in Chapters 1,2, 12, 14, 15 in whole and Sections 18077, 18078
(h) , J8081 (a) (b) (5) (c) (d), 18082, 18083 (a) (b) (c) (h) (i) (j). 18094.
18095, 18105, 18107, 18110 and 181 17 through 18122 of Chapter 3 and
Sections 18290 and 18291 of Chapter 13 of this Division.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8208.
8230 and 56026, Education Code.
History
1. New section filed 11-21-88: operative 1-1-89 (Register 88, No. .50).
§18211. Eligibility.
In order to be eligible for services through the Severely Handicapped
program, the child must have a physical, mental or emotional handicap
of such severity that the child cannot be adequately or appropriately
served in regular child care and development program as determined by
the individualized Education Plan (lEP) required by Section 18212 of
this Division.
NOTE: Authority cited: Sections 8261, Education Code. Reference: Section 8250.
Education Code.
History
1. New section filed 11-21-88: operative 1-1-89 (Register 88, No. 50).
§ 18212. Additional Basic Data File Requirements.
The child's basic data file shall include an Individualized Education
Plan (lEP) as specified in Section 56026 of the Education Code and Sec-
tions 3030 and 3031 of Title 5 California Code of Regulations.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8250,
Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88. No. .50).
Page 184.75
Register 2005, No. 41; 10-14-2005
§ 18213
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 18213. Minimum Hours of Operation.
The contractor shall provide child development services a minimum
of three and a half (3 1/2) hours per day.
Note-. Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tion 8250, Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50) .18220.
Scope of chapter: Applicable Regulations.
Subchapter 10. Alternative Payment
Program
Article 1 . Scope of Subchapter
§ 1 8220. Scope of Subchapter: Applicable Regulations.
(a) The regulations contained in this subchapter shall only apply to
contractors authorized to establish, maintain, or operate Alternative Pay-
ment programs as defined in section 18013(e) of this chapter.
(b) Except as otherwise provided in this chapter, contractors funded
to provide Alternative Payment program services shall also comply with
regulations contained in subchapters 1 , 2, 3, and 1 5 in whole and sections
18271(a), (c), 18274, 18277 and 18279 of subchapter 1 2 of this chapter.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8203
and 8261, Education Code.
History
1. New section filed 11-21-88; operauve 1-1-89 (Register 88, No. 50).
2. Editorial correction of printing error restoring subchapter 10 and article 1 head-
ings (Register 91, No. 29).
3. Amendment of article heading, section heading and section filed 5-6-2005 as
an emergency; operative 5-6-2005 (Register 2005, No. 18). A Certificate of
Compliance must be transmitted to OAL by 9-6-2005 or emergency language
will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-2005 order transmitted to OAL 8-30-2005
and filed 10-1 1-2005 (Register 2005, No. 41).
Article 1.5. General Provisions
§18220.2. Definitions.
(a) "Probation" means the period of time that a licensed child care fa-
cility is required to comply with specific terms and conditions set forth
by the California Department of Social Services in order to stay or post-
pone revocation of the facility's license.
(b) "Revocation" means an administrative action taken by the Califor-
nia Department of Social Services to void or rescind the license of a child
care facility because of serious or chronic violations of licensing laws or
regulations by the facility.
(c) "Temporary suspension" means an administrative action taken by
the California Department of Social Services that immediately suspends
a facility license.
NOTE: Authority cited: Section 8261, Education Code. Reference: Secfion 8212,
Education Code; and Sections 1596.773, 1596.885 and 1596.886, Health and
Safety Code.
History
1 . New article 1 .5 (section 1 8220.2) and section filed 5-6-2005 as an emergency;
operative 5-6-2005 (Register 2005, No. 18). A Certificate of Compliance must
be transmitted to OAL by 9-6-2005 or emergency language will be repealed by
operation of law on the following day.
2. Certificate of Compliance as to 5-6-2005 order, including amendment of sub-
sections (a) and (b), transmitted to OAL 8-30-2005 and filed 10-11-2005
(Register 2005, No. 41).
Article 2. Policies and Procedures
§ 1 8220.6. Provider Rate. Family Co-Payment.
(a) A family may choose a child care provider regardless of the provid-
er's rate.
(b) When a provider's rate and other allowable charges exceed the
maximum subsidy amount, the family shall be responsible for paying the
provider the difference between the provider's rate and the maximum
subsidy amount. This shall be considered the family's co-payment. The
contractor shall not be responsible for collecting the family's co-pay-
ment.
NOTE: Authority cited: Sections 8265 and 8269, Education Code. Reference: Sec-
tion 8265 and 8269, Education Code.
History
1. New section filed 6-8-2004; operative 6-8-2004 (Register 2004, No. 24).
§ 18221. Information on Contractor Policies.
The contractor shall develop and implement a written pohcy state-
ment. The policy statement shall include information regarding:
(a) A description of the program's purpose, design, and organization
framework;
(b) Priorities for enrollment;
(c) Family eligibility requirements;
(d) Conditions for participation;
(e) Reimbursement of providers which may include a limitation of 1.5
standard deviations from the mean market rate for the type of care pro-
vided as estabhshed by the most recent survey of the local resource and
referral agency;
(f) Requirements for provider participation;
(g) Range of services available including limitations, if any, on pay-
ment for in-home care; and
(h) Parent fee collection policy and procedures including direct pay-
ment of fees to the provider, if allowable.
NOTE: Authority cited: Secfion 8261, Educafion Code. Reference: Section 8203,
Education Code.
History
1. New secfion filed 11-21-88; operafive 1-1-89 (Register 88, No. 50).
2. Editorial correction of prinfing error restoring article 2 heading (Register 91 , No.
29).
§ 18222. Information to Be Given to Parents.
(a) The contractor shall provide parents with the following informa-
tion upon enrollment in the program;
(1) The policy statement specified in Section 18221 of this Division;
(2) Information regarding the confidentiality of records;
(3) Information regarding grievance procedures for parents; and
(4) Information regarding the rights of parents to change child care set-
tings.
(b) If the parent(s) speaks a language other than English or is (are)
hearing impaired, the information shall be provided through written ma-
terials or by Presentation of an interpreter in a language the parent under-
stands.
NOTE: Authority cited: Secfion 8261, Educafion Code, Reference: Secfion 8203,
Education Code.
History
1 . New secfion filed 1 1-21-88; operafive 1-1-89 (Register 88, No. 50).
§ 18223. Procedures for Provider Participation.
The contractor shall develop and implement written policies and pro-
cedures for provider participation which include the following;
(a) Maximizing parental choice with consideration of the contractor's
ability to pay for the services within the funding provided in the annual
child development contract.
(b) Acceptance, rejection and termination of provider affiliation with
the program.
(c) Grievance procedures for parents and providers in the program.
NOTE; Authority cited: Section 8261, Educafion Code. Reference: Section 8203,
Education Code.
History
1. New section filed 11-21-88; operafive 1-1-89 (Register 88, No. 50).
§ 18224. Written Materials to Be Given to Providers.
(a) The contractor shall give to all providers the following informa-
tion;
(1) A copy of the contractor's policy statements as specified in Sec-
tions 18221 (e), (f) and (h), 18223 and 18226 of this Division;
Page 184.76
Register 2005, No. 41; 10-14-2005
Title 5
California Department of Education
§ 18229
(2) A statement prohibiting the provider from engaging in religious in-
struction or worship while providing child care and development ser-
vices;
(3) A statement prohibiting the provider from engaging in any form of
discrimination;
(4) A schedule for the payment of services which shall be signed by
the provider; and
(5) instructions on enrolhnent and attendance recordkeeping require-
ments.
(b) If a provider speaks a language other than English or is hearing im-
paired, the information shall be provided either through written materials
or by presentation of an interpreter in the language that the provider un-
derstands.
NOTt: Authority cited: Section 8261, Education Code. Reference: Section 8203,
Education Code.
History
1. New section filed 11 -2 1-88; operative 1-1-89 (Register 88, No. 50) .
Article 2.5. Receipt of Notification of
Temporary Suspension Order, License
Revocation, or Probation. Notification of
Parents and Facilities
§ 1 8224.2. Receipt of Notification of Temporary
Suspension or License Revocation from
Resource and Referral Program. Notification of
Parents and Facilities.
(a) When an Alternative Payment program is notified by the Resource
and Referral program that a licensed child care facility's license has been
temporarily suspended or revoked, the Alternative Payment program
shall do the following within two business days of receiving the notifica-
tion;
( 1 ) Terminate payment to the licensed child care facility for services
provided as of the effective date of the temporary suspension or license
revocation. The facility will be reimbursed for services provided prior to
that date;
(2) Notify the licensed child care facility and the parents funded by the
Alternative Payment program and enrolled in the facility in writing that
the payment has been terminated and the reason for the termination; and
(b) To extent feasible, the Alternative Payment program shall provide
the notice to the parent in the primary language of the parent.
(c) The Akemalive Payment program shall document action taken
pursuant to subdivisions ( I ) and (2) above. The Alternative Payment pro-
gram shall retain the documentation and make it available to the Califor-
nia Department of Education upon request.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8212
and 8220, Education Code; and Sections 1596.773 and 1596.886, Health and Safe-
ty Code.
History
1. New article 2.5 (sections 18224.2-18224.4) and section filed 5-6-2005 as an
emergency; operative 5-6-2005 (Register 2005, No. 1 8). A Certificate of Com-
pliance must be transmitted to OAL by 9-6-2005 or emergency language will
be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2005 order, including amendment of article
heading, section heading and section, transmitted to OAL 8-30-2005 and filed
10-1 1-2005 (Register 2005, No. 41).
§ 18224.4. Receipt of Notification of Probationary Status of
Facility from Resource and Referral Program.
Notification of Parents and Facilities.
(a) The regulations contained in this Subchapter apply to providers al-
ready on probation as of January 1 , 2005, and to providers that are placed
on probation on or after January 1, 2005.
(b) When an Alternative Payment program is notified by the Resource
and Referral program that a facility has been placed on probation, the Al-
ternative Payment program shall provide, within two business days, writ-
ten notice to the parents funded by the Alternative Payment program and
enrolled in the facility that the facility has been placed on probation and
that the parents have an option to make different child care arrangements
or may remain with the facility v/ithout risk of subsidy payments being
terminated.
(c) To extent feasible, the Alternative Payment program shall provide
the notice to the parent in the primary language of the parent.
(d) The Alternative Payment program shall document notification pro-
vided pursuant to subdivision (bl above. The Alternative Payment pro-
gram shall retain the documentation and make it available to the Califor-
nia Department of Education upon request.
NOTE: Authority cited: Section 8261 . Education Code. Reference: Section 82 1 2.
Education Code; and Section 1596.773, Health and Safety Code.
History
1. New section filed 5-6-2005 as an emergency; operative 5-6-2(K)5 (Register
2005, No. 18). A Certificate of Compliance must be transmitted to OAL by
9-6-2005 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2005 order, including amendment of sec-
tion heading and section, transmitted to OAL 8-30-2005 and filed 10- 1 1 -2(XJ5
(Register 2005, No. 41).
Article 3. Services and Payments
§ 18225. Plan for Continuity of Service and Expenditures.
The contractor shall develop and implement a plan to ensure that ser-
vices are provided to families enrolled in the program continuously
throughout the contract period.
NOTE: Authority cited: Section 8261 , Education Code. Reference: Section 8203,
Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Editorial correction of prinfine error restoring article 3 heading ( Register 9 1 . No.
29).
§ 1 8226. Plan for Provider Payments.
The contractor shall develop and implement a plan for timely payment
to providers. The plan shall include a description of parent fee collection
methods in accordance with the policy required by Section 18221 (h) of
this Division.
NOTE: Authority cited: Secfion 8261, Education Code. Reference: Sections 8203
and 8261, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18228. Offset of Parent Fees Paid to Providers.
(a) If the contractor's policy allows parents to make direct payments
of their fees to the provider, the provider shall submit a copy of the par-
ent's receipt to the contractor.
(b) The contractor shall offset the amount of the fee paid by the parent
in calculating the payment due to the provider.
(c) The contractor shall report the amount of fee collected and retained
by the provider as "income " on the attendance and expenditure reports
as specified in Section 18068 of this Division.
(d) The contractor shall report its payment to the provider along with
the amount of fees paid directly by the parent which serve in lieu of pay-
ment from the contractor to the provider as "expense" on the attendance
and expenditure reports as specified in Section 18068 of this Division.
NOTE; Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tions 8261 and 8265, Education Code.
History
1. New section filed 1 1-21-88; operaUve 1-1-89 (Register 88, No. 50).
§ 18229. Basic Data File; Receipt of Supportive Services.
The documents required by Education Code Section 8266.5 shall be
maintained in the family's basic data file.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections
8266.5, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50) .
Page 184.76(a)
Register 2005, No. 41; 10-14-2005
§ 18230
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Article 4. Records
§ 18230. Records on File Concerning In-Home Service
Providers,
If the contractor's policies allow payment for in-home care, the con-
tractor shall maintain in its file the following records concerning in-
home care providers:
(a) A description of the caregiver's qualifications and work experience
obtained during a personal interview with the care-giver.
(b) A declaration by the care giver that he or she is in good health.
(c) A signed statement from the parent verifying that the parent has in-
terviewed and approved of the caregiver.
(d) A California driver's license number or other valid and recognized
form of identification to verify that the caregiver is at least eighteen ( 1 8)
years of age.
NOTE: Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tion 8203, Education Code.
History
1. New section filed l]-2]-88: operative 1-1-89 (Register 88, No. 50).
2. Editorial correction of printing errorrestoring article 4 heading (Register 9 1 , No.
29).
§ 18231. Records on File Concerning Service Providers.
The contractor shall maintain in its files the following records con-
cerning each service provider:
(a) A statement of the service provider's current fees with information
regarding the provider's usual and customary services provided for those
fees:
(b) A statement signed by the provider that the child care and develop-
ment services being provided do not include religious instruction or wor-
ship;
(c) A document that contains the rate and schedule of payment for ap-
proved services that is signed by both the service provider and the con-
tractor;
(d) A copy of the facility license that shows the authorized capacity of
the facility;
(e) The name, address and telephone number of the service provider;
and
(f) The age group(s) served by the provider.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8261
and 8266.5, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
Subchapter 1 1 . Resource and Referral
Program
Article 1. Scope of Subchapter
§ 1 8240. Scope of Subchapter: Applicable Regulations.
(a) The regulations contained in this subchapter shall apply only to
contractors funded to provide Resource and Referral Program services.
(b) Except as otherwise provided in this chapter, contractors funded
to provide Resource and Referral Program services shall also comply
with regulations contained in subchapters 1, 2, and 15 in whole and sec-
tions 18271(a), (c), 18274, 18277 and 18279 of subchapter 12 of this
chapter.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8212,
8213 and 8226, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Editorial correction of printing errorrestoring subchapter 1 1 and article 1 head-
ings (Register 91, No. 29).
3. Amendment of article heading, section heading, section and NoTF. filed
5-6-2005 as an emergency; operative 5-6-2005 ^Register 2005. No. 18). A
Certificate of Compliance must be transmitted to OAL by 9-6-2005 or emer-
gency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-2005 order transmitted to OAL 8-30-2005
and filed 10-1 1-2005 (Register 2005, No. 41).
§18240.5. Definitions.
(a) "Probation" means the period of time that a licensed child care fa-
cility is required to comply with specific terms and conditions set forth
by the California Department of Social Services in order to stay or post-
pone revocation of the facility's license.
(b) "Revocation" means an administrative action taken by the Califor-
nia Department of Social Services to void or rescind the license of a child
care facility because of serious or chronic violations of licensing laws or
regulations by the facility.
(c) "Temporary suspension" means an administrative action taken by
the California Department of Social Services that immediately suspends
a facility license.
NOTE: Authority cited: Section 8261, Education Code. Reference: Secuons 8212
and 8226, Education Code: and Sections 1596.773, 1596.885 and 1596.886,
Health and Safety Code.
History
1 . New section filed 5-6-2005 as an emergency; operative 5-6-2005 (Register
2005, No. 18). A Certificate of Compliance must be transmitted to OAL by
9-6-2005 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2005 order, including amendment of sub-
section (c), transmitted to OAL 8-30-2005 and filed 10-11-2005 (Register
2005, No. 41).
Article 2. Resource and Referral Service
§18241. Service Area.
(a) The contractor shall identify in its application for funding the spe-
cific geographical area in which the contractor proposes to operate refer-
ral services.
(b) The proposed service area shall be approved by the Child Develop-
ment Division.
(c) The contractor shall not provide resource and referral services out-
side of its approved service area.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8212,
Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
2. Editorial correction of printing error restoring article 2 heading (Register 91, No.
29).
§ 18242. No Fees Charged for Referral Services.
The contractor shall not charge a fee for resource and referral services
funded by the State Department of Education except for the recovery of
printing and duplication costs, the costs of damaged or lost materials
from the lending library or late fees. This does not preclude contractors
from entering into separate contracts for resource and referral services
with other entities such as cities, counties or private industry which may
allow for the collection of fees for the service provided.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8214,
Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88. No. 50).
§ 1 8243. Resources Available for Service Providers.
The contractor shall contact each licensed facility in the contractor's
service area at least annually to inform the provider of the available re-
sources provided by the contractor.
NOTE; Authority cited: Section 8261, Education Code. Reference: Secfions 8212
and 8214, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18244. Written Referral Policies.
(a) The contractor shall develop and implement written referral poli-
cies.
•
Page 184.76(b)
Register 2005, No. 41; 10-14-2005
Title 5
California Department of Education
§ 18249
•
(h) The written referral policies shall include the lollowing informa-
tion:
(1) A statement that referral services are available to all persons re-
questing them regardless of income level or other eligibility require-
ments;
(2) A statement that information received from the parent(s) is confi-
dential; and
(3) The conditions under which referrals to a provider may be discon-
tinued.
(c) The written referral policies shall be available to parents and pro-
viders upon request.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8212
and 8214. Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Chanee without regulatory effect correctine formatting errors filed 10-1 1-2005
(Regi'ster2005, No. 41).
§ 18245. Maximizing Parental Choice.
The contractor shall assist parents in choosing child care services by
providing parents with the following;
(a) Information regarding how to select child care services which will
meet the needs of the parent(s) and the child(ren).
(b) A range of possible child care alternatives from which the parents
may choose.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8212
and 8214, Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18246. Confidentiality of Information.
The use or disclosure of information pertaining to the child or the
child's family shall be restricted to purposes directly related to the admin-
istration of the program. Data collection and dissemination of informa-
tion shall be handled in such a manner as to ensure confidentiality of the
names and addresses of individual clients.
Note: Authority cited: Section 8261, Education Code. Reference: Sections 8203
and 8261, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§18247. Complaint Procedures.
(a) The contractor shall develop and implement written complaint pro-
cedures which specify;
(1) The procedures for the documentation and resolution of com-
plaints; and
(2) The procedures for referring reports of licensing violations to ap-
propriate agencies.
NOTE: Authority cited: Section 8261 , Education Code. Reference: Sections 8203
and 8212, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18248. Removal from Referral List; Notification of
Temporary Suspension, License Revocation,
or Probation.
(a) If the contractor is notified by the California Department of Social
Services that a child care facility has been issued a temporary suspension
order, had its license revoked, or has been placed on probation, the con-
tractor shall, within two business days;
(1) Remove that facility from the referral list;
(2) Notify the following entities within the contractor's juri.sdiction
that a particular facility has been given a temporary suspension, had its
license revoked, or has been placed on probation;
(A) Alternative Payment programs that operate under article 3 o\' the
Education Code, commencing with section 8220;
(B) CalWORKs child care and development programs that operate un-
der article 15.5 of the Education Code, commencing with section 8350,
including county welfare departments that operate child care and devel-
opment programs for families participating in CalWORKs Stage I .
(3) The contractor shall notify the facility in writing that referrals have
been discontinued. The notice shall include the reason(s) for the decision
and shall inform the facility of the California Department of Social Ser-
vices' process for appealing.
(b) The contractor shall documient action taken pursuant to subdivision
(a) above. The contractor shall retain the documentation and make it
available to the California Department of Education upon request.
Note: Authority cited: Section 8261, Education Code. Reference: Sections 8203,
8212 and 8226, Education Code; and Section 1596.853, Health and Safety Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of section heading, repealer and new section and amendment of
Note filed 5-6-2005 as an emergency; operative 5-6-2005 (Register 2005, No.
1 8). A Certificate of Compliance must be transmitted to OAL by 9-6-2005 or
emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-^-2005 order, including amendment of sec-
tion heading and section, transmitted to OAL 8-30-2005 and filed 10-11 -2005
(Register 2005, No. 41).
§ 1 8249. Reinstatement of Provider or Facility at
Conclusion of Probation or Temporary
Suspension.
(a) The California Department of Social Services shall notify the con-
tractor of the final resolution of any action about which notification is
provided pursuant to section 18248(a) above.
(b) When the California Dep;artment of Social Services informs the
contractor that the facility is no longer on probation, or that the temporary
suspension of the facility license has been lifted without revocation, the
contractor shall return the facility to the referral list within two business
days and resume referrals to that facility, except when the facility is sub-
ject to conditions under which referrals to the facility may be discontin-
ued, pursuant to section 18244(b)(3).
(c) The contractor shall document action taken pursuant to subdivi-
sions (a) and (b) above. The contractor shall retain the documentation and
make it available to the Cahfornia Department of Education upon re-
quest.
Note: Authority cited: Section 8261, Eiducation Code. Reference: Sections 82 1 2
and 8226, Education Code; and Section 1596.853, Health and Safety Code.
History
1. New section filed 5-6-2005 as an emergency; operative 5-6-2005 (Register
2005, No. 18). A Certificate of Compliance must be transmitted to OAL by
9-6-2005 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2005 order, including amendment of sec-
tion, transmitted to OAL 8-30-20135 and filed 10-11 -2005 (Register 2005, No.
41).
[The next page is 184.77.]
Page 184.76(c)
Register 2005, No. 41; 10- 14-2005
Title 5
California Department of Education
§ 18273
•
Subchapter 12. Program Quality
•
•
Article 1 . Scope of Chapter
§ 1 8270. Scope of Chapter.
Except as otherwise provided in this division, all contractors shall
comply with the requirements of this chapter.
NOTFi: Authority cited: Section 8261, bducalion Code. Reference: Section 8203,
Rducation Code.
History
1. New .section filed 1 1-21-88: operative 1-1-89 (Register 88, No. 50).
2, Editorial coirection of printing error restoring subchapter 12 and article 1 head-
ings (Register 9 1 . No. 29).
Article 2. General Program Requirements
§18270.5. Definitions.
(a) "Agency Self-Evaluation Report" is a form issued by the depart-
ment in February 2002. that is incorporated by reference.
(b) "Developmental profile" means a record of a child's physical, cog-
nitive, social, and emotional development that is used to inform teachers
and parents about a child's developmental progress in meeting desired
results. In center-based programs, teacher and parent observations shall
be included as part of the information used to complete the child's devel-
opmental profile. In family child care home networks, the observations
of agency staff, in consultation with providers, and parents shall be in-
cluded as part of the information used to complete the child's develop-
mental profile.
(c) "Desired Results Developmental Profile" is a document issued by
the department February 28, 2002 to record the information in the devel-
opmental profile defined in subsection 18270.5(b), that is incorporated
by reference.
(d) "Desired Results Parent Survey" is a document issued by the de-
partment in June 2000, that is incorporated by reference.
(e) "Education program" means the environment, activities, and ser-
vices provided to the children.
(f) "Environment rating scale" means an instrument that measures
program quality by rating the education program as defined in Section
18273, the staff development program as defined in Section 18274, and
parent involvement and education as defined in Section 1 8275. Environ-
ment rating scales include one or more of the following:
( 1 ) "ECERS-R" means the document entitled. Early Childhood Envi-
ronment Rating Scale, Revised Edition. 1998, that is incorporated by ref-
erence.
(2) "ITERS" means the document entitled. Infant-Toddler Environ-
ment Rating Scale. 1990, that is incorporated by reference.
(3) "FDCRS" means the document entitled. Family Day Care Rating
Scale. 1989. that is incorporated by reference.
(4) "SACERS" means the document entitled. School-Age Care Envi-
ronment Rating Scale, 1996, that is incorporated by reference.
(g) "Parent involvement and education" means those acfivities specifi-
cally designed to include parents in the education of their children, help
parents participate in the program, and enhance their understanding of
child development.
(h) "Parent survey" means a questionnaire completed by the parent to
assess the child care program or services that the child and family receive.
The parent survey asks for information about how the program helps par-
ents support their child's learning and development and meets the fami-
ly's needs.
(i) "Program se/f-eva/uation process" means those activities and pro-
cedures used by the contractor to evaluate its program quality and com-
pliance with applicable laws, regulafions, and contractual provisions.
(J) "Staff development program" means those activities that address
the needs, interests, and skills of program staff or service providers to im-
prove program quality.
NOTE: Authority cited: Section 8261. Education Code. Reference: Sections 820.^
and 8261. Education Code.
History
1. New section filed 9-2.V2()0.^; operative 9-2.^-20(B pursuant to Go\ernmenl
Code section 11 34.^.4 (Register 2003, No. 39).
§ 18271. Program Philosophy, Goals and Objectives.
(a) Each conlracior shall have a written philosophical statement and
goals and objectives which support that philosophy. The governing body
of each contractor shall approve the program philosophy, goals and ob-
jectives.
(b) The goals and objectives shall address the requirements contained
in all of the sections in this article.
(c) The goals and objectives shall reflect the cultural and linguistic
characteristics of the families served by the contractor.
NOTE: Authority cited: Section 8261. Education Code. Reference: Sections 8203
and 8261. Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88. No. 50).
2. Editorial correction of printing error restoring article 2 heading ( Register 9 1 . No.
29).
§18272. Developmental Profile.
(a) Center-based and Family Child Care Home Education Network
contractors shall complete the age-appropriate Desired Results Devel-
opmental Profile, as defined in subdivision 1 8270.5(c) of this chapter, for
each child who is enrolled in the program for at least 10 hours per week.
(b) The Desired Results Developmental Profile required in subdivi-
sion (a) shall be completed for each child within 60 calendar days of en-
rollment and at least once every six months for infants, toddlers, pre-
schoolers and school-age children.
(c) The contractor shall use the developmental profiles to plan and
conduct age and developmentally appropriate activities.
(d) If a child has exceptional needs, the developmental profile shall be
completed with any necessary accommodafions and adaptations. Not-
withstanding subdivision (a), a developmental profile is required for a
child with excepfional needs even if that child is enrolled less than 10
hours per week.
NOTE; Authority cited: Section 8261, Education Code. Reference: Section 8203,
Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. .SO).
2. Amendment filed 9-23-2003; operative 9-23-2003 pursuant to Government
Code section 1 1 .3434 (Register 2003, No. 39).
3. Amendment filed 7-16-2008; operative 8-15-2008 (Register 2008. No. 29).
§18273. Education Program.
(a) The standards for the child development and education program
component shall include, but are not limited to, the following:
(1) The program approach is developmentally. linguistically, and cul-
turally appropriate.
(2) The program is inclusive of children with special needs.
(3) The program encourages respect for the feelings and rights of oth-
ers.
(4) The program supports children's social and emotional develop-
ment by:
(A) Building trust;
(B) Planning roufines and transifions so they can occur in a timely, pre-
dictable, and unhurried manner; and
(C) Helping children develop emotional security and facility in social
relafionships.
(5) The program provides for the development of each child's cogni-
five and language skills by:
(A) Using various strategies, including experimentation, inquiry, ob-
servafion, play, and explorafion;
(B) Ensuring opportunifies for creative self-expression through acti-
vifies such as art, music, movement, and dialogue;
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BARCLAYS CALIFORNIA CODE OF REGULATIONS
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(C) Promoting interaction and language use among children and be-
tween children and adults; and
(D) Supporting emerging literacy and numeracy development.
(6) The program promotes each child's physical development by pro-
viding sufficient time, indoor and outdoor space, equipment, materials,
and guidelines for active play and movement.
(7) The program promotes and maintains practices that are healthy and
safe.
NOTE; Authority cited: Section 8261, Education Code. Reference: Section 8203.
Education Code.
History
1. New section filed 1 1-21-88: operative 1-1-89 (Register 88. No. 50).
2. Editorial correction of printing error in subsection (c) (Register 91, No. 29).
?>. Repealer and new section filed 9-2.3-2003: operative 9-23-2003 pursuant to
Government Code section 11 343.4 (Register 2003, No. 39).
§18274. Staff Development Program.
Each contractor shall develop and implement a staff development pro-
gram that includes the following:
(a) Identification of training needs of staff or service providers;
(b) Written job descriptions;
(c) An orientation plan for new employees;
(d) An annual written performance evaluation procedure unless a dif-
ferent frequency of performance evaluations is specified in a contractor's
collective bargaining agreement with their employees;
(e) Staff development opportunities that include topics related to the
functions specified in each employee's job description and those training
needs identified by the contractor pursuant to subsection (a) of this sec-
tion.
(f) An internal communication system that provides each staff mem-
ber with the information necessary to carry out his or her assigned duties.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8203,
8208, 8244, 8261 and 8360.1, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of first paragraph, subsection (e) and Note filed 9-23-2003; op-
erative 9-23-2003 pursuant to Government Code section 11343.4 (Register
2003, No. 39).
§ 18275. Parent Involvement and Education.
(a) Each contractor shall include in its program a parent involvement
and education component.
(b) The parent involvement and education component shall include the
following:
( 1 ) An orientation for parents that includes topics such as program phi-
losophy, program goals and objectives, program activities, eligibility cri-
teria and priorities for enrollment, fee requirements, and due process pro-
cedures;
(2) At least two (2) individual conferences with the parent(s) per year.
For school age programs, such conferences may be informal;
(3) Parent meetings with program staff.
(4) An open door policy that encourages parents to participate in the
daily activities whenever possible; and
(5) A parent Advisory Committee that advises the contractor on issues
related to services to families and children.
(c) Sharing information between staff and parents concerning their
child's progress.
NOTE; Authority cited: Section 8261, Education Code. Reference: Sections 8203
and 8261, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment filed 9-23-2003; operative 9-23-2003 pursuant to Government
Code section ] 1343.4 (Register 2003, No. 39).
§18276. Health and Social Services.
(a) Each contractor shall include in its program a health and social ser-
vice component that:
( 1 ) Identifies the needs of the child and the family for health or social
services;
(2) Refers a child and/or family to appropriate agencies in the commu-
nity based on the health or social service needs; and
(3) Conducts follow-up procedures with the parent to ensure that the
needs have been met.
NoTE; Authority cited: Section 8261, Education Code. Reference: Sections 8203
and 826 1 , Education Code.
History
1, New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§18277. Community Involvement.
Each contractor shall include in its program a community involvement
component which shall include, but not be limited to, the following:
(a) Each contractor shall solicit support from the community. This in-
cludes the solicitation of donated goods and services.
(b) Providing information to the community regarding the services
available. Contractors may utilize media or other forms of communica-
tion in the community.
NoTE: Authority cited: Section 8261, Education Code. Reference: Sections 8203
and 8261, Education Code.
History
i. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Editorial correction of printing error (Register 91, No. 29).
§18278. Nutrition.
(a) Each contractor shall include in its program a nutrition component
that ensures that the children have nutritious meals and snacks during the
time in which they are in the program.
(b) The meals and snacks shall be culturally and developmentally ap-
propriate for the children being served and shall meet the nutritional re-
quirements specified by the federal Child Care Food or the National
School Lunch program.
NOTE; Authority cited: Section 8261, Education Code. Reference; Sections 8203
and 8261, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18279. Program Self-Evaluation Process.
(a) Each contractor shall develop and implement an annual plan for its
program self-evaluation process.
(b) The annual plan shall include the following:
(1 ) A self-evaluation based on the use of the CCR, as defined in sub-
section 18023(a)(2) of this Chapter.
(2) An assessment of the program by parents using the Desired Results
Parent Survey, as defined in subsection 18270.5(d) of this Chapter.
(3) An assessment of the program by staff and board members as evi-
denced by written documentation.
(4) An analysis of the CCR findings, including the Desired Results De-
velopmental Profiles, the environment rating scales, and the Desired Re-
sults Parent Survey, each of which are defined in Section 18270.5 of this
Chapter; together with all other self-evaluation findings.
(5) A written list of tasks needed to modify the program in order to ad-
dress all areas that need improvement, as indicated in the analysis speci-
fied in subsection (b)(4).
(6) Procedures for the ongoing monitoring of the program to assure
that areas of the program that are satisfactory continue to meet standards,
and areas requiring modification pursuant to subsection (b)(5) are ad-
dressed in a timely and effective manner.
(c) The contractor shall use the Agency Self-Evaluation Report, as de-
fined in subsection 18270.5(a) of this Chapter, to submit a summary of
the findings of the program self-evaluation to the California Department
of Education by June 1 of each year.
(d) The contractor shall modify its program to address any areas identi-
fied during the self-evaluation as needing improvement.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8203
and 8261, Education Code.
History
1. New section filed 11-21-88; operafive 1-1-89 (Register 88, No. 50).
•
•
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Title 5
California Department of Education
§ 18301
2. Amendment of section heading and section filed 9-23-2003; operative
9-23-2003 pursuant to Government Code section 1 1 343.4 (Register 2003, No.
39).
§ 18280. Parent Survey.
(a) Each contractor shall annually distribute the Desired Results Par-
ent Survey, as defined in subsection 18270.5(d) of this Chapter, to par-
ents; collect the surveys from parents; and analyze the results.
(b) The contractor shall use the parent survey results to plan and con-
duct activities to help parents support their child's learning and develop-
ment and to tncet the family's needs.
(c) The contractor shall use the results and analysis of the parent survey
as part of its annual self-evaluation process.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8203,
Education Code.
History
1. New section filed 9-23-2003; operative 9-23-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 39).
§ 1 8281 . Environment Rating Scales.
(a) Center-based programs and family child care home networks shall
complete an environment rating scale as defined in subsection 18270.5(f)
of this Chapter, that is appropriate for the type of setting and age of chil-
dren served, to measure program quality:
( 1 ) Every three (3) years as part of the program compliance review;
and
(2) Annually as part of the self-evaluation process.
(b) For each environment rating scale completed, the contractor shall
achieve a minimum average score of "Good" on each subscale.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section 8203,
Education Code.
History
I. New section filed 9-23-2003; operative 9-23-2003 pursuant to Government
Code section 11 343.4 (Register 2003, No. 39).
Subchapter 13. Staffing Ratios
§ 18290. Staffing Ratios for Child Care and Development
Programs.
Contractors shall maintain at least the following minimum ratios in all
centers:
(a) Infants (birth to 18 months old)-l:3 adult-child ratio, 1:18 tea-
cher-child ratio.
(b) Toddlers ( 1 8 months to 36 months old)- 1 :4 adult-child ratio, 1:16
teacher-child ratio.
(c) Preschool (36 months to enrolltnent in kindergarten-l:8 adult-
child ratio, 1 :24 teacher child ratio.
(d) Children enrolled in kindergarten through 1 4 years old-1 ; 1 4 adult-
child ratio, 1:28 teacher-child ratio.
(e) Compliance with these ratios shall be determined based on actual
attendance.
NOTE: Authority cited; Section 8288, Education Code. Reference; Section 8288,
Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Editorial correction of printing error restoring subchapter 1 3 heading (Register
91, No. 29).
§ 1 8291 . Commingling of Age Categories.
(a) Whenever groups of children of two (2) age categories are com-
mingled and the younger age group exceeds fifty percent (50%) of the
total number of children present, the ratios for the entire group must meet
the ratios required for the younger age group.
(b) If the younger age group does not exceed fifty percent (50%) of the
total number of the children present, the teacher-child and adult-child
ratios shall be computed separately for each group.
NOTE: Authority cited; Section 8288, Education Code. Reference; Section 8288,
Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18292. Staffing Ratio Variance.
Except as otherwise provided in this Division or Title 22 California
Code of Regulations, Community care Licensing Standards the program
may exceed teacher-child and adult-child ratios prescribed by Section
18290 by fifteen percent (15%) for a period of time not to exceed one
hundred twenty (120) minutes in any one day.
NOTE: Authority cited; Section 8288, Education Code. Reference: Section 8288,
Education Code.
FllSTORY
]. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. .50).
Subchapter 14. Waiver of Qualifications for
Site Supervisor
§ 18295. Waiver of Qualifications for Site Supervisor;
Conditions.
(a) The Child Development Division shall grant a waiver of Education
Code section 8208(z) upon a contractor's demonstration of the existence
of compelling need. Factors the Child Development Division shall con-
sider in determining compelling need are as follows:
(1) Evidence that the contractor's recruitment efforts have not be
successful in obtaining qualified applicants;
(2) Evidence of the contractor's inability to offer competitive salaries;
(3) Evidence of potential or current staffs lack of reasonable access to
training resources which offer required course work.
(b) A waiver may be granted if the contractor can provide evidence of
either (a)(1), (2) or (3) of this section.
(c) Waivers granted shall remain in effect for the period of time speci-
fied by the Child Development Division.
(d) The site supervisor shall, at a minimum, meet the qualifications
specified in fitle 22 California Code of Regulafions, Community Care Li-
censing Standards for "program director."
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections
8208(z) and 8287, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
2. Editorial correction of printing error restoring subchapter 14 heading (Register
91, No. 29).
Subchapter 15. Appeal and Dispute
Resolution Procedures
§ 1 8300. Scope of Chapter.
The regulations in this Chapter apply to all agencies contracting with
the State Department of Educafion for provision of services pursuant to
the Child Care and Development Services Act Chapter 2 Part 6 of Title
1 of the California Educafion Code (commencing with Secfion 8200).
Note: Authority cited; Section 8261, Education Code. Reference; Sections 8401
and 8402, Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18301. Termination, Suspension, and Major Reductions
in Contract.
(a) Pursuant to the requirements of Education Code sections 8400
through 8409, an independent appeal procedure shall be available to any
contractor whose contract is terminated or suspended, or whose total re-
imbursable contract amount is reduced by four percent (4%) or $25,(X)0,
whichever is less.
(b) Such appeals shall be heard by independent hearing officers in ac-
cordance with procedures established by the Office of Administrative
Hearings as specified in Title I California Code of Regulations, Sections
201 through 207.
(c) Termination or suspension of a contract during the contract period
may occur when:
( 1 ) A contractor fails to correct items of fiscal or programmatic non-
compliance within six (6) months of receiving a condiuonal contract
Page 184.79
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§ 18302
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
which includes an addendum stating the specific items of noncompliance
and the corrective actions necessary to come into compliance; or
(2) A contractor engages in serious misconduct posing an immediate
threat to health and safety or to State funds for any of the reasons listed
in Education Code section 8406.7; or
(3) A contractor fails or refuses to make available for examination or
copying by an authorized employee of the Department any records or
documents that the contractor is required to retain pursuant to this Divi-
sion, upon a request by that employee to examine or copy such records
or documents; or
(4) A contractor refuses to permit an authorized employee of the De-
partment to enter a facility operated by the contractor during the days
and/or hours of operation on file with the Department, for the purpose of
reviewing administrative operations of the contractor or for observing
child care and development services provided by the contractor pursuant
to this Division.
(d) Any action by the Child Development Division to terminate or sus-
pend a contract or to reduce the total reimbursable contract amount, as
stated in Education Code section 8402(a) through (c), shall be preceded
by a notice stating the specific reasons for the action and describing the
contractor's appeal rights.
(e) Unless the termination or suspension is for reason(s) specified in
Subsection (c) (2) above, the contractor may continue to operate during
the appeal process.
NOTE; Authority cited: Section 8261, Education Code. Reference: Sections
8400-8409, Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of section heading, section and Note filed 1 0-21-2002 as an emer-
gency; operative 10-21-2002 (Register 2002, No. 43). A Certificate of Com-
pliance must be transmitted to OAL by 2-18-2003 or emergency language will
be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-2002 order transmitted to OAL
1-10-2003 and filed 2-24-2003 (Register 2003, No. 9).
§ 18302. Contractor's Responsibility After Notice of
Termination or Notice of Decision to Make No
Offer of Continued Funding.
After receiving notice of the Child Development Division's decision
to terminate the contract or to make no offer of continued funding, the
contractor shall submit copies to or make available for copying by the
Child Development Division all of the following:
(a) A current inventory of equipment purchased in whole or in part
with contract funds;
(b) The names, addresses and telephone numbers of all families served
by the contract, all staff members funded by the contract; and
(c) Monthly enrollment and attendance reports until the contract is ac-
tually terminated or until the final month for which the contractor retains
a contract.
(d) Family child care home contractors and Alternative Payment pro-
grams shall also submit the names, addresses and telephone numbers of
all providers of subsidized services under the contract.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8261
and 8402, Education Code.
History
1. New section filed 11-21-88; operative 1-1-89 (Register 88, No. 50).
2. Amendment of section heading, section and Note filed 6-5-2001 as an emer-
gency; operafive 6-5-2001 (Register 2001, No. 23). A Certificate of Com-
pliance must be transmitted to OAL by 10-3-2001 or emergency language will
be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-5-200 1 order transmitted to OAL 10-2-2001
and filed 1 1-6-2001 (Register 2001, No. 45).
§ 18303. Administrative Review of Changes in Contract
Status.
(a) Contract performance shall be reviewed at least annually by Child
Development Division staff who shall determine by April 1 of each year
whether to offer continued funding on a clear contract, continued funding
on a conditional basis or to make no offer of continued funding.
(b) 1 f the staff recommends conditional status or no offer of continued
fund-ing, the contractor shall be notified in writing of the reasons for the
proposed change in contract status by April 7. The notice of proposed ac-
tion shall be sufficiently specific to allow the contractor to respond to the
factual basis for the proposed action.
(c) if the contractor disagrees with the proposed action:
( 1 ) The contractor's response shall be received by the Child Develop-
ment Division within ten (10) calendar days of receipt of the notice of
proposed action:
(2) The contractor's response shall include any written materials in
support of its position; and
(3) If the contractor intends to make an oral presentation, the response
shall so specify.
(d) If the action is being appealed, the staff recommendation and the
contractor's response shall be reviewed by an administrative review pan-
el convened by the Director of the Child Development Division within
seven (7) calendar days of receipt of the contractor's response. The re-
view panel will consist of representatives of Child Development Divi-
sion management and the State Department of Education's Local Assis-
tance Bureau, Legal Office, Office of External Audits and Contracts
Office and a representative of a child care and development service pro-
vider familiar with the type(s) of program(s) operated by the contractor.
Upon review of the written submissions, the panel will do one of the fol-
lowing:
(1) Issue a final decision holding or modifying the proposed change
in status if no oral presentation has been requested; or
(2) Schedule a time and place for an oral presentation by the contrac-
tor.
(3) Issue a final decision to not change the contract status.
(e) If an oral presentation has been requested, the contractor will be no-
tified by telephone of the time and place of the presentation. The oral pre-
sentation will be scheduled no later than fourteen (14) calendar days from
receipt of the contractor's response.
(f) At the oral presentation, the contractor or the contractor's represen-
tative will have an opportunity to explain any material submitted in its
response. While the contractor may present any information or argu-
ments that are relevant to the proposed action, the review panel may set
reasonable limits on the scope of the presentation.
(g) Within seven (7) calendar days after the oral presentation, the re-
view panel shall issue and mail to the contractor a decision upholding,
reversing or modifying the proposed change in contract status. The deci-
sion of the review panel shall be the final action of the State Department
of Education with regard to that contract.
Note: Authority cited: Section 8261, Education Code. Reference: Sections 8406
and 8406.6, Education Code.
History
1 . New section filed 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18304. Conditional Status Imposed During the Contract
Period.
(a) If the contractor demonstrates fiscal or programmatic noncom-
pliance during the contract period, based on such informafion as an annu-
al audit report, a contract compliance review, a program quality review,
or a change in licensing status, the Child Development Division may
place the contract on conditional contract status for the remainder of the
contract period.
(b) The contractor shall receive notice and may request an administra-
tive review of the proposed action as set forth in Section 18303 of this
Division, in the event such a change in contract status is recommended
by staff of the Child Development Division. (c) if the contract is placed
on conditional status during the last ninety (90) days of the contract peri-
od and the contractor is offered continued funding, the contract for the
subsequent contract period will also be on condiUonal status.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section
8406.6, Education Code.
History
1 . New section filed 11-21-88; operafive 1-1-89 (Register 88, No. 50).
•
Page 184.80
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Title 5
California Department of Education
§ 18400
§ 18305. Conditional Status Addendum.
A condiiional status contract shall contain a bill of particulars speci-
fied in Education Code Section 8406.6 called a Conditional Status Ad-
dendum explain-ing the contract conditions. The Addendum shall in-
clude the following:
(a) The specific item(s) of noncompliance which the contractor must
correct;
(b) The specific corrective action(s) which must be taken:
(c) The time period within which the contractor must complete the cor-
rections;
(d) Notice that failure to make required corrections will result in termi-
nation of the contract or no offer of continued funding.
(e) If the contractor is placed on conditional status during the contract
period:
( 1 ) A Conditional Status Addendum will be issued by the State Depart-
ment of Education and
(2) The Conditional Status Addendum shall be considered a part of the
annual child development contract and binding on the contractor.
NOTE: Authority cited: Section 8261, Education Code. Reference; Section
8406.6, Education Code.
History
1. New section tiled 1 1-21-88; operative 1-1-89 (Register 88, No. 50).
§ 18306. Monthly Reports; Inventory of Equipment.
A contractor on conditional contract status shall submit:
(a) Monthly enrollment and attendance reports to the State Depart-
ment of Education, Local Assistance Bureau.
(b) The first monthly report shall include a current inventory of equip-
ment purchased in whole or in part with contract funds.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section
8406.6, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1-89 (Register 88. No. 50).
§ 18307. Duration of Conditional Contract Status.
(a) A contractor shall remain on conditional contract status until the
contractor has corrected deficiencies and/or has met requirements identi-
fied in the Conditional Status Addendum.
(b) A contractor with a repayment plan shall remain on conditional
contract status until full repayment is made.
(c) A contractor on conditional contract status that is not on a repay-
ment plan shall remain in that status until:
( 1 ) the State Department of Education issues written notice to the con-
tractor that the conditional status has been cleared; or
(2) the contractor is issued a clear contract; or
(3) the contract terminates according to its terms.
(d) A contractor may request written verification from the Child De-
velopment Division that some of the deficiencies have been corrected
even if the contractor will not be removed from conditional contract sta-
tus.
NOTE: Authority cited: Section 8261, Education Code. Reference: Section
8406.6, Education Code.
History
1. New section filed 1 1-21-88; operative 1-1 -89 (Register 88, No. 50).
§ 18308. Resolution of Contract Administration Disputes.
(a) The procedure specified in this Section shall be used to resolve dis-
putes between contractors and the State Department of Education that
may arise regarding the interpretation and application of any term or con-
dition of a contract, including, but not limited to, requests for waivers,
approval of subcontracts or expenditures requiring approval, requests for
reimbursement rate adjustments, or reductions in the total amount of con-
tract reimbursement that are not appealable under Section 18301 of this
Division.
(b) The contractor shall attempt to resolve contract disputes at the low-
est staff level within the State Department of Education.
(c) if the dispute is not resolved at the lowest staff level, the contractor
may appeal the decision by submitting a written description of the issues
and the basis for the dispute to the Regional Administrator of the Child
Development Division having Jurisdiction over the contractor's service
delivery area. Tlie Regional Administrator shall make a determination
and shall send a written notification of the decision to the contractor, to-
gether with the reasons for the decision within thirty (30) calendar days
of the receipt of the appeal by the Regional Administrator.
(d) The contractor may appeal the decision of the Regional Adminis-
trator to the Assistant Director of the Child Development Division by
submitting a written description of the issues in the dispute and a copy
of the Regional Administrators decision. The Assistant Director of the
Child Development Division shall :^end notification of the decision to the
contractor and shall specify the reason(s) for the decision within thirty
(30) calendar days of the receipt of the appeal by the Assistant Director.
The decision of the Assistant Director of the Child Development Divi-
sion shall be the final administrative action afforded the contractor.
NOTE; Authority cited: Section 8261, Education Code. Reference: Section 8445,
Education Code.
History
l.New section filed 1 1-21-88; operative 1-1-89 (Register 88. No. 50).
Chapter 19.5. CalWORKs and Child Care
and Development Programs
Subchapter 1. Definitions
Article 1. General Provisions
§18400. Definitions.
As used in this Chapter:
(a) "CalWORKs cash aid recipient" means a minor teen parent or adult
who receives cash aid from the county welfare department for the Cal-
WORKs or Cal-Learn program.
(b) "Child care provider" means an adult or agency that provides child
care services.
(c) "Contractor" means a public or private non-profit agency that has
a contract with the California Department of Education for the provision
of CalWORKs Stage 2 and/or Stage 3 child care services.
(d) "Diversion services" means one-time assistance services provided
by the county welfare department, either in cash or in non-cash services,
to an otherwise CalWORKs eligible family, when the county welfare de-
partment determines that such assistance will help the family avoid be-
coming a CalWORKs cash aid recipient.
(e) "Family size" means the number of adults and children related by
blood, marriage, or adoption that comprise the household in which the
child is living.
(1) When an adult living in the household is neither the parent of the
child nor the spouse of the parent, the adult and the adult's children if any,
shall be excluded from the calculation of family size.
(2) When a child is living with adult(s) other than a natural or adoptive
parent, the child shall be considered a family of one. In these cases, a need
criterion as specified in Section 18406(b) or (c) or 18421(b) or (c) must
be met by the caretaker of the child.
(f) "Former CalWORKs cash aid recipient" means an adult or minor
teen parent who has previously received and is no longer receiving cash
aid in the CalWORKs or Cal-Learn program because of but not limited
to, earnings, other income, or a sanction of the adult imposed by the
county welfare department.
(g) "Incapacity" means the incapacity of a parent that significantly
limits the parent's ability to provide normal care for the child because of
a substantiated medical or psychiatric special need that is verified by a
legally qualified professional.
(h) "Legally qualified professional" means a person who is licensed
under the applicable laws and regulations of the State of California to per-
form medical, health, or social services for the general public.
Page 184.81
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§ 18405
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(i) "Licensed provider" means an individual or organization that lias
obtained a child care license, as specified in Title 22, California Code of
Regulations, Section 101156.
(j) "Maximum payment rate" means the maximum payment that may
be paid to a provider and that is no more than the lower of the provider's
rate for unsubsidized children or 1 .5 standard deviations above the mean
cost of care for the region where the care is provided.
(k) "Notice of action, application for services" means a written state-
ment of specific information issued by the contractor that informs the ap-
plicant of the contractor's decision to approve or deny child care services.
(/) "Notice of action, recipient of services" means a written statement
of specific information issued by the contractor informing the family re-
ceiving child care services that a change has been made to their service
agreement. These changes may include, but are not limited to. need and
eligibility requirements that are no longer being met, fees that have not
been paid, or the proposed modification of the fee or amount of services
provided by the contractor.
(m) "Recertification" means a formal process to collect information
and documentation to determine that the family continues to meet the eli-
gibility criteria for CalWORKs child care. The adult must certify the in-
formation as accurate with a signature.
(n) "Stage 1" means the first stage of CalWORKs child care services.
Stage 1 child care services are administered by the California Depart-
ment of Social Services through county welfare departments pursuant to
Education Code section 835 1 . Stage 1 child care begins when authorized
by the county welfare department.
(o) "Stage 2" means the second stage of CalWORKs child care ser-
vices. Stage 2 child care services are administered by the California De-
partment of Education through contracts with alternative payment pro-
gram providers pursuant to Education Code section 8353. Stage 2 child
care begins when the county welfare department determines that a Cal-
WORKs family is stable and transfers the family to a Stage 2 child care
contractor for child care services, or a family appHes and is found eligible
for Stage 2 services.
(p) "Stage 3" means the third stage of CalWORKs child care services.
Stage 3 child care services are administered by the California Depart-
ment of Education through contracts with alternative payment program
providers pursuant to Education Code section 8354. Stage 3 child care
begins when a CalWORKs family receiving Stage 1 or Stage 2 child care
services has fully utilized the family's 24 months of eligibility to Stage
1 and Stage 2 child care services following the date the adult stopped re-
ceiving cash assistance.
(q) "State median income" means the most recent median income for
California families as determined by the California Department of Fi-
nance.
(r) "Time out" means that a family receiving CalWORKs Stage 1 or
Stage 2 child care services becomes ineligible for Stage 1 or Stage 2 be-
cause the adult has been off cash aid for 24 months.
(s) "Welfare-to-work activity" means a county welfare department
approved activity, including but not limited to, employment, job search,
job training, educational training, or participating as a volunteer in a job-
related activity.
NOTE: Authority cited: Sections 8203, 8261, 8263 and 8269, Education Code.
Reference: Section 8359.1, Education Code.
History
1. New chapter 19.5 (subchapters 1-3), subchapter 1 (article 1), article 1 (section
18400) and section filed 6-28-2001 as an emergency; operative 6-28-2001
(Register 2001, No. 26). A Certificate of Compliance must be transmitted to
OAL by 10-26-2001 or emergency language will be repealed by operation of
law on the following day.
2. New chapter 19.5 (subchapters 1-3), subchapter 1 (article 1), article 1 (section
18400) and section refiled 10-26-2001 as an emergency; operative
10-26-2001 (Register 2001. No. 43). A Certificate of Compliance must be
transmitted to OAL by 2-25-2002 or emergency language will be repealed by
operation of law on the following day.
3. Certificate of Compliance as to 10-26-2001 order, including amendment of
subsections (a) and (n), transmitted to OAL 1-28-2002 and filed 3-12-2002
(Register 2002, No. 11).
Subchapter 2. CalWORKs Stage 2 Child
Care Program
Article 1 . General Provisions
§ 18405. Scope of Subchapter.
(a) The provisions contained in this subchapter shall only apply to con-
tractors authorized to establish, maintain, or operate alternative payment
programs for CalWORKs Stage 2 child care programs as defined in
Education Code section 8353.
(b) Except as otherwise provided in this subchapter, contractors
funded to establish, maintain, or operate alternative payment programs
for CalWORKs Stage 2 child care programs shall also comply with the
regulations contained in Chapter 19, Subchapter 1 (commencing with
Section 17906), Chapter 19, Subchapter 2 (commencing with Section
1 801 2, except for Section 1 80 1 7 if child care is paid with Federal funds),
and Chapter 19. Subchapter 15 (commencing with Section 18300).
(c) CalWORKs Stage 2 child care services may begin when child care
is available through a local Stage 2 program and one of the following oc-
curs:
( 1 ) The county welfare department determines that the adult's work or
work activity is stable;
(2) The adult is transitioning off CalWORKs cash aid; or
(3) A family applies and is found eligible for CalWORKs Stage 2 ser-
vices.
(d) Contractors administering Stage 2 programs in counties where
there are multiple contractors shall coordinate services and cooperate to
ensure all eligible families receive and continue to receive services. Con-
tractors may coordinate across county boundaries so that eligible fami-
lies living in the county, employed in the county, or receiving child care
in the county receive and continue to receive such services.
NOTE: Authority cited: Sections 8261, 8262 and 8269, Education Code. Refer-
ence: Section 8353, Education Code.
History
1. New subchapter 2 (articles 1-8), article 1 (section 18405) and section filed
6-28-2001 as an emergency; operative 6-28-2001 (Register 2001, No. 26). A
Certificate of Compliance must be transmitted to OAL by 10-26-2001 or emer-
gency language will be repealed by operation of law on the following day.
2. New subchapter 2 (articles 1-8), article 1 (section 18405) and section refiled
10-26-2001 as an emergency; operafive 10-26-2001 (Register 2001, No. 43).
A Certificate of Compliance must be transmitted to OAL by 2-25-2002 or
emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 11).
Article 2. Requirements and Procedures for
Receiving CalWORKs Stage 2 Services
§18406. Family Eligibility.
(a) A family is eligible to receive CalWORKs Stage 2 child care ser-
vices if all of the following conditions are met:
(1) The family is and remains income eligible. A family is income eli-
gible if the family's adjusted monthly income based upon the family size
is at or below 75% of the state median income. Adjusted monthly income
is the total countable income received by members of the family included
in the family size determination minus verified child support payments
paid by the parent whose child is receiving child care services. Except for
child support payments paid by the parent, monthly income shall not be
adjusted because of voluntary or involuntary deductions.
(A) When income fluctuations occur, the adjusted income shall be
computed by averaging the total adjusted income received during the
previous 12 months.
(B) For families applying for Stage 2 child care pursuant to Section
18409.5, the 12-month period shall be the 12 months immediately pre-
ceding the month in which the application is signed.
Page 184.82
Itegister 2004, No. 24; 6- 11-2004
Title 5
California Department of Education
§ 18408
(C) For families thai iransfer from either Stage I or another Stage 2
contractor, the 1 2-month period shall be the 1 2 inonths immediately pre-
ceding the transfer.
(D) For all other families, the 12-month period shall be the 12 months
immediately preceding the month of receriificalion.
(E) Total countable income does not include the following:
(i) Earnings of a child under the age of 18 years;
(ii) Loans, grants, and scholarships obtained under conditions that pre-
clude their use for current living costs;
(iii) Grants or loans to students for educational purposes made or in-
sured by a state or federal agency;
(iv) Allowances received for uniforms or other work required cloth-
ing, food, or shelter;
( v) Income that is used for business expenses for self-employed fami-
ly members; or
(vi) The income of a recipient of federal supplemental security income
and state supplemental program (SSI/SSP) benefits;
(2) The adult or minor teen parent is responsible for the care of the
child needing child care; and
(3) The adult or minor teen parent is:
(A) A CalWORKs cash aid recipient;
(B) A former CalWORKs cash aid recipient who received such cash
aid within the last 24 months; or
(C) Determined eligible for diversion services by the county welfare
department.
(b) Current CalWORKs cash aid recipients must be participating in a
county welfare department CalWORKs approved welfare-to-work ac-
tivity or be employed.
(c) If child care is reimbursed with state funds, the parent(s) and any
other adult whose income is counted towards Stage 2 eligibility must
each meet one of the following requirements:
( 1 ) Be employed. If the parent(s) works in the home, the nature of the
work must preclude the supervision of the parent's children;
(2) Be seeking employment, but not to exceed 60 working days in the
fiscal year;
(3) Be participating in a job training and education program leading
directly to a recognized trade, paraprofession. or profession;
(4) Be participating in job retention services as approved by the county
welfare department; or
(5) Be incapacitated.
(d) If child care is reimbursed with federal funds:
( 1 ) The parent must meet one of the following requirements:
(A) Be employed. If the parent works in the home, the nature of the
work must preclude the supervision of the parent's children;
(B) Be seeking employment, but not to exceed sixty working days in
the fiscal year;
(C) Be participating in a job training and education program leading
directly to a recognized trade, paraprofession. or profession; or
(D) Be participating in job retention services as approved by the
county welfare department.
(2) Any other adult whose income is counted towards Stage 2 eligibil-
ity must meet one of the requirements contained in Subsection (d)( I ) or
be incapacitated.
NOTE: Authority cited: Section 8263, Education Code. Reference: Section
8330.5. Education Code; and Section 11 323.2. Welfare and Institutions Code.
History
1 . New article 2 (sections 18406-1841 1 ) and section filed 6-28-2001 as an emer-
gency; operative 6-28-2001 (Register 2001. No. 26). A Certificate of Com-
pliance must be transmitted to OAL by 10-2(i-2(X)l or emergency language
will be repealed by operation of law on the following day.
2. New article 2 (sections 18406-1841 1) and section refiled 10-26-2001 as an
emergency; operative 10-26-2(X)l (Register 2001. No. 43). A Certificate of
Compliance must be transmitted to OAL by 2-25-2002 or emergency language
will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-2001 order, including amendment of
.section, transmitted to OAL J-28-2002 and filed 3-12-2002 (Register 2002,
No. 1 1 ).
§18407. Child Eligibility.
(a) A child living in the household of the eligible family pursuant to
Section 1 8406 may receive CalWORKs Stage 2 child care services il she/
he is:
( 1 ) A son or daughter of the eligible family:
(2) Receiving foster care benefits, federal Supplemental Security In-
come (SSI), or State Supplemental Program (SSP) benefits; or
(3) The responsibility of the adult to support and for whom the lack of
child care would result in the adult not being able to work or participate
in a work activity.
(b) If child care is being reimbursed with state funds, the child must:
( 1 ) Be under 14 years of age; or
(2) Be under 22 years of age if the child has exceptional needs pursuant
to Education Code section 8208(/) and is physically or mentally incapa-
ble of caring for him/herself as determined by a legally qualified profes-
sional.
(c) If child care is being reimbursed with federal funds, the child must:
( 1 ) Be under 1 3 years of age; or
(2) Be under 1 9 years of age if the child is physically or mentally inca-
pable of caring for him/herself as determined by a legally qualified pro-
fessional.
(d) When a child's residence alternates between the homes of sepa-
rated or divorced parents, eligibility, need, and fees should be determined
separately for each household in which the child is residing during the
time child care services are needed.
NOTE: Authority cited: Section 8263. Education Code. Reference: Sections 8250.
8350.5 and 8353. Education Code; and Section 1 1323.2, Welfare and Institutions
Code.
History
1 . New section filed 6-28-2001 as an emergency; operative 6-28-2001 (Register
2001, No. 26). A Cenificate of Compliance must be transmitted to OAL by
10-26-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-26-2001 as an emergency; operative 10-26-2001 (Reg-
ister 2(X)L No. 43). A Certificate of Compliance must be transmitted to OAL
by 2-25-2002 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to PO-26-2001 order, including amendment of
subsecnon (a), transmitted to OAL 1-28-2002 and filed 3-12-2002 (Register
2002, No. 11).
§18408. Eligibility Duration.
(a) Notwithstanding Section 18406(a)(1), families receiving Cal-
WORKs cash aid are categorically eligible pursuant to Education Code
section 8350.5 to receive CalWORKs Stage 2 child care when:
(1) the family continues to meet the need eligibility criterion pursuant
to Section 1 8406(b); and
(2) the requirements of Section 1 8084 regarding incotne reporting are
met, in order to determine the need to assess parent fees pursuant to Sec-
tion 18109; and
(3) the requirements of Chapter 19, Article 5 (commencing with Sec-
tion 18108) regarding parent fees are met.
(b) A contractor's policies regarding family eligibility, except as pro-
vided in Section 1841 1(d), shall not supercede the categorical eligibility
of a family receiving CalWORKs cash aid.
(c) When such a categorically eligible family would otherwise have
their child care terminated due to the family's violation of a child care
provider's policy:
( 1 ) The contractor shall notify the county welfare department of the ac-
tions of the family that violated the contractor's policy in order to deter-
mine what action(s) may be taken.
(2) The contractor may take additional steps to remedy the situation
that include but are not limited to:
(A) Developing a jointly agreed upon plan with the county welfare de-
partment for specific services to be provided to the family by the county
welfare department.
(B) Jointly determining with the county welfare department whether
the family would better be served in CalWORKs Stage 1 .
Page 184.83
Register 2004, No. 24; 6-11-2004
§ 18409
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(d) A former CalWORKs cash aid recipient meeting the requirements
of Sections 18406 and 18407 is eligible to receive child care services in
Stage 1 and/or Stage 2 for 24 months after the adult is no longer receiving
CalWORKs cash aid. The 24-month time limit begins the first day of the
month immediately following the month the adult is no longer receiving
CalWORKs cash aid.
(e) A family receiving diversion services meeting the requirements of
Sections 18406 and 18407 is eligible to receive child care services in
Stage 2 for 24 months. The 24-month time limit begins the first day of
the month that the family is determined eligible for diversion services.
(0 When a former CalWORKs cash aid recipient again becomes eligi-
ble for and receives CalWORKs cash aid, and then is terminated from
CalWORKs cash aid, the family is eligible for another 24 months of
Stage 1 or Stage 2 child care, or a combination of the two. The 24— month
period begins on the first day of the month immediately following the
month the adult is no longer receiving CalWORKs cash aid.
NOTE: Authority cited: Section 8263, Education Code. Reference: Sections
8.350..'^, 8351, 83.53 and 8358. .5, Education Code.
History
1 . New section filed 6-28-2001 as an emergency; operative 6-28-2001 (Register
2001, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-26-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-26-2001 as an emergency; operative 10-26-2001 (Reg-
ister 2001, No. 43). A Certificate of Compliance must be transmitted to OAL
by 2-25-2002 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 10-26-2001 order, including amendment of
section, transmitted to OAL 1-28-2002 and filed 3-12-2002 (Register 2002,
No. II).
§ 18409. Enrollment Into CalWORKs Stage 2 By Transfer
from Another CalWORKs Agency.
(a) A family is transferred into Stage 2 from a county welfare depart-
ment's Stage 1 program or another contractor's Stage 2 program when
the following information is obtained by the receiving contractor from
the transferring agency:
(1) The parent's(s) full name(s), address(es), and telephone num-
ber(s);
(2) The names and birth dates of all children under the age of 1 8 living
with the family, regardless of whether they are served in the CalWORKs
program;
(3) The number of hours of child care needed each day for each child;
(4) The names of other family members in the household who are re-
lated by blood, marriage, or adoption;
(5) The reason for needing child care services;
(6) Family size and adjusted monthly income;
(7) Employment or training information for parent(s) including name
and address of employer(s) or training institutions(s) and days and hours
of employment or training;
(8) Rate of payment; and
(9) The name, address, and telephone number of the child care provid-
er.
(b) The transfer process specified in Subsection (a) is not required
when a family is transferring from another CalWORKs Stage 2 contract
with the same contractor.
(c) Once the receiving contractor obtains the information contained in
Subsection (a) and determines that the information is complete, the re-
ceiving contractor shall:
(1) Assume responsibility for reimbursing the provider for the child
care services provided; and
(2) Send or otherwise provide a notice to the family documenting the
information and requiring that the family certify by signature that the in-
formation is accurate. Such certification shall comply with the timelines
established by the contractor's policies and procedures. The contractor
shall notify the family of the timeframe by which the certification must
be returned, and that notwithstanding Section 18408(a), child care will
be terminated, pursuant to Section 18419, if the certification is not re-
ceived within that timeframe.
(3) If the family indicates that the information obtained by the receiv-
ing contractor pursuant to Subsection (a) is inaccurate or there has been
a change, the new Stage 2 contractor shall update the information pur-
suant to Section 18410(b).
(d) When the contractor is informed by the California Department of
Education that all Stage 2 funds have been allocated for a given fiscal
year and contracts will no longer be augmented during the fiscal year, the
Stage 2 contractor shall not accept transfers from another CalWORKs
agency if doing so would result in over enrollment by the receiving Stage
2 contractor.
(e) If at any time during the fiscal year the contractor believes that ac-
cepting additional transfers would result in over enrollment, the contrac-
tor shall notify the California Department of Education.
(f) The contractor shall not establish a waiting list for Stage 2.
NOTt:: Authority cited: Section 8263, Education Code. Reference: Sections
8350.5, 8351, 8353 and 8358.5, Education Code.
History
1 . New section filed 6-28-2(X)l as an emergency; operative 6-28-2001 (Register
2001, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-26-2001 or emergency language will be repealed by operation of law on the
following day.
2. New .section refiled 10-26-2001 as an emergency; operative 10-26-2001 (Reg-
ister 2001, No. 43). A Certificate of Compliance must be transmitted to OAL
by 2-25-2002 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 10-26-2001 order, including new subsection (e)
and subsection relettering, transmitted to OAL 1-28-2002 and filed 3-12-2002
(Register 2002, No. 11).
§ 1 8409.5. Enrollment into CalWORKs Stage 2 When Not
Transferring from Another CalWORKs Agency.
(a) When a family who is not being transferred from a county welfare
department's Stage 1 program or another contractor's Stage 2 program
requests CalWORKs Stage 2 child care services, an application for ser-
vices must be completed containing the following information and sup-
porting documentation:
( 1 ) The parent' s(s) full name(s), address(es) and telephone number(s);
(2) The names and birth dates of all children under the age of 18 in the
family, regardless of whether they are served in the CalWORKs pro-
gram;
(3) The number of hours of child care needed each day for each child;
(4) The names of other family members in the household related by
blood, marriage, or adoption;
(5) The reason for needing child care services;
(6) Family size and monthly adjusted income;
(7) Employment or training information for the parent(s) including
name and address of employer(s) or training institutions(s) and days and
hours of employment or training;
(8) Rate of payment;
(9) The name, address, and telephone number of the child care provid-
er; and
(10) The parent(s) signature and date of the signature.
(b) Once the application has been submitted, the signature of the con-
tractor or the contractor's employee who is authorized to certify the eligi-
bility of the family must be obtained before the contractor assumes re-
sponsibility for reimbursing the provider for the child care services
provided. Child care services received prior to the date of certification
shall not be reimbursed.
(c) When the contractor is informed by the California Department of
Education that all Stage 2 funds have been allocated for a given fiscal
year and contracts will no longer be augmented during the fiscal year, the
Stage 2 contractor shall not accept any new families if doing so would
result in over enrollment and may refer any otherwise eligible family to
the county welfare department Stage 1 program.
(d) If at any time during the fiscal year the contractor believes that ac-
cepting additional new families would result in over enrollment, the con-
tractor shall notify the California Department of Education.
(e) The contractor shall not establish a waiting list for Stage 2.
NOTE: Authority cited: Section 8263, Education Code. Reference: Sections
8350.5, 8353 and 8358.5, Education Code.
Page 184.84
Register 2004, No. 24; 6- 1 1 -2004
Title 5
California Department of Education
§ 18413
History
I . New section filed 6-28-2001 as an emeigency; operative 6-28-2001 (Register
2001. No. 26). A Certificate of Compliance must be transmitted to OAL by
10-26-2001 or emergency language will be repealed by operation of law on tfie
following day.
2.Newsectionrefiled 10-26-2001 as an emergency; operative 10-26-2001 (Reg-
ister 2001, No. 43). A Certificate of Compliance must be transmitted to OAL
by 2-2.^-2002 or emergency language will be repealed by operation of law on
the following day.
.1. Certificate of Compliance as to 1 0-26-200 1 order, including new subsection (d)
and subsection relettering, transmitted to OAL 1-28-2002 and tiled 3-1 2-2002
(Register 2002. No. 11).
§ 1 841 0. Contractor Responsibilities for Maintaining
Family Eligibility.
(a) At the time of certification and recertification. a family shall be in-
formed of its responsibility to notify the contractor within five calendar
days of any changes in family income, fatnily size, or need for child care
services.
(b) The contractor shall update the family's application within 30 days
after notification by the family of a change in family income, family size,
or need. When updating the family's application, the contractor shall
make every effort to maximize convenience for the parent and avoid re-
quiring the parent to take time off from work or a work activity.
(c) Notwithstanding Subsection (b), all families shall be recertified for
eligibility and need at intervals not to exceed twelve (12) months.
(d) If a family no longer meets the requirements specified in Sections
18406 and 1 8407 and the contractor receives a referral for services pur-
suant to Chapter 1 9. Section 1 8092. the family must be transferred to a
non-CalWORKs alternative payment program contractor as soon as pos-
sible.
(e) When a former CalWORKs cash aid recipient or a diversion family
times out. the family is to be transferred to CalWORKs Stage 3 effective
the first day of the following month. If there are no funds available in a
CalWORKs Stage 3 program or another subsidized child care program,
the contractor shall terminate child care pursuant to Section 18419.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tion 8353, Education Code.
History
1 . New section filed 6-28-2001 as an emergency; operative 6-28-2001 (Register
2001, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-26-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-26-2001 as an emergency; operative 10-26-2001 (Reg-
ister 2001, No. 43). A Certificate of Compliance must be transmitted to OAL
by 2-25-2002 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 10-26-2001 order, including amendment of
subsection (e), transmitted to OAL 1-28-2002 and filed 3-12-2002 (Register
2002, No. 11).
§ 1 8411 . Eligible Providers.
(a) The family has the right to select its child care provider. Licensed
child care centers, licensed family homes, and child care exempt from li-
censure are valid parental choices of care for all families receiving Stage
2 child care.
(b) If child care is funded with state funds, a provider shall not be reim-
bursed for child care services that include religious instruction or wor-
ship.
(c) The child care provider shall meet all of the following require-
ments:
( 1 ) Have a child care license or be exempt from child care licensing
requirements, as specified in Title 22, California Code of Regulations,
Sections 101 158 and 102358.
(2) A license-exempt provider must:
(A) Be 18 years old or older,
(B) Meet or be exempt from Health and Safety Self-Certification re-
quirements; and
(C) Apply for or be registered for Trustline or be exempt from Trusl-
line Registry, pursuant to Health and Safety Code section 1596.605(a).
(d) A contractor may develop a policy for in-home license-exeinpt
care requiring a minimum nutTiber of children to ensure the provider re-
ceives a payment equivalent to the minimum wage.
(e) The family's choice for a child care provider(s) must meet the fol-
lowing requirements:
(1) The child care provider's hours of operation meet the family's
needs for child care;
(2) The child care provider ensures that each child's attendance is re-
corded for payment purposes; and
(3) Adult supervision is maintained at all limes when children are in
attendance.
NOTE: Authority cited: Sections 8261. 8263 and 8269. Education Code. Refer-
ence: Sections 8208,1. 8352, 8353 and 83.56. Education Code; and Sections
1596.605(a) and 1596.792. Health and Safety Code,
History
1. New section filed 6-28-2001 as an emergency; operative 6-28-2001 (Register
2001. No. 26). A Certificate of Compliance must be transmitted to OAL by
1 0-26-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-26-2001 as an emergency; operative 10-26-2001 (Reg-
ister 2001, No. 43). A Certificate of Compliance must be transmitted to OAL
by 2-25-2002 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to li[)-26-2001 order, includine amendment of
section, transmitted to OAL 1-28-2002 and filed 3- 12-2002"( Register 2002,
No. 11).
Article 3.
Requirements for Family Data
File
§18412. Family Data File.
(a) The contractor shall establish and maintain a family data file for
each family receiving child care .services in accordance with regulations
contained in Chapter 19, Section 18081(a). (b)(l)-(5), (d). and (e).
(b) For families that transfer from a Stage 1 or another Stage 2 agency,
the receiving contractor shall establish the family data file documenta-
tion pursuant to Subsection (a) within six months of the date of the trans-
fer.
NOTE: Authority cited: Sections 8261. 8261.5, 8263 and 8269, Education Code.
Reference: Sections 8353 and 8358.5, Education Code.
History
1 . New article 3 (section 1 84 1 2) and section filed 6-28-2001 as an emergency; op-
erative 6-28-2001 (Register 2001, No. 26). A Certificate of Compliance must
be transmitted to OAL by 10-26-2001 or emergency language will be repealed
by operation of law on the following day.
2. New article 3 (section 184 12) and section refiled 10-26-2001 as an emergency;
operative 10-26-2001 (Register 2001, No. 43). A Certificate of Compliance
must be transmitted to OAL by 2-25-2002 or emergency language will be re-
pealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. II).
Article 4.
Provider Payments and Parent
Fees
§18413. Provider Payments.
(a) The contractor shall reimburse each provider no more than that pro-
vider charges unsubsidized families, not to exceed the maximum subsidy
amount as defined in Section 18074.1.
(b) Reimbursable hours of care shall include work hours, commute
hours, participanon in county-approved activities, and other eligible
hours as approved by the contractor.
NOTE; Authority cited; Sections 8261 and 8269. Education Code. Reference: Sec-
tions 8353 and 8357, Education Code.
HiSlORY
1. New article 4 (sections 18413-18414) and section filed 6-28-2001 as an emer-
gency; operative 6-28-2001 (Register 2001, No. 26). A Certificate of Com-
pliance must be transmitted to OAL by 10-26-2001 or emergency language
will be repealed by operation of law on the following day.
2. New article 4 (sections 18413-18414) and section refiled 10-26-2001 as an
emergency; operative 10-26-2001 (Register 2001. No. 43). A Certificate of
Page 184.85
liegister 2004, No. 24; 6- 1 1 - 2004
§ 18414
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Compliance must be transmitted to OAL by 2-25-2002 or emergency language
will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002. No. 11).
4. Amendment filed 9-4-2003 as an emergency; operative 9^-2003 (Register
2003. No. 36). A Certificate of Compliance must be transmitted to OAL by
1-2-2004 or emergency language will be repealed by operation of law on the
following day.
5. Amendment refiled 12-29-2003 as an emergency; operative 12-29-2003
(Register 2004. No. 1 ). A Certificate of Compliance must be transmitted to OAL
by 4-27-2004 or emergency language will be repealed by operation of law on
the following day.
6. Certificate of Compliance as to 12-29-2003 order, includine amendment of
section, transmitted to OAL 4-26-2004 and filed 6-8-2004 (Register 2004, No.
24).
§ 18414. Parent Fees and Co-payments.
(a) Except as otherwise provided in this Article, contractors shall ap-
ply the regulations contained in Chapter 19, Subchapter 3, Article 5
(commencing with Section 18108, except for Sections 18110, 18111,
and 18114(b)).
(b) If a parent chooses a provider with a usual and customary rate ex-
ceeding 1 .5 standard deviations above the mean market rate for the type
of care provided, the parent may receive services from that provider, in
which case the parent is responsible for the difference between the maxi-
mum payment rate and the provider's rate.
NOTE; Authority cited: Sections 8263 and 8269, Education Code. Reference: Sec-
tions 8353 and 8357, Education Code.
History
1 . New section filed 6-28-2001 as an emergency; operative 6-28-2001 (Register
2001, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-26-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-26-2001 as an emergency; operative 10-26-2001 (Reg-
ister 2001, No. 43). A Certificate of Compliance must be transmitted to OAL
by 2-25-2002 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 11).
Article 5. Program Policies
§ 18415. Contractor Responsibilities.
(a) The contractor shall comply with Chapter 19, Subchapter 10, Ar-
ticle 2 (commencing with Section 18221, except for Section
18224(a)(2)).
(b) The contractor shall provide an application to all families request-
ing CalWORKs Stage 2 child care services.
(c) The contractor shall take action on any application submitted for
CalWORKs Stage 2 child care services within 30 calendar days starting
with the first day after the filing of the application.
(d) The contractor shall assist parents in choosing child care services
by providing parents with a referral to the local resource and referral
agency. The contractor shall inform parents of policies developed pur-
suant to Section 18413(d).
(e) The contractor shall not require the family or the provider to furnish
any documentation previously provided to a county welfare department
or an alternative payment program within the one year prior to applica-
tion, unless the documentation is absent from the existing file and the
documentation affects the eligibility for child care services.
(f) The contractor shall permit the review of the family data file by the
child's parent(s) upon request and at reasonable times and places. The
family data file may be reviewed by a representative of the parent if the
parent provides written authorization for the review. The use or disclo-
sure of all information pertaining to the child and his/her family shall be
restricted to purposes directly connected with the administration of the
program.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8353
and 8358.5, Education Code.
History
1 . New article 5 (section 18415) and section filed 6-28-2001 as an emergency; op-
erative 6-28-2001 (Register 2001, No. 26). A Certificate of Compliance must
be transmitted to OAL by 10-26-2001 or emergency language will be repealed
by operation of law on the following day.
2. New article 5 (section 1 841 5) and section refiled 1 0-26-2001 as an emergency:
operative 10-26-2001 (Register 2001, No. 43). A Certificate of Compliance
must be transmitted to OAL by 2-25-2002 or emergency language will be re-
pealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 1 1).
Article 6. Data Reporting
§18416. Data Reporting.
The contractor shall submit statistical, cost, and program data to the
California Department of Education by the date and in the format speci-
fied in the California Department of Education's request.
NOTE: Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tions 8353, 8357 and 8358.5, Education Code.
History
1. New article 6 (section 18416) and secfion filed 6-28-2001 as an emergency; op-
erative 6-28-2001 (Register 2001. No. 26). A Certificate of Compliance must
be transmitted to OAL by 10-26-2001 or emergency language will be repealed
by operation of law on the following day.
2. New article 6 (section 1841 6) and section refiled 10-26-2001 as an emergency;
operative 10-26-2001 (Register 2001, No. 43). A Certificate of Compliance
must be transmitted to OAL by 2-25-2002 or emergency language will be re-
pealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 11).
Article 7. Program Quality
§18417. Quality.
The contractor shall adhere to the regulations contained in Chapter 19,
Sections 18271, 18274, 18277, and 18279.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8203
and 8353, Education Code.
History
1 . New article 7 (section 1841 7) and section filed 6-28-2001 as an emergency; op-
erative 6-28-2001 (Register 2001, No. 26). A Certificate of Compliance must
be transmitted to OAL by 10-26-2001 or emergency language will be repealed
by operation of law on the following day.
2. New article 7 (section 1841 7) and section refiled 10-26-2001 as an emergency;
operative 10-26-2001 (Register 2001, No. 43). A Certificate of Compliance
must be transmitted to OAL by 2-25-2002 or emergency language will be re-
pealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 1 1).
Article 8. Due Process
§ 1 841 8. Parental Appeals.
The contractor shall adhere to the regulations contained in Chapter 19,
Sections 18120, 18121, and 18122.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8353
and 8358.5, Education Code.
History
1 . New article 8 (sections 1 841 8-1 841 9) and section filed 6-28-2001 as an emer-
gency; operative 6-28-2001 (Register 2001, No. 26). A Certificate of Com-
pUance must be transmitted to OAL by 10-26-2001 or emergency language
will be repealed by operation of law on the following day.
2. New article 8 (sections 18418-18419) and secfion refiled 10-26-2001 as an
emergency; operative 10-26-2001 (Register 2001, No. 43). A Certificate of
Compliance must be transmitted to OAL by 2-25-2002 or emergency language
will be repealed by operation of law on the following day.
3. Cerfificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 1 1).
§ 18419. Notice of Action Requirements.
The contractor shall comply with the regulations contained in Chapter
19. Sections 18094, 18095, 18118, and 181 19(a). Whenanoticeof action
is to be issued, the contractor shall mail or personally deliver the notice
Page 184.86
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 18421
•
of action to the parents. If the notice of action is personally delivered, the
effective day of the intended action shall be no less than 1 4 calendar days
from the date the notice was delivered. If the notice of action is mailed,
the effective date of the intended action shall be no less than 1 9 calendar
days from the date the notice was mailed.
NOTE: Authority cited: Section 8261 and 8263, Education Code. Reference; Sec-
lions 83.^.3 and 8358.5. Education Code.
History
1 . New section filed 6-28-2001 as an emergency; operative 6-28-2001 (Register
2001. No. 26). A Certificate of Coinpliance must be transnvitted to OAL by
10-26-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-26-2001 as an emergency: operative 10-26-2001 (Reg-
ister 2001, No. 43). A Certificate of Compliance must be transmitted to OAL
by 2-25-2002 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. II).
Subchapter 3. CalWORKs Stage 3 Child
Care Program
Article 1. General Provisions
§ 1 8420. Scope of Subchapter.
(a) The provisions contained in this Subchapter shall only apply to
contractors authorized to establish, maintain, or operate alternative pay-
ment programs for CalWORKs Stage 3 Child Care Programs as defined
in Education Code section 8354.
(b) Except as otherwise provided in this subchapter, contractors
funded to establish, maintain, or operate alternative payment programs
for CalWORKs Stage 3 child care programs shall also comply with regu-
lations contained in Chapter 1 9. Subchapter 1 (commencing with Section
17906), Subchapter 2 (commencing with Section 18012, except for Sec-
tion 18017 if child care is paid for utilizing federal funds), and Subchapt-
er \5 (commencing with Section 18300).
(c) Contractors administering Stage 3 programs in counties where
there are multiple contractors shall coordinate services and cooperate to
ensure all eligible families receive and continue to receive services. Con-
tractors may coordinate across county boundaries so that eligible fami-
lies living in the county, employed in the county, or receiving child care
in the county receive and continue to receive services.
NOTE: Authority cited: Sections 8261 8263 and 8269, Education Code. Refer-
ence: Section 8354, Education Code.
History
1. New subchapter 3 (articles 1-8), article 1 (section 18420) and section filed
6-28-2001 as an emergency; operative 6-28-2001 (Register 200L No. 26). A
Certificate ofCompliance must be transmitted to OAL by 10-26-2001 or emer-
gency language will be repealed by operation of law on the following day.
2. New subchapter 3 (articles 1-8), article 1 (section 18420) and section refiled
10-26-2001 as an emergency; operative 10-26-2001 (Register 2001, No. 43).
A Certificate of Compliance must be transmitted to OAL by 2-25-2002 or
emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 11).
Article 2. Requirements and Procedures for
Receiving CalWORKs Stage 3 Services
§18421. Family Eligibility.
(a) A family is eligible to receive CalWORKs Stage 3 child care ser-
vices if all of the following conditions are met:
( 1 ) The family is and remains income eligible. A family is income eli-
gible if the family's adjusted monthly income based upon the family size
is at or below 75% of the state median income. Adjusted monthly income
is the total countable income received by members of the family included
in the family size determination minus verified child support payments
paid by the parent whose child is receiving child care services. Except for
child support payments paid by the parent, monthly income shall not be
adjusted because of voluntary or involuntary deductions.
(A) When income fluctuations occur, the adjusted monthly income
shall be computed by averaging the total adjusted monthly income re-
ceived during the previous 12 months.
(B) For families that transfer from either Stage 1 or another Stage 2
contractor, the 1 2-month period shall be the 1 2 months immediately pre-
ceding the transfer.
(C) For all other families, the 1 2-month period shall be the 1 2 months
immediately preceding the month of recertification.
(D) Total countable income does not include the following:
(i) Earnings of a child under the age of 18 years;
(ii) Loans, grants, and scholarships obtained under conditions that pre-
clude their use for current living costs;
(iii) Grants or loans to students for educational purposes made or in-
sured by a state or federal agency;
(iv) Allowances received for uniforins or other work required cloth-
ing, food, or shelter;
(v) Income that is used for business expenses for self-employed fami-
ly members; or
(vi)The income of a recipient of federal supplemental security income
and state supplemental program (SSI/SSP) benefits;
(2) The adult or minor teen parent is responsible for the care of the
child needing child care; and
(3) The adult or minor teen parent is:
(A) A former CalWORKs cash aid recipient and is in his/her 24th
month of eligibility for CalWORKs Stage 1 and/or 2 after leaving Cal-
WORKs cash aid, or
(B) A diversion services recipient and is in his/her 24th month of eligi-
bility for CalWORKs Stage 1 and/or 2 child care.
(b) If child care is reimbursed with state funds, the parent(s) and any
other adult whose income is counted towards Stage 3 eligibility must
each meet one of the following requirements:
(1) Be employed. If the parent(s) works in the home, the nature of the
work must preclude the supervision of the parent's children;
(2) Be seeking employment, but not to exceed sixty working days in
the fiscal year;
(3) Be participating in a job training and education program leading
directly to a recognized trade, paraprofession. or profession;
(4) Be participating in job retention services as approved by the county
welfare department; or
(5) Be incapacitated.
(c) If child care is reimbursed with federal funds:
(1) The parent must meet one of the following requirements:
(A) Be employed. If the parent works in the home, the nature of the
work must preclude the supervision of the parent's children;
(B) Be seeking employment, but not to exceed sixty working days in
the fiscal year;
(C) Be participating in a job training and education program leading
directly to a recognized trade, paraprofession, or profession; or
(D) Be participating in job retention services as approved by the
county welfare department.
(2) Any other adult whose income is counted towards Stage 3 eligibil-
ity must meet one of the requirements contained in Subsection (c)( I ) or
be incapacitated.
NOTE: Authority cited: Section 8263, Education Code. Reference: Sections
8350.5 and 8354, Education Code; Section 11323.2, Welfare and Institutions
Code.
History
1 . New article 2 (sections 1 8421-1 8426) and section filed 6-28-2001 as an emer-
gency; operadve 6-28-2001 (Register 2001, No. 26). A Certificate ofCom-
pliance must be transmitted to OAL by 10-26-2001 or emergency language
will be repealed by operation of law on the following day.
2. New article 2 (secUons 18421-18426) and section refiled 10-26-2001 as an
emergency; operative 10-26^2001 (Register 2(X)1, No. 43). A Certificate of
Page 184.87
Register 2004, No. 24; 6-11-2004
§ 18422
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Compliance must be transmitted to O AL by 2-25-2002 or emergency language
will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-2001 order, including amendment of
section, transmitted to OAL 1-28-2002 and filed 3-12-2002 (Register 2002,
No. 1 1 ).
§18422. Child Eligibility.
(a) A child living in the household of an eligible family pursuant to
Section 1 8421 may receive CalWORKs Stage 3 child care services if she/
he is:
( 1 ) A son or daughter of the eligible family;
(2) Receiving foster care benefits, federal Supplemental Security In-
come (SSI), or State Supplemental Program (SSP) benefits; or
(3) The responsibility of the adult to support and for whom the lack of
child care would result in the adult not being able to work or participate
in a work activity.
(b) If child care is being reimbursed with state funds, the child must:
(1) Be under 14 years of age; or
(2) Be under 22 years of age if the child has exceptional needs pursuant
to Education Code section 8208(/) and is physically or mentally incapa-
ble of caring for him/herself as determined by a legally qualified profes-
sional.
(c) If child care is being reimbursed with federal funds, the child must:
( 1) Be under 13 years of age; or
(2) Be under 1 9 years of age if the child is physically or mentally inca-
pable of caring for him/herself as determined by a legally qualified pro-
fessional.
(d) When a child's residence alternates between the homes of sepa-
rated or divorced parents, eligibility, need, and fees should be determined
separately for each household in which the child is residing during the
time child care services are needed.
NOTE: Authority cited: Section 8263, Education Code. Reference: Sections 8330,
8350.5 and 8354, Education Code; Section 11323.2, Welfare and Institutions
Code.
History
1. New section filed 6-28-2001 as an emergency; operative 6-28-2001 (Register
2001, No. 26). A Certificate of Compliance must be transmitted to OAL by
1 0-26-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-26-2001 as an emergency; operative 10-26-2001 (Reg-
ister 2001, No. 43). A Certificate of Compliance must be transmitted to OAL
by 2-25-2002 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 11).
§18423. Eligibility Duration.
After initial enrollment into a Stage 3 program, child care services will
be continued as long as the child meets the requirements of Section 1 8422
and:
(a) The family continues to meet eligibility requirements pursuant to
Section 18421; or
(b) The contractor has received a referral for child protective services
pursuant to Chapter 19, Section 18092; or
(c) If being reimbursed by state funds, the family is income eligible
and the child has a medical or psychiatric special need that cannot be met
without the provision of child care services as documented in the family
data file pursuant to Chapter 19, Secfion 18089.
NOTE: Authority cited: Section 8263, Education Code. Reference: Sections 8350,
8350.5 and 8354, Education Code.
History
1 . New section filed 6-28-2001 as an emergency; operative 6-28-2001 (Register
2001, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-26-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-26-2001 as an emergency; operative 10-26-2001 (Reg-
ister 2001, No. 43). A Certificate of Compliance must be transmitted to OAL
by 2-25-2002 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 11).
§ 18424. Enrollment into CalWORKs Stage 3 By Transfer
from Another CalWORKs Agency.
(a) A family is transferred into Stage 3 from a county welfare depart-
ment's Stage 1 program or another contractor's Stage 2 or Stage 3 pro-
gram when the following information is obtained by the receiving con-
tractor:
(1) The parent's(s) full name(s), address(es), and telephone num-
ber(s);
(2) The names and birth dates of all children under the age of 1 8 living
with the family, regardless of whether they are served in the CalWORKs
program;
(3) The number of hours of child care needed each day for each child;
(4) The names of other family members in the household who are re-
lated by blood, marriage, or adoption;
(5) The reason for needing child care services;
(6) Family size and adjusted monthly income;
(7) Employment or training informafion for parent(s) including name
and address of employer(s) or training institutions(s) and days and hours
of employment or training;
(8) Rate of payment; and
(9) The name, address, and telephone number of the child care provid-
er.
(b) The transfer process specified in Subsection (a) is not required
when a family is transferring from another CalWORKs Stage 2 or Stage
3 contract with the same contractor.
(c) Once the receiving contractor obtains the information contained in
Subsection (a) and determines that the informafion is complete, the re-
ceiving contractor shall:
(1) Assume responsibility for reimbursing the provider for the child
care services provided effective the first of the month after the family has
timed out of Stage 1 or Stage 2; and
(2) Send or otherwise provide a nofice to the family documenfing the
informafion and requiring that the family certify by signature that the in-
formafion is accurate. Such certificafion shall comply with the fimelines
established by the contractor's policies and procedures. The contractor
shall notify the family of the timeframe by which the cerfificafion must
be returned, and that child care will be terminated, pursuant to Section
18434. if the certification is not received within that timeframe.
(3) If the family indicates that the information obtained by the receiv-
ing contractor pursuant to Subsecfion (a) is inaccurate or there has been
a change, the new Stage 3 contractor shall update the informafion pur-
suant to Secfion 18425(b).
(d) The contractor shall enroll eligible families into Stage 3 as they
time out without regard to prioritization unfil the nofification from the
California of Education pursuant to subsection (e) below is received.
(e) If at any time during the fiscal year the contractor believes that ac-
cepting eligible families into Stage 3 as they fime out would result in over
enrollment, the contractor shall notify the California Department of
Educafion.
(f) Notwithstanding Chapter 19, Secfion 18225, when a contractor is
informed by the California Department of Educafion that all Stage 3
funds have been allocated for a given fiscal year and contracts will no
longer be augmented during that fiscal year, the contractor shall:
(1) Review the Stage 1 and 2 caseload designated to transfer into the
contractor's Stage 3 contract each month for the remainder of the current
fiscal year. The contractor shall determine if the current fiscal year Stage
3 funds available are sufficient to continue child care for all families that
will time out of Stage 1 and 2 services each month of the current fiscal
year.
(2) Confinue to enroll families without regard to priori tizafion until the
specific month that funding is insufficient to enroll all families that have
fimed out of Stage 1 and 2 the previous month.
(3) Upon determination that funding is insufficient to provide services
to all families that will fime out in a specific month, enroll families unfil
all Stage 3 funds are fully utilized, with priority given to families with the
•
•
Page 184.88
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 18427
lowest adjusted monthly income in relation to family size in accordance
with the family fee schedule.
(4) Not establish a waiting list for CalWORKs Stage 3 of otherwise eli-
gible families when there are insufficient funds pursuant to this Section.
(g) Subsequently, if additional Stage 3 funding becomes available due
lo attrition, the families that have timed out in the month that funding be-
comes available shall be enrolled with priority given to families with the
lowest adjusted monthly income in relation to family size in accordance
with the family fee schedule.
(h) The contractor shall mail or personally deliver a completed notice
of action to the parent(s) pursuant to Section 18434 when services are to
be terminated due to insufficient funds.
NOTF:: Authority cited: Section 8263, Education Code. Reference: Sections
8350.5 and 8354. Education Code.
History
1 . New section filed 6-28-2001 as an emergency; operative 6-28-2001 (Register
2001, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-26-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-26-2001 as an emergency; operative 10-26-2001 (Reg-
ister 2001, No. 43). A Certificate of Compliance must be transmitted to OAL
by 2-25-2002 or emergency language will be repealed by operation of law on
die following day.
3. Certificate of Compliance as to 10-26-2001 order, including new subsection (e)
and subsection reletterine, transmitted to OAL 1-28-2002 and filed 3-1 2-2002
(Register 2002, No. 11).^
§ 1 8425. Contractor Responsibilities for Maintaining
Family Eligibility.
(a) At the time of certification and recertification, a family shall be in-
formed of its responsibility to notify the contractor within five calendar
days of any changes in family income, family size, or need for child care
services.
(b) The contractor shall update the family ' s application within 30 days
after notification by the family of a change in family income, family size,
or need. When updating the family's application, the contractor shall
make every effort to maximize convenience for the parent and avoid re-
quiring the parent to take time off from work or a work activity.
(c) Notwithstanding Subsection (b), all families shall be recertified for
eligibility and need as follows:
( 1 ) Families receiving care where the need is child protective services
shall be recertified at least once every 6 months;
(2) All other families shall be recertified at intervals not to exceed 12
months.
(d) If the California Department of Education notifies the contractor
that funds are not available to serve the existing Stage 3 caseload and it
is necessary to displace families, families shall be displaced in reverse or-
der of enrollment priority based on income levels pursuant to Education
Code secfion 8263(b)(2). When two or more families are in the same
priority in relation to income, the family that has received care in Stage
3 for the shortest period of time shall have higher priority.
NOTE: Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8350.5 and 8354, Education Code.
History
1 . New section filed 6-28-2001 as an emergency; operative 6-28-2(X)l (Register
2001, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-26-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-26-2(X)l as an emergency; operative 10-26-2001 (Reg-
ister 2001, No. 43). A Certificate of Compliance must be transmitted to OAL
by 2-25-2002 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 11).
§18426. Eligible Providers.
(a) The family has the right lo select its child care provider. Licensed
child care centers, licensed family homes, and child care exempt from li-
censure are valid parental choices of care for all fainilies receiving Stage
3 child care.
(b) If child care is funded with state funds, a provider shall not be reim-
bursed for child care services that includes religious instruction or wor-
ship.
(c) The child care provider shall meet all of the following require-
ments:
(1) Have a child care license or be exempt from child care licensing
requirements, as specified in Title 22, California Code of Regulations.
Sections l01L58and 102358.
(2) A license-exempt provider must:
(A) Be 18 years old or older,
(B) Meet or be exempt from Health and Safety Self-Certification re-
quirements; and
(C) Apply for or be registered for Trustline or be exempt from Trust-
line Registry, pursuant to Health and Safety Code section I5%.6()5(a).
(d) A contractor may develop a policy for in-home license-exempt
care requiring a minimum number of children to ensure the provider re-
ceives a payment equivalent to the minimum wage.
(e) The family's choice for a child care provider must meet the follow-
ing requirements:
(1) The child care provider's hours of operation meet the family's
needs for child care;
(2) The child care provider ensures that each child's attendance is re-
corded for payment purposes; and
(3) Adult supervision is maintained at all times when children are in
attendance.
NOTE: Authority cited: Sections 8261, 8263 and 8269, Education Code. Refer-
ence: Sections 8208.1, 8354 and 8356, Education Code.
History
1. New section filed 6-28-2001 as an emergency; operative 6-28-2001 (Register
2001, No. 26). A Certificate of Compliance must be transnutted to OAL by
10-26-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-26-2001 as an emergency; operative 10-26-2001 (Reg-
ister 2001, No. 43). A Certificate of Compliance must be transmitted to OAL
by 2-25-2002 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to b[)-26-200] order, including amendment of
section, transmitted to OAL 1-28-2002 and filed 3-12-2002 (Register 2002,
No. 11).
Article 3.
Requirements for Family Data
File
§ 18427. Family Data File.
(a) The contractor shall establish and maintain a family data file for
each family receiving child care services in accordance with regulations
contained in Chapter 19, Secfion 18081(a), (b)(l)-(5), (d), and (e).
(b) For families that transfer from a Stage 1 , Stage 2, or another Stage
3 agency, the receiving contractor shall establish the family data file doc-
umentafion pursuant to Subsecfion (a) within six months of the date of
the transfer.
NOTE: Authority cited: Sections 8261, 8261.5. 8263 and 8269, Education Code.
Reference: Sections 8354 and 8358.5, Education Code.
History
1 . New article 3 (section 1 8427) and section filed 6-28-2001 as an emergency: op-
erative 6^28-2001 (Register 2001, No. 26). A Certificate of Compliance must
be transmitted to OAL by 10-26-2001 or emergency language will be repealed
by operation of law on the following day.
2. New article 3 (section 1 8427) and section refiled 10-26-2001 as an emergency;
operanve 10-26-2001 (Register 2001, No. 43). A Certificate of Compliance
Page 184.89
Register 2004, No. 24; 6-11-2004
§ 18428
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
must be transmitted to OAL by 2-25-2002 or emergency language will be re-
pealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 1 1 ).
Article 4.
Provider Payments and Parent
Fees
§18428. Provider Payments.
(a) The contractor shall reimburse each provider no more than the
amount the provider charges unsubsidized families, not to exceed the
maximum subsidy amount as defined in Section 18074.1.
(b) Reimbursable hours of care shall include work hours, commute
hours, participation in county-approved activities, and other eligible
hours as approved by the contractor.
NOTE: Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tions 8354 and 8357, Education Code.
History
1 . New article 4 (sections 1 8428-1 8429) and section filed 6-28-2001 as an emer-
gency; operative 6-28-2001 (Register 2001, No. 26). A Certificate of Com-
pliance must be transmitted to OAL by 10-26-2001 or emergency language
will be repealed by operation of law on the following day.
2. New article 4 (sections 18428-18429) and section refiled 10-26-2001 as an
emergency; operative 10-26-2001 (Register 2001, No. 43). A Certificate of
Compliance must be transmitted to OAL by 2-25-2002 or emergency language
will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 1 1).
4. Amendment filed 9-4-2003 as an emergency; operative 9^-2003 (Register
2003, No. 36). A Certificate of Compliance must be transmitted to OAL by
1-2-2004 or emergency language will be repealed by operation of law on the
following day.
5. Amendment refiled 12-29-2003 as an emergency; operative 12-29-2003
(Register 2004, No. 1 ). A Certificate of Compliance must be transmitted to OAL
by 4^27-2004 or emergency language will be repealed by operation of law on
the following day.
6. Certificate of Compliance as to 12-29-2003 order, including amendment of
section, transmitted to OAL 4-26-2004 and filed 6-8-2004 (Register 2004, No.
24).
§ 1 8429. Parent Fees and Co-Payments.
(a) Except as otherwise provided in this Article, contractors shall ap-
ply the regulations contained in Chapter 19, Subchapter 3, Article 5
(commencing with Section 18108, except for Sections 18110, 18111,
and 18114(b)).
(b) If a parent chooses a provider with a usual and customary rate ex-
ceeding 1.5 standard deviations above the mean market rate for the type
of care provided, the parent may receive services from that provider, in
which case the parent is responsible for the difference between the maxi-
mum payment rate and the provider's rate.
NOTE: Authority cited: Sections 8263 and 8369, Education Code. Reference: Sec-
tions 8354 and 8357, Education Code.
History
1 . New section filed 6-28-2001 as an emergency; operative 6-28-2001 (Register
2001, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-26-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-26-2001 as an emergency; operative 10-26-2001 (Reg-
ister 2001, No. 43). A Certificate of Compliance must be transmitted to OAL
by 2-25-2002 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 11).
Article 5. Program Policies
§ 18430. Contractor Responsibilities.
(a) The contractor shall comply with Chapter 19, Subchapter 10, Ar-
ticle 2 (commencing with Section 18221, except for Section
18224(a)(2)).
(b) The contractor shall assist parents in choosing a child care provider
by providing parents with a referral to the local resource and referral
agency. The contractor shall inform parents of policies developed pur-
suant to Section 18428(d).
(c) The contractor shall not require the family or the provider to furnish
any documentation previously provided to a county welfare department
or an alternative payment program within the one year prior to applica-
tion, unless the documentation is absent from the existing file and the
documentation affects the eligibility for child care services.
(d) The contractor shall permit the review of the family data file by the
child's parent(s) upon request and at reasonable times and places. The
family data tile may be reviewed by a representative of the parent if the
parent provides written authorization for the review. The use or disclo-
sure of all information pertaining to the child and his/her family shall be
restricted to purposes directly connected with the administration of the
program.
NOTE: Authority cited: Section 8261, Education Code. Reference; Sections 8354
and 8358.5. Education Code.
History
1 . New article 5 (section 1 8430) and section filed 6-28-2001 as an emergency; op-
erative 6-28-2001 (Register 2001, No. 26). A Certificate of Compliance must
be transmitted to OAL by 10-26-2001 or emergency language will be repealed
by operation of law on the following day.
2. New article 5 (section 1 8430) and section refiled 10-26-2001 as an emergency;
operative 10-26-2001 (Register 2001, No. 43). A Certificate of Compliance
must be transmitted to OAL by 2-25-2002 or emergency language will be re-
pealed by operation of law on the following day.
3. Certificate of Compfiance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 11).
Article 6. Data Reporting
§18431. Data Reporting.
The contractor shall submit statistical, cost, and program data to the
California Department of Education by the date and in the format speci-
fied in the California Department of Education's request.
NOTE: Authority cited: Sections 8261 and 8269, Education Code. Reference: Sec-
tions 8354, 8357 and 8358.5, Education Code.
History
1 . New article 6 (section 1 843 1) and section filed 6-28-2001 as an emergency; op-
erafive 6-28-2001 (Register 2001, No. 26). A Certificate of Compliance must
be transmitted to OAL by 10-26-2001 or emergency language will be repealed
by operation of law on the following day.
2. New article 6 (section 1 843 1 ) and section refiled 1 0-26-2001 as an emergency;
operative 10-26-2001 (Register 2001, No. 43). A Certificate of Compliance
must be transmitted to OAL by 2-25-2002 or emergency language will be re-
pealed by operation of law on the following day.
3. Cerfificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 11).
Article 7. Program Quality
§18432. Quality.
The contractor shall adhere to the regulafions contained in Chapter 19,
Sections 18271, 18274, 18277, and 18279.
NOTE: Authority cited: Secfion 8261, Education Code. Reference: Sections 8302
and 8354, Education Code.
History
1 . New article 7 (section 1 8432) and section filed 6-28-2001 as an emergency; op-
erative 6-28-2001 (Register 2001, No. 26). A Certificate of Compliance must
be transmitted to OAL by 10-26-2001 or emergency language will be repealed
by operation of law on the following day.
2. New article 7 (section 1 8432) and section refiled 10-26-2001 as an emergency;
operative 10-26-2001 (Register 2001, No. 43). A Certificate of Compliance
must be transmitted to OAL by 2-25-2002 or emergency language will be re-
pealed by operation of law on the following day.
3. Cerfificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 11).
Article 8. Due Process
§ 18433. Parental Appeals.
The contractor shall adhere to the regulations contained in Chapter 19,
Sections 18120. 18121, and 18122.
NOTE: Authority cited: Section 8261, Education Code. Reference: Sections 8354
and 8358.5, Education Code.
Page 184.90
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 18464
History
1 . New ailiclc 8 (sections 18433-18434) and section filed 6-28-2001 as an emei-
gency; operative 6-28-2001 (Register 2001. No. 26). A Certificate of Com-
pliance must be transmitted to OAL by 10-26-2001 or emergency language
will be repealed by operation of law on the following day.
2. New article 8 (sections 18433-18434) and section refiled 10-26-2001 as an
emergency: operative 10-26-2001 (Register 2001. No. 43). A Certificate of
Compliance must be transinitted to OAL by 2-2.S~2002 or emergency language
will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 1 1).
§ 18434. Notice of Action Requirements.
The contractor shall comply with the regulations contained in Chapter
1 9. Sections 18094, 18095, 1811 8, and 18119(a). When a notice of action
is to be issued, the contractor shall mail or personally deliver the notice
oi' action to the parents. If the notice of action is personally delivered, the
effective date of the intended action shall be no less than 14 calendar days
from the date the notice was delivered. If the notice of action is mailed,
the effective day of the intended action shall be no less than 1 9 calendar
days from the date the notice was mailed.
Note. Authority cited: Sections 8261 and 8263, Education Code. Reference: Sec-
tions 8354 and 83.58.5, Education Code.
History
1 . New section filed 6-28-2001 as an emergency; operative 6-28-2001 (Register
2001, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-26-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-26-2001 as an emergency; operative 10-26-2001 (Reg-
ister 2001, No. 43). A Certificate of Compliance must be transmitted to OAL
by 2-25-2002 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 10-26-2001 order transmitted to OAL
1-28-2002 and filed 3-12-2002 (Register 2002, No. 11).
Chapter 20.
State Board of Education
Procedures
Subchapter 1 . General Provisions
Article 1. Public Hearing
§18460. Public Hearings.
(a) The Board may hold a public hearing regarding any matter pending
before it after giving the notice required for meetings by the Government
Code.
(b) The Board may direct that a public hearing be held before staff of
the Department of Education, an advisory commission to the Board, or
a standing or ad hoc committee of the Board regarding any matter which
is or is likely to be pending before the Board.
NOTE: Authority cited: Section 33031(a), Educafion Code. Reference: Sections
33030 and 33031(a), Education Code.
History
1. Repealer of former Article 1 (Section 18400), Article 2 (Sections
18420-18424), Article 3 (Secfions 18430-18435), Article 4 (Section 18440),
Article 5 (Sections 18450-18456) and Article 7 (Sections 18470-18473) filed
9-27-85;effectivethirtiethday thereafter (Register 85, No. 42). For prior histo-
ry of Chapters 1 and 1.3, see Registers 83, No. 51; 77, No. 39; and 75, No. 44.
2. Redesignation of former Article 6 (Sections 18460-18464) to Anicle 1 and
amendment of subsection (a) filed 9-27-85; effective thirtieth day thereafter
(Register 85, No. 42).
§18461. Speakers.
Persons wishing to address the Board on a subject to be considered at
a future meeting, including any matter designated as a public hearing,
shall present a written request to the Secretary by noon of the third work-
ing day before the scheduled hearing at 721 Capitol Mall, Sacramento,
CA 958 14, stating the subject they wish to address, the organization they
represent, if any, and the nature of their testimony.
NOTE: Authority cited: Section 33031(a). Education Code. Reference: Sections
33030 and 33031(a), Education Code.
History
1 . New NOTE filed 12-14-83; effective thirtieth day thereafter (Register 83, No.
51).
2. Atnendment filed 9-27-85; effective thirtieth day thereafter (Register 85. No.
42).
§ 18462. Copies of Statement.
NOTE: Authority cited: Section 33031(a). Education Code. Reference: Sections
33030 and 33031(a), Education Code.
History
1 . New NOTE filed 12-14-83; effective thirtieth day thereafter (Register 83, No.
51).
2. Repealer filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 42).
§ 18463. Presentation of Public Testimony.
At or before the hearing at which oral comments from the public are
to be received, the Board President or the chairperson of a hearing body
other than the full board shall determine the total amount of time that will
be devoted to hearing such oral comments, and may determine the time
to be allotted to each person or to each side of an issue.
NOTE: Authority cited: Section 33031(a), Education Code. Reference: Sections
33030 and 33031 (a). Education Code.
History
1 . New section filed 5-28-76 as procedural and organizational; effective upon fil-
ing (Register 76, No. 22).
2. Repealer of NOTE filed 9-23-77; effective thirtieth day thereafter (Register 77,
No. 39).
3. New NOTE filed 12-14-83; effective thirtieth day thereafter (Register 83, No.
51).
4. Amendment filed 9-27-85: effective thirtieth day thereafter (Register 85, No.
42).
§18464. Waiver by President.
At any time, upon a showing of good cause, the Board President or the
chairperson of a hearing body other than the full board may waive the re-
quirements of Sections 18461 and 18463.
NOTE: Authority cited: Section 33031(a), Education Code. Reference: Section
3.3031(a), Education Code.
History
1 . Renumbering from Section 1 8463 and amendment filed 5-28-76 as procedural
and organizational; effective upon filing (Register 76, No. 22).
2. New NOTE filed 12-14-83; effective thirtieth day thereafter (Register 83, No.
51).
3. Amendment filed 9-27-85; effective thirtieth day thereafter (Register 85, No.
42).
Subchapter 2. Procedure for Appearance
of an Employee Under Government Code
Section 1028.1
NOTE: Authority cited: Section 33031(a), Education Code.
History
1 . New Chapter 2 (§§ 1 8520-1 8523) filed 9-23-69; effective thirtieth day thereaf-
ter (Register 69, No. 39).
2. Amendment of section and new NOTE filed 9-23-77; effective thirtieth day
thereafter (Register 77, No. 39).
3. Repealer of Chapter 2 (Sections 18520-18523) filed 12-14-83; effective thir-
tieth day thereafter (Register 83, No. 51).
Page 184.91
Register 2tK)4, No. 24; 6-11-2004
§ 18530
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Subchapter 3. Procedures Relating to
Instructional Materials
Article 1. Procedures for the Public Display
of Textbooks, Public Hearing Given the
Curriculum Development and Supplemental
Materials Commission, and Receipt of
Comments from the Public
§ 18530. Curriculum Commission Recommendation.
NOTE: Authority cited: Sections 33031(a) and 60001, Education Code. Refer-
ence: Sections 60202-60204 and 60220-60224, Education Code.
History
1 . Amendment filed 1 0-24-77; effective thirtieth day thereafter (Register 77, No.
44). For prior history, see Register 77, No. 39.
2. Editorial correction to NOTE (Register 77, No. 51).
3. Repealer filed 6-1 7-83; effecfi ve thirtieth day thereafter (Register 83, No. 25).
§ 1 8531 . Procedure for Hearing Given the Curriculum
Commission.
NOTE: Authority cited: Sections 33031(a) and 60001, Education Code. Refer-
ence: Sections 60202, 60203, 60204 and 60220-60224, Educauon Code.
History
1. Amendment filed 9-24-75; effective thirtieth day thereafter (Register 75, No.
39).
2. Amendment filed 10-3-75; effective thirtieth day thereafter (Register 75, No.
40).
3. Amendment filed 10-24-77; effective thirtieth day thereafter (Reeister 77, No.
44).
4. Editorial correction to NOTE (Register 77, No. 51).
5. Repealer filed 6-17-83; effecfive thirtieth day thereafter (Register 83, No. 25).
§ 18532. Display of Instructional Materials.
NOTE: Authority cited: Sections 33031(a) and 60001, Education Code. Refer-
ence: Sections 60202, 60203, 60204 and 60220-60224, Education Code.
History
1. Amendment filed 9-24-75; effective thirtieth day thereafter (Register 75, No.
39).
2. Amendment refiled 1 0-3-75; effective thirtieth day thereafter (Register 75, No.
40).
3. Amendment filed 10-24-77; effective thirtieth day thereafter (Register 77, No.
44).
4. Editorial correction to NOTE (Register 77. No. 51).
5. Repealer filed 6-17-83; effecfive thirtieth day thereafter (Register 83, No. 25).
§ 18533. Written Statements to the Board Regarding
Instructional Materials and Curriculum
Frameworks.
(a) Any person may submit to the Board a concise written statement
regarding any instructional materials or curriculum frameworks recom-
mended by the Curriculum Commission for adoption, as follows:
( 1 ) A statement of error appearing in the instructional materials or cur-
riculum framework. The statement shall indicate the page, pages or place
in which the error appears, shall include a specification of the error, and,
where possible, shall mention a responsible source of information from
which the Board can confirm the existence of such error.
(2) A statement of objection to a specific item of content which shall
include the page number or other identification of, and reference to, the
item of content to which objection is made, and the grounds of the objec-
tion.
(3) Comments relating to any other factor of which the Board should
be aware before making a decision to accept the recommendation of the
Curriculum Commission.
(4) A general objection to the adoption of the instructional materials
or curriculum framework. The statement shall include a brief statement
of the objection and evidence or grounds supporting the objection.
(5) A statement supporting the instructional materials or curriculum
framework as a whole or any portion thereof. The statement shall include
the reasons for supporting the recommended adoption or for supporting
specified portions thereof.
(b) One copy of the statement, typewritten (or in clearly legible manu-
script) and signed, shall be mailed post paid, to the Executive Secretary
of the Board, 721 Capitol Mall. Sacramento, California. 95814. post-
marked not later than 10 days prior to the date set for the Board's public
hearing.
NOTE: Authority cited: Section 33031, Education Code. Reference: Sections
60200 and 60202, Education Code.
History
1. Ainendment of subsecfion (a) filed 9-24-75; effective thirtieth day thereafter
(Register 75, No. 39).
2. Amendment of subsection (a) refiled 10-3-75; effecfive thirtieth day thereafter
(Register 75. No. 40).
3. New NOTE filed 6-17-83; effective thirtieth day thereafter (Register 83, No.
25).
4. Amendment of section heading, subsecfions (a), (a)(1) and (a)(3)-(5), repealer
of subsections (b)and (c), subsection relettering, and amendment of newly des-
ignated subsection (b) adopted by the Department of Education on 12-5-94.
Amended section submitted to OAL for printing only on 12-6-94, effective
12-30-94. Exempt from Chapter 3.5 of the Government Code pursuant to Edu-
cation Code section 60004 (Register 95, No. 3).
§ 18534. Oral Comments from the Public; Notice of
Intention to Present.
NOTE: Authority cited: Secfion 33031, Educafion Code. Reference: Sections
60200, 60202 and 60203, Education Code.
History
1. Repealer filed 6-17-83; effective thirtieth day thereafter (Register 83, No. 25).
§ 18535. Participation by the Public.
NOTE: Authority cited: Sections 33031(a) and 60001, Education Code. Refer-
ence: Sections 60202, 60203, 60204 and 60220-60224, Education Code.
History
1. Amendment filed 5-28-76 as procedural and organizational; effective upon fil-
ing (Register 76, No. 22).
2. Repealer filed 6-17-83; effective thirtieth day thereafter (Register 83, No. 25).
§ 18536. Time Devoted to Oral Comments of the Public.
NOTE: Authority cited: Sections 33031(a) and 60001, Educafion Code. Refer-
ence: Sections 60202, 60203, 60204 and 60220-60224, Education Code.
History
1. Amendment filed 10-30-75 as procedural and organizational; effecfive upon
filing (Register 75, No. 44).
2. Amendment filed 5-28-76 as procedural and organizational; effective upon fil-
ing (Register 76, No. 22).
3. Repealer filed 6-17-83; effective thirtieth day thereafter (Register 83, No. 25).
§18537. Time Limitations.
NOTE: Authority cited: Secfions 33031(a) and 60001, Educafion Code. Refer-
ence: Secfions 60202, 60203, 60204 and 60220-60224, Education Code.
History
1 . Repealer filed 6-17-83; effective thirtieth day thereafter (Register 83, No. 25).
§ 18538. Manner of Oral Presentation.
NOTE: Authority cited: Sections 33031(a) and 60001, Education Code. Refer-
ence: Sections 60202, 60203, 60204 and 60220-60224, Education Code.
History
1 . Repealer filed 6-1 7-83; effective thirtieth day thereafter (Register 83, No. 25).
Article 2. Procedures for Submission and
Opening of Bids for Elementary Instructional
Materials
§18550. Definitions.
NOTE; Authority cited: Sections 33031(a) and 60001, Education Code. Refer-
ence: Secfions 60202, 60203, 60204 and 60220-60224, Education Code.
History
1 . Amendment filed 9-24-75; effective thirtieth day thereafter (Register 75, No.
39).
2. Amendment refiled 10-3-75; effective thirtieth day thereafter (Register 75, No.
40).
Page 184.92
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 18572
3. Amendment of subsection (e) filed 10-24-77: effective thirtieth day thereafter
(Regislcr77. No. 44).
4. Editorial correction to NOTE (Register 77, No. 51 ).
5. Repealer filed 6- 1 7-83; effective thirtieth day thereafter ( Register 83, No. 25).
§ 1 8551 . Contents of Invitation to Submit Instructional
Materials for Adoption in California.
NOTt: Authority cited: Sections 3303 i(a) and 60001, Education Code. Refer-
ence: Section 60222, Education Code.
History
1 . Amendment filed 9-24-75; effective thirtieth day thereafter (Register 75, No.
39).
2. Amendment rellled 1 0-3-75; effective thirtieth day thereafter (Register 75. No.
40).
3. Amendment filed 1-17-80; effective thirtieth day thereafter (Register 80, No.
3).
4. Repealer filed 6-17-83; effective thirtieth day thereafter (Register 83, No. 25).
§ 18552. Mailing of Invitation to Submit.
Note: Authority cited: Sections 33031(a) and 60001, Education Code. Refer-
ence: Section 60222, Education Code.
History
1. Amendment filed 9-24-75; effective thirtieth day thereafter (Register 75, No.
39).
2. Amendment refiled 10-3-75; effective thirtieth day thereafter (Register 75, No.
40).
3. Amendment filed 1-17-80; effective thirtieth day thereafter (Register 80, No.
3).
4. Repealer filed 6-17-83; effective thirtieth day thereafter (Register 83, No. 25).
§ 18553. Submission of Instructional Materials.
NOTE: Authority cited: Sections 33031(a) and 60001, Education Code. Refer-
ence: Section 60222, Education Code.
History
1 . Amendment filed 9-24-75; effective thirtieth day thereafter (Register 75, No.
39).
2. Amendment refiled 10-3-75; effective thirtieth day thereafter (Register 75, No.
40).
3. Amendment filed 1-17-80; effective thirtieth day thereafter (Register 80, No.
3).
4. Repealer filed 6-1 7-83; effective thirtieth day thereafter (Register 83, No. 25).
§ 18554. Submission of Bids.
Note: Authority cited: Sections 33031(a) and 60001, Education Code. Refer-
ence: Section 60222, Education Code.
History
1. Amendment filed 9-24-75; effective thirtieth day thereafter (Register 75, No.
39).
2. Amendment refiled 10-3-75; effective thirtieth day thereafter (Register75, No.
40).
§ 18558. Estimated Cost of Acquisition.
History
1 . Repealer filed 9-24-75; effective thirtieth day thereafter (Register 75, No. 39).
2. Repealer refiled 10-3-75; effective thirtieth day thereafter (Register 75, No.
40).
Subchapter 4. Procedures Relating to
Hearings on Proposals and Petitions for the
Reorganization of School Districts
§ 18570. Submission of Proposals and Petitions.
A proposal by the county committee on school district organization,
a petition by another public agency or electors for the reorganization of
a school district other than a transfer of territory, or an appeal under Edu-
cation Code section 35710.5 or 3571 1 of an action by the county commit-
tee approving or disapproving a petition to transfer territory from one dis-
trict to another shall be submitted to the Executive Officer of the Board.
The Executive Officer of the Board shall cause the proposal, petition or
the appeal to be:
(a) Reviewed and analyzed by the California Department of Educa-
tion.
(b) Set for hearing before the State Board of Education at the earliest
practicable date.
(c) Transmitted, together with the report and recoinmendation of the
California Department of Education, to the Board and to such other per-
sons as is required by law not later than ten days before the date of the
hearing.
NOTE: Authority cited: Section 3303 1 , 357 1 2, and 35768, Education Code. Refer-
ence: Sections 35707, 35708, 35710.5, 3571 1, and 35752, Education Code.
History
1 . New Chapter 4 (§§ 1 8570 through 1 8574) filed 7-22-69; effective thirtieth day
thereafter (Register 69, No. 30).
2. Amendment of Note filed 9-23-77; effecfive thirtieth day thereafter (Register
77, No. 39).
3. Amendment of Note filed 12-14-83; effective thirtieth day thereafter (Register
83, No. 51).
4. Amendment of section and Note filed 3-29-96; operative 4-28-96 (Register
96, No. 13).
§ 1 8571 . Arguments Before the Board (Original
Submission).
At the time and place of hearing, the Board will receive oral and/or
written arguments on the proposal, petition or the appeal. The Board may
limit the number of speakers on each side of the issue, limit the time per-
mitted for the presentation of a particular view, and limit the time of the
individual speakers. The Board vvill not entertain a repetition of argu-
ments previously presented by the same or another speaker at that meet-
3. Amendment filed 1-17-80; effective thirtieth day thereafter (Register 80. No. ing, or presented at a previous meeting at which the proposal, petition or
appeal was considered.
NOTE: Authority cited: Section 33031 , 35712 and 35768, Education Code. Refer-
ence: Sections 35708, 35710.5. 35711, 35752 and 35754, Education Code.
History
1. New Note filed 12-14-83; effective thirtieth day thereafter (Register 83, No.
51).
3)
4. Repealer filed 6-1 7-83; effective thirtieth day thereafter (Register 83, No. 25).
§18555. Opening of Bids.
Note; Authority cited: Sections 33031(a) and 60001, Education Code. Refer-
ence: section 60222, Education Code.
History
1 . Repealer and new section filed 1-1 7-80; effective thirtieth day thereafter (Reg-
ister 80, No. 3).
2. Repealer filed 6-17-83; effective thirtieth day thereafter (Register 83, No. 25).
2. Amendment of section and Note filed 3-29-96; operative 4-28-96 (Register
96, No. 13).
§ 18572. Resubmissions and Petitions for
Reconsideration.
§ 1 8556. Opening of Bids. (a) \i a^iy time following a decision by the Board on a proposal, peti-
Note: Authority cited: Sections 33031(a) and 60001, Education Code. Refer- [[^^ ^^ appeal, the original petitioner, county committee on school dis-
ence: Section 60222, Education Code.
History
1. Repealer filed 1-17-80; effective thirtieth day thereafter (Register 80. No. 3).
§ 18557. Estimated Cost of Manufacture.
History
1 . Repealer filed 9-24-75,- effective thirtieth day thereafter (Register 75, No. 39).
2. Repealer refiled 10-3-75; effective thirtieth day thereafter (Register 75, No.
40).
trict organization, or any affected school district may resubmit the same
or essentially identical proposal, or may petition the Board for reconsid-
eration of the Board's decision.
(b) Any resubmission or petition for reconsideration shall be accom-
panied by new arguments or new facts not previously presented to the
Board.
(c) No resubmission or petition for reconsideration shall be acted upon
by the Board with respect to any reorganization proposal that has been
Page 184.93
Register 2004, No. 24; 6- 1 1 -2004
§ 18573
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
called for election pursuant to Education Code section 357 J 0.51 or
35756.
NOTE: Authority cited: Section 330.^ 1 , 357 1 2 and 35768, Education Code. Refer-
ence: Sections 35707. 35708, 35710-3571 1, 35752 and 35756, Education Code.
History
1. New NoTt filed 12-14-83; effective tfiirtieth day thereafter (Register 83, No.
51).
2. Amendment of section heading, repealer of section and new section, and amend-
ment of Note filed 3-29-96; operative 4-28-96 (Register 96, No. 1 3).
§ 18573. Criteria for Reorganization of School Districts.
(a) The analysis of the proposal or petition by the California Depart-
ment of Education shall state findings of fact and recommendations as to
whether each district affected by the proposed reorganization substan-
tially meets the following criteria and standards:
(1) It is the intent of the Slate Board that direct service districts not be
created which will become more dependent upon county offices of edu-
cation and state support unless unusual circumstances exist. Therefore,
each district affected must be adequate in terms of numbers of pupils, in
that:
(A) Each such district should have the following projected enrollment
on the date that the proposal becomes effective or any new district be-
comes effective for all purposes:
Elementary District 901
High School District 301
Unified District 1.501
(B) The analysis shall state whether the projected enrollment of each
affected district will increase or decline and the extent thereof.
(2) To determine whether the new district is organized on the basis of
substantial community identity, the following criteria should be consid-
ered:
(A) Isolation.
(B) Geography.
(C) Distance between social centers.
(D) Distance between school centers.
(E) Topography.
(F) Weather.
(G) Community, school, and social ties and other circumstances pe-
culiar to the area.
(3) To determine whether an equitable division of property and facili-
ties will occur, the California Department of Education will determine
which of the criteria authorized in Education Code Section 35736 shall
be applied. It shall also ascertain that the affected districts and the county
office of education are prepared to appoint the committee described in
Education Code section 35565 to settle disputes arising from such divi-
sion of property.
(4) To determine whether the new districts will promote racial or eth-
nic discrimination or segregafion, the effects of the following factors will
be considered:
(A) The current number and percentage of pupils in each racial and
ethnic group in the affected districts and schools in the affected districts,
compared with the number and percentage of pupils in each racial and
ethnic group in the affected districts and schools in the affected districts
if the proposal or petifion were approved.
(B) The trends and rates of present and possible future growth or
change in the total population in the districts affected, in each racial and
ethnic group within the total district, and in each school, of the affected
districts.
(C) The school board policies regarding methods of preventing racial
and ethnic segregation in the affected districts and the effect of the pro-
posal or petition on any desegregation plan or program of the affected
districts, whether voluntary or court ordered, designed to prevent or to
alleviate racial or ethnic discrimination or segregation.
(D) The effect of factors such as distance between schools and atten-
dance centers, terrain, and geographic features that may involve safety
hazards to pupils, capacity of schools, and related condifions or circum-
stances that may have an effect on the feasibility of integration of the af-
fected schools.
(E) The effect of the proposal on the duty of the governing board of
each of the affected districts to take steps, insofar as reasonably feasible,
to alleviate segregation of minority pupils in schools regardless of its
cause.
(5) The proposal or petition shall not significantly adversely affect the
educational prograins of districts affected by the proposal or peution. In
analyzing the proposal or petition, the California Department of Educa-
tion shall describe the districtwide programs, and the school site pro-
grams, in schools not a part of the proposal or petition that will be ad-
versely affected by the proposal or petition.
(b) The Board may waive the criteria specified in subsections (a)( 1 )
through (a)(5) of this section and inay approve a proposal or petition or
decide an appeal under Education Code secfion 35710.5 or 3571 1 if the
Board determines circumstances with respect to the proposal, petition or
appeal provide a sufficient excepfional situauon.
NOTE: Authority cited: Sections 33031, 35712. 35750 and 35768, Education
Code. Reference: Section 35710.5, 3571 1 and 35753, Education Code; Crawford
V. Board of Education (1976) 17 CAL.3d 280; NAACP v. San Bernardino City
Unified School District ( 1 976) 1 7 C AL.3d 311.
History
1. Repealer and new section filed 12-17-76; effective thirtieth day thereafter
(Register76, No. 51).
2. Amendment of subsecnon (b)(4) and repealer of Note filed 9-23-77; effective
thirtieth day thereafter (Register 77, No. 39).
3. Amendment filed 1-17-80; effective thirtieth day thereafter (Register 80, No.
3).
4. Amendment filed 1 2-14-83; effective thirtieth day thereafter (Register 83, No.
51).
5. Amendment of section and Note filed 3-29-96; operative 4-28-96 (Register
96, No. 13).
§18574. Policy.
NOTE: Authority cited: Section 33031(a), Education Code. Reference: Sections
35750 and 35753, Education Code.
History
1. New NOTE filed 12-14-83; effective thirtieth day thereafter (Register 83, No.
51).
2. Repealer filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 42).
Subchapter 5. State Board of
Education — Conflict of Interest Code
§ 1 8600. General Provisions.
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 regulafion, 2 Cal. Code of Regulations Section 1 8730, 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 Politi-
cal Practices Commission to conform to amendments in the Polidcal Re-
form Act after public notice and hearings. Therefore, the terms of 2 Cal.
Code of Regulations Secfion 18730 and any amendments to it duly
adopted by the Fair Polifical Pracfices Commission, along with the at-
tached 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 State Board of Educa-
fion, except as provided below.
Designated employees shall file statements of economic interests with
the agency. Upon receipt of the statements of members of the board, the
agency shall make and retain a copy and forward the original of these
statements to the Fair Polifical Pracfices Commission.
EXCEPTION: As provided in 2 Cal. Code of Regulations Secfion 18730(b)(1), the
definitions contained in the Political Reform Act of 1974 shall apply to the terms
used in this Code except that neither the term "investment" nor the term "business
entity" shall operate to exclude any private school in California, whether or not
such school is operated for profit.
NOTE; Authority cited: Sections 87300, 87304 and 87306, Government Code.
Reference: Secfions 87300 et seq.. Government Code.
Page 184.94
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 18802
History
1. New chapter 5 (sections 18600-18608) filed 12-17-76; designated effective
2-1-77. Approved by Fair Political Practices Commission 10-6-76 (Register
76, No. 51).
2. Amendment of Norr; filed 9-23-77; effective thirtieth dav thereafter (Register
77, No. 39).
3. Repealer of chapter 5 (sections 18600- 18608) and new chapter 5 (section 18600
and Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by
hair Political Practices Commission 12-1-80 (Register 81, No. 9).
4. Amendment tiled 2-1 3-94: operative 3-17-94. Submitted to OAL for printing
only. Approved by Fair Political Practices Commission 1-25-94 (Reeister 94,
No. 71.
5. Amendment of Noti and appendix (list of designated employees) filed
8-1-2001; operative 8-31-2001. Approved by Fair Political Practices Com-
mission 6-28-2001 (Register 2001, No. 31).
Appendix
Disclosure
Dcsii^iiuicd Employees Ccitegon'
Members of the State Board of Education I, II
Members of the Curriculum Development and Supplemental
Materials Commission and respective instnictional materials
evaluation panels, the Advisory Commission on Special
Education, the Child Nutrition Advisory Council, the Commission
on Technology in Learning, and any other comjTiission,
committee, council, or similar group which is not solely advisoi7
and which reports to the State Board of Education I
Disclosure Categories
Cuiegory I. Persons in this category shall report investments, business
positions, and income to the extent that they know or have reason to know
that the business entity in which the investment or business position is
held or the source of income is a publisher, manufacturer, or vendor of
instructional materials, or services offered to educational institutions in
the State of California. They shall also report any investments, positions
of management and income from any private school in the State of Cali-
fornia.
Category' II. Persons in this category shall report interests in real prop-
erty in California.
Chapter 21 . Private Postsecondary
Education Instructions
Subchapter 1. General Provisions
§18800. Definitions.
(a) "Instructor." An instructor is the individual who is responsible for
the routine operation of a course on its scheduled basis; a person who is
the primary source of instruction, knowledge and expertise by reason of
his or her constant presence or availability in the classroom or facility or
through correspondence instruction. "Instructor" does not include per-
sons designated as teaching assistants, guest lecturers, substitute teach-
ers, teacher aides or any other personnel specifically not subject to ap-
proval by the superintendent. However, such designated personnel may
be used without specific approval so long as, in the opinion of the super-
intendent, the quality or effectiveness of instruction is not impaired and
the intent of Sections 18814(b) and 18817 is not circumvented.
(b) "Administrator." An administrator is any owner or staff member
of an institution who has an active role in its operation and has responsibi-
lities such as managing, supervising, planning, research, personnel, fi-
nancial operations, or working directly with students or prospective stu-
dents in a noninstructional capacity excepting personnel who function
exclusively as off-site agents holding permits pursuant lo Education
Code Section 94333. "Administrator" does not include persons who pro-
vide support services and do not have primary responsibility for the area
of operation in which they are working, custodial and maintenance staff,
and outside personnel under contract.
(c) "Specific Degree." As used in Education Code Section 94310.2,
"specific degree" means a degree, the title of which includes the specific
academic, educational, technological or professional objective attained
which, in turn, is recognized by any institution operating under Educa-
tion Code Section 943 1 0. 1 .
(d) "Superintendent." "Superintendent" means the Stale Superinten-
dent of Public Instruction and includes the Private Postsecondary Educa-
tion Division where appropriate.
(e) "Avocational or Recreational Education." Education solely avoca-
tional or recreational, as used in Education Code Section 94303, is educa-
tion, the object of which is not primarily to train for employment, but
which is commonly pursued for personal entertainment, recreation, indi-
vidual edification or as a hobby.
(f) "Makes Available." As used in Education Code Section 943 1 2(h),
"makes available" means to expressly inform the prospective student that
a catalog or brochure may readily be examined or obtained.
(g) "Institution Stmctured by Schools of Theology." As used in Edu-
cation Code Section 94310.4. an "institution structured by schools of
theology" is one in which the education is restricted primarily to courses
or curriculum in theology or ministry, and other education or instruction
directly related to theology or ministry, the content of which is not neces-
sarily limited to the principles of any particular church or denomination.
NOTE: Authority cited: Section 94305(b), Education Code. Reference: Sections
94303, 94310, 94311(d)(3), 94312(h) and 94333. Education Code.
HisroRY
1. Repealer of Division 21 (Sections 18800-19281, not consecutive) and new Di-
vision 21 (Sections 1 8800-1 8841 . not consecutive) filed 4-3-79; effective thir-
tieth day thereafter (Register 79, No. 1 4). For prior history, see Registers 77, No.
39; 77, No. 27; 76, No. 7; 75. No. 51; 75, No. 23; 75, No. 9; 71, No. 1; 70. No.
16; 70, No. 13; 70, No. 9; 65, No. 4; and 64, No. 20.
2. Repealerof former Section 18800 and renumbering and amendment of Section
18801 to Section 18800 filed l-L5-85;effective thirtieth day thereafter (Regis-
ter 85, No. 3).
3. Change without regulatory effect filed 2-2-89; operative 2-2-89 (Register 89,
No. 85.
§ 18801. Content of Diplomas and Degrees.
(a) Every diploma and degree document conferred by an institution
shall contain at least all of the following:
( 1 ) The full name of the institution;
(2) The address of the institution or the city of its principal campus or
administrative facility;
(3) The date the document is issued;
(4) The full legal name of the recipient;
(5) A full and clear citation of the diploma course completed, the
course of study or discipline in which the degree is earned, or the distinc-
tion on which the honorary degree is conferred, as appropriate.
(b) Honorary degrees may be granted by an institution provided that,
the honorary degree has on its face, in letters no smaller than those used
for the specific name of the degree, either the word "Honorary" in En-
glish or the words "Honoris Causa."
(c) The title of any degree awarded by an institution structured by
schools of theology authorized by Education Code Section 943 1 0.4 shall
include specific language that identifies the degree as one of theology or
ministry.
NOTE: Authority cited: Section 94305(b), Education Code. Reference: Sections
94302(f) and (g), 94310 and 94312(i), Education Code.
History
1. Renumbering and amendment of former Section 18801 to Section 18800. and
renumbering and amendment of former Section 18803 to Section 18801 filed
1-15-85; effective thirtieth day thereafter (Register 85, No. 3).
2. Change without regulator/ effect of subsection (c) filed 2-2-89; operative
2-2-89 (Register 89, No. 8).
§ 1 8802. Custodian of Records.
In order to implement the purpose of Education Code Section
94312(k):
(a) Any institution shall advise the student in a catalog or brochure that
the institution is required by law to maintain student records for a period
of only five years.
(b) Any institution shall, in the event of complete cessation of all oper-
ations, immediately retain a custodian of records and advise the superin-
tendent of the custodian's name, address and telephone number. The in-
stitution shall arrange for the custodian to retain, for the balance
Page 184.95
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§ 18803
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
remaining of five years, all those records described in Education Code
Section 94312(k) along with each former student's record of attendance
and academic progress.
NOTE: Authority cited: Section 94305(b), Education Code. Reference: Chapter 3
(commencing with Section 94300), Part 59, Division 10. Title 3, Education Code.
History
1. Repealer of former Section 18802 and renumbering of Section 18804 to Section
18802 filed 1-15-85; effective thirtieth day thereafter (Register 85, No. 3).
§ 18803. Affiliation and Evaluation of Credit.
(a) An institution shall not affiliate with another institution for the pur-
pose of offering educational services or granting diplomas or degrees un-
less both institutions are approved or authorized under one or another of
Education Code Sections 94310 or 9431 1, and the fact of affiliation is re-
ported to the superintendent.
(b) An institution shall not grant diplomas or degrees solely on the ba-
sis of education taken at, or credit transferred from, another institution or
institutions, or solely on noninstructional learning experiences. Diplo-
mas and degrees may be granted on the basis of a combination of instruc-
tion and noninstructional learning experiences for which the institution
details explicit rationale for the awarding of credit and systematic and
vigorous method for evaluating it.
NOTE: Authority cited: Section 94305(b), Education Code. Reference: Sections
94310, 9431 1 and 94312(m). Education Code.
History
1. Renumbering and amendment of former Section 18803 to Section 18801, and
renumbering and amendment of Section 1 8805 to Section 1 8803 filed 1-15-85;
effecfive thirtieth day thereafter (Register 85, No. 3).
§18804. Advertising.
(a) Nothing contained in Education Code Section 94321 shall prohibit
an institution and a bona fide employer from jointly advertising in "help
wanted" columns of a magazine, newspaper, or other publication if all of
the following conditions are met; specifically that:
(1) There is a shortage of persons with the skills advertised as wanted
in the circulation area of the publication in which the advertisement ap-
pears.
(2) There is an anticipated need for persons trained in such skills at the
end of the institution's regular training period for the skills.
(3) The advertisement clearly identifies the institution and the employ-
er as separate entities and gives the complete address of both.
(4) The advertisement clearly indicates that graduation does not guar-
antee employment by the employer named in the advertisement.
(b) Institutions may advertise or otherwise represent the fact of hold-
ing a valid approval or authorization to operate, issued by the superinten-
dent, but in doing so must:
( 1 ) State that the approval or authorization "to operate" is "by the Cali-
fornia Superintendent of Public Instruction," or "State Superintendent
Approved" or "State Superintendent Authorized" as appropriate.
(2) State that the approval is conditional or provisional, if that is the
fact.
(c) Institutions may advertise or otherwise represent the fact of holding
an accreditation, or of holding any approval other than by the superinten-
dent. In so doing the representation shall be immediately followed by:
( 1 ) The complete name of the organization or agency by which the in-
stitution is accredited or approved, except with respect to accreditation
agencies recognized by the U.S. Department of Education or its succes-
sor agency in which case initials of the name may be used.
(2) The status of the accreditation or approval if less than full; and
(3) The fact, if true, that such organization or agency is not recognized
by the U.S. Department of Education or its successor agency.
NotE: Authority cited: Section 94305(b), Education Code. Reference: Section
94321(a) and (f). Education Code.
History
1 . Renumbering of former Section 1 8804 to Section 1 8802, and renumbering and
aniendmcnl of Section 1 8806 to Section 18804 filed 1-1 5-85; effective thirtieth
day thereafter (Register 85, No. 3).
§18805. Refund Policy.
(a) Institutions approved or authorized pursuant to Education Code
Sections 943 10.2, 943 10.3, and 943 10.4, and 943 1 1(d) shall, in the event
of a student or applicant cancels enrollment prior to the completion of the
course, promptly refund to each student the unused portions of paid tu-
ition fees and other charges or reduce the amount due under the enrol-
lment contract, as appropriate, in accordance with the following mini-
mum standards:
( 1 ) Cancellation of Contract or Enrollment. A student or applicant may
cancel the contract or enrollment by notifying institution personnel of
that intention. Such notice is effective when delivered or when post-
marked. An institution may require a written notice of cancellation pro-
vided that such requirement is clearly detailed in the catalog and enrol-
lment agreement.
(2) Instructional Materials. If there is to be any charge to a student or
applicant for instructional materials under any circumstances whatever,
the school must detail provisions, if any, for the return or recovery of the
materials, and a specific price must be affixed to the items and clearly
cited. Fees for instructional materials shall not be considered as "tuition
fees" as used in this section.
Initial correspondence course materials shall be sent to the student
within 7 working days following receipt of student enrollment, or the stu-
dent may rescind the contract and shall be entitled to full refund of all
monies paid.
At any time during the enrollment period, a correspondence institution
shall upon written request send the balance of all course materials to any
student who has paid in full under his contract. If the student has not paid
in full but has paid in excess of the amount owed under paragraph (6) be-
low, the institution shall upon written request send the student the materi-
als paid for but not received, which will constitute full settlement of the
institution's obligation to the student. In such event, the school shall re-
main obligated for all services to which the student is entitled.
(3) Registration Fees. An institution shall be entitled to a minimum
registration fee of $25.00 with a maximum of 15 percent of the total tu-
ition fees or $100.00, whichever is less.
(4) Three-Day Full Refund Period. Where the provisions of Education
Code Section 943 1 2(e) are not applicable, the student or applicant shall
be given no less than 3 working days following the day on which enrol-
lment was signed or effective to cancel enrollment and receive refund of
all monies paid to institution or its representative, including the refund
of registration and instructional materials fees, provided no classes have
been attended, lessons completed, or materials used.
(5) Cancellation After Three-Day Period. Where the provisions of
Education Code Section 9431 2(e) are not applicable, and should the stu-
dent or applicant cancel enrollment more than 3 working days following
the day on which enrollment was signed or effective, the institution may
retain, as earned, the amount disclosed as a registration fee plus any dis-
closed and used instructional material costs not inconsistent with its
stated policy, provided that:
(A) In resident institutions, the cancellation was made prior to the date
upon which the institution is scheduled to start classes or instruction, or
(B) In correspondence institutions, the cancellation was made prior to
the date on which the institution received the first completed lesson or
prior to the 30th day following the date on which the student or applicant
first received materials, whichever occurs first.
(6) Minimum Refund. Should a student cancel enrollment after the
time period described in (a)(5)(A) of this section, whether or not he or she
was in attendance, or after the time period described in (a)(5)(B) of this
section, the student is entitled to a refund of fees and charges, except reg-
istration fees and costs of instructional materials consistent with the insti-
tution's stated policy, in accordance with the following refund formula:
Page 184.96
Register 2004, No. 24; 6- 1 1 - 2004
Title 5
California Department of Education
S 18809
Percent dJ alleudaitec time or of
course leiiiitli iis related to the Mininiuiii Amount of
total course time or len;^tli: Refund
Up to \(n 90%
10% and up to 25'^r 75%
25% and up to 50% 50%
50% and over No Refund
The requirements olthis part do not apply to institutions operating un-
der Education Code Section 943 10. Those institutions shall develop and
use a fair, equitable and positive policy of incremental refund of unused
fees and other charges applicable to cancellations.
(7) Fees Which Shall be Refunded. Fees which shall be refunded are:
(A) Any fee or charge collected in error shall be repaid in full.
(B) Any charges collected from a student which the institution holds
for the purpose of paying to any other public or private person, firm, orga-
nization, or agency, such as for a bond, license application or examina-
tion fees, or any similar fees or charges shall, where the student fails to
enter the course or withdraws therefrom at any time prior to completion
of the course, be refunded in full. Such charges are not subject to any re-
fund if the institution has paid them prior to receipt of cancellation of a
contract or enrollment.
(C) All prepaid but unearned fees and other charges paid by a student
to the institution shall be refunded to the student if the institution discon-
tinues the class or course for which the student has enrolled.
(8) Refunds to Veterans. A student enrolled under any federal or state
veterans' education assistance plan may receive all the refunds of fees in
accordance with the law or regulations under which the federal or state
veterans' education assistance plan is operated, regardless of any limita-
tion set forth in this section.
(9) Timely Refunds. Refunds must be made by the institution within
30 days of the cancellation.
(b) In addition to inclusion in the catalog or brochure, the institution's
refund policy shall be fully, clearly and conspicuously included in each
contract of enrollment.
(c) The superintendent may, at his discretion, permit exceptions to an
institution's refund policy upon the institution making application to the
superintendent for such exception and detailing the reasons. After con-
sideration by the superintendent, he may deny such exception, grant the
exception, or order a suitable refund policy.
NOTE; Authority cited: Section 94305(b). Education Code. Reference: Section
94312(d) and (^e). Education Code.
History
1. Renumbering and amendment of former Section 18805 to Section 18803, and
renumbering and amendment of Section 1 8809 to Section 1 8805 filed 1-1 5-85;
effective thirtieth day thereafter (Register 85, No. 3).
2. Change without regulatory effect of subsection (a) filed 2-2-89; operative
2-2-89(Register89, No. 8).
§18806. Advertising.
NOTE: Authority cited: Sections 94305(b) and 94321(f), Education Code. Refer-
ence: Chapter 3 (commencing with Section 94300). Part 59, Division 10, Title 3
and Section 94321(0, Educafion Code.
History
I. Renumbering and amendment of Section 18806 to Secrion 18804 filed
1-15-85; effective thirtieth day thereafter (Register 85, No. 3).
§ 18807. Disclosures to Consumers.
NOTE: Authority cited: Sections 94305(b) and 94312(h), Education Code. Refer-
ence: Chapter 3 (commencing with Section 94300), Part 59, Division 10, Title 3
and Section 94312(h), Education Code.
History
1. Repealer filed 1-15-85; effective thirtieth day thereafter (Register 85, No. 3).
§ 18808. Location of Approval or Authorization.
Authorization or approval shall be required for each principal location
of an institution. Within the meaning of this section:
(a) Any location within the accreditation of an institution operating
pursuant to Education Code Section 943 1 0. 1 is deemed to be a part of the
authorized principal location.
(b) Any location of an institution operating pursuant to Education
Code Section 943 10(b) which does not offer an entire degree prograin is
deeined to be part of the approved principal location.
(c) Any location of an institution operating pursuant to Education
Code Section 94310.4 is deeined to be a part of the authorized principal
location.
(d) Any location of an institution operating pursuant to Education
Code Section 943 1 1 is deemed to be a part of the approved or authorized
principal location if:
(1) it is for the purpose of absorbing an enrollment overload that the
principal facility cannot accommodate, or
(2) it provides for a special kind of training; provided that such facility
has no independent administrative capability, is not identified in any ad-
vertising, and is not for the purpose of serving another neighborhood or
clientele.
NOTE: Authority cited: Section 94305(b), Education Code. Reference: Sections
94302(k). 94310. 9431 1 and 94331 . Education Code.
History
1. New section filed 10-22-85;effective thirtieth day thereafter (Register 85. No.
43). For history of former section, see Register 85. No. 3.
2. Change without regulatory effect of subsections (a) and (c) filed 2-2-89; opera-
tive 2-2-89 (Register 89, No. 8).
Subchapter 2. Applications and Affidavits
by Institutions
§18809. Processing.
(a) Processing and review of any application or affidavit received by
the superintendent shall not commence until, in the superintendent's de-
termination, the application/affidavit is complete, all required documen-
tation is included and complete and the required fee is received. Process-
ing and review shall not continue until the applicant or affiant has
supplied all additional information as may be requested by the superin-
tendent.
(b) In compliance with Chapter 3 (commencing with Section L'S374)
of Part 6.7 of Division 3 of Title 2. Government Code, this agency, upon
receiving an application/affidavit, shall inform an applicant/affiant in
writing within the following maximum state working days:
(1) That such application/affidavit is incomplete or incorrect. A letter
detailing the deficiencies shall be mailed or delivered within 10 days
from the receipt of applications/affidavits pursuant to Education Code
Sections 94310. 1, 9431 1 (a), (b), (c), 94315, and 94333, 9431 1(d)(3). and
within 20 days from the receipt of applications/affidavits pursuant to
Education Code Sections 94310.2, 94310.3, 94310.4, and 9431 1(d). Or,
(2) That such application/affidavit is complete, and the applicant/af-
fiant qualifies for the status applied for. The final decision shall be ren-
dered, and the document granting the status applied for shall be mailed
or delivered within 10 days from the receipt of applications/affidavits
pursuant to Education Code Sections 943 10. 1 . 943 11 (a), (b), (c), 943 1 5,
94333, and 9431 1(d)(3) and the procedures specified in statute shall pro-
ceed immediately upon the receipt of completed applications/affidavits
pursuant to Education Code Sections 94310.2, 94310.3, 94310.4, and
94311(d). Or,
(3) That such application/affidavit is complete, but it is the intention
of the superintendent to deny the status applied for.
(A) For applications/affidavits pursuant to Education Code Sections
94310.1, 94311(a), (b), (c), 94315, 94333, and 9431 1(d)(3), a detailing
notice of intention to deny shall be mailed or delivered within 10 days
from the receipt of the applications/affidavits. For applications/affidavits
pursuant to Education Code Section 9431 1(d), a decision of intention to
deny shall be rendered, and a detailing notice of intention to deny shall
be mailed or delivered, within the procedural time periods specified in
statute.
(B) A final decision of the superintendent shall be rendered to deny the
status applied for or to abandon the denial action and grant the status
applied for, and a letter of denial or the document granfing the status, as
Page 184.97
Register 2004, No. 24; 6- 1 1 -2004
§ 18810
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
applicable, shall be mailed or delivered within 190 days from the date of
the superintendent's notice of intention to deny.
(c) The statutory committee visitations shall occur within 30 days from
the superintendent's impaneling the committee pursuant to Education
Code Sections 94310.3 and 943 1 0.4 and within 90 days pursuant to Sec-
tion 94310.2. Final committee reports shall be forwarded to the superin-
tendent within 30 days following the on-site visitation by the committee
pursuant to Sections 94310.2 and 94310.4.
(d) Any appeal arising from an alleged violation to the time periods es-
tablished in this section shall be resolved by the hearing procedures de-
scribed in Section 18827.
(e) Should an appeal result in a decision that the appellant's applica-
tion/affidavit was not processed within the maximum time limits speci-
fied in subdivision (c), any and all fees paid with respect to that applica-
tion/affidavit shall be refunded to the applicant/affiant without granting
the status for which application/affidavit was made.
Note. Authority cited: Section 15376, Government Code. Reference: Sections
15376 and 15378, Government Code.
History
1 . Renumbering and amendment of former Section 1 8809 to Section 18805, and
renumbering of Section 18816 to Section 18809 filed 1-15-85; effective thir-
tieth day thereafter (Register 85, No. 3).
2. Amendment filed 10-22-85; effective thirtieth day thereafter (Resister 85, No.
43).
3. Change without regulatory effect of subsections (b) and (c) filed 2-2-89; opera-
tive 2-2-89 (Register 89, No. 8).
§18810. Earned Fees.
The fees charged pursuant to Education Code Section 94331 are
earned upon receipt of a complete application, affidavit or other docu-
ment required by the superintendent as a condition precedent to the ap-
proval, authorization or other action for which a fee is charged.
NOTE: Authority cited: Secfion 94305(b), Education Code. Reference: Chapter 3
(commencing with Section 94300), Part 59, Division 10, Title 3, Education Code.
History
1. Renumbering of former Section 18817 to Section 18810 filed 1-15-85; effec-
tive thirtieth day thereafter (Register 85, No. 3).
§ 1 881 1 . Consent to Inspection.
Application by an institution for approval or authorization to operate
is deemed to include the applicant's consent to inspections by representa-
tives of the superintendent and any special committee or team members
appointed under Education Code Sections 94310 and 943 11. Inspections
may be made of any part of the institution's operation and interviews con-
ducted of any person or persons, determined by the superintendent as be-
ing relevant to the standards established for the approval or authorization.
Under routine circumstances, as determined by the superintendent, an
appointment shall be arranged in advance of visitations.
After an approval or authorization of any type is granted, consent to
such inspections is deemed to continue and shall include, in addition to
those inspectors described above, representatives of the California De-
partment of Justice.
Note: Authority cited: Section 94305(b), Education Code. Reference: Chapter 3
(commencing with Section 94300), Part 59, Division 10, Title 3, Education Code.
History
1 . Renumbering of former Section 18818 to Section 18811 filed 1-15-85; effec-
tive thirtieth day thereafter (Register 85, No. 3).
Subchapter 3. Standards for Evaluating the
Institution
Article 1. Institutions Approved Under
Education Code Section 94310.2
§18814. Standards.
The following standards apply to each institution applying for approv-
al to operate under Education Code Section 94310.2:
(a) Financial Stability. The institution shall maintain assets sufficient
to ensure capability of fulfilling the specific program to enrolled stu-
dents. In all instances, such assets shall be at least as great as those speci-
fied in California Education Code Section 94310.4(b) for authorized de-
gree-granting institutions.
(b) Faculty. Faculty resources shall include personnel who possess de-
grees from the U.S. Department of Education or its successor agency rec-
ognized accredited institutions in the propo.sed degree major field(s) and
in sufficient number to provide the proposed educational services.
(c) Course of Study. The educational services shall cleariy relate to the
proposed degree(s) objectives, be comparable in scope and sequence to
minimum standards of comparable degree programs in accredited insti-
tutions recognized by the U.S. Department of Education or its successor
agency, and shall, in the judgment of the visiting committee, ensure qual-
ity educational services to the degree candidate. This requirement shall
not be construed to prevent the approval of innovative educational ser-
vices.
(d) Facilities. Facilities must relate to the defined degree objectives.
The stated educational services define the needed facilities, and the visit-
ing committee must express a judgment that the facilities available are
sufficient to ensure the student quality educational services.
(e) Degree Requirements. The specified institutional requirements for
the degree(s) shall be evaluated against established standards for similar
degrees in accredited institutions. The student is to be assured that the de-
gree so approved shall not deviate substantially from all other such de-
grees as a mark of learning, although the processes in a particular institu-
tion may deviate markedly from those occurring in other institutional
settings.
NOTE: Authority cited: Secfion 94305(b), Education Code. Reference: Section
94310.2, Education Code.
History
1. Renumbering and amendment of former section 18823 to section 18814 filed
1-15-85; effective thirtieth day thereafter (Register 85, No. 3).
2. Change without regulatory effect filed 2-2-89; operative 2-2-89 (Register 89,
No. 8).
3. Editorial correction of subchapter heading (Register 94, No. 9).
Article 2. Institutions Authorized Under
Education Code Section 94310.3
§18815. Related Documents.
An institution operating pursuant to Education Code Section 94310.3
may, in addition to granting appropriate degree documents, issue a writ-
ten or printed document commonly known as a transcript of the student's
record of attendance and academic performance.
NOTE: Authority cited: Secfion 94305(b), Education Code. Reference: Chapter 3
(commencing with Section 94300), Part 59, Division 10, Title 3, Education Code.
History
1. Repealer of former Section 18815, and renumberingofSection 18825 to Section
18815 filed 1-15-85; effecfive thirtieth day thereafter (Register 85, No. 3).
2. Change without regulatory effect filed 2-2-89; operative 2-2-89 (Register 89,
No. 8).
Article 3. Institutions Approved Under
Education Code Section 94311(d)
§ 1 881 6. Objectives Subject to Approval.
In addition to those educational services normally culminating in the
awarding of a degree or diploma in a vocational, professional, education-
al or technological field, any instruction or training offered for the pur-
pose of reviewing material in preparation for an examination adminis-
tered to obtain a license, registration or other professional, educational,
technological or vocational certification is subject to prior approval un-
der Education Code Section 9431 1(d).
NOTE; Authority cited: Section 94305(b), Educafion Code. Reference: Chapter 3
(commencing with Section 94300), Part 59, Division 10, Title 3, Education Code.
Page 184.98
Register 2(X)4, No. 24; 6-11-2004
Title 5
California Department of Education
§ 18823
History
I. Renumbering ot former Section 18816 to Section 18809, and renumbering ol'
Section 1 882^7 to Section 188 16 filed J-1 5-85: et'tective thirtieth day thereafter
(Register 85. No. 3).
§ 18817. Standards Relating to Instructors and
Administrators.
(a) Each instructor and administrator applying for a certificate of au-
thorization for service under Education Code Section 943! 1(d) must
meet at least one of the following qualifications:
( 1 ) Possession of a bachelor's degree in the field in which he is to teach
from an institution listed as an institution of higher learning by the U.S.
Department of Education or its successor agency, or a comparable insti-
tution of a foreign country, or the equivalent of such a bachelor's degree
or an advanced degree from any such institution.
(2) Possession of a valid adult or secondary school teaching credential
or certificate from this or another state authorizing the holder to teach in
the field of instruction in which he is to teach at the institution applying
for approval.
(3) Five years of successful experience in the profession, trade, indus-
try, or technical occupation in the field in which he is to teach.
(4) Five years of a combination of such experience and education at
the postsecondary level.
(5) Possession of a hcense to teach issued by an appropriate state li-
censing board or federal agency for the field in which he is to teach.
(6) In the opinion of the Superintendent of Public Instruction, the in-
structor has adequate and appropriate experience and education and
demonstrates his ability to properly instruct in a particular course or sub-
ject.
(b) The superintendent shall not consider as qualified any instructor or
member of the administrative staff who has pled guilty to or has been
found guilty of any crime other than minor traffic offenses or has entered
a plea of nolo contendere to a charge thereof, or has committed unscrupu-
lous acts, made material misrepresentations, committed fraud, or is
otherwise unfit to engage in the business of private postsecondary educa-
tion, unless evidence of rehabilitation or mitigation satisfactory to the su-
perintendent is presented. Currently effective court imposed probation is
prima facie evidence of lack of rehabilitation. The offense must relate to
the effectiveness of that particular person to perform as an instructor or
administrator.
(c) Individuals to be added to the administrative and instructional staff
shall meet the requirements of this section with personal data submitted
to the superintendent. The institution shall notify the superintendent
promptly when the services of members of the administrative or instruc-
tional staff are terminated or reassigned.
NOTE; Authority cited: Section 94305(b). Education Code. Reference: Sections
9431 1(d)(3), (d)(9) and 94312(k)(3). Education Code.
History
I. Renumberingof former Section 18817 to Section 18810, and renumbering and
amendment of Section 18828 to Section 18817filed 1-1 5-85; effective thirtieth
day thereafter (Register 85, No. 3).
§ 18818. Standards Applicable to Courses of Instruction in
Massage.
Before the superintendent issues any approval of a course or courses
of instruction in massage, the following standards shall, in addition to any
other applicable standards established by Title 5, California Administra-
tive Code, be met and maintained.
(a) A school of massage shall not permit class or practice sessions of
any type to continue later than 10:30 p.m. nor start earlier than 7:00 a.m.
A school of massage shall not, at the same time, operate as a massage
parlor or studio. However, a school of massage may be operated simulta-
neously with and in the same or a contiguous building with a massage stu-
dio or parlor, provided that the facilities of the school and studio or parlor
are totally separate, clearly delineated and there is neither a sharing of any
portion of those respective facilities nor a direct access between them.
For purposes of this paragraph, each school shall file with the superinten-
dent a combined detailed floor plan of the school and the massage studio
or parlor.
A school of massage may share facilities with a massage studio or par-
lor at any time, provided that a school so sharing such facilities files with
the superintendent a schedule of hours during which it offers classes or
practice sessions of any kind, and posts such schedule at the school en-
trance in full view of anyone who enters. Classes and practice sessions
shall not be held at any other time.
(b) Any owner, director, officer, adininistrator, employee or student
of a school, or any other person, is prohibited from performing massage
of any kind upon a member of the general public while on the .school
premises. Students of the school may practice massage only upon an in-
structor or other student. A ""dummy" body maybe used.
(c) Correspondence courses of instruction or a combination of corre-
spondence and residence courses of instruction in massage shall not be
approved.
(d) An applicanon for approval shall include evidence that a business
license or signed statement of exemption has been obtained by the .school
from the appropriate local authority.
(e) School records shall refiect actual and verifiable attendance and
progress in any massage course for its entire length.
(f) A course of massage shall not be approved for less than 100 hours
of instruction, which shall include, but not be limited to Anatomy, Physi-
ology and Hygiene, Massage Tlieory and History, Ethics of Massage.
Business Practices, and a minimum of 75 hours of Demonstration and
Practice of Massage Techniques.
(g) No more than 50 percent of the total hours of massage course may
be granted for previous equivalent education or training.
NOTE: Authority cited: Section 94305(b), Education Code. Reference: Chapter 3
(commencing with Section 94300) of Part 59 of Division 10, Title 3. Education
Code.
History
1. Renumbering of former Section 18818 to Section 1881 1, and renumbering of
Section 18829 to Section ISSlStiled l-15-85;effective thirtieth day thereafter
(Register 85, No. 3).
Subchapter 4. Agents
§18822. Agent's Permit.
(a) An agent's permit is required for:
( 1 ) Any person who, at a place away from the institution or site of in-
struction, accepts application fees or admission fees.
(2) Any person who is employed by, or owns an interest in, the ap-
proved or authorized institution and whose primary responsibility is that
of recruiting enrollment at a place away from the insfitution or site of in-
stmction.
(3) Any educational contractor or broker, and a person employed by
or in any way associated with such contractor or broker, who. at a place
away from the institufion or site of instruction, recruits students or ac-
cepts application or admission fees.
(4) Any person who receives remunerafion or consideration of any
kind for providing off-site recruitment services in receiving enrollment
for an institution.
(b) A permit is not required for:
(1) Administrators, admissions officers, and faculty of the institution
who make informational public appearances.
(2) Any person who, at a place away from the institution or site of in-
struction, recruits enrollment or accepts application or admission fees ex-
clusively for the particular course or class which that person teaches.
NOTE: Authority cited: Section 94305(b), Education Code. Reference: Sections
94302(a), (b) and 94333, Education Code.
History
1 . Renumbering and amendment of former Section 1 8833 to Section 1 8822 filed
1-15-85; effective thirtieth day thereafter (Register 85, No. 3).
§18823. Standards.
NOTE: Authority cited: Section 94305(b), Education Code. Reference: Chapter 3
(commencing with Section 94300), Part 59, Division 10, Title 3, Education Code.
Page 184.99
Register 2004, No. 24; 6-11-2004
§ 18825
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
History
1. Renumbering and amendment of Section 18823 to Section 18814 filed
1-15-85; effective thirtieth day thereafter (Register 85, No. 3).
Subchapter 5. Enforcement
§ 18825. Grounds for Denial, Revocation or Suspension of
an Approval or Authorization.
The superintendent may suspend, deny or revoke an approval, or au-
thorization, or Certificate of Authorization for Service, whichever action
is timely and appropriate, on the following grounds, as appropriate:
(a) The applicant fails to show that he, she or the proposed institution
or its educational services meet the minimum applicable standards and
requirements in this Division 21 or in Chapter 3 of Part 59 of Division 10
of the Education Code.
(b) The holder of a conditional or provisional approval fails to meet the
requirements for a full or final approval.
(c) The holder fails to conform to any one or more of the representa-
tions contained in the application, whether initial or renewal, or fails to
operate or maintain qualifications in conformance with any of the appli-
cable standards, requirements and prohibitions in this Division 21 or in
Chapter 3 of Part 59 of Division 10 of the Education Code.
(d) The affidavit or evidence submitted by the holder under applicable
provisions of Education Code Section 94310.3 is untrue or inaccurate.
(e) The owner or any of the owners, members of the board of directors,
officers, administrators, or instructors has pled guilty to or has been
found guilty of any crime other than minor traffic offenses or has entered
a plea of nolo contendere to a charge thereof, or has committed unscrupu-
lous acts, made material misrepresentations, committed fraud, or is
otherwise unfit to engage in the business of private postsecondary educa-
tion, unless evidence of rehabilitation or mitigation satisfactory to the su-
perintendent is presented. Currently effective court imposed probation is
prima facie evidence of lack of rehabilitation.
Any crime, act or omission alleged as grounds for denial, suspension
or revocation under this subsection must relate to the educational ser-
vices of the particular institution or to the welfare of its students, or to the
operation of private postsecondary institutions generally.
NOTE: Authority cited: Section 94305(b), Education Code. Reference: Sections
94302(t), 94305(d), 94310, 94311, 94312, 94330(c) and 94332(3), Education
Code.
History
1. Renumbering of former Section 18825 to Section 18815, and renumbering and
amendment of Section 18838 to Section 18825 filed l-15-85;effective thirtieth
day thereafter (Register 85, No. 3).
2. Change without regulatory effect of subsection (d) filed 2-2-89; operative
2-2-89 (Register 89, No. 8).
§ 18826. Grounds for Denial, Revocation, or Suspension of
an Agent's Permit.
The superintendent may deny, revoke or suspend an agent's permit,
whichever action is timely and appropriate, on the following grounds, as
appropriate:
(a) The applicant or holder has practiced or attempted to practice any
material deception or fraud in his or her application.
(b) The applicant fails to meet any of those standards and requirements
for a permit as set out in Education Code Section 94333.
(c) The holder engages in that conduct prohibited by Education Code
Sections 94320, 94321 or 94333.
(d) The applicant or holder has previously had, under California law
or under similar laws of any other state, a permit to solicit or sell enrol-
lments in an institution revoked.
(e) The applicant or holder has pled guilty to or has been found guilty
of any crime other than minor traffic offenses or has entered a plea of nolo
contendere to a charge thereof, or has committed unscrupulous acts,
made material misrepresentations, committed fraud, oris otherwise unfit
to engage in the business of private postsecondary education, unless evi-
dence of rehabilitation or mitigation satisfactory to the superintendent is
presented. Currently effective court imposed probation is prima facie ev-
idence of lack of rehabilitation. The offense must relate to the effective-
ness of that particular person to perform as an agent.
NOTE: Authority cited: Section 94305(b), Education Code. Reference: Sections
943()2(a). (b) and 94333, Education Code.
History
1 . Renumbering and amendment of former Section 1 8839 to Section 1 8826 filed
1-15-85: effective thirtieth day thereafter (Register 85. No. 3).
§ 18827. Hearing Procedures.
(a) Any person or institution whose application for an agent's permit,
approval, authorization, or Certificate of Authorization for Service has
been denied may file a request within 30 calendar days after maiUng of
the final notice of denial for a hearing. Such request shall be in writing
and addressed to the superintendent in care of the Office of Private Post-
secondary Educanon. 721 Capitol Mall. Sacramento. California 95814.
The request shall be deemed filed upon receipt by the Office.
(b) All proceedings to determine the validity of actions to deny, sus-
pend or revoke approvals, authorizations. Certificate of Authorization
for Service, or agents' permits are governed by the Administrative Proce-
dure Act (commencing with Section 1 1500 of the Government Code).
The Accusation or the Statement of Issues shall be "Before the Superin-
tendent of Public Instruction of the State of California" and filed by the
Office of Private Postsecondary Education.
(c) Each case shall be heard by the hearing officer sitUng alone.
Note: Authority cited: Section 94305(b), Education Code. Reference: Sections
94330(c), 94332(3), 94333(f) and 94339(a)(2), Education Code.
History
1 . Renumbering of former Section 1 8827 to Section 18816, and renumbering and
amendment of Section 18840 to Section 18827 filed 1-1 5-85; effective thirtieth
day thereafter (Register 85, No. 3).
§ 18828. Automatic Termination.
(a) An approval or authorization issued by the superintendent auto-
mafically terminates when the insUtution ceases operation, of which fact
the institution shall immediately inform the superintendent, or when the
institution fails to make application for renewal or pay fees as required.
An agent's permit or a Certificate of Authorization for Service terminates
automatically when the holder fails to make application for renewal or
pay fees as required.
NOTE: Authority cited: Section 94305(b), Education Code. Reference: Secfions
94311(d), 94330. 94331 and 94333, Education Code.
History
1. Renumbering and amendment of former Section 18828 to Section 18817, and
renumbering and amendment of Section 18841 to Section 18828 filed 1-15-85;
effective thirtieth day thereafter (Register 85, No. 3).
§ 18829. Standards Applicable to Courses of Instruction in
Massage.
NOTE; Authority cited: Section 94305(b), Education Code. Reference: Chapter 3
(commencing with Section 94300), Part 59, Division 10, Title 3, Education Code.
History
1 . Renumbering of Section 18829 to Section 18818 filed 1-15-85; effective thir-
tieth day thereafter (Register 85, No. 3).
Article 6. Student Tuition Recovery Fund
§18831. Definitions.
(a) "Prepaid." As used in EducaUon Code Secdons 94342 and 94343
and this chapter, prepaid describes any amount of money which is paid
in advance of receiving educational services or any contractual or other
legal obligation to pay for such services.
(b) "Fund." Fund refers to the Student Tuition Recovery Fund.
(c) "Tuition." As used in EducaUon Code Section 94343 and this chap-
ter, tuition is the charge for instruction. In addition to tuifion, charges for
instructional materials and all other fees shall be included for assessment
purposes.
(d) "California Resident." As used in Education Code Secfion 94342
and this chapter, a California resident is one who is enrolled in an insUtu-
tion which is approved or authorized to operate by the superintendent.
With respect to those individuals enrolled in an approved or authorized
Page 184.100
Register 2004, No. 24; 6- 11 -2004
Title 5
California Department of Education
§ 18839
•
•
•
correspondence course, only those receiving lessons at a California mail-
ing address are considered to be California residents.
NOTl-: Authority cited: Section 94344, Education Code. Reference: Sections
94.342 and 9434.3. Hducation Code.
History
1 . New Chapter 6 (Sections 1 8S46-18856) filed 1 1-21-79; effective thirtieth day
thereafter (Register 79, No. 47).
2. RepeaieroffornierSection 1883 Land renumbering of Section 18846 to Section
18831 filed 1-1. '^-8.S; effective thirtieth day thereafter (Register S.'S, No. 3).
§ 1 8832. Institutions Subject to Assessment.
The superintendent shall assess approved or authorized institutions
which:
(a) Require or accept prepaid tuition and/or charges for instructional
materials or any other fees.
(b) Enroll one or more individuals who have made a direct payment
to the institution for training offered. Direct payment includes payment
by an enrollee or sponsoring person, or payment from a public or private
lender on behalf of the individual, but does not include scholarships,
grants, subsidies, or any other income which is received by the institution
directly from a public or private organization where there is no obligation
for an enrollee to pay or repay either the funding organization or the insti-
tution.
NOTE: Authority cited: Section 94344, Education Code. Reference: Sections
94342 and 94343, Education Code.
History
I. Repealer of former Section 18832, and renumbering of Section J 8847 to Section
18832 filed 1-1.^-85; effective thirtieth day thereafter (Register %5. No. 3).
§18833. Assessment Base.
Assessments will be based on the total number of California resident
enrollees who have inade direct payments to an institution, as specified
in Section 1 8832, for training offered during the assessment period. An
enrollee. as used in this section, refers to an individual who attends at
least one class, or who remains enrolled beyond the 3 day cool ing-off pe-
riod as defined in Section 18805(a)(4). An assessment of ten cents per
one hundred dollars shall apply to the actual price charged for tuition and
for instructional materials and all other fees at the time of enrollment, re-
gardless of the amount which is prepaid, except that, for courses costing
less than one hundred dollars, the assessment shall be five cents.
NOTE: Authority cited: Section 94344, Education Code. Reference: SecUons
94342 and 94343, Education Code.
History
1. Renumbering and amendment of former Section 18833 to Secfion 18822, and
renumbering of Secfion 18848 to Secfion 18833 filed 1-15-85; effective thir-
tieth day thereafter (Register 85, No. 3).
2. Change without regulatory effect (Register 87, No. 30).
§18834. Due Date.
An assessment is payable after the 3 day cooling-off period. However,
under routine circumstances, as determined by the superintendent, asses-
sments will be paid on a quarterly basis.
In the event of school closure, unpaid assessments shall be remitted to
the superintendent within 5 working days following cessation of instruc-
tion.
NOTE: Authority cited: Secfion 94344, Education Code. Reference: Secfions
94342 and 94343, Education Code.
History
1. Renumbering of former Secfion 18849 to Secfion 18834 filed 1-15-85; effec-
five thirtieth day thereafter (Register 85, No. 3).
§ 18835. Maximum Assessment.
An institution may elect to pay an assessment of two dollars per enroll-
ee during any assessment period, which is the maximum assessment spe-
cified in Education Code Secfion 94343, rather than pay the authorized
rate of one tenth of one percent. The institufion shall not charge a student
an amount greater than that paid to the superintendent per enrollee.
Note: Authority cited: Section 94344, Educafion Code. Reference: Secfions
94342 and 94343. Education Code.
History
1. Renumbering of former Section 18850 to Section 18835 filed 1-1.5-85: elfec-
tive thirtieth day thereafter (Register 85, No. 3).
§ 18836. Enrollee Assessment Refund.
The amount paid as a tuition assessment shall be refunded to a student
only if enrolliTienl is cancelled within the 3 day cooling-off period in ac-
cordance with Secfion 18805(a)(4). Otherwise the amount paid as a tu-
ition assessment is retainable and payable to the superintendent.
Note: Authority cited: Section 94.344, Education Code. Reference: Sections
94342 and 94343. Education Code.
History
1. Renumbering of former Section 18851 to Section 18836 filed 1-L5-85; effec-
tive thirtieth day thereafter (Regi.sier 85, No. 3).
2. Change without regulatory effect (Register 87, No. .30).
§ 18837. Application for Payment from the Fund.
The superintendent shall consider a request for payment providing the
applicant:
(a) Is a California resident.
(b) Is enrolled in an institution which has met the criteria specified in
Section 18832 for parficipafing in the fund and which has ceased opera-
fion, as determined by the superintendent.
(c) Has made a direct payment to an institution for training, s specified
in Section 18832.
(d) Has unused prepaid tuition to his or her credit. Unused, as used in
this subsecfion and Section 18838, refers to that portion of instruction
and related goods and services never received as a result of school closure
but for which direct payment of prepaid tuiuon has been made. With re-
spect to any goods received, only those which are not useful independent-
ly of the instruction may be considered.
(e) Has requested settlement from the closing insutution which has not
been resolved to the applicant's satisfacfion.
(f) Makes application within 60 days following the date the insfitution
ceases operafion.
Note: Authority cited: Secfion 94344, Education Code. Reference: Section
94342, Educafion Code.
History
1 . Renumbering and amendment of former Secfion 1 8852 to Section 1 8837 filed
1-15-85; effective thirtieth day thereafter (Register 85, No. 3).
2. Change without regulatory effect of subsections (b)-(d) filed 2-2-89; operative
2-2-89 (Register 89, No. 8).
§ 1 8838. Payments from the Fund.
(a) The superintendent shall conduct such invesfigafion and verifica-
fion as deemed necessary to establish the validity of an application for
payment or to deny an application.
(b) Any payment from the fund shall be for the entire amount of unused
prepaid tuifion as determined by the superintendent, minus any actual or
forthcoming refund from any other source.
NOTEi Authority cited: Section 94344, Educafion Code. Reference: Section
94342, Education Code.
History
1. Renumbering and amendment of former Secfion 18838 to Section 18825, and
renumbering and amendment of Section 18853to Secfion 18838 filed 1-15-85;
effecfive thirtieth day thereafter (Register 85, No. 3).
§ 18839. Alternative Method for Exemption from
Participation in the Fund.
The superintendent shall exempt any insfitution from participating in
the fund which maintains an acceptable alternative method of protecting
students. An institufion is responsible for paying assessments until an ex-
empfion is granted. Plans should be submitted at least ninety days prior
to the starting date of an assessment period to be considered as exempt
from that and future assessment periods. An acceptable alternative plan
shall satisfy the following criteriia:
(a) Respect individual choice and allow for financial settlement when
a teach-out is neither acceptable, reasonable, nor convenient to the stu-
dent.
(b) Provide for settlement regardless of reason for school closure.
(c) Describe an applicafion process, define the criteria for evaluating
claims, and outline an appeals process.
Page 184.101
Register 2004, No. 24; 6- 1 1 - 2004
§ 18840
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(d) Establish an adequate fund immune from creditor claims for pur-
pose of payment of claims.
(e) Specify whether financial settlement, if applicable, is limited in any
respect.
Participation in an acceptable alternative plan shall not be terminated
until an institution has made its initial payment into the fund.
Note-. Authority cited: Section 94344. Education Code. Reference: Section
94343, Education Code.
History
1 . Renumbering and amendment of former Section 18839 to Section 18826, and
renumbering and amendment of Section 18854 to Section 1 8839 filed 1-15-85;
effective thirtieth day thereafter (Register 85, No. 3).
§18840. Notification of Enrollees.
The institution shall expressly inform each enrollee about the details
of the fund or of the institution's own alternative fund at the time of enrol-
lment on forms prescribed by the superintendent.
NOTE: Authority cited: Section 94344, Education Code. Reference: Sections
94342 and 94343, Education Code.
History
1 . Renumbering and amendment of former Section 1 8840 to Section 1 8827, and
renumbering of Section 18855 to Section 18840 filed 1-15-85; effective thir-
tieth day thereafter (Register 85, No. 3).
§ 1 8841 . Automatic Termination.
History
1. Renumbering and amendment of Section 18841 to Section 18828 filed
1-15-85; effective thirtieth day thereafter (Register 85, No. 3).
§18846. Definitions.
NotE: Authority cited: Section 94344, Education Code. Reference: Sections
94342 and 94343, Education Code.
History
1. Renumbering of Section 18846 to Section 18831 filed 1-15-85; effective thir-
tieth day thereafter (Register 85, No. 3).
§ 1 8847. Institutions Subject to Assessment.
NOTE: Authority cited: Section 94344, Education Code. Reference: Sections
94342 and 94343, Education Code.
History
1. Renumbering of Section 18847 to Section 18832 filed 1-15-85; effective thir-
tieth day thereafter (Register 85, No. 3).
§ 1 8848. Assessment Base.
NOTE: Authority cited: Section 94344, Education Code. Reference: Sections
94342 and 94343, Educafion Code.
History
1. Renumbering of Section 18848 to Section 18833 filed 1-15-85; effective thir-
tieth day thereafter (Register 85, No. 3).
§18849. Due Date.
NOTE: Authority cited: Section 94344, Education Code. Reference: Sections
94342 and 94343, Education Code.
History
1 . Renumbering of Section 18849 to Secfion 18834 filed 1-15-85; effective thir-
tieth day thereafter (Register 85, No. 3).
§18850. Maximum Assessment.
NOTE; Authority cited: Section 94344, Education Code. Reference: Sections
94342 and 94343, Education Code.
History
1. Renumbering of Section 18850 to Section 18835 filed 1-15-85; effective thir-
tieth day thereafter (Register 85, No. 3).
§ 18851. Enrollee Assessment Refund.
NOTE: Authority cited: Section 94344, Education Code. Reference: Sections
94342 and 94343, Education Code.
History
1 . Renumbering of Section 18851 to Section 18836 filed 1-15-85; effective thir-
tieth day thereafter (Register 85, No. 3).
§ 18852. Application for Payment from the Fund.
Note. Authority cited: Section 94344, Education Code. Reference: Sections
94342 and 94343, Education Code.
History
1. Renumbering and amendment of Section 18852 to Section 18837 filed
1-15-85; effective thirtieth day thereafter (Register 85, No. 3).
§ 18853. Payments from the Fund.
NOTE: Authority cited: Section 94344, Education Code. Reference: Sections
94342 and 94343, Education Code.
History
1. Renumbering and amendinent of Section 18853 to Section 18838 filed
1-15-85; effective thirtieth day thereafter (Register 85, No. 3).
§18854. Exempted Institutions.
NOTE: Authority cited: Section 94344, Education Code. Reference: Sections
94342 and 94343, Education Code.
History
]. Renumbering and amendment of Section 18854 to Section 18839 filed
1-15-85; effective thirtieth day thereafter (Register 85, No. 3).
§ 18855. Notification of Enrollees.
NOTE: Authority cited: Section 94344, Education Code. Reference: Sections
94342 and 94343, Education Code.
History
1. Renumbering of Section 18855 to Secfion 18840 filed 1-15-85; effecfive thir-
tieth day thereafter (Register 85, No. 3).
§ 18856. Administration of the Fund.
NOTE: Authority cited: Section 94344, Education Code. Reference: Sections
94342 and 94343, Education Code.
History
1 . Repealer filed 1-15-85; effecfive thirtieth day thereafter (Register 85, No. 3).
•
Chapter 22. Veterans Education
Subchapter 1. Approval of Nonaccredited
Resident Courses in Educational Institutions
NOTE: Specific authority cited for Division 22: Veterans' Readjustment Benefits
Act of 1966.
History
1 . New Chapter 1 (§^ 19300, 19301, 19304, 19306, 19307, 19310, 19312, 19313,
19315-19318) filed 2-24-70; effecfive thirtieth day thereafter (Register 70,
No, 9).
2. Repealer of Chapter 1 (Sections 19300-19318, not consecufive) filed 7-31-84;
effective thirtieth day thereafter (Register 84, No. 31). For prior history, see
Register 77, No. 39.
Subchapter 2. Approval of
Correspondence Courses
History
1 . New Chapter 2 (§§ 19320, 19321, 19323, 19325-19331) filed 2-24-70; effec-
tive thirtieth day thereafter (Register 70, No. 9).
2. Repealerof Chapter 2 (Secfions 19320-19331, not consecufive) filed 7-31-84;
effective thirtieth day thereafter (Register 84, No. 31). For prior history, see
Register 77, No. 39.
Subchapter 3. Approval of Accredited
Resident Courses in Educational Institutions
History
1 . New Chapter 3 (§§ 19335-19343, and 19345) filed 2-24-70; effective thirtieth
day thereafter (Register 70, No. 9).
2. Repealer of Chapter 3 (Secfions 19335-19345, not consecufive) filed 7-31-84;
effective thirtieth day thereafter (Register 84, No. 31). For prior history, see
Register 77, No. 39.
•
Page 184.102
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 19540
•
Chapter 23. Miscellaneous Provisions
•
Subchapter 1. Instructional Television
Article 1 .
Classroom Instructional
Television
§19500. Scope.
This article relates to instructional television as established pursuant
to Education Code Sections 41920. 51870 and 51871.
NOTE; Authority cited for Chapter 1 : Sections 33031 and 31874. Education Code.
Issuing agency: Superintendent of Public Instruction.
History
1 . New Chapter 1 (§§ 19500-19509) filed 12-18-69; effective thirtieth day there-
after (Register 69. No. 51).
2. Repealer of Chapter 1 (§§ 19500-19509) and new Chapter 1 (§§ 19500-19.506)
tiled 1-23-76; effective thirtieth day thereafter (Register 76, No. 4).
3. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
§19501. Definitions.
As used in Education Code Sections 41 920. 51870 and 51871, and in
these regulations:
(a) "Instructional Television." "Educational Television," and "Televi-
sion Broadcasts" mean television programs used as integral parts of the
instructional program included in the course of study adopted by the
proper authority.
(b) "Pupils of the district present in the classroom and instructed by
such instructional television programs." means students who are mem-
bers of at least one class in which instructional television meeting the re-
quirements of this article is provided pursuant to the provisions of Educa-
tion Code Sections 51870 and 51871.
(c) "Closed-Circuit Instructional Television." and "Instaictional
Television Fixed Service" (2500 megahertz) refer to an instructional
television facility which includes a central distribution system.
(d) A "production agency" is the agency which produces any instruc-
tional television programs.
History
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§ 19502. Application for Approval.
A school district, pursuant to Education Code Section 51871, or
county superintendent of schools, pursuant to Education Code Section
5 1 870. shall apply to the Superintendent of Public Instruction for approv-
al of a plan to procure television broadcasts or closed-circuit television
programs. The application shall be on a form supplied by the Superinten-
dent of Public Instruction and shall be filed before June 1 of the school
year preceding the year to which the plan applies.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§ 19503. School District Claim for Allowance.
(a) Between July 1 and August 1 following the close of the school year
in which a school district participated in a program for instructional tele-
vision pursuant to Education Code Section 51871, the district, using a
form supplied by the Superintendent of Public Instruction, shall file with
the county superintendent a clai m for allowance. The claim for allowance
shall designate the school year in which the program was conducted and
shall include certification that:
( 1 ) The Superintendent of Public Instruction approved the district plan
to provide instructional television services during the designated school
year, and that the plan was carried out.
(2) The claimant will continue to provide for instructional television
during the school year following the designated year.
(3) The instructional television services certified in ( 1 ) were an inte-
gral part of the course of study approved by the proper authority.
(4) The number of pupils of the district present in the classroom and
instructed by such television programs during the designated school year
pursuant to this article is the number shown on the claim. (No pupil shall
be counted more than once per school year.)
(5) The total cost (exclusive of capital outlay expenditures) to the dis-
trict for providing such instructional television programs is the cost
shown on the claim.
(b) As .soon as possible after receipt of the completed district claim for
allowance, but not later than August 1 5 of that year, the county superin-
tendent shall review, approve, and forward it to the Superintendent of
Public Instruction.
Hlstory
1 . Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77. No.
39).
§ 19504. County Superintendent's Claim for Allowance.
Between July and August 15 following the close of the school year, a
county superintendent shall file with the Superintendent of Public In-
struction a claim for allowance for television services which he provided
pursuant to Education Code Section 51870 during the school year just
closed to schools and classes that he maintained. The claim shall be on
the form and certified as specified in Section 19503.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
§19505. Planning of Programs.
Any instructional television program shall be planned or selected by
the school district or by the county superintendent of schools in coopera-
tion with participating school districts or county superintendents of
schools.
§19506. Study Guides.
The county superintendent or the governing board of the school dis-
trict shall make available to teachers or students who are to use any televi-
sion program in the educational program of such school, appropriate
guides and/or related printed material for use with such program in ad-
vance of the showing of such program.
Subchapter 2. California Maritime Academy
History
1. Repealer of Chapter 2 (Section 19530) filed 12-23-74; effective thirtieth day
thereafter (Register 74. No. 52). For prior history, see Register 69, No. 5 1 .
*See Division 7, Title 5, Administrative Code.
Subchapter 3. Surplus Property
Article 1.
Direct Shipment of Food
Commodities
§ 19540. Direct Shipment of Commodities Donated by the
United States Department of Agriculture.
Any party electing to take direct delivery of food commodities from
the U.S. Department of Agriculture pursuant to Section 121 14 of the
Education Code, must demonstrate that party's capability for the proper
handling, storage, and distribution of such food, in accordance with Title
7 of the Code of Federal Regulations, Chapter II, Subchapter B. Part
250.6
(o) Personnel,
(p) Facilities,
Page 184.103
Register 2004, No. 24; 6- 1 1 -2004
§ 19600
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(q) Records,
(r) Reports.
(s) Right of inspection and audit,
(t) Complaints, and
(u) Demurrage.
The quantity of commodities to be made available for direct shipment
shall be determined in accordance with Title 7 of the Code of Federal
Regulations, Chapter II. Subchapter B, Part 250.4.
Consignees of carload shipments shall completely unload from such
cars, at their expense, all dunnage, debris, or other foreign matter con-
nected with the inbound shipment so as to return rail freight cars to the
carrier in a condition for loading by another shipper without further un-
loading.
Demurrage or other charges which accrue after a car or truck has been
placed for unloading by the delivering carrier, or which accrue because
placement of a car or truck is prevented, shall be borne by the recipient
agency, except that demurrage or other charges shall be borne by the U . S .
Department of Agriculture where such charges accrue because of actions
by the Department of Agriculture and without the fault or negligence of
the recipient agency.
When recipient agencies elect to take direct delivery of commodities
from the U.S. Department of Agriculture, commodities will no longer be
made available to them from the state agency.
NOTE: Authority cited for Chapter 3: Section 121 14, Education Code.
History
1 . New section filed 5-1 8-71 as an emergency; effective upon filing ( Register 71 ,
No. 21).
2. Certificate of Compliance— Sec. 1 1422.1, Gov. Code, filed 7-8-71 (Register
71, No. 28).
3. Amendment of section and NOTE filed 9-23-77; effective thirtieth day thereaf-
ter (Register 77, No. 39).
Subchapter 4. Performance Based
Accountability System
§19600. Definitions.
For the purpose of local education agency data collection and report-
ing under the Performance Based Accountability (PBA) System estab-
lished pursuant to Unemployment Insurance Code Section 15037.1. the
following terms shall have these meanings:
(a) "Participant" means a student who is enrolled in a work force prep-
aration program who authorizes the release of his or her social security
number and other personal information for use in the PBA System as spe-
cified on the PBA Privacy Notice and Student Consent Form (June
1998).
(b) "PBA System" means the comprehensive performance based ac-
countability system established pursuant to Unemployment Insurance
Code Section 15037.1 as an education and job training report card pro-
gram to assess the accomplishments of California's work force prepara-
tion system.
(c) "PBA Privacy Notice and Student Consent Form (June 1998)"
means the form required by Unemployment Insurance Code Section
15037.1(e), as modified by the Superintendent of Public Instruction pur-
suant to Unemployment Insurance Code Section 15037.1(f), which is to
be distributed to all students enrolled in work force preparation programs
operated by local education agencies and which informs students of the
purposes and authority for soliciting the student's social security num-
ber, the student's right to consent or decline to participate, and the types
of personal information about each student who authorizes release of the
data that will be provided to the California Department of Education for
transmission to the State Job Training Coordinating Council (SJTCC) or
its agent for use in the PBA System.
(d) "PBA Student Data Profile (June 1998)" means the report of per-
sonal information on each student who agrees to participate in the PBA
System that is submitted to the California Department of Education for
transmission to the SJTCC or its agent. In addition to name, birth date,
gender, social security number, and the dates of enrollment in and depar-
ture from the work force preparation program, the PBA Student Data Pro-
file (June 1 998) will report the following information, as defined, on each
participant:
(1) "Amount of service/training" means the number of hours of in-
struction or training completed by the participant while enrolled in the
work force preparation program.
(2) "Basic skills deficient" means the participant is an individual (oth-
er than one with disabilities)
(A) who demonstrates basic skills equivalent to or below that of stu-
dents at the fifth grade level; or
(B) has been placed in the lowest or beginning level of an adult educa-
tion program when that program does not use grade level equivalencies
as a measure of student's basic skills.
(3) "Disability status" means whether the participant
(A) has been evaluated according to special education requirements
contained in Part 30 (commencing with Section 56000) and meets eligi-
bility criteria described in Section 56026 of the Education Code; or
(B) is considered disabled under Section 504 of the Rehabilitation Act
of 1973(29U.S.C. § 794).
(4) "Dislocated worker" means an individual who
(A) has been terminated or laid off or has received a notice of termina-
tion or layoff from employment, is eligible or has exhausted his or her
entitlement to unemployment compensation, and is unlikely to return to
his or her previous industry or occupation; or
(B) has been terminated or received a notice of termination of employ-
ment as a result of any permanent closure of or any substantial layoff at
a plant, facility, or enterprise; or
(C) is long-term unemployed and has limited opportunities for em-
ployment or reemployment in the same or a similar occupation in the area
in which he or she resides, including older individuals who may have
substantial barriers to employment by reason of age; or
(D) was self-employed (including farmers and ranchers) and is unem-
ployed as a result of general economic conditions in the community in
which he or she resides or because of natural disasters.
(5) "Displaced homemaker" means an individual who
(A) is an adult; and
(B) has worked as an adult primarily without remuneration to care for
the home and family, and for that reason has diminished marketable
skills; and
(C) is one of the following:
1 . has been dependent on public assistance or on the income of a rela-
tive but is no longer supported by that income; or
2. is a parent whose youngest dependent child will become ineligible
to receive assistance under Chapter 2 (commencing with Section 1 1200)
of Part 3 of Division 9 of the Welfare and Institutions Code (known as
"CalWORKS") or any successor program, within two (2) years of the
parent's enrollment in this work force preparation program; or
3. is unemployed or under employed and is experiencing difficulty in
obtaining any employment or suitable employment as appropriate; or
4. is described in (A) and (B) of this definition and is a criminal offend-
er.
(6) "Economically disadvantaged" means an individual who:
(A) is eligible for aid under Chapter 2 (commencing with Section
1 1200) of Part 3 of Division 9 of the Welfare and Institutions Code
(known as "CalWORKS"), or any successor program; or
(B) is eligible for benefits under the Food Stamp Act of 1 977 (7 U.S.C.
§ 2011); or
(C) meets financial eligibility standards for the MediCal Program as
established in Chapter 7 of the Welfare and Institutions Code (commenc-
ing with Section 14000); or
(D) is eligible for participation in programs assisted under Title II of
the Job Training Partnership Act (29 U.S.C. § 1603).
(7) "Education attainment at program entry" means the number of
years of formal schooling an individual completed prior to entry into the
work force preparation program.
•
Page 184.104
Register 2004, No. 24; 6-11-2004
Title 5
California Department of Education
§ 19601
(8) "Ethnicity"" means tlie ethnic category which most closely reflects
the individuars recognition in the community. The categories to be col-
lected are:
(A) American Indian or Alaska Native: a person having origins in any
of the original peoples of North America and who maintains cultural
identification through tribal affiliation or community recognition.
(B) Asian: a person having origins in any of the original peoples of the
Far East, Southeast Asia, or the Indian subcontinent.
(C) Pacific Islander: a person having origins in any of the original peo-
ples of the Polynesian, Micronesian, or Melanesian islands (excludes the
Philippine Islands).
(D) Filipino: a person having origins in any of the original peoples of
the Philippine Islands.
(E) Hispanic: a person of Mexican, Puerto Rican, Cuban. Central or
South American, or other Spanish culture or origin — regardless of race.
(F) Black, not of Hispanic Origin: a non-Hispanic person having ori-
gins in any of the Black racial groups of Africa.
(G) White, not of Hispanic Origin: a non-Hispanic person having ori-
gins in any of the original peoples of Europe, North Africa, or the Middle
East; e.g.. England. Portugal. Egypt, and Iran.
(9) "'Learner results" means outcomes from participating in the work
force preparation program which include, but are not limited to, the fol-
lowing: received a certificate of completion, competency, or employabil-
ity; obtained full-time employment; received a promotion in current em-
ployment situation; upgraded skills for current employment; enrolled in
a community college; enrolled in a four-year college or university; en-
tered advance training at an institution other than higher education; and
entered an apprenticeship program.
(10) "Limited-English-proficient"" means an individual
(A)l . whose native language is a language other than English; or
2. who came from an environment where a language other than En-
glish is dominant; or
3. who is an American Indian or an Alaskan Native and came from an
environment where a language other than English had a significant im-
pact on his or her level of English language proficiency; and
(B) who by reason thereof has sufficient difficulty speaking, reading,
writing, or understanding the English language to deny the individual the
opportunity to learn successfully in classrooms where the language of in-
struction is English or to participate fully in our society.
(11) "Non-traditional training" means education or training to prepare
the student for employment in an occupational area in which twenty-five
(25) percent or fewer of the job holders are the same sex as the student.
( i 2) "Program completer" means an individual who has completed a
work force preparation program and has been granted a certificate of
completion, competency, or employ ability.
(13) "Program leaver" means an individual who enrolled in a work
force preparation program and who attended 20 or more course hours but
discontinued attendance without completing the program requirements.
(14) "Reasons for leaving prior to completion" includes but is not lim-
ited to the following: obtained employment, moved from area, schedule
conflict, transportation problems, child care needs, family issues, per-
sonal health problems, lack of interest, public safety concerns, adminis-
tratively separated from program.
(15) "Type of service" means the services received while in the work
force preparation program. The term includes but is not limited to the fol-
lowing:
1. assessment/counseling
2. personal development training
3. counseling/career development
4. job development/job search assistance
5. occupational skills training
6. on-the-job training
7. work experience
8. pre-employment skills/job readiness training.
( 1 6) "Type of training"" means one or more of the work force prepara-
tion programs offered by regional occupational centers/programs or
adult education programs.
(17) "Veteran status"" means whether the student is an individual who
has served in the armed forces of this country for at least 1 8 1 consecutive
days since January 31. 1995. and who has been discharged or released
under conditions other than dishonorable, but does not include any per-
son who served only in auxiliary or reserve components of the armed
forces whose services therein did not exempt him or her from the opera-
tion of the Selective Training and Services Act of 1940 (54 Stat. 885).
(e) "Work force preparation program"' means a course of study which
has as its primary goal the development of knowledge and skills that en-
able the student to obtain paid employment upon the successful comple-
tion of the course of study, and includes
(1) vocational education or training offered by an adult school or pro-
gram operated by a school district or county office of education, or by re-
gional occupational centers or programs, which require a student to at-
tend classes a minimum of ten (10) hours a week for regional
occupational centers or programs or twelve (12) hours a week for adult
schools or programs while completing the course requirements and
which provide a certificate of completion, competency, oremployability
upon the successful completion of the course; and
(2) apprenticeship programs in which a person has entered into an "ap-
prentice agreement" with an employer or program sponsor; and the term
of the apprenticeship for each apprenticeable occupation has been ap-
proved by the Chief of the Division of Apprenticeship Standards. Depart-
ment of Industrial Relations, and provides for no less than 2.000 hours
of reasonably continuous employment for the apprentice and provides
for his or her participation in an approved program of training through
employment and through education in related and supplemental subjects.
NOTE: Authority cited: Section 3303 f, Education Code. Reference: Section
56026, Education Code; Section J 5037.1, Unemployment Insurance Code: Sec-
tions 1 1200 and 14000, Welfare and Institutions Code; Section 2011, U.S. Code
Title 17; and Sections 794 and 1603. U.S. Code Title 29.
History
1 . New subchapter 4 (sections 1 9600- 1 960 1 ) and section filed 7-3-98 as an emer-
gency; operative 7-.V98 (Register 98, No. 27). A Certificate of Compliance
must be transmitted to OAL by 1 1-2-98 or emergency language will be re-
pealed by operation of law on the following day.
2. Certificate of Compliance as to 7-3-98 order transmitted to OAL 1 0- 1 3-98 and
filed 11-23-98 (Register 98, No. 48).
§ 1 9601 . PBA System Reporting Procedures.
(a) All students who enroll in any work force preparation program as
defined in subdivision (e) of Section 19600 that is offered by school dis-
tricts, county offices of education, or regional occupational centers/pro-
grams shall be provided a copy of the PBA Privacy Notice and Student
Consent Form (June 1998) at the time of enrollment.
(b) The work force preparation program administrator, or his or her de-
signee, shall obtain from each enrolled student a signed PBA Privacy No-
tice and Student Consent Form (June 1998) that indicates the student's
choice of whether to authorize or not authorize release of his or her social
security number and other personal data to the California Department of
Education for transmission to the SJTCC or its agent for use in the PBA
System. If any student declines to sign the PBA Privacy Notice and Stu-
dent Consent Form (June 1998), the program administrator, or his or her
designee, shall fill in the student's name and, in the space for student sig-
nature, write "declined" or words to that effect.
(c) For each student who agrees to participate inlhe PBA System, and
who has attended classes for 20 or more course hours, the work force
preparation program administrator, or his or her designee, shall compile
the information required on the PBA Student Data Profile (June 1 998).
(d) On or before August 31 of each year, the superintendent of the
school district or county office of education, or the administrator of the
regional occupational center/program, or his or her designee, shall report
the personal information required on the PBA Student Data Profile (June
Page 184.105
Register 2004, No. 24; 6 - 1 1 - 2004
§ 19601
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
1998) for each student enrolled in the prior school year who has agreed
to participate in the PB A System and shall certify to the best of his or her
knowledge and belief that the information being reported is accurate and
complete.
(e) Each signed PBA Privacy Notice and Student Consent Form (June
1 998), whether the student authorized or did not authorize release of per-
sonal data, shall be retained by the school district, county office of educa-
tion, or regional occupational center/program pursuant to the require-
ments of the federal Family Educational Rights and Privacy Act (20
U.S.C. § 1232g) and Chapter 6.5 of Part 27 (commencing with section
49060) of the California Education Code.
NOTE; Authority cited: Section 33031, Education Code. Reference: Section
49060, Education Code; Section 15037.1, Unemployment Insurance Code: Sec-
tions 1 1200 and 14000, Welfare and Institutions Code; and Section 1232c, U.S.
Code Title 20.
History
1. New section filed 7-3-98 as an emergency; operative 7-3-98 (Register 98, No.
27). A Certificate of Compliance must be transmitted to OAL by 11 -2-98 or
emergency language will be repealed by operation of law on the following day.
I. Certificate of Compliance as to 7-3-98 order transmitted to OAL 1 0-1 3-98 and
filed 1 1-23-98 (Register 98, No. 48).
Chapter 24.
Library Services Provided by
the State
NOTE: Authority cited for Chapter 1 : Sections 19304 and 19320, Education Code.
Issuing agencies: State Board of Education and Superintendent of Public Instruc-
tion. Reference; Sections 19320 and 19330, Education Code.
History
1. Editorial renumbering of Chapter 2, Subchapter 1, to Division 24, Chapter 1
(Register 69, No. 51 ). For prior history see Register 66, No. 2.
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77. No. 39).
3. Amendment of subsection (c) filed 5-5-82; effective thirtieth day thereafter
(Register 82, No. 19).
4. Editorial renumbering of Division 1, Chapter 24 (sections 20000-20400) to Di-
vision 2, Chapter 1. and editorial renumbering of former Division 2, Chapter 1
(Sections 20410-20426) to new Division 2. Chapter 2 (Register 2001, No. 45).
For prior history, see Register 90. No. 50.
=!« * *
Page 184.106
Register 2004, No. 24; 6-11-2004
JB^
Barclays Official
California
Code of
Regulations
Title 5. Education
Division 1.5. Education Audit Appeals Panel
Vol. 6
THOIVISOIM
*
WEST
Barclays Official California Code of Regulations
425 Market Street • Fourth Floor • San Francisco, CA 94105
800-888-3600
Title 5
Education Audit Appeals Panel
Table of Contents
Division 1.5. Education Audit Appeals Panel
Table of Contents
Page
Chapter 1.
Chapter 2.
General Provisions 185
§ 19800. Definitions.
S 19801. Quorum; Majority Vote; Limitations
on Public Coinments.
J^ 19802. Education Audit Appeals Panel —
Conflict of Interest Code.
Appendix 185
Summary Review; Appeals 185
§19803. Request for Summary Review
Filing; Form of Request for
Summary Review; Withdrawal of
Request for Summary Review.
vj 19804. Appeal Filing; Form of Notice of
Appeal; Withdrawal of Appeal.
§ 19805. Intervention.
Chapter 3.
Audits of California K-12 Local
Education Asiencies
186
Article 1.
§ 19810.
§ 19811.
§ 19812.
§ 19813.
§ 19814.
Article 2.
§ 19814.1.
§ 19815.
§ 19816.
§ 19816.1.
Article 3.
187
General Provisions
Scope.
Qualifications of Auditors.
Auditing Standards.
Materiahty Levels for Compliance
Auditing.
Auditor .ludgment.
Audit Reports
Applicability of Audit Procedures
by Audit Year.
Report Components.
Definitions.
Applicability of Audit Procedures
by Audit Year.
State Compliance Procedures:
Local Education Agencies
Other Than Charter Schools 190
§ 19817.
Regular and Special Day Classes.
§ 19817.1.
Regular and Special Day Classes.
§ 19818.
Kindergarten Confinuance.
§ 19819.
Independent Study.
§ 19820.
Continuation Education.
§ 19821.
Adult Education.
§ 19822.
Regional Occupational Centers and
Programs.
§ 19823.
Instructional Time and Staff
Development Reform Program.
§ 19824.
Instructional Time.
§ 19825. Community Day Schools.
§ 19826. Class Size Reduction.
§ 19826.1. Class Size Reduction.
§ 19827. Morgan-Han Class Size Reduction
Program.
§ 19828. Instructional Materials.
§19828.1. Instructional Materials.
§ 19828.2. Instructional Materials.
§ 19829. Ratios of Administrative Employees
to Teachers.
§ 19829.5. Classroom Teacher Salaries.
§ 19830. Early Retirement Incentive.
§ 19830.1. Iiarly Retirement Incentive.
§19831. Gann Limit Calculation.
§ 19832. School Construction Funds.
§ 19833. Alternative Pension Plans.
§ 19833.5. Iixcess Sick Leave.
§ 19833.6. Notification of Right to Elect
California State Teachers
Retirement System (CalSTRS)
Membership.
§ 19834. Proposition 20 Lottery Funds
(Cardenas Textbook Act of 2000).
§ 19835. State Lottery Funds (California
State Lottery Act of 1984).
§ 19836. California School Age Families
Education (Cal-SAFE) Program.
§ 19837. School Accountability Report Card.
§ 19837.1. School Accountability Report Card.
§19838. Mathematics and Reading
Professional Development.
Article 3.1. State Compliance Procedures:
School Districts and
Charter Schools 190.13
§ 19845. Class Size Reduction.
§ 19845.1. Class Size Reduction.
§ 19846. After School Education and Safety
Program.
Article 4. State Compliance Procedures:
Charter Schools 190.17
§ 19850. Contemporaneous Records of
Attendance.
§19851. Mode of Instruction.
§ 19852. Nonclassroom-Based
Instruction/Independent Study.
§ 19853. Determination of Funding for
Nonclassroom-Based Instruction.
§ 19854. Annual Instructional Minutes —
Classroom Based.
Page
(10- 1 2-2007)
Title 5
Education Audit Appeals Panel
§ 19804
Division 1.5.
Education Audit Appeals
Panel
Chapter 1. General Provisions
§19800. Definitions.
The following definiiions shall apply to these regulations:
(a) "Final audit report" means:
( 1 ) for an annual audit conducted pursuant to Education Code Section
41020, the report that has been accepted by the Controller pursuant to
Education Code Section 14504, and
(2) for any other audit or review conducted by or for a governmental
agency that includes one or more apportionment significant exceptions
requiring repayment, the report issued following an opportunity to pro-
vide a written response to a draft report;
(b) "Panel" means the Education Audit Appeals Panel.
(c) "Parties to the appeal" means the local education agency that is pur-
suing an appeal to the Panel, the Controller, and any applicant(s) allowed
to intervene pursuant to Government Code Section 1 1440.50.
(d) "Summary review" means the voluntary, informal, summary ap-
peals process set forth in Education Code Section 41344.1(d).
NOTE: Authority cited: Section 41344.1, Education Code. Reference: Sections
14504, 41020. 41344 and 41344.1, Education Code.
History
1. New section filed 5-10-2004; operative 5-10-2004 pursuant to Government
Code section 11 343.4 (Register 2004, No. 20).
§ 19801. Quorum; l\/lajorlty Vote; Limitations on Public
Comments.
(a) A quorum shall be two of the three members then constituting the
Panel.
(b) All decisions of the Panel shall be by majority vote of the three
members then constituting the Panel.
(c) Public comment on each item of a Panel agenda shall be limited to
3 minutes per speaker, provided that the Panel may extend this limit by
a uniform amount per speaker.
Note. Authority cited: Section 41344.1, Education Code. Reference: Section
41344.1, Education Code.
History
1. New section filed 5-10-2004; operative 5-10-2004 pursuant to Government
Code section 1 1343.4 (Register 2004, No. 20).
§ 19802. Education Audit Appeals Panel — Conflict of
Interest Code.
The Political Reform Act, Government Code Section 81000, et seq.,
requires each state and local government agency to adopt and promulgate
a conflict of interest code. The Fair Political Practices Commission has
adopted a regulation, 2 Cal. Code of Regs., Section 18730, which con-
tains the terms of a standard conflict of interest code. It can be incorpo-
rated by reference and may be amended by the Fair Political Practices
Commission after public notice and hearings to conform to amendments
in the Political Reform Act. Therefore, the terms of 2 Cal. Code of Regs.,
Section 1 8730, and any amendments to it duly adopted by the Fair Politi-
cal Practices Commission are hereby incorporated by reference and,
along with the attached Appendix in which members and employees are
designated and disclosure categories are set forth, and the place of filing
is specified, shall constitute the conflict of interest code of the Education
Audit Appeals Panel (agency).
Designated employees shall file statements of economic interests with
the agency, which shall make the statements available for public inspec-
tion and reproduction. Upon receipt of the statements of the members of
the Panel or their designees and of the Executive Officer, the agency shall
make and retain copies of the statements and send the originals to the Fair
Political Practices Commission.
NOTE: Authority cited: Section 87300, Government Code. Reference: Sections
87300-87302 and 87306, Government Code.
History
i . New division 1 .5 and chapter I (section 19802) and new section and Appendix
filed 3-1 1-2004; operative 4-ia~2004. Approved by Eair Political Practices
Commission 12-8-2003. Submitted to OAL tor printing only (Resisler 2004,
No. 11).
2. Amendment of Appendix filed 6-5-2(X)7; operative 7-5-2007. Approved by
Fair Pofitical Practices Commission 4-30-2007 (Register 2007. No. 23).
Appendix
Desii>nated Positions Disclosure Colci^ory
Members of the Panel (includes designees) I
Executive Officer I
Employees in all legal classifications I
Employees in Staff Services Analyst and Associate
Governmental Program Analyst positions who may
affect decisions regarding equipment, goods, or services I
All contracted consultants *
Disclosure Categoiy I:
Persons in this category must report all investments, business posi-
tions, and income, including gifts, loans, and travel payments, from
sources that provide leased facilities, goods, equipment, vehicles, ma-
chinery, or services, including training or consulting services, of the type
utilized by the Education Audit Appeals Panel, as well as all sources of
income, excluding salary, from local education agencies authorized in
statute to pursue appeals before the Education Audit Appeals Panel.
"Consultants shall be included in the list of designated employees and
shall disclose pursuant to the broadest disclosure category in the code
subject to the following limitation:
The Executive Officer may determine in writing that a particular con-
sultant, although in a "designated position." is hired to perform a range
of duties that is limited in scope and hence is not required to comply fully
with the disclosure requirements described in this section. Such deter-
mination shall include a description of the consultant's duties and. based
upon that description, a statement of the extent of disclosure require-
ments. The Executive Officer's determinafion is a public record and shall
be retained for public inspection in the same manner and location as this
conflict of interest code.
Chapter 2. Summary Review; Appeals
§ 19803. Request for Summary Review Filing; Form of
Request for Summary Review; Withdrawal of
Request for Summary Review.
(a) To request summary review, a local education agency shall, within
30 days of receipt of the final audit report, file a written Request for Sum-
mary Review with the Executive Officer of the Panel and shall:
(1 ) identify each finding for which summary review is requested; and
(2) set forth the basis for the local education agency's claim, as to each
disputed finding, that it was in substantial compliance, as set forth in
Education Code Section 41344.1(c).
(b) A local education agency may withdraw a Request for Summary
Review at any time prior to issuance of a determination by notifying the
Executive Officer of the Panel in writing.
NOTE: Authority cited; Section 41.344.1, Education Code. Reference: Section
41344.1, Education Code.
History
1 . New chapter 2 (sections 19803-19805) and section filed 5-10-2004; operative
5-10-2004 pursuant to Government Code section 1 1 343.4 (Register 2004, No.
20).
§ 19804. Appeal Filing; Form of Notice of Appeal;
Withdrawal of Appeal.
(a) To present an appeal to the Panel, a local education agency shall,
within 60 days of receipt of the final audit report or within 30 days of re-
ceipt of the determination of a summary review, file a written Notice of
Appeal with the Executive Officer of the Panel, identifying each finding
being appealed:
(b) A local education agency may withdraw an appeal at any time prior
to issuance of a decision by the Panel. The local education agency shall
give prompt written notice of the withdrawal:
( 1 ) to the Execufive Officer of the Panel.
Page 185
Register 2007, No. 23; 6-8-2007
§ 19805
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(2) if the appeal is pending before the Office of Administrative Hear-
ings,
(A) to the administrative law judge assigned responsibility for the mat-
ter, or
(B) if the matter has not been assigned to a particular administrative
law judge, to the Director of the Office of Administrative Hearings, and
(3) to all parties to the appeal.
Note: Authority cited: Section 41344.1. Education Code. Reference: Sections
4 1 344 and 4 1 344. 1 , Education Code.
History
1. New section filed 5-10-2004; operative 5-10-2004 pursuant to Government
Code section 1 1343.4 (Register 2004, No. 20).
§19805. Intervention.
Government Code Section 1 1440.50. concerning intervention, grant
of motion, and conditions, shall apply to appeal proceedings of the Panel.
NOTE: Authority cited: Section 41344.1, Education Code. Reference: Section
41344.1, Education Code.
History
1. New section filed 5-10-2004; operative 5-10-2004 pursuant to Government
Code section 11 343 .4 (Register 2004, No. 20).
Chapter 3. Audits of California K-12 Local
Education Agencies
Article 1. General Provisions
§19810. Scope.
These regulations constitute the audit guide, Standards and Proce-
dures for Audits of California K-12 Local Educational Agencies, that
shall be used in the performance of the audits required by Education Code
Section 41020. These regulations do not provide a complete manual of
procedures; auditors must exercise professional judgment.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1. New chapter 3 (articles 1-3, sections 19810-19831), article 1 (sections
19810-19811) and section filed 3-15-2004 as an emergency; operative
3-1 5-2004 (Register 2004, No. 1 2). A Certificate of Compliance must be trans-
mitted to OAL by 7-13-2004 or emergency language will be repealed by opera-
tion of law on the following day.
2. Certificate of Compliance as to 3-1 5-2004 order transmitted to OAL 5-6-2004
and filed 6-23-2004 (Register 2004, No. 26).
§ 1 981 1 . Qualifications of Auditors.
(a) Each audit shall be made by a certified public accountant or a public
accountant, licensed by the California Board of Accountancy, and se-
lected by the local education agency from a directory of certified public
accountants and public accountants deemed by the Controller as quali-
fied to conduct audits of local education agencies published by the Con-
troller not later than December 3 1 of each year.
(b) Except as provided in subdivision (d) of Education Code Section
41 320. 1 , it is unlawful for a public accounting firm to provide audit ser-
vices to a local educational agency if the lead audit partner, or coordinat-
ing audit partner, having primary responsibility for the audit, or the audit
partner responsible for reviewing the audit, has performed audit services
for that local educational agency in each of the six previous fiscal years.
The Education Audit Appeals Panel may waive this requirement if the
panel finds that no otherwise eligible auditor is available to perform the
audit.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Section
41020, Education Code.
History
1 . New section filed 3-15-2004 as an emergency; operative 3-15-2004 (Register
2004, No. 12). A Certificate of Compliance must be transmitted to OAL by
7-13-2004 or emergency language will be repealed by operafion of law on the
following day.
2. Certificate of Compliance as to 3-1 5-2004 order transmitted to OAL 5-6-2004
and filed 6-23-2004 (Register 2004, No. 26).
§19812. Auditing Standards.
Audits shall be conducted in accordance with auditing standards gen-
erally accepted in the United States of America, the standards set forth
in Government Auditing Standards issued by the Comptroller General of
the United States, and the provisions of this chapter.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14501, 14503 and 41020, Education Code.
History
1 . New article 2 (sections 1 98 1 2- 1 98 1 4) and section filed 3-1 5-2004 as an emer-
gency: operative 3-15-2004 (Register 2004, No. 12). A Certificate of Com-
pliance must be transmitted to OAL by 7- 13-2004 or emergency language will
be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-15-2004 order transmitted to OAL 5-6-2004
and filed 6-23-2004 (Register 2004, No. 26).
3. Amendment moving section 19812 from article 2 to article 1 filed 6-9-2006;
operative 6-9-2006 (Register 2006, No. 23).
§ 19813. l\/lateriality Levels for Compliance Auditing.
Each program for which Average Daily Attendance is reported to the
California Department of Education for apportionment purposes must be
audited for compliance with specific requirements of law, as further set
forth in this article, if the number of units of Average Daily Attendance
reported is material as shown in the following table:
Local Education Agency's Total
Reported Average Daily
Attendance (ADA)
1 -1,000
1,001 -2,500
2,501 - 10,000
More than 10,000
Number of ADA
Constituting Materiality
for Each Program
1 0 or more
20 or more
50 or more
100 or more
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1 . New section filed 3-1 5-2004 as an emergency; operative 3-15-2004 (Register
2004, No. 12). A Certificate of Compliance must be transmitted to OAL by
7-1 3-2004 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-1 5-2004 order transmitted to OAL 5-6^2004
and filed 6-23-2004 (Register 2004, No. 26).
3. Amendrnent of subsections (e) and (e)(2) filed 5-6-2005 as an emergency; op-
erative 5-6-2005 (Register 2005, No. 1 8). A Certificate of Compliance must be
transmitted to OAL by 9-6-2005 or emergency language will be repealed by
operation of law on the following day.
4. Certificate of Compliance as to 5-6-2005 order transmitted to OAL 5-24-2005
and filed 6-20-2005 (Register 2005, No. 25).
5. Renumbering of section 19813 to section 19815 and renumbering of section
19815 to section 19813 filed 6-9-2006; operative 6-9-2006 (Register 2006,
No. 23).
§ 19814. Auditor Judgment.
For each state compliance requirement, the auditor shall follow the
procedures included in this audit guide, unless, in the exercise of his or
her professional judgment, the auditor determines other procedures are
more appropriate in particular circumstances.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14503 and 41020, Education Code.
History
1 . New section filed 3-1 5-2004 as an emergency; operative 3-15-2004 (Register
2(X)4, No. 12). A Certificate of Compliance must be transmitted to OAL by
7-13-2004 or emergency language will be repealed by operation of law on the
following day.
2. Amendment of subsections (e) and (/) filed 6-17-2004 as an emergency; opera-
tive 6-17-2004 (Register 2004, No. 25). A Certificate of Compliance must be
transmitted to OAL by 10-1 5-2004 or emergency language will be repealed by
operation of law on the following day.
3. Certificate of Compliance as to 3- 15-2004 order, including amendment of sub-
section (e), transmitted to OAL 5-6-2004 and filed 6-23-2004 (Register 2004,
No. 26).
4. Change without regulatory effect amending subsection (e) filed 6-30-2004 pur-
suant to section 1 00, title 1 , California Code of Regulations (Register 2004, No.
27).
5. Amendment of subsections (e) and (/) refiled 9-30-2004 as an emergency; op-
erative 10-16-2004 (Register 2004, No. 40). A Certificate of Compliance must
be transmitted to OAL by 2-14-2005 or emergency language will be repealed
by operation of law on the following day.
Page 186
Register 2007, No. 23; 6-8-2007
Title 5
Education Audit Appeals Panel
§ 19816
•
•
6. Cenificate ot'Compliance as to 9-30-2004 order, including further amendment
ol subsection (e), transmitted to OAL 12-9-2004 and filed 1-19-2005 (Reeis-
ter 2005. No. 3).
7. Amendment of first paragraph, redesignation and amendment of second para-
graph of sub.seclion (e) as subsection (e)( 1). new subsection (e)(2) and amend-
ment of subsection (/) filed 2-10-2005 as an emergency: operative 2-10-2005
( Register 2005. No. 6). A Certificate of Compliance must be transmitted to OAL
by 6-10-2005 or emergency language will be repealed by operation of law on
the following day.
8. Amendment of subsections (d), (e)( I ) and (e)(2). new subsection (e)(3). amend-
ment of subsection (k) and amendment of NoTi. filed 5-6-2005 as an emergen-
cy; operative 5-6-2005 (Register 2005. No. 18). A Certificate of Compliance
must be transmitted to OAL by 9-6-2005 or emergency language will be re-
pealed by operation of law on the following day.
9. Certificate of Compliance as to 2-10-2005 order, including 5-6-2005 emer-
gency amendments, transmitted to OAL 5-24-2005 and filed 6-20-2005 (Reg-
ister 2005, No. 25).
10. Certificate of Compliance as to 5-6-2005 order transmitted to OAL
8-26-2005 and filed 10-1 1-2005 (Register 2005, No. 41 ).
1 1 . Amendment of subsections (e)(3) and (i). new subsection (j), subsection relet-
tering and amendment of newly designated subsection (k) filed 2-17-2006 as
an emergency: operative 2-17-2006 (Register 2006, No. 7). A Certificate of
Compliance must be transmitted to OAL by 6-19-2006 or emergency language
will be repealed by operafion of law on the following day.
12. Certificate of Compliance as to 2-17-2006 order, including renumbering of
section 19814 to section 19816 and renumbering of section 19816 to section
1 98 1 4, transmitted to OAL 4-27-2006 and filed 6-9-2006 (Register 2006. No.
23).
Article 2. Audit Reports
§ 19814.1. Applicability of Audit Procedures by Audit
Year.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14501. 14502.1. 14503, 41020 and 47634.2, Educafion Code.
History
1 . New section filed 6-1 7-2004 as an emergency: operative 6-1 7-2004 (Register
2004. No. 25). A Certificate of Compliance must be transmitted to OAL by
10-1 5-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section retlled 9-30-2004 as an emergency: operative 10-16-2004 (Reg-
ister 2004, No. 40). A Certificate of Compliance must be transmitted to OAL
by 2-1 4-2005 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 9-30-2004 order, including amendment of sub-
section (b), transjnitted to OAL 12-9-2004 and filed 1-19-2005 (Register
2005, No. 3).
4. Amendment filed 2-10-2005 as an emergency: operative 2-10-2005 (Register
2005. No. 6). A Certificate of Compliance must be transmitted to OAL by
6-10-2005 or emergency language will be repealed by operation of law on the
following day.
5. Amendment of section and Note filed 5-6-2005 as an emergency; operative
5-6-2005 (Register 2005, No. 18). A Certificate of Compliance must be trans-
mitted to OAL by 9-6-2005 or emergency language will be repealed by opera-
tion of law on the following day.
6. Certificate of Compliance as to 2-10-2005 order, including 5-6-2005 emer-
gency amendments, transmitted to OAL 5-24-2005 and filed 6-20-2005 (Reg-
ister 2005, No. 25).
7. Certificate of Compliance as to 5-6-2005 order, including further amendment
of subsection (a)(2), transmitted to OAL 8-26-2005 and filed 10-11-2005
(Register2005, No. 41).
8. Amendment of subsection (a)(3) filed 2-17-2006 as an emergency; operative
2-17-2006 (Register 2006, No. 7). A Certificate of Compliance must be trans-
mitted to OAL by 6- 1 9-2006 or emergency language will be repealed by opera-
tion of law on the following day.
9. Certificate of Compliance as to 2-17-2006 order, including renumbering and
amendment of section 19814.1 to section 19816.1, transmitted to OAL
4-27-2006 and filed 6-9-2006 (Register 2006, No. 23).
§ 19815. Report Components.
The report of each audit performed pursuant to Education Code Sec-
tion 41020 shall be as follows, except that the subelements of (d) may be
in any order among themselves:
(a) Introductory Section.
(1) Table of Contents for the audit report.
(2) Other information as deemed appropriate by the auditee.
(b) Financial Section.
(1) Independent Auditor's Report.
(2) Management's Discussion and Analysis.
(3) Basic Financial Statements.
(4) Notes to the Basic Financial Statements.
(c) Required Supplementary Information.
Schedule of budgetary comparison data for the General Fund and any
major special revenue funds that have legally adopted annual budgets,
disclosing excesses of expenditures over appropriations, if any, in indi-
vidual funds presented in the budgetary comparison.
(d) Supplementary Information.
(1) Local Education Agency Organization Structure.
(2) Schedule of Average Daily Attendance.
(3) Schedule of Instructional Time.
(4) Schedule of Financial Trends and Analy.sis.
(5) Reconciliation of Annual Financial and Budget Report With Au-
dited Financial Statements.
(6) Optionally, Combining Statements and Individual Fund State-
ments and Schedules.
(7) Schedule of Charter Schools.
(8) If required as set forth in the edition of OMB Circular A- 1 33 appli-
cable to the year being audited. Schedule of Expenditures of Federal
Awards.
(9) Notes to Supplementary Information, if required.
(e) Other Independent Auditor's Reports.
( 1) Report on Internal Control Over Financial Reporting and on Com-
pliance and Other Matters Based on an Audit of Financial Statements
Performed in Accordance with Government Auditing Standards.
(2) Report on State Compliance.
(3) If required as set forth in the edition of OMB Circular A- 1 33 appli-
cable to the year being audited. Report on Compliance With Require-
ments Applicable to Each Major Program and Internal Control Over
Compliance in Accordance With OMB Circular A-1 33.
(f) Findings and Recommendations.
(1) Schedule of Findings and Questioned Costs.
(2) Schedule of Prior Audit Findings.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1. New article 3 (sections 19815-19831) and section filed 3-15-2004 as an emer-
gency; operafive 3-15-2004 (Register 2004, No. 12). A Certificate of Com-
pliance must be transmitted to OAL by 7- 1 3-2004 or emergency language will
be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-1 5-2004 order transmitted to OAL 5-6-2004
and filed 6-23-2004 (Register 2004, No. 26).
3. Renumbering of section 19815 to section 19813 and renumbering of section
19813 to secfion 19815 filed 6-9-2006: operative 6-9-2006 (Register 2006,
No. 23).
4. New subsection (d)(1), subsection renumbering and amendment of subsection
(e)(1) filed 6-12-2006 as an emergency; operative 6-12-2006 (Register 2006,
No. 24). A Certificate of Compliance must be transmitted to OAL by
10-10-2006 or emergency language will be repealed by operation of law on the
following day.
5. Certificate of Compliance as to 6-12-2006 order transmitted to OAL
9-20-2006 and filed 9-29-2006 (Register 2006, No. 39).
§19816. Definitions.
The content of the audit report sections and subsections specified in
Section 19815 is as described in the Codification of Statements on Audit-
ing Standards, published by the American Institute of Certified Public
Accountants, the Codification of Governmental Accounting and Finan-
cial Reporting Standards published by the Governmental Accounting
Standards Board (GASB), or Government Auditing Standards published
by the Comptroller General of the United States, in the respective edi-
tions applicable to the fiscal year being audited, or as defined in one of
the following:
(a) '"Government Auditing Standards" means the publication by the
Comptroller General of the United States, United States General Ac-
counting Office, originally issued in 1972 and revised from time to time,
commonly known as the "Yellow Book," that contains standards for au-
dits of government organizations, programs, activities, and functions and
Page 187
Register 2008, No. 24; 6- 13-2008
§ 19816
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
that is referenced in Education Code sections 14501. 14503, and
41020(b)(4).
(b) "Local Education Agency Organization Structure" means a de-
scription in the Supplementary Information section that sets forth the fol-
lowing information, at a minimum:
( 1 ) The date on which the local education agency was established, and
for charter schools the date and granting authority of each charter;
(2) The date and a general description of any change during the year
audited in a school district's boundaries;
(3) The numbers by type of schools in the local education agency;
(4) The names, titles, terms, and term expiration dates of all members
of the governing board;
(5) The names, with their titles, of the superintendent, chief business
official, and deputy/associate/assistant superintendents.
(c) "0MB Circular A- 133" means the publication, produced by the
federal Office of Management and Budget and Med Audits of States, Lo-
cal Governments, and Non-Profit Organizations, that sets forth stan-
dards for attaining consistency and uniformity in the audits of govern-
ments and organizations expending federal awards.
(d) "Reconciliation of Annual Financial and Budget Report with Au-
dited Financial Statements" means a schedule that displays the differ-
ences between the ending fund balance(s) from the audited financial
statements and the unaudited ending fund balance(s) from the annual fi-
nancial and budget report for each fund in which a variance occurred.
(e) "Report on Internal Control Over Financial Reporting and on Com-
pliance and Other Matters Based on an Audit of Financial Statements
Performed in Accordance with Government Auditing Standards'' means
the component of the Other Independent Auditor' s Reports that specifies
material instances of noncompliance, if any; defines reportable condi-
tions and specifies the reportable conditions disclosed as a result of the
audit; defines material weaknesses and specifies the material weak-
nesses, if any, that were disclosed by the audit; includes a statement that
no material weaknesses were found, if that is the case; includes a state-
ment that nonmaterial noncompliance and nonreportable conditions in-
volving the internal control structure and its operation were communi-
cated to management in a separate management letter, if that is the case;
specifies all instances of fraud and illegal acts, if any. that were disclosed
by the audit, unless clearly inconsequential; and specifies material abuse,
if any, that was disclosed by the audit.
(f) "Report on State Compliance" means the component of the Other
Independent Auditor's Reports that specifically and separately addresses
each of the state compliance requirements included in this audit guide
that are appHcable to the year audited, stating whether or not the district
is in compliance with those requirements; includes a chart that displays
the number of audit procedures for each compliance requirement appli-
cable to the year audited and states that the audit procedures included in
the audit guide for each requirement were followed in the making of the
audit, if that is the case, or, if not, what other procedures were followed;
and includes an expression of positive assurance with respect to com-
pliance with applicable laws and regulations for those items tested in ac-
cordance with those regulafions, and negative assurance for untested
items.
(1 ) The numbers of audit procedures for the compliance requirements
included in this audit guide for audits of fiscal year 2003-04 are
Attendance Reporting, 6;
Kindergarten Continuance, 3;
Independent Study, 22;
Continuation Education, 10;
Adult Education, 9;
Regional Occupational Centers and Programs, 6;
Instructional Time and Staff Development Reform Program, 7;
Instructional Time for school districts, 4; for county offices of educa-
tion, 3;
Community Day Schools, 9;
Instructional Materials general requirements, 9; K-8 only, 1 ; grades
9-12 only, 1;
Ratios of Administrative Employees to Teachers, 1;
Early Retirement Incentive, 4;
Gann Limit Calculation, 1;
Class Size Reduction (including in charter schools): general require-
ments. 7; Option One, 3; Option Two, 4; districts or charter schools with
only one school serving K-3, 4.
(2) The numbers of audit procedures for the compliance requirements
included in this audit guide for audits of fiscal year 2004-05 are
Attendance Reporting, 8;
Kindergarten Continuance, 3;
Independent Study. 22;
Continuation Education. 10;
Adult Education, 9;
Regional Occupational Centers and Programs. 6;
Instructional Time and Staff Development Reform Program, 7;
Instructional Time for school districts, 4; for county offices of educa-
tion, 3;
Community Day Schools, 9;
Instructional Materials general requirements. 12; K-8 only. 1; grades
9-12 only. I;
Ratios of Administrative Employees to Teachers, 1;
Early Retirement Incentive, 4;
Gann Limit Calculafion, 1 ;
School Construction Funds: School District Bonds. 3; State School
Facilities Funds, 1;
Alternative Pension Plans, 2;
Proposifion 20 Lottery Funds (Cardenas Textbook Act of 2000), 2;
State Lottery Funds (California State Lottery Act of 1984), 2;
California School Age Families Education (Cal-SAFE) Program, 3;
School Accountability Report Card, 3;
Class Size Reduction (including in charter schools): general require-
ments, 7; Option One, 3; Option Two, 4; districts or charter schools with
only one school serving K-3, 4.
(3) The numbers of audit procedures for the compliance requirements
included in this audit guide for audits of fiscal year 2005-06 are
Attendance Reporting, 8;
Kindergarten Continuance, 3;
Independent Study, 22;
Continuation Education, 10;
Adult Education, 9;
Regional Occupational Centers and Programs, 6;
Instructional Time for school districts, 4; for county offices of educa-
tion, 3;
Community Day Schools. 9;
Morgan-Hart Class Size Reduction Program. 7;
Instrucfional Materials general requirements, 12; K-8 only, 1; grades
9-12 only, 1;
Ratios of Administrative Employees to Teachers, 1 ;
Early Retirement Incentive, 4;
Gann Limit Calculation, 1;
School Construction Funds; School District Bonds, 3; State School
Facilities Funds, 1 ;
Alternative Pension Plans, 2;
Proposifion 20 Lottery Funds (Cardenas Textbook Act of 2000), 2;
State Lottery Funds (California State Lottery Act of 1984), 2;
California School Age Families Education (Cal-SAFE) Program, 3;
School Accountability Report Card, 3;
Class Size Reduction (including in charter schools): general require-
ments, 7; Option One, 3; Option Two, 4; districts or charter schools with
only one school serving K-3, 4;
Contemporaneous Records of Attendance, for charter schools. 1 ;
Nonclassroom-Based Instruction/Independent Study, for charter
schools, 15;
Addifional Nonclassroom-Based Instruction, for charter schools, 1 ;
Determination of Funding for Nonclassroom-Based Instruction, for
charter schools, 3;
•
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Education Audit Appeals Pane]
§ 19816
Annual Instructional Minutes — Classroom Based, for charter
schools, 3.
(4) The numbers of audit procedures tor the compliance requirements
included in this audit guide for audits of fiscal year 2006-07 are
Attendance Reporting. 8;
Kindergarten Continuance. 3:
Independent Study, 23:
Continuation Education, 10;
Adult Education, 9;
Regional Occupational Centers and Programs, 6;
Instructional Time for school districts. 6; for county offices of educa-
tion. 3;
Community Day Schools, 9;
Morgan-Hart Class Size Reduction Program. 7;
Insiaiclional Materials general requirements. 12; K-8 only, 1; grades
9-12 only. I;
Ratios of Administrative Employees to Teachers. 1;
Early Retirement Incentive, 4;
Gann Limit Calculation, 1;
School Construction Funds; School District Bonds. 3; State School
Facilities Funds. 1;
Alternative Pension Plans, 2;
Excess Sick Leave, 2 or 3;
Notice of Right To Elect California State Teachers Retirement System
(CalSTRS) Membership. 1;
Proposition 20 Lottery Funds (Cardenas Textbook Act of 2000), 2;
State Lottery Funds (California State Lottery Act of 1984), 2;
California School Age Families Education (Cal-SAFE) Program, 3;
School Accountability Report Card, 3;
Class Size Reduction (including in charter schools); general require-
ments. 7; Option One, 3; Option Two, 4; districts or charter schools with
only one school serving K-3. 4;
Contemporaneous Records of Attendance, for charter schools, 1 ;
Mode of Instruction, for charter schools. 1 ;
Nonclassroom-Based Instruction/Independent Study, for charter
schools, 15;
Determination of Funding for Nonclassroom-Based Instruction, for
charter schools, 3;
Annual Instructional Minutes — Classroom Based, for charter
schools, 3;
(5) The numbers of audit procedures for the compliance requirements
included in this audit guide for audits of fiscal year 2007-08 are
Attendance Reporting, 8;
Kindergarten Continuance. 3;
Independent Study, 23;
Continuation Education. 10;
Adult Education. 9;
Regional Occupational Centers and Programs, 6;
Instructional Time for school districts, 6; for county offices of educa-
tion. 3;
Community Day Schools, 9;
Morgan-Hart Class Size Reduction Program, 7;
Instructional Materials general requirements, 12; K-8 only, 1; grades
9-12 only, 1;
Ratios of Administrative Employees to Teachers, 1;
Classroom Teacher Salaries, 1;
Early Retirement Incentive, 4;
Gann Limit Calculation, 1;
School Construction Funds; School District Bonds, 3; State School
Facilities Funds, 1;
Excess Sick Leave, 2 or 3;
Notice of Right To Elect California State Teachers Retirement System
(CalSTRS) Membership, 1;
Proposition 20 Lottery Funds (Cardenas Textbook Act of 2000), 2;
State Lottery Funds (California State Lottery Act of 1984), 2;
California School Age Families Education (Cal-SAFE) Program, 3;
School Accountability Report Card, 3;
Mathematics and Reading Professional Development, 4;
Class Size Reduction (including in charter schools); general require-
ments. 7; Option One, 3; Option Two, 4; districts or charter schools with
only one school serving K-3. 4;
After School Education and Safety Program: general requirements, 4;
after school, 4; before school, 5;
Contemporaneous Records of Attendance, for charter schools, 1 ;
Mode of Instruction, for charter schools. 1 ;
Nonclassroom-Based Instruction/Independent Study, for charter
schools. 15;
Determination of Funding for Nonclassroom-Based Instruction, for
charter schools. 3;
Annual Instructional Minutes — Classroom Based, for charter
schools. 3.
(6) The numbers of audit procedures for the compliance requirements
included in this audit guide for audits of fiscal year 2008-09 are
Attendance Reporting. 8;
Independent Study. 23;
Continuation Education. 10;
Adult Education, 9;
Regional Occupational Centers and Programs. 6;
Instaictional Time for school districts, 6; for county offices of educa-
tion, 3;
Community Day Schools, 9;
Morgan-Hart Class Size Reduction Program. 7;
Instructional Materials general requirements. 1 2; K-8 only, 1 ; grades
9-12 only, 1;
Ratios of Administrative Employees to Teachers. 1 ;
Classroom Teacher Salaries, 1 ;
Early Retirement Incentive, 4;
Gann Limit Calculation, 1;
School Accountability Report Card, 3;
Mathematics and Reading Professional Development, 4;
Class Size Reduction (including in charter schools): general require-
ments, 7; Option One, 3; Option Two, 4; districts or charter schools with
only one school serving K-3, 4;
After School Education and Safety Program: general requirements, 4;
after school, 4; before school, 5;
Contemporaneous Records of Attendance, for charter schools, 1;
Mode of Instruction, for charter schools, 1 ;
Nonclassroom-Based Instruction/Independent Study, for charter
schools, 15;
Determination of Funding for Nonclassroom-Based Instruction, for
charter schools, 3;
Annual Instructional Minutes — Classroom Based, for charter
schools, 3.
(g) "Report on Comphance With Requirements Applicable to Each
Major Program and Internal Control Over Compliance in Accordance
With 0MB Circular A- 1 3 3" means the component of the Other Indepen-
dent Auditor's Reports that states whether the auditee has complied with
federal laws, regulations, and the provisions of federal contracts or grant
agreements and has established and maintained effective internal control
over compliance with the requirements for major federal programs.
(h) "Schedule of Average Daily Attendance" means the schedule in
the Supplementary Information section that displays Average Daily
Attendance data for both the Second Period and Annual reports, by grade
level and program as appropriate, and, for charter schools, includes total
Average Daily Attendance and Average Daily Attendance generated
through classroom-based instruction.
(i) "Schedule of Charter Schools" means the schedule in the Supple-
mentary Information section that lists all charter schools chartered by the
school district or county office of education, and displays information for
each charter school on whether or not the charter school is included in the
school district or county office of education audit.
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§ 19816.1
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(j) "Schedule of Financial Trends and Analysis" means, for fiscal year
2003-04, the schedule in the Supplementary Information section that
displays information regarding the auditee's financial position and going
concern status, in the form of actual financial and attendance figures for
at least the most recent three-year period (ending with the audit year),
plus the current year's budget, for the following items: General Fund fi-
nancial activity, including total revenue, expenditures, and other sources
and uses; General Fund balance; available reserve balances (funds desig-
nated for economic uncertainty, and any other remaining undesignated
fund balance) within the General Fund, Special Reserve Fund, and any
Article XIII-B Trust Funds; available reserve balances expressed as a
percentage of total General Fund outgo (expenditures, transfers out, and
other uses), including a comparison to the applicable state-recom-
mended available reserve percentage; total long-term debt; and elemen-
tary and secondary Second Principal Average Daily Attendance, exclud-
ing Regional Occupational Centers and Programs and Adult Average
Daily Attendance; and, when the auditee's percentage of available re-
serves to total General Fund outgo is below the state-recommended per-
centage, management's plans for increasing the auditee's available re-
serve percentage.
(k) "Schedule of Financial Trends and Analysis" means, for fiscal year
2004-05 and each fiscal year thereafter, the schedule in the Supplemen-
tary Information section that displays information regarding the audi-
tee's financial position and going concern status, in the form of actual fi-
nancial and attendance figures for at least the most recent three-year
period (ending with the audit year), plus the current year's budget, for the
following items: General Fund financial activity, including total revenue,
expenditures, and other sources and uses; General Fund balance; avail-
able reserve balances (funds designated for economic uncertainty, and
any other remaining undesignated fund balance) within the General Fund
or Special Reserve Fund; available reserve balances expressed as a per-
centage of total General Fund outgo (expenditures, transfers out, and oth-
er uses), including a comparison to the applicable state-recommended
available reserve percentage; total long-term debt; and elementary and
secondary Second Principal Average Daily Attendance, excluding Re-
gional Occupational Centers and Programs and Adult Average Daily
Attendance; and, when the auditee's percentage of available reserves to
total General Fund outgo is below the state-recommended percentage,
management's plans for increasing the auditee's available reserve per-
centage.
(/) "Schedule of Findings and Questioned Costs" means that part of the
Findings and Recommendations section that presents all audit year find-
ings, and a copy of each management letter issued, if any, with each find-
ing assigned the appropriate code from among the following: 10000
Attendance, 20000 Inventory of Equipment, 30000 Internal Control,
40000 State Compliance, 41000 CalSTRS, 50000 Federal Compliance,
60000 Miscellaneous, 61000 Classroom Teacher Salaries, 70000
Instructional Materials, 71000 Teacher Misassignments, 72000 School
Accountability Report Card, and includes the following elements:
(1) criteria
(2) condition
(3) effect
(4) cause
(5) a statement of the number of units of Average Daily Attendance,
if any, that were inappropriately reported for apportionment; and a state-
ment consistent with its basis of funding, for any other inappropriately
reported claim-such as number of staff development days, or number of
pupils for Class Size Reduction, or amount in dollars for Instructional
Materials, and so forth
(6) a recommendation for the resolution of the finding
(7) a corrective action plan prepared by the auditee that describes in
specific terms the actions planned or taken to correct the problem, or a
statement from the auditee that the corrective action recommended by the
auditor is not necessary or appropriate and giving the specific reasons
why, if that is the case, and a statement that the corrective action plan was
not available if no corrective action plan was submitted before the audit
was prepared.
(m) "Schedule of Instructional Time" means a schedule in the Supple-
mentary Information section that displays, for school districts, including
basic aid districts, and county offices of education, data that show wheth-
er the auditee complied with the provisions of Article 8 (commencing
with Section 46200) of Chapter 2 of Part 26 of the Education Code; and
for charter .schools, data that show whether the auditee complied with the
provisions of subdivision (a)(1) of Education Code Section 47612.5.
(n) "Schedule of Prior Audit Findings" means that part of the Findings
and Recommendations section that presents the status of actions taken by
the auditee on each of the findings and recommendations reported in the
prior year audit, and includes as current year findings and recommenda-
tions those prior year findings that have not been resolved.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14501, 14502.1, 14.503, 41020 and 47634.2, Education Code.
History
1 . New section filed 3-1 .5-2004 as an emergency; operative 3-1 5-2004 (Register
2004, No. 12). A Certificate of Compliance must be transmitted to OAL by
7-1 3-2004 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-1 5-2004 order transmitted to OAL 5-6-2004
and filed 6-23-2004 (Register 2004, No. 26).
3. Certificate ofCompliance as to 2-1 7-2006 order, including renumbering of sec-
tion 19816 to section 19814andrenumberingandamendment of section 19814
to section 19816, transmitted to OAL 4-27-2006 and filed 6-9-2006 (Register
2006. No. 23).
4. New subsections (b)-(b)(5), subsection relettering. amendment of newly desig-
nated subsections (e) and (f)(2), new subsection (f)(4) and amendment of newly
designated subsection (/) filed 6-12-2006 as an emergency; operative
6-1 2-2006 (Register 2006, No. 24). A Certificate ofCompliance must be trans-
mitted to OAL by 10-10-2006 or emergency language will be repealed by op-
eration of law on the following day.
5. Certificate of Compliance as to 6-12-2006 order transmitted to OAL
9-20-2006 and filed 9-29-2006 (Register 2006, No. 39).
6. Change without regulatory effect amending subsection (f)(4) filed 3-1-2007
pursuant to section 100, title 1, California Code of Regulations (Register 2007,
No. 9).
7. Amendment of subsections (f)( 1 )-(f)(4), new subsection (f)(5) and amendment
of subsections (h) and (m) filed 5-18-2007 as an emergency; operative
5-1 8-2007 (Register 2007, No. 20). A Certificate ofCompliance must be trans-
mitted to OAL by 1 1-14-2(K)7 or emergency language will be repealed by op-
eration of law on the following day.
8. Certificate ofCompliance as to 5-1 8-2007 order transmitted to OAL 8-1-2007
and filed 9-10-2007 (Register 2007, No. 37).
9. New subsection (f)(6) filed 6-9-2(X)8 as an emergency; operative 6-9-2(X)8
(Register 2008, No. 24). A Certificate of Compliance must be transmitted to
OAL by 12-8-2008 or emergency language will be repealed by operation of
law on the following day.
§ 1 981 6.1 . Applicability of Audit Procedures by Audit
Year.
(a) Of the compliance requirements set forth in Article 3:
(1) Sections 19817 through 19825, and 19828 through 19831 are ap-
plicable to fiscal year 2003-04 audits;
(2) Sections 19817.1 through 19825, and 19828.1 through 19837 are
applicable to fiscal year 2004-05 audits.
(3) Sections 19817.1 through 19822, 19824, 19825, 19827 and
19828.1 through 19837 are applicable to fiscal year 2005-06 audits.
(4) Sections 19817.1 through 19822, 19824, 19825, 19827, and
19828.1 through 19837 are applicable to fiscal year 2006-07 audits.
(5) Sections 19817.1 through 19822, 19824, 19825. 19827, 19828.2
through 19832, and 19833.5 through 19838 are applicable to fiscal year
2007-08 audits.
(6) Sections 19817.1, 19819 through 19822, 19824, 19825, 19827,
19828.3 through 19831, 19837.2, and 19838 are applicable to fiscal year
2008-09 audits.
(b) Of the compliance requirements set forth in Article 3.1,
(1) Section 19845 is applicable to fiscal year 2003-04 audits
(2) Section 19845.1 is applicable to fiscal year 2004-05 audits;
(3) Section 19845.1 is applicable to fiscal year 2005-06 audits;
(4) Section 19845.1 is applicable to fiscal year 2006-07 audits;
•
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Title 5
Education Audit Appeals Panel
§19817.1
(5) Sections 1 9845. 1 and 1 9846 are applicable to fiscal year 2007-08
audits.
(6) Sections 19845. 1 and 19846 are applicable to fiscal year 2008-09
audits.
(c) Of the compliance requirements set forth in Article 4,
(1) Sections 19850 through 19854 are apphcable to fiscal year
2005-06 audits.
(2) Sections 19850 through 19854 are applicable to fiscal year
2006-07 audits.
(J) Sections 19850 through 19854 are applicable to fiscal year
2007-08 audits.
(4) Sections 19850 through 19854 are applicable to fiscal year
2008-09 audits.
Note.; Aulhority cited: Section J4502.J, Education Code. Reference: Sections
14501, 14502.1. 1450.1. 41020 and 47634.2. Education Code.
History
1. Renumbering and amendment of section 19814.1 to section 19816.1 filed
6-9-2006: operative 6-9-2006 (Register 2006, No. 23).
2. New subsections (a)(4), (b)(4) and (c)( 1 )-(2) filed 6-1 2-2006 as an emergency;
operative 6-12-2006 (Register 2006, No. 24). A Certificate of Compliance
must be transmitted to OAL by 10-10-2006 or emergency language will be re-
pealed by operation of law on the following day.
3. Certificate of Compliance as to 6-12-2006 order transmitted to OAL
9-20-2006 and filed 9-29-2006 (Register 2006, No. 39).
4. New subsections (a)(5), (b)(5) and (c)(3 ) filed 5- 1 8-2007 as an emergency; op-
erative 5-18-2007 (Register 2007, No. 20). A Certificate of Compliance must
be transmitted to OAL by 1 1-1 4-2007 or emergency language will be repealed
by operation of law on the following day.
5. Certificate of Compliance as to 5-18-2007 order transmitted to OAL 8-1-2007
and filed 9-10-2007 (Register 2007, No. 37).
6. Amendment of subsection (a)(5) and new subsections (a)(6), (b)(6) and (c)(4)
filed 6-9-2008 as an emergency; operative 6-9-2008 (Register 2008, No. 24).
A Certificate of Compliance must be transmitted to OAL by 12-8-2008 or
emergency language will be repealed by operation of law on the following day.
Article 3. State Compliance Procedures:
Local Education Agencies Other Than
Charter Schools
§ 19817. Regular and Special Day Classes.
For fiscal year 2003-04 only, perform the following audit steps:
(a) Determine whether the Second Principal and Annual reports of
attendance submitted to the California Department of Education recon-
cile to the supporting documents by verifying the local education
agency's Average Daily Attendance calculations for each reporting line
item, including the informational line items. Trace the Average Daily
Attendance numbers from the Second Principal and Annual reports of
attendance to the local education agency's summaries.
(b) Verify that the monthly site summaries used for summarizing
attendance provide accurate information, by selecting a representative
sample of schools and performing the following procedures (include spe-
cial day classes in this sample; other special programs are identified sepa-
rately in subsequent sections of this audit guide):
( 1 ) Reconcile the monthly totals (days of apportionment attendance)
on the school's attendance summary to the summary maintained by the
local education agency for the Second Principal and the Annual atten-
dance reports.
(2) Select at least one test month in the Second Principal or Annual
attendance reporting period. Verify the mathematical accuracy of the
monthly report and trace the totals to the school's attendance summary.
(3) Select a representative sample of classes (teachers) and trace the
monthly totals from the monthly report to the data origination documen-
tation. Verify the mathematical accuracy of the attendance registers,
scantron summaries, or other data arrays.
(c) Select a sample of absences and compare to documentation sup-
porting Average Daily Attendance reported to the California Department
of Education to verify that absences were not included in Average Daily
Attendance. The documentation maintained by the local education
agency with regard to its absences may be in the form of notes, logs, or
other records, depending on the board-adopted policy concerning verifi-
cation of absences.
(d) If any inappropriately reported units of Average Daily Attendance
are identified through the foregoing audit procedures, recalculate, con-
sistent with the provisions of Education Code Section 46303, the correct
number of units of Average Daily Attendance. Include a statement in the
Findings and Recommendations section of the audit report of the number
of units of Average Daily Attendance that were inappropriately reported
for apportionment and an estimate of their dollar value.
(e) For each teacher selected pursuant to subparagraph (b)(3) of this
section, test to determine whether the teacher possessed a valid certifica-
tion document. If any teacher did not possess a valid certification docu-
ment, calculate the penalty or penalties pursuant to the provisions of
Education Code Section 45037 and include the actual calculation in an
audit finding in the Findings and Recommendations section.
NOTE: Authority cited: Section 14502,1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1 . New section filed 3-15-2004 as an emergency; operative 3-15-2004 (Register
2004, No. 12). A Certificate of Compliance must be transmitted to OAL by
7-1 3-2004 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-1 5 -2004 order transmitted to OAL 5-6-2004
and filed 6-23-2004 (Register 2004, No. 26).
3. New first paragraph and amendment of subsection (e) filed 2-10-2005 as an
emergency; operative 2-10-2005 (Register 2005, No. 6). A Certificate of Com-
pliance must be transmitted to OAL by 6-10-2005 or emergency language will
be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-10-2005 order transmitted to OAL
5-24-2005 and filed 6-20-2005 (Register 2005, No. 25).
5. Amendment of section heading filed 6-9-2006; operative 6-9-2006 (Register
2006, No. 23).
§ 1 981 7.1 . Regular and Special Day Classes.
For fiscal year 2004-05 and each fiscal year thereafter, perform the
following audit steps:
(a) Determine whether the Second Principal and Annual reports of
attendance submitted to the California Department of Education recon-
cile to the supporting documents by verifying the local education
agency's Average Daily Attendance calculations for each reporting line
item, including the informational line items. Trace the Average Daily
Attendance numbers from the Second Principal and Annual reports of
attendance to the local education agency's summaries.
(b) Verify that the monthly site summaries used for summarizing
attendance provide accurate information, by selecting a representative
sample of schools and performing the following procedures (include spe-
cial day classes in this sample; other special programs are identified sepa-
rately in subsequent sections of this audit guide):
(1) Reconcile the monthly totals (days of apportionment attendance)
on the school's attendance sumtnary to the summary maintained by the
local education agency for the Second Principal and the Annual atten-
dance reports.
(2) Select at least one test month in the Second Principal or Annual
attendance reporting period. Verify the mathematical accuracy of the
monthly report and trace the totals to the school's attendance summary.
(3) Select a representative sample of classes (teachers) and trace the
monthly totals from the monthly report to the data origination documen-
tation. Verify the mathematical accuracy of the attendance registers,
scantron summaries, or other data arrays.
(c) Select a sample of absences and compare to documentation sup-
porting Average Daily Attendance reported to the California Department
of Education to verify that absences were not included in Average Daily
Attendance. The documentation maintained by the local education
agency with regard to its absences may be in the form of notes, logs, or
other records, depending on the board-adopted policy concerning verifi-
cation of absences.
(d) If any inappropriately reported units of Average Daily Attendance
are identified through the foregoing audit procedures, recalculate, con-
sistent with the provisions of Education Code Section 46303, the correct
number of units of Average Daily Attendance. Include a statement in the
Page 190.1
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§ 19818
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Findings and Recommendations section of the audit report of the number
of units of Average Daily Attendance that were inappropriately reported
for apportionment and an estimate of their dollar value.
(e) For each teacher selected pursuant to subparagraph (b)(3) of this
section, test to determine whether the teacher possessed a valid certifica-
tion document. If any teacher did not possess a valid certification docu-
ment, calculate the penalty or penalties pursuant to the provisions of
Education Code Section 45037 and include the actual calculation in an
audit finding in the Findings and Recommendations section.
(f)( I) For each teacher selected pursuant to subparagraph (b)(3) of this
section, test to determine whether the teacher was assigned to teach in a
position
(A) consistent with the authorization of his or her certification docu-
ment, or
(B) otherwise authorized by law pursuant to
1. a governing board resolution in conformance with the provisions of
any of subdivision (b) of Education Code Section 44256, Section
44258.2, Section 44258.3, or Section 44263, or
2. approval of a committee on assignments pursuant to the provisions
of subdivision (c) or (d) of Section 44258.7.
(2) If any teacher selected pursuant to subparagraph (b)(3) of this sec-
tion was assigned to teach a class in which more than 20 percent of the
pupils were English learners, determine whether the teacher was autho-
rized to instruct limited-Enghsh-proficient pupils pursuant to the provi-
sions of Education Code Section 44253.3, 44253.4, or 44253.10.
(3) If any teacher was assigned to teach in a position for which he or
she was not authorized, include a finding in the Findings and Recommen-
dations section of the audit report.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14501, 14502.1, 14503 and 41020, Education Code.
History
1. New section filed 2-10-2005 as an emergency; operative 2-10-2005 (Register
2005, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-10-2005 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 2-10-2005 order transmitted to OAL
5-24-2005 and filed 6-20-2005 (Register 2005, No. 25).
3. Amendment of section heading filed 6-9-2006; operative 6-9-2006 (Register
2006, No. 23).
§ 19818. Kindergarten Continuance.
(a) Select a representative sample of kindergarten classes. Perform the
following procedures.
(b) Obtain a list of kindergarten pupils enrolled in the selected kinder-
garten classes for the year audited and the year prior. Compare the enroll-
ment lists and identify those kindergarten pupils, if any, who are on both
lists.
(c) Review the record of each pupil identified on both lists to determine
whether the pupil continued in kindergarten after completing one school
year of kindergarten. For a pupil who begins kindergarten mid-year, one
school year of kindergarten is completed on the last day prior to the anni-
versary of the pupil's first day of kindergarten.
(d) Verify that the local education agency has a signed parental agree-
ment to continue form, approved in form and content by the California
Department of Education, for each such pupil.
(e) If any inappropriately reported units of Average Daily Attendance
are identified through the foregoing audit procedures, recalculate, con-
sistent with the provisions of Education Code Section 46303, the correct
number of units of Average Daily Attendance. Include a statement in the
Findings and Recommendations section of the audit report of the number
of units of Average Daily Attendance that were inappropriately reported
for apportionment and an estimate of their dollar value.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1 . New section filed 3-1 5-2004 as an emergency; operative 3-1 5-2004 (Register
2004, No. 12). A Certificate of Compliance must be transmitted to OAL by
7- 1 3-2004 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-15-2004 order transmitted to OAL 5-6-2004
and filed 6-23-2004 (Register 2004, No. 26).
§ 1 981 9. Independent Study.
If the local education agency reported Average Daily Attendance gen-
erated through independent study, perform the following procedures
(a) At the agency level:
(1) Reconcile the local education agency's independent study atten-
dance records to Average Daily Attendance generated through full-time
independent study reported to the California Department of Education.
(2) From the independent study attendance records, select a represen-
tative sample of pupils for whom Average Daily Attendance generated
through independent study was claimed, including pupils on intermittent
or "short term" independent study if the local education agency offered
that option, and confirm that every pupil in the sample is identified in the
written records of the district or county board by grade level, by program
placement, and by the school in which he or she is enrolled.
(3) If, pursuant to the foregoing audit procedure, any pupils are found
that were not identified in the written records of the district or county
board by any one or more of grade level, program placement, and the
school in which he or she was enrolled, recalculate, consistent with the
provisions of Education Code Section 46303, the correct number of units
of Average Daily Attendance. Include a statement in the Findings and
Recommendations section of the audit report of the number of pupils and
the number of units of Average Daily Attendance that were inappropri-
ately reported for apportionment and an estimate of their dollar value.
(4) Verify the local education agency's calculation, made pursuant to
the provisions of subdivision (a) of Education Code Section 51745.6, of
ineligible Average Daily Attendance, if any, generated through full-time
independent study by pupils 18 years of age or less.
(5) Interview administrative personnel and school counselors of the
local education agency to determine if the local education agency had po-
licies and procedures to ensure that any pupil terminating an independent
study agreement was permitted to immediately recommence classroom
study.
(6) Interview local education agency administrative personnel as well
as a sample of independent study teachers and review written agreements
to determine whether it was the local education agency's policy or prac-
tice to provide independent study pupils or their parents/guardians with
monetary funding or any other things of value such as equipment or paid
private instruction. If so, determine whether classroom pupils or their
parents/guardians had the same access to funding or things of value. Read
program materials provided to all parents/guardians to determine that op-
portunities were equal and that pupils engaged in independent study were
neither offered nor given incentives or special benefits.
(b) Select a sample of schools that is representative of the local educa-
tion agency and sufficient in size to allow the auditor to draw a reasonable
conclusion with respect to the local education agency's compliance with
independent study requirements. Verify that the monthly site summaries
used for summarizing attendance provide accurate information by per-
forming the following procedures:
(1) At each school, examine the attendance accounting records to
verify that the attendance of pupils or adult education students or both
while engaged in independent study was maintained on separate registers
or the local education agency had another mechanism in place to track
Average Daily Attendance generated through independent study sepa-
rately from other Average Daily Attendance.
(2) Determine the total number of days of attendance reported for each
sampled school that resulted from attendance by pupils or adult educa-
tion students or both while engaged in independent study. Reconcile the
monthly totals (days of apportionment attendance) on the site's atten-
dance summary to the summary maintained by the local education
agency for the Second Principal and the Annual attendance reports.
(3) Select a test month in the Second Principal or Annual attendance
reporting period. Verify the mathematical accuracy of the monthly report
and trace totals to the school's attendance summary.
(4) Verify that a certificated employee of the local education agency
coordinated, evaluated, and provided general supervision, as that term is
defined in Secdon 11 700(b), of each pupil's or adult education student's
Page 190.2
Register 2008, No. 24; 6-13-2008
Title 5
Education Audit Appeals Panel
§ 19819
independent siudy. as required by the provisions of subdivision (a) of
Education Code Section 51747.5.
(5) Select a representative sample of teachers. Verify the mathematical
accuracy of the teachers' attendance records of pupil or adult education
student attendance. Trace the monthly totals from the monthly report to
the attendance records.
(6) If 1 00 percent apportionment attendance was recorded for all inde-
pendent study pupils or adult education students or both, ensure that the
teacher did not accme more days of apportionment credit for any assign-
ment than there were school days in that assignment ("banking"); or ac-
crue days of attendance for work submitted subsequent to the specified
due date for the assignment ("make-up").
(7) For programs in which hourly attendance accounting is not re-
quired pursuant to Section 406. verify that attendance credit was re-
corded in whole days based on the supervising teacher's personal review,
evaluation, and assignment of time value to the pupil's or adult education
student's work product, or the supervising teacher's review of the evalua-
tion and assignment of time value made by another certificated teacher.
(c) From the attendance records, select a representative sample of pu-
pils/adult education students for whom Average Daily Attendance gen-
erated through independent study was claimed, including pupils on inter-
mittent ("short term") independent study if the local education agency
offered that option, and perform the following procedures:
( 1 ) Verify thai no pupil was enrolled in the local education agency pur-
suant to subdivision (b) of Education Code Section 48204 while engaged
in full-time independent study.
(2) Determine each selected pupil's or adult education student's
county of residence at the time of commencing independent study and
verify that it is the county in which the apportionment claim is reported
or a contiguous county within California.
(3)Determine whether mailing addresses or other evidence of residen-
cy changed during the time the pupils/adult education students were in
independent study and, if so, whether each pupil or adult education stu-
dent remained resident of the same or a contiguous county within Califor-
nia.
(4) Verify that a total of not more than one day of attendance generated
through independent study was recorded for each pupil, including pupils
enrolled in more than one program, for any calendar day on which school
was in session.
(5) Verify that a written agreement exists for each pupil/adult educa-
tion student selected.
(6) Verify that every pupil whose independent study attendance was
claimed for apportionment was participating under an agreement for a
minimum of five consecutive school days.
(7) Verify that every written agreement contained all the required ele-
ments:
(A) The manner, time, frequency, and place for submitting a pupil's
or adult education student's assignments and for reporting his or her
progress.
(B) The objectives and methods of study (pupil/adult education stu-
dent activities selected by the supervising teacher as the means to reach
the educational objectives set forth in the written agreement) for the pu-
pil's or adult education student's work.
(C) The methods utilized to evaluate that work (any specified proce-
dure through which a certificated teacher personally assesses the extent
to which achievement of the pupils/adult education students meets the
objectives set forth in the written assignment).
(D) The specific resources, including materials and personnel, to be
made available to the pupils/adult education students (resources reason-
ably necessary to the achievement of the objectives in the written agree-
ment, not to exclude resources normally available to all pupils/adult
education students on the same terms as the terms on which they are nor-
mally available to all pupils/adult education students).
(E) A statement of the policies adopted pursuant to subdivisions (a)
and (b) of Education Code Section 5 1747 regarding the maximum length
of time allowed between the assignment and the completion of a pupil's
or adult education student's assigned work, and the number of assign-
ments a pupil or adult education student may miss before there must be
an evaluation of whether it is in the pupil's or adult education student's
best interests to continue in independent study.
(F) The duration of the independent study agreement, including the be-
ginning and ending dates for the pupil's or adult education student's par-
ticipation in independent study under the agreement, with no agreement
being for a period longer than one semester, or one-half year for a school
on a year-round calendar.
(G) A statement of the number of course credits or. for the elementary
grades, other measures of academic accomplishment appropriate to the
agreement, to be earned by the pupil/adult education student upon
completion.
(H) A statement in each independent study agreement that indepen-
dent study is an optional educational alternative in which no pupil may
be required to participate. In the case of a pupil who is referred or as-
signed to any school, class, or program pursuant to Section 48915 or
48917. the agreement also shall include the statement that instruction
may be provided to the pupil through independent study only if the pupil
is offered the alternative of classroom instruction.
(I) Signatures, affixed prior to the commencement of independent
study, by
1. the pupil or adult education student;
2. the pupil's parent, legal guardian, or caregiver as that term is used
in Family Code Section 6550 and following, if the pupil is less than 18
years of age;
3. the certificated employee who has been designated as having re-
sponsibihty for the general supervision of independent study; and
4. all other persons, if any. who had direct responsibility for providing
assistance to the pupil or adult education student.
(8) Verify that no days of attendance were reported for dates prior to
the signing of the agreement by all parties.
(9) Trace each pupil's or adult education student's attendance from the
attendance records to the teacher's register, record of the pupil's or adult
education student's work completed, and the corresponding work assign-
ment record. Verify that evaluated pupil/adult education student work
samples, bearing signed or initialed and dated notations by the supervis-
ing teacher indicating that he or she personally evaluated the work, or that
he or she personally reviewed the evaluations made by another certifi-
cated teacher, have been retained in the file.
(10) Verify that the pupil/adult education student work product sam-
ples are related to the assignment pursuant to which the work was under-
taken and reflect the curriculum adopted by the local governing board
and not an alternative curriculum.
(II) Review records and other relevant documentation to verify that
each pupil's choice to commence or to continue in independent study was
entirely voluntary and uncoerced.
(d) If any inappropriately reported units of Average Daily Attendance
are identified through the foregoing audit procedures, recalculate, con-
sistent with the provisions of Education Code Section 46303, the correct
number of units of Average Daily Attendance. Include a statement in the
Findings and Recommendations section of the audit report of the number
of units of Average Daily Attendance that were inappropriately reported
for apportionment and an estimate of their dollar value.
NOTE: Authority cited: Section 14502.1. Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1 . New section filed 3-15-2004 as ari emergency; operative 3-1 5-2004 ( Register
2004, No. 12). A Certificate of Compliance must be transmitted to OAL by
7-1 3-2004 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3- 15-2004 order, including amendment of sec-
tion, transmitted to OAL 5-6-2004 and filed 6-23-2004 (Register 2004, No.
26).
3. Change without regulatory effect amending subsection (b)(4) filed 5-12-2(X)6
pursuant to section 100. title 1 , California Code of Regulations (Register 2006,
No. 19).
Page 190.3
Register 2008, No. 24; 6-13-2008
§ 19820
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
4. New subsections (a)(2) and (a)(3), subsection renumbering and amendment of
newly designated subsection (a)(4) filed 6-12-2006 as an emergency; operative
6- 12-2006 (Register 2006, No. 24). A Certificate of Compliance must be trans-
mitted to OAL by 10-10-2006 or emergency language will be repealed by op-
eration of law on the following day.
5. Certificate of Compliance as to 6-12-2006 order transmitted to OAL
9-20-2006 and filed 9-29-2006 (Register 2006, No. 39).
§ 19820. Continuation Education.
Verify thai the monthly site attendance summaries provide accurate
information by performing the following procedures:
(a) Reconcile the monthly totals (days of apportionment attendance)
on the site's attendance summary to the summary maintained by the dis-
trict for the Second Principal and the Annual attendance reports.
(b) Select a test month in the Second Principal attendance reporting pe-
riod. Verify the mathematical accuracy of the monthly report and trace
the totals to the site's attendance summary.
(c) Select a representative sample of classes (teachers). Trace the
monthly totals from the monthly report to the data origination documen-
tation. Verify the mathematical accuracy of the attendance registers,
scantron summaries, or other data arrays.
(d) Select a representative sample of pupils and perform the following
procedures:
(1) Trace each pupil's attendance in the weekly attendance records to
the teacher's attendance register or other approved record.
(2) Verify that hourly attendance accounting was used.
(3) Verify that attendance was not credited for more than the scheduled
class time.
(e) Review weekly attendance records to verify that the district did not
claim more than 15 hours per week, or a proportionally reduced number
of hours per week when there were fewer than five school days.
(f) Select a representative sample of continuation pupils enrolled in
work experience education.
(1) Review the weekly attendance reports and attendance registers to
verify that each pupil actually attended, as set forth in Education Code
Section 48400, four 60-minute hours in each week in which he/she gen-
erated additional hours of work experience apportionment attendance
credit.
(2) Verify that the pupils received at least one instructional period per
week of classroom work experience instruction or counseling as required
by Education Code Section 51760.3(b).
(3) Verify that not more than 10 percent of each continuation high
school's Average Daily Attendance at Second Principal (exclusive of
Average Daily Attendance for a pupil who was pregnant or was a parent
and the primary caregiver for one or more of his or her children) was gen-
erated through independent study as provided in Education Code Section
51745(b).
(g) If any inappropriately reported units of Average Daily Attendance
are identified through the foregoing audit procedures, recalculate, con-
sistent with the provisions of Education Code Section 46303, the correct
number of units of Average Daily Attendance. Include a statement in the
Findings and Recommendations section of the audit report of the number
of units of Average Daily Attendance that were inappropriately reported
for apportionment and an estimate of their dollar value.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1 . New section filed 3-15-2004 as an emergency; operative 3-15-2(X)4 (Register
2004, No. 12). A Certificate of Compliance must be transmitted to OAL by
7-13-2004 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-15-2004 order, including amendment of sub-
section (e), transmitted to OAL 5-6-2004 and filed 6-23-2004 (Register 2004,
No. 26).
§ 1 9821 . Adult Education.
Verify that the monthly site attendance summaries provide accurate
information by performing the following procedures:
(a) Reconcile the monthly totals (days of apportionment attendance)
on the site's attendance summary to the summary maintained by the dis-
trict for the Annual attendance reports.
(b) Select a test month in the Annual attendance reporting period.
Verify the mathematical accuracy of the monthly report and trace the to-
tals to the site's attendance summary.
(c) Select a representative sample of classes (teachers) for both exclu-
sively adult education students and concurrently enrolled K-12 pupils (if
any). Trace the monthly totals from the monthly report to the data origi-
nation documentation. Verify the mathematical accuracy of the atten-
dance registers, scantron summaries, or other data arrays.
(d) Verify that houriy attendance accounting was used.
(e) Verify that attendance was not credited for more than the scheduled
class time.
(f) Verify that the district used individual teacher-certified records of
the minutes of each pupil's or student's actual attendance for classes
(sometimes termed ad hoc or laboratory class settings) that provided
more total hours of class time than the minimum required to be attended
for pupils or students to receive full credit for the class.
(g) Select a representative sample of K-12 pupils concurrently en-
rolled in adult education, if any. For each pupil selected, determine, from
the adult school files, the K-12 program/school site in which the pupil
was enrolled. Review the pupil's K-12 program/class schedule and/or
transcript located at the K-12 program/school site and verify that the pu-
pil was concurrently enrolled in adult education courses that supplement-
ed and enriched, and did not supplant, the regular course offerings re-
quired to complete the curriculum for the K-12 program in which the
pupil was enrolled.
(h) Review each concurrently enrolled pupil's file to ensure there is
documentation of a counseling session — a communication whether by
phone or in person which involved the pupil, a certificated representative
of the high school, and the pupil's parent, guardian, or caretaker — that
met the requirements of Education Code Section 52500.1(b).
(i) Review the district's records to ensure that it submitted to the
California Department of Education for approval, in advance, a list of all
courses provided.
(j) If any inappropriately reported units of Average Daily Attendance
are identified through the foregoing audit procedures, recalculate, con-
sistent with the provisions of Education Code Section 46303, the correct
number of units of Average Daily Attendance. Include a statement in the
Findings and Recommendations section of the audit report of the number
of units of Average Daily Attendance that were inappropriately reported
for apportionment and an estimate of their dollar value.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1 . New section filed 3-15-2004 as an emergency; operative 3-15-2004 (Register
2004. No. 12). A Certificate of Compliance must be transmitted to OAL by
7-1 3-2004 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-1 5-2004 order, including amendment of sub-
sections (a) and (f), transmitted to OAL 5-6-2004 and filed 6-23-2004 (Regis-
ter 2004, No. 26).
§ 19822. Regional Occupational Centers and Programs.
Verify that the monthly site attendance summaries provide accurate
information by performing the following procedures:
(a) Reconcile the monthly totals (days of apportionment attendance)
on the site's attendance summary to the summary maintained by the local
education agency for the Annual attendance reports.
(b) Select a test month in the Annual attendance reporting period.
Verify the mathematical accuracy of the monthly report and trace the to-
tals to the site's attendance summary.
(c) Select a representative sample of classes (teachers), and trace the
monthly totals from the monthly report to the data origination documen-
tation. Verify the mathematical accuracy of the attendance registers,
scantron summaries, or other data arrays.
(d) Verify that hourly attendance accounting was used.
Page 190.4
Register 2008, No. 24; 6-13-2008
Title 5
Education Audit Appeals Panel
§ 19824
(e) Verify Ihai attendance was not credited for more than the scheduled
class time.
(0 Verify that the local education agency used individual teacher-cer-
tified records of the minutes of each pupil's or student's actual attendance
for classes (sometimes termed laboratory class, community classroom,
workplace learning, or cooperative education setting) that were not con-
ducted in a fashion that required all pupils/students to be present at a set
time or in which more hours of class time were available than the mini-
mum number of hours pupils/students had to attend to receive full credit.
(g) If any inappropriately reported units of Average Daily Attendance
are identified through the foregoing audit procedures, recalculate, con-
sistent with the provisions of Education Code Section 46303. the correct
number o\' units of Average Daily Attendance. Include a statement in the
Findings and Recommendations section of the audit report of the number
of units of Average Daily Attendance that were inappropriately reported
for apportionment and an estimate of their dollar value.
Note. Authority cited: Section 14502.1, Education Code. Reference: Sections
14.502.1, 14503 and 41020, Education Code.
History
1 . New .section filed 3-1 5-2004 as an emergency; operative 3-15-2004 (Register
2004. No. 12). A Certificate of Compliance must be transmitted to OAL by
7-13-2004 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-1 5-2004 order, including amendment of sub-
section (f), transmitted to OAL 5-6-2004 and filed 6-23-2004 (Register 2004.
No. 26).
§ 19823. Instructional Time and Staff Development Reform
Program.
Review the site calendars and perform the following procedures:
(a) Verify that the number of Instructional Time and Staff Develop-
ment Reforin Program staff development days claimed did not exceed
three for each certificated classroom teacher and one for each classified
classroom instructional aide or certificated teaching assistant.
(b) Verify that each Instructional Time and Staff Development Re-
form Program staff development day was intended to provide training in
one or more of the following: instructional methods, including teaching
strategies, classroom management and other training designed to im-
prove pupil performance, conflict resolution, and academic content in the
core curriculum areas that are provided by the local education agency.
Staff development days held on or after January 1 , 2004, additionally
may be intended to provide training in intolerance and hatred prevention.
(c) Verify that contemporaneous records support the number of
Instructional Time and Staff Development Reform Program staff devel-
opment days funded.
(d) Verify that no Instructional Time and Staff Development Reform
Program staff development days were counted as instructional days for
apportionment purposes.
(e) Verify that Instructional Time and Staff Development Reform Pro-
gram staff development was not conducted after school on any minimum
day of which parents or guardians were notified pursuant to Education
Code Section 48980(c), except as provided for staff in multitrack year-
round schools.
(f) Verify that each staff development day was at least as long as the
full-time instructional workday for certificated or classified instruction-
al employees.
(g) Verify that each participant was present for a full-time instruction-
al work day or the aggregate equivalent.
(h) If any ineligible Instructional Time and Staff Development Reform
Program staff development days are identified through the foregoing
procedures, prepare a schedule of the number of days audited and the
number of ineligible days identified. Calculate the disallowance and esti-
mate the dollar value, and include the schedule in the Findings and Rec-
ommendations section of the audit report.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1 . New section filed 3-1 5-2004 as an emergency; operative 3-1 5-2004 (Register
2004, No. 12). A Certificate of Compliance must be transmitted to OAL by
7-1 3-2004 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-1 5-2004 order, including amendmcnl of sec-
tion, transmiued to OAL 5-6-2004 and filed 6-23-2004 "(Register 2004. No.
26).
§19824. InstructionalTime.
(a) School districts: Perform the following procedures;
(1) Select a sample of schools that is representative of the district and
sufficient in size to allow the auditor to draw a reasonable conclusion
with respect to the district's compliance with instructional time require-
ments. Review the school attendance calendar and bell (class) schedules
of the sampled schools. Ascertain whether any individual days are short-
er than the usual length, by grade level, in that school. Compare the
instructional minutes from each school site's bell (class) schedule to total
instructional minutes computed by the business office.
(2) Determine, by grade level, the total number of days in each
sampled school's attendance calendar that were of at least the minimum
length required, pursuant to Education Code sections 461 12, 461 13,
461 14, 461 15, 46117, and 461 19, for elementary schools, or .sections
461 41 , and 46 1 42, for junior high schools and high schools, and compare
the totals to the standards set forth in Education Code section 41420 or
37670, as applicable.
(3) If all sampled regular day schools have fewer than the applicable
minimum number of days, determine whether the same is true for all the
regular day schools of the district.
(4) If all regular day schools have fewer than the applicable minimum
number of days, the district is subject to the penalty provided in subdivi-
sion (a) of Education Code Section 4 1420. Include a statement of that fact
and the amount of the penalty in the Findings and Recommendations sec-
tion of the audit report.
If the district is not subject to the penalty provided in subdivision (a)
of Education Code Section 41420 but is subject to one or more penalties
as provided in subdivision (b) of Education Code Section 41420, prepare
a separate schedule for each school that was not in compliance showing
the number of additional days the school would have had to maintain op-
erations to meet the 175 day requirement, or the 163 day requirement if
the school was operated on a multitrack year-round schedule, and calcu-
late the penalty or penalties. Include both the schedule(s) and the
amount(s) of the calculated penalty or penalties in a finding in the Find-
ings and Recommendations section of the audit report.
(5) Compare the amount of time offered for each grade level in each
sampled school during the year being audited to the required amount of
instructional time as set forth in Education Code Section 46201, and to
the amount offered by the district during the 1 982-83 year.
(6) Determine whether the district offered optional classes to satisfy
incentive funding requirements. If enrollment in optional classes is low,
review the district's documentation of class offerings to ensure that the
district has acted effectively to comply with the law. Practices that are not
consistent with effectively offering additional instructional time may in-
clude, but are not limited to, offering only a small number of courses that
in addition are appropriate only for limited numbers of pupils, and
courses scheduled such that pupils may take them only by giving up their
lunch period or by attending school outside the schedule of district-pro-
vided bus service.
(7) Prepare the "Schedule of Instructional Time" that must be pres-
ented in the Supplementary Information section of the audit report, show-
ing by grade level the number(s) of instructional minutes offered by the
district in the 1 982-83 year; the 1986-87 instructional time requirements
.specified in Education Code Sectiion 46201 ; the instructional minutes of-
fered during the year audited showing the school with the lowest number
of minutes offered at each grade level; the number of instructional days
offered during the year audited on the traditional calendar and on any
multitrack calendars; and whether the district complied with the in.struc-
tional minutes and days provisions. State in a note to the schedule wheth-
er the district received incentive funding for increasing instructional time
pursuant to the Longer Instructional Day incentives.
Page 190.5
Register 2008, No. 24; 6- 13-2008
§ 19825
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(8) If any schools were not in compliance with the instaictional min-
utes or days provisions, or both, prepare a separate schedule for each
school showing only those grade levels that were not in compliance and
calculate the penalty or penalties pursuant to Education Code Section
46200(c), 46201(d), or 46202(b). Include both the schedule(s) and the
calculated penalty or penalties in a finding in the Findings and Recom-
mendations section of the audit report.
(b) County offices of education: If the county office of education re-
ceived Longer Instructional Day or Longer Year incentive funding, or
both, for the fiscal year audited for special day classes, perform the fol-
lowing procedures:
( 1 ) Review the school attendance calendar and bell (class) schedules.
Determine the amount of instructional time offered by each school.
(2) Determine whether the county office of education complied with
the instructional time incentive funding requirements by comparing the
amount of time offered for each grade level during the year being audited
to the required amount of instructional time as set forth in Education
Code Section 46201.5.
(3) Prepare the "Schedule of Instructional Time" that must be pres-
ented in the Supplementary Information section of the audit report show-
ing by grade level the 1986-87 instructional time requirements specified
in Education Code Section 46201.5; the instructional minutes offered
during the year audited showing the school with the lowest number of
minutes; the number of instructional days offered during the year audited
on the traditional calendar and on any multitrack calendars; whether the
county office of education complied with the instructional minutes re-
quirements; and, if the county office of education received an apportion-
ment pursuant to Education Code Section 46200.5(a), whether the
county office of education complied with the instructional days provi-
sions. State in a note to the schedule whether the county office of educa-
tion received incentive funding for increasing instaictional time pursuant
to the Longer Instructional Day incentives and whether it received an ap-
portionment pursuant to Education Code Section 46200.5(a).
(4) If any schools were not in compliance with the instructional min-
utes or days provisions, or both, prepare a separate schedule for each such
school showing only those grade levels that were not in compliance and
calculate the penalty or penalties set forth in Education Code Section
46200.5(c) or 4620 1.5(e). Include both the schedule(s) and the calculated
penalty or penalties in a finding in the Findings and Recommendations
section of the audit report.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1 . New section filed 3-15-2(X)4 as an emergency; operative 3-15-2004 (Register
2004, No. 12). A Certificate of Compliance must be transmitted to OAL by
7-13-2004 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-1 5-2004 order, including amendment of sub-
sections (a)(1) and (a)(3), transmitted to OAL 5-6-2004 and filed 6-23-2004
(Register 2004, No. 26).
3. Amendment of subsection (a)(1), new subsections (a)(2)-(4), subsection re-
numbering and amendment of newly designated subsections (a)(7)-(8) and sub-
sections (b)(3)-(4) filed 6-12-2006 as an emergency; operative 6-12-2006
(Register 2006, No. 24). A Certificate of Compliance must be transmitted to
OAL by 10-10-2006 or emergency language will be repealed by operation of
law on the following day.
4. Editorial correction of subsecfion (a)(2) (Register 2006, No. 39).
5. Certificate of Compliance as to 6-12-2006 order transmitted to OAL
9-20-2006 and filed 9-29-2006 (Register 2006, No. 39).
§ 19825. Community Day Schools.
(a) Verify that the minimum school day included at least 360 minutes
of community day school classroom instruction by reviewing the bell
schedule(s) of the school district's or county office of education's com-
munity day school(s), and that the school's practice was to schedule all
pupils, other than pupils with exceptional needs whose Individualized
Education Programs specified otherwise, to attend for at least the mini-
mum day.
(b) Select a representative sample of pupils and verify that they were
scheduled to attend the community day school for at least 360 minutes
each day by reviewing their class assignments.
(c) Verify that pupils were provided classroom instruction by a certifi-
cated employee of the school district or county office of education for at
least the minimum school day, by reviewing teacher room assignments
and employment records.
(d) If any inappropriately reported units of Average Daily Attendance
are identified through the foregoing audit procedures, recalculate, con-
sistent with the provisions of Education Code Section 46303, the correct
number of units of Average Daily Attendance. Include a statement in the
Findings and Recommendations section of the audit report of the number
of units of Average Daily Attendance that were inappropriately reported
for apportionment and an estimate of their dollar value.
(e) Select a representative sample of pupils who were enrolled in the
district's or county office's community day school(s) and perform the
following procedures:
( 1 ) Trace the credit reported for each sampled pupil' s attendance in the
fifth and sixth hours of attendance back to the record prepared by the
classroom teacher.
(2) Verify that hourly attendance accounting was used.
(3) Verify that pupils who attended fewer than five hours in a school
day were not reported for attendance credit for the additional funding,
that attendance of five hours was reported for one-half day of attendance
credit for the additional funding, and that attendance of six hours or more
was reported for one whole day of attendance credit for the additional
funding.
(0 If any inappropriately reported units of Average Daily Attendance
are identified through the immediately foregoing procedure, prepare a
schedule displaying the hours of attendance credit inappropriately re-
ported and recalculate, consistent with the provisions of Education Code
Secfion 46303, the correct number of units of Average Daily Attendance.
Include a statement in the Findings and Recommendations section of the
audit report of the number of units of Average Daily Attendance that
were inappropriately reported for apportionment and an estimate of their
dollar value.
(g) Select a representative sample of pupils who were enrolled in the
district's or county office's community day school(s) and perform the
following procedures:
( 1 ) Trace the credit reported for each sampled pupil ' s attendance in the
seventh and eighth hours back to the data origination record.
(2) Verify that hourly attendance accounting was used.
(3) Verify that no pupils who had not completed the full six-hour
instrucfional school day were reported for attendance credit for the addi-
tional funding.
(4) Verify that the pupils' attendance during the seventh and eighth
hours was supervised by an employee of the district or the county office
of education.
(h) If any inappropriately reported hours of attendance are identified
through the immediately foregoing procedure, prepare a schedule dis-
playing the hours of attendance inappropriately reported and an estimate
of their dollar value, and include it in the Findings and Recommendations
secfion of the audit report.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1 . New secfion filed 3-1 5-2004 as an emergency; operative 3-15-2004 (Register
2004, No. 12). A Certificate of Compliance must be transmitted to OAL by
7-13-2004 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-15-2004 order, including amendment of sub-
section (c), transmitted to OAL 5-6-2004 and filed 6-23-2004 (Register 2004,
No. 26).
§19826. Class Size Reduction.
NOTE: Authority cited: Section 14502.1, Educafion Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
Page 190.6
Register 2008, No. 24; 6-13-2008
Title 5
Education Audit Appeals Panel
ij 19828
•
•
History
1 . New section filed 3-15-2004 as an emergency; operative 3-1 5-2004 (Register
2004. No. 12). A Certificate of Compliance must be transmitted to OAL by
7-1 3-2004 or emergency language will be repealed by operation of law on the
following day.
2. CeHitlcate of Compliance as to 3-1 5-2004 order, including amendment of sub-
.sections (2) and (g)(2), transmitted to OAL 5-6-2004 and fded 6-23-2004
(Regisler2004. No. 26).
3. New first paragraph and amendment of subsections (b)( I )(C) i ., (c)( 1 )(C) I . and
(e)(4) filed 2-l0-2005 as an emergency, operative 2-10-2005 (Register 2005,
No. 6). A Certilicate of Compliance must be transmitted to OAL by 6-10-2005
or emergency language will be repealed by operation of law on the following
day.
4. Certificate of Compliance as to 2-10-2005 order transmitted to OAL
5-24-2005 and filed 6-20-2005 (Register 2005, No. 25).
5. Renumbering of section 19826 to section 19845 tiled 6-9-2006; operative
6-9-2006 (Register 2006, No. 23).
§ 1 9826.1 . Class Size Reduction.
NOTE; Authority cited: Section 14502.1, Education Code. Reference: Sections
14.502.1, 14.503 and 41020. Education Code.
History
1. New section filed 2-10-2005 as an emergency; operative 2-10-2005 (Register
2005. No. 6). A Certificate of Compliance must be transmitted to OAL by
6-10-2005 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 2-10-2005 order transmitted to OAL
-5-24-2005 and tiled 6-20-2005 (Register 2005, No. 25).
3. Change without regulatory effect amending subsections (d)-(d)(2) and (d)(4)
filed Tl-10-2005 pursuant to section 100, title 1, California Code of Regula-
tions (Register 2005, No. 45).
4. Renumbering of section 19826.1 to section 19845.1 filed 6-9-2006; operative
6-9-2006 (Register 2006, No. 23).
§ 19827. Morgan-Hart Class Size Reduction Program.
(a) Determine whether the school district received Morgan-Hart Class
Size Reduction Program funding pursuant to the provisions of Chapter
6.8 of Part 28 of the Education Code (commencing with Section 52080).
(b) Review the district's report of enrollment for the Morgan-Hart
Class Size Reduction Program and trace the data, after determining that
it is mathematically correct, to supporting summaries.
(c) Select a representative sample of schools to test, and perform the
following procedures:
(1) Verify the mathematical accuracy of the calculation of Active
Monthly Enrollment as defined in Section 15i41(b)(]) and Section
15140(d) for each class.
(2) Trace site summaries to contemporaneous documentation.
(3) Select a representative sample of classes to verify that each class
had not more than 22 pupils enrolled during the school year.
(4) Verify that the school-wide Student to Teacher Ratio as set forth
in Section 15141(b)(2) for all participating classes is not more than 20
pupils per certificated teacher.
(5) Review the titles of the participating grade 9 classes to verify that
the classes were in courses that count toward completion of the gradua-
tion requirements established in subparagraph (A), (B), (C), or (D) of
paragraph (1) of subdivision (a) of Education Code Section 51 225. 3. that
the classes were in not more than two courses, and that one of the courses
was English.
(d) If any of the classes reported for Morgan-Hart Class Size Reduc-
tion Program funds are determined to have been ineligible, prepare a
schedule summarizing the results of all procedures and presenting the
noncompiiant classes by grade level, course title, number of classes,
amount of full year equivalent enrollment (FYEE) as defined in Section
15140(e), for grade 9 classes, or number of pupils, for grade 10. 11, and
12 classes, incorrectly reported as eligible, and the amount of Morgan-
Hart Class Size Reduction Program funding claimed on the basis of the
FYEE or those pupils. Include the data for each ineligible class only once,
even if the class was found ineligible in more than one of the steps in the
audit procedures. Include the schedule in the Findings and Recommen-
dations section of the audit report.
NOTb: Authority cited: Section 14502.1. Education Code. Reference: Sections
14502.1, 14503. 41020 and 52084, Eiducation Code.
History
1 . New section filed 2-17-2006 as an emergency; operative 2-17-2006 (Register
2006, No. 7). A Certificate of Compliance must be transmitted to OAL by
6-19-2006 or emergency language will be repealed by operation of law on the
following day. For prior history, see Register 2004, No. 26.
2. Certificate of Compliance as to 2-17-2006 order transmitted to OAL
4-27-2006 and filed 6-9-2006 (Register 2006. No. 23).
§ 19828. Instructional Materials.
For fiscal year 2003-04 only, perform the following audit steps:
(a) Determine whether the year audited is one for which the governing
boards of school districts or county boards of education thai receive
funds for instructional materials from any state source are subject to the
provisions of Education Code Section 601 19, as set forth in subdivision
(c) of that section.
(b) If the year audited is one in which the school district or county of-
fice of education was required to conduct a hearing as provided in Educa-
tion Code Section 601 19. perform the following audit procedures.
(1) Determine whether the school district governing board or county
board of educafion held the public hearing or hearings required by the
provisions of Educafion Code Secfion 601 19 prior to making a deter-
minadon through a resolufion whether each pupil in each school had. or
would have by the end of that fiscal year, sufficient textbooks or other
instrucfional materials in each subject.
(2) Determine whether the school district governing board or county
board of educafion provided 1 0-day notice of the required public hearing
or hearings.
(3) Determine whether each notice included the fiine. place, and pur-
pose of the hearing and whether the school district or county office of
educafion posted the nofice at a minimum of three public locations in the
school district or county, respecfively.
(4) Determine whether the resolution stated that there were, or would
be by the end of that fiscal year, sufficient textbooks or instructional ma-
terials, or that the resolufion stated there were insufficient textbooks or
instrucfional materials, or both. If the latter, verify that the school district
governing board or county board of education took acfion to ensure that
each pupil would have sufficient textbooks or instructional materials, or
both, within a two-year period from the date of the determination.
(c) If the school district or county office of education was not in com-
pliance with any of the requirements set forth in the foregoing proce-
dures, the school district or county office of educafion was not eligible
to receive an Instrucfional Mateiials Funding Realignment Program al-
lowance for the year audited. Include a finding in the Findings and Rec-
ommendafions secfion of the audit report showing the full amount of
Instructional Materials Funding Realignment Program allowance re-
ceived as disallowed.
(d) Instrucfional Materials Funding Realignment Program:
(1) Determine the amount of the Instructional Materials Funding Re-
alignment Program allowance received by the local education agency.
(2) Verify that the allowance received was accounted for separately.
(3) For kindergarten and grades 1 through 8. review the local educa-
tion agency" s list of instrucfional materials purchased and select a sample
to verify that the materials were adopted by the State Board of Education
in March 1999 or later, are in one of the four eligible subject areas, and
bear the copyright date and are of edifions of the materials adopted by the
State Board of Educafion.
(4) For grades 9 through 12, review the local education agency's list
of instrucfional materials purchased and select a sample to verify that the
materials were reviewed and approved through a resolution adopted by
the local education agency's governing board as being aligned with State
Board of Education-adopted content standards.
(5) Determine whether the governing board certified, as set forth in
Education Code Secfion 60422, that each pupil had been provided with
a standards-aligned textbook or basic instrucfional materials.
Page 190.7
Register 2(X)8, No. 24; 6- 13-2008
§ 19828.1
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(6) If the governing board did certify as set forth in Education Code
Section 60422, review the Instmctional Materials Funding Realignment
Program expenditures initiated after the certification was made and se-
lect a sample to verify that the textbooks or materials were from the fol-
lowing categories:
(A) Purchase of instructional materials adopted by the State Board of
Education pursuant to the provisions of Education Code Section 60200
for kindergarten and grades 1 through 8, or by the governing board pur-
suant to the provisions of Education Code Section 60400 for grades 9
through 12.
(B) Purchase, at the local education agency's discretion, of instruc-
tional materials, including, but not limited to, supplementary instruction-
al materials and technology-based materials from any source.
(C) Purchase of tests.
(D) Binding of textbooks that were otherwise usable and were on the
most recent list of basic instructional materials adopted by the State
Board of Education and made available pursuant to the provisions of
Education Code Section 60200.
(E) Funding of in-service training related to instructional materials.
(F) Purchase of classroom library materials for kindergarten and
grades 1 through 4, if the local education agency had a plan as specified
in Education Code Section 60242(d).
(e) If any of the instructional materials funds are found to have been
expended inappropriately, include the amount inappropriately spent in a
finding in the Findings and Recommendations section of the audit report.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1 . New section filed 3-1 5-2004 as an emergency; operative 3-1 5-2004 (Register
2004, No. 12). A Certificate of Compliance must be transmitted to OAL by
7- 1 3-2004 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-15-2004 order, including amendment of sub-
section (c), transmitted to OAL 5-6-2004 and filed 6-23-2004 (Register 2004.
No. 26).
3. New first paragraph and amendment of subsections (b)(1), (c)-(d)(l ), (d)(6)(A)
and (d)(6)(D) filed 2-10-2005 as an emergency; operative 2-10-2005 (Regis-
ter 2005, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-10-2005 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 2-10-2005 order transmitted to OAL
5-24-2005 and filed 6-20-2005 (Register 2005, No. 25).
§ 19828.1. Instructional Materials.
For fiscal years 2004-05 through 2006-07, perform the following pro-
cedures:
(a) Determine whether the year audited is one for which the governing
boards of school districts or county boards of education that receive
funds for instructional materials from any state source are subject to the
provisions of Education Code Section 60119, as set forth in subdivision
(d) of that section.
(b) If the year audited is one in which the school district or county of-
fice of education was required to conduct a hearing as provided in Educa-
tion Code Section 601 19, perform the following audit procedures.
(1) For fiscal year 2005-06 and each fiscal year thereafter, determine
whether the school district governing board or county board of educa-
tion, prior to making a determination through a resolution as to the suffi-
ciency of textbooks or other instructional materials, held the public hear-
ing or hearings required by the provisions of Education Code Section
60 II 9 on or before the end of the eighth week from the first day pupils
attended school for that year, or, in a school district or county office of
education having schools that operate on a mulfitrack, year-round calen-
dar, on or before the end of the eighth week from the first day pupils at-
tended school for that year on any track that began in August or Septem-
ber.
(2) Determine whether the school district governing board or county
board of education provided 10-day notice of the required public hearing
or hearings.
(3) Determine whether each notice included the fime, place, and pur-
pose of the hearing and whether the school district or county office of
education posted the notice at a minimum of three public locations in the
school district or county, respectively.
(4) Determine whether the hearing was held at a time that encouraged
the attendance of teachers and parents and guardians of pupils who attend
the schools in the district and did not take place during or immediately
following school hours.
(5) Determine whether the resolution stated that each pupil in each
school had sufficient textbooks or instructional materials aligned to the
content standards adopted by the State Board of Education pursuant to
Educafion Code Section 60605 and consistent with the content and
cycles of the curriculum framework adopted by the State Board of Educa-
tion, or instead that there was an insufficiency of such textbooks or
instructional materials, or both, in any one or more of mathematics, sci-
ence, history-social science, and English/language arts including the
English language development component of an adopted program, as ap-
propriate. If the resolution stated any insufficiency, verify that the school
district governing board or county board of educafion provided informa-
tion to classroom teachers and to the public setting forth, for each school
in which an insufficiency existed, the percentage of pupils who lacked
sufficient standards-aligned textbooks or instructional materials in each
subject area and the reasons that each pupil did not have sufficient stan-
dards-aligned textbooks or instructional materials, or both, and took ac-
tion to ensure that each pupil would have sufficient textbooks or instruc-
tional materials, or both, within two months of the beginning of the
school year in which the determinafion was made.
(6) Verify whether the governing board made a written determination
as to whether each pupil enrolled in a foreign language or health course
had sufficient textbooks or instructional materials that were consistent
with the content and cycles of the curriculum frameworks adopted by the
State Board of Education for those subjects.
(7) Verify whether the governing board determined the availability of
laboratory science equipment as applicable to science laboratory courses
offered in grades 9 to 12, inclusive.
(c) If the school district or county office of educafion was not in com-
pliance with any of the requirements set forth in procedures 1 through 5
of subdivision (b) of this section, the school district or county office of
education was not eUgible to receive an Instructional Materials Funding
Realignment Program allowance for the fiscal year audited. Include a
finding in the Findings and Recommendations section of the audit report
showing the full amount of Instructional Materials Funding Realignment
Program allowance received as disallowed.
(d) If the school district or county office of education was not in com-
pliance with any of the requirements set forth in procedures 6 or 7 of sub-
paragraph (b) of this section, report the noncompliance in a finding in the
Findings and Recommendafions section of the audit report.
(e) Instructional Materials Funding Reahgnment Program:
( 1 ) Determine the amount of the Instructional Materials Funding Re-
alignment Program allowance received by the local education agency.
(2) Verify that the allowance received was accounted for separately.
(3) For kindergarten and grades 1 through 8, review the local educa-
tion agency's list of instructional materials purchased and select a sample
to verify that the materials were adopted by the State Board of Education
in March 1 999 or later, are in one of the four eligible subject areas, and
bear the copyright date and are of editions of the materials adopted by the
State Board of Education.
(4) For grades 9 through 12, review the local education agency's list
of instructional materials purchased and select a sample to verify that the
materials were reviewed and approved through a resolution adopted by
the local education agency's governing board as being aligned with State
Board of Education-adopted content standards.
(5) Determine whether the governing board certified, as set forth in
Education Code Section 60422, that each pupil had been provided with
a standards-aligned textbook or basic instructional materials.
•
Page 190.8
Register 2(K)8, No. 24; 6-13-2(X)8
Title 5
Education Audit Appeals Panel
§ 19828.2
(6) If the governing board did certify as set fortii in Education Code
Section 60422. review tlie Instructional Materials Funding Realignment
Program expenditures initiated after the certification was made and se-
lect a sample to verify that the textbooks or materials were from the fol-
lowing categories:
(A) Purchase of instructional materials adopted by the State Board of
Education pursuant to the provisions of Education Code Section 60200
for kindergarten and grades 1 through 8, or by the governing board pur-
suant to the provisions of Education Code Section 60400 for grades 9
through 12.
(B) Purchase, at the local education agency's discretion, of instmc-
tional materials, including, but not limited to. supplementary instruction-
al materials and technology-based materials from any source.
(C) Purchase of tests.
(D) Binding of textbooks that were otherwise usable and were on the
most recent list of basic instructional materials adopted by the State
Board of Education and made available pursuant to the provisions of
Education Code Section 60200.
(E) Funding of in-service training related to instructional materials.
(F) Purchase of classroom library materials for kindergarten and
grades 1 through 4, if the local education agency had a plan as specified
in Education Code Section 60242(d).
(f) if any of the instructional materials funds are found to have been
expended inappropriately, include the amount inappropriately spent in a
finding in the Findings and Recommendations section of the audit report.
NOTE; Authority cited: Section 14502.1, Education Code. Reference: Sections
]4.'S0I. 14502.1. 14503 and 41020, Education Code.
History
) . New section filed 2-10-2005 as an emergency; operative 2-10-2005 (Register
2005. No. 6). A Ceilitlcate of Compliance must be transmitted to OAL by
6-10-2005 or emergency language will be repealed by operation of law on the
following day.
2. Change without regulatory effect designating last paragraph as subsection (f)
filed 3-21-2005 pursuant to section 1 00, title 1. California Code of Regulations
(Register 2005, No. 12).
3. Certificate of Compliance as to 2-10-2005 order transmitted to OAL
5-24-2005 and filed 6-20-2005 (Register 2005, No. 25).
4. Amendment of subsection (b)(5) filed 6-12-2006 as an emergency; operative
(j- 12-2006 (Register 2006, No. 24). A Certificate of Compliance must be trans-
mitted to OAL by 10-10-2006 or emergency language will be repealed by op-
eration of law on the following day.
5. Certificate of Compliance as to 6-12-2006 order transmitted to OAL
9-20-2006 and filed 9-29-2006 (Register 2006, No. 39).
6. Amendment of first paragraph and subsections (b)(6) and (d) filed 5-18-2007
as an emergency; operative 5-18-2007 (Register 2007, No. 20). A Certificate
of Compliance must be transmitted to OAL by 1 1-14-2007 or emergency lan-
guage will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 5-18-2007 order transmitted to OAL 8-1-2007
and filed 9-10-2007 (Register 2007, No. 37).
§ 19828.2. Instructional Materials.
For fiscal year 2007-08, perform the following procedures:
(a) Determine whether the year audited is one for which the governing
boards of school districts or county boards of education that receive
funds for instructional materials from any state source are subject to the
provisions of Education Code Section 601 19, as set forth in subdivision
(d) of that section.
(b) If the year audited is one in which the school district or county of-
fice of education was required to conduct a hearing as provided in Educa-
tion Code Section 601 19, perform the following audit procedures.
(1) Determine whether the school district governing board or county
board of education, prior to making a determination through a resolution
as to the sufficiency of textbooks or other instructional materials, held the
public hearing or hearings required by the provisions of Education Code
Section 601 19 on or before the end of the eighth week from the first day
pupils attended school for that year, or, in a school district or county of-
fice of education having schools that operate on a multitrack, year-round
calendar, on or before the end of the eighth week from the first day pupils
attended school for that year on any track that began in August or Sep-
tember.
(2) Determine whether the school district governing board or county
board of education provided 10-day notice of the required public hearing
or hearings.
(3) Determine whether each notice included the time, place, and pur-
pose of the hearing and whether the .school district or county office of
education posted the notice at a minimum of three public locations in the
school district or county, respectively.
(4) Determine whether the hearing was held at a time that encouraged
the attendance of teachers and parents and guardians of pupils who attend
the schools in the district and did not take place during or immediately
following school hours.
(5) Determine whether the resolution stated that each pupil in each
school had sufficient textbooks or instructional inaterials aligned to the
content standards adopted by the State Board of Education pursuant to
Education Code Section 60605 and consistent with the content and
cycles of the curriculum framework adopted by the State Board of Educa-
tion, or instead that there was an insufficiency of such textbooks or
instrucfional materials, or both, in any one or more of mathematics, sci-
ence, history-social science, and English/language arts including the
English language development component of an adopted program, as ap-
propriate. If the resolution stated any insufficiency, verify that the school
district governing board or county board of education provided informa-
tion to classroom teachers and to the public, setting forth, in the resolu-
tion, for each school in which an insufficiency existed, the percentage of
pupils who lacked sufficient standards-aligned textbooks or instruction-
al materials in each subject area and the reasons that each pupil did not
have sufficient standards-aligned textbooks or instructional materials, or
both, and look action to ensure that each pupil would have sufficient text-
books or instructional materials, or both, within two months of the begin-
ning of the school year in which the determinaUon was made.
(6) Verify whether the governing board made a written determination
as to whether each pupil enrolled in a foreign language or health course
had sufficient textbooks or instructional materials that were consistent
with the content and cycles of the curriculum frameworks adopted by the
State Board of Education for those subjects.
(7) Verify whether the governing board determined the availability of
laboratory science equipment as applicable to science laboratory courses
offered in grades 9 to 12, inclusive.
(c) If the school district or county office of education was not in com-
pliance with any of the requirements set forth in audit procedures 1
through 5 of subparagraph (b) of this section, the school district or county
office of education was not eligible to receive an Instructional Materials
Funding Realignment Program allowance for the fiscal year audited. In-
clude a finding in the Findings and Recommendations section of the audit
report showing the full amount of Instructional Materials Funding Re-
alignment Program allowance received as disallowed.
(d) If the school district or county office of education was not in com-
pliance with any of the requirements set forth in audit procedures 6 or 7
of subparagraph (b) of this section, report the noncompliance in a finding
in the Findings and Recommendations section of the audit report.
(e) Instructional Materials Funding Realignment Program:
(1) Determine the amount of the Instructional Materials Funding Re-
alignment Program allowance received by the local education agency.
(2) Verify that the allowance received was accounted for separately.
(3) For kindergarten and grades 1 through 8, review the local educa-
tion agency's list of instructional materials purchased and select a sample
to verify that the materials were adopted by the State Board of Education
in March 1999 or later, are in one of the four eligible subject areas, and
bear the copyright date and are of editions of the materials adopted by the
State Board of Education.
(4) For grades 9 through 12, review the local education agency's list
of instructional materials purchased and select a sample to verify that the
materials were reviewed and approved through a resolution adopted by
Page 190.9
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§ 19828.3
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
the local education agency's governing board as being aligned with State
Board of Education-adopted content standards.
(5) Determine whether the governing board certified, as set forth in
Education Code Section 60422, that each pupil had been provided with
a standards-aligned textbook or basic instructional materials.
(6) If the governing board did certify as set forth in Education Code
Section 60422, review the Instructional Materials Funding Realignment
Program expenditures initiated after the certification was made and se-
lect a sample to verify that the expenditures each fell into one of the fol-
lowing categories:
(A) Purchase of instructional materials adopted by the State Board of
Education pursuant to the provisions of Education Code Section 60200
for kindergarten and grades 1 through 8, or by the governing board pur-
suant to the provisions of Education Code Section 60400 for grades 9
through 12.
(B) Purchase, at the local education agency's discretion, of instaic-
tional materials, including, but not limited to, supplementary instruction-
al materials and technology-based materials from any source.
(C) Purchase of tests.
(D) Binding of textbooks that were otherwise usable and were on the
most recent list of basic instructional materials adopted by the State
Board of Education and made available pursuant to the provisions of
Education Code Section 60200.
(E) Funding of in-service training related to instructional materials.
(F) Purchase of classroom library materials for kindergarten and
grades 1 through 4, if the local education agency had a plan as specified
in subdivision (d) of Education Code Section 60242.
(f) If any of the instructional materials funds are found to have been
expended inappropriately, include the amount inappropriately spent in a
finding in the Findings and Recommendations section of the audit report.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14501, 14502.1, 14503 and 41020, Education Code.
History
1. New section filed 5-1 8-2007 as an emergency; operative 5-18-2007 (Register
2007, No. 20). A Certificate of Compliance must be transmitted to OAL by
11 -14-2007 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-1 8-2007 order transmitted to OAL 8-1-2007
and filed 9-10-2007 (Register 2007, No. 37).
3. Amendment of first paragraph and subsections (b)(1), (c), (d), (e)(6) and
(e)(6)(F) filed 6-9-2008 as'an emergency; operafive 6-9-2008 (Register 2008,
No. 24). A Certificate of Compliance must be transmitted to OAL by
12-8-2008 or emergency language will be repealed by operation of law on the
following day.
§ 19828.3. Instructional Materials.
For fiscal year 2008-09 and each fiscal year thereafter, perform the
following procedures:
(a) Determine whether the year audited is one for which the governing
boards of school districts or county boards of education that receive
funds for instructional materials from any state source are subject to the
provisions of Education Code Section 60119, as set forth in subdivision
(d) of that section.
(b) If the year audited is one in which the school district or county of-
fice of education was required to conduct a hearing as provided in Educa-
tion Code Section 601 19, perform the following audit procedures.
( 1 ) Determine whether the school district governing board or county
board of education, prior to making a determination through a resolution
as to the sufficiency of textbooks or other instructional materials, held the
public hearing or hearings required by the provisions of Education Code
Section 601 1 9 on or before the end of the eighth week from the first day
pupils attended school for that year, or, in a school district or county of-
fice of education having schools that operate on a multitrack, year-round
calendar, on or before the end of the eighth week from the first day pupils
attended school for that year on any track that began in August or Sep-
tember.
(2) Determine whether the school district governing board or county
board of education provided 10-day notice of the required public hearing
or hearings.
(3) Determine whether each notice included the time, place, and pur-
pose of the hearing and whether the school district or county office of
education posted the notice at a minimum of three public locations in the
.school district or county, respectively.
(4) Determine whether the hearing was held at a time that encouraged
the attendance of teachers and parents and guardians of pupils who attend
the schools in the district and did not take place during or immediately
following school hours.
(5) Determine whether the resolution stated that each pupil in each
school had sufficient textbooks or instructional materials aligned to the
content standards adopted by the State Board of Education pursuant to
Education Code Section 60605 and consistent with the content and
cycles of the curriculum framework adopted by the State Board of Educa-
tion, or instead that there was an insufficiency of such textbooks or
instructional materials, or both, in any one or more of mathematics, sci-
ence, history-social science, and English/language arts including the
English language development component of an adopted program, as ap-
propriate. If the resolution stated any insufficiency, verify that the school
district governing board or county board of education provided informa-
tion to classroom teachers and to the public, setting forth, in the resolu-
tion, for each school in which an insufficiency existed, the percentage of
pupils who lacked sufficient standards-aligned textbooks or instruction-
al materials in each subject area and the reasons that each pupil did not
have sufficient standards-aligned textbooks or instructional materials, or
both, and took action to ensure that each pupil would have sufficient text-
books or instructional materials, or both, within two months of the begin-
ning of the school year in which the determination was made.
(6) Verify whether the governing board made a written determination
as to whether each pupil enrolled in a foreign language or health course
had sufficient textbooks or instructional materials that were consistent
with the content and cycles of the curriculum frameworks adopted by the
State Board of Education for those subjects.
(7) Verify whether the governing board determined the availability of
laboratory science equipment as applicable to science laboratory courses
offered in grades 9 to 12, inclusive.
(c) If the school district or county office of education was not in com-
pliance with any of the requirements set forth in audit procedures 1
through 5 of subparagraph (b) of this section, the school district or county
office of education was not eligible to receive an Instructional Materials
Funding Realignment Program allowance for the fiscal year audited. In-
clude a finding in the Findings and Recommendations section of the audit
report showing the full amount of Instructional Materials Funding Re-
alignment Program allowance received as disallowed.
(d) If the school district or county office of education was not in com-
pliance with any of the requirements set forth in audit procedures 6 or 7
of subparagraph (b) of this section, report the noncompliance in a finding
in the Findings and Recommendations section of the audit report.
(e) Instructional Materials Funding Realignment Program:
(1) Determine the amount of the Instructional Materials Funding Re-
alignment Program allowance received by the local education agency.
(2) Verify that the allowance received was accounted for separately.
(3) For kindergarten and grades 1 through 8, review the local educa-
tion agency's list of instructional materials purchased and select a sample
to verify that the materials were adopted by the State Board of Education
in March 1999 or later, are in one of the four eligible subject areas, and
bear the copyright date and are of editions of the materials adopted by the
State Board of Education.
(4) For grades 9 through 12, review the local education agency's list
of instructional materials purchased and select a sample to verify that the
materials were reviewed and approved through a resolution adopted by
the local education agency's governing board as being aligned with State
Board of Education-adopted content standards.
Page 190.10
Register 2008, No. 24; 6- 13-2008
Title 5
Education Audit Appeals Panel
$ 19830.1
(5) Determine whether the governing board certified, as set forth in
Education Code Section 60422. that each pupil had been provided with
a standards-aligned textbook or basic instructional materials,
(A) for kindergarten and grades 1 to 8. inclusive, as adopted by the
State Board of Education pursuant to the provisions of Education Code
Section 60200 and following, and by the beginning of the first school
term that commenced not later than 24 months after their adoption, and
(B) for grades 9 to 12, inclusive, as adopted by the local governing
board pursuant to the provisions of Education Code Sections 60400 and
6041 1.
(6) if the governing board did certify as set forth in Education Code
Section 60422. review the Instructional Materials Funding Realignment
Program expenditures initiated after the certification was made and se-
lect a sample to verify that the expenditures each fell into one of the fol-
lowing categories:
(A) Purchase of instructional materials adopted by the State Board of
Education pursuant to the provisions of Education Code Section 60200
for kindergarten and grades 1 through 8, or by the governing board pur-
suant to the provisions of Education Code Section 60400 for grades 9
through 12.
(B) Purchase, at the local education agency's discretion, of instruc-
tional materials, including, but not limited to, supplementary instruction-
al materials and technology-based materials from any source.
(C) Purchase of tests.
(D) Binding of textbooks that were otherwise usable and were on the
most recent list of basic instructional materials adopted by the State
Board of Education and made available pursuant to the provisions of
Education Code Section 60200.
(E) Funding of in-service training related to instructional materials.
(F) Purchase of classroom library materials for kindergarten and
grades 1 through 4. if the local education agency had a plan as specified
in subdivision (d) of Education Code Section 60242.
(f) If any of the instmctional materials funds are found to have been
expended inappropriately, include the amount inappropriately spent in a
finding in the Findings and Recommendations section of the audit report.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14.S01. 14502.1, 14503 and 41020, Education Code.
History
1. New section filed 6-9-2008 as an ennergency; operative 6-9-2008 (Register
2008, No. 24). A Certificate of Compliance must be transmitted to OAL by
12-8-2008 or emergency language will be repealed by operation of law on the
following day.
§ 19829. Ratios of Administrative Employees to Teachers.
(a) For school districts, verify that the district is in compliance with the
administrator-to-teacher ratio requirement for the year audited by deter-
mining that the employees were properly classified and the ratio was cal-
culated consistent with the provisions of Education Code Section 41403.
(b) If the number of administrators per hundred teachers exceeded the
allowable ratio set forth in Education Code Section 41402, indicate the
number of excess administrators and the associated penalty, as set forth
in Education Code Section 41404, in the Findings and Recommendations
section of the audit report.
(c) If the school district cannot show that it was in compliance with the
ratio during the year audited, include a statement in the Findings and Rec-
ommendations section of the audit report that the ratio could not be con-
firmed.
NOTE; Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1 . New section filed 3-1 5-2004 as an emergency; operative 3-1 5-2004 (Register
2004. No. 12). A Certificate of Compliance must be transmitted to OAL by
7-13-2004 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3- 1 5-2004 order transmitted to OAL 5-6-2004
and filed 6-23-2004 (Register 2004, No. 26).
§ 19829.5. Classroom Teacher Salaries.
(a) If, during the year preceding the year audited, the district had 101
units or more of Average Daily Attendance, and. during the year audited,
the district was subject to the provisions of Education Code Section
41372 pursuant to the provisions of Education Code Section 41374. de-
termine whether, after applicable audit adjustments, the district met the
current expense of education percentage requirements for expenditure
for payment of salaries of classroom teachers as set forth in Education
Code Section 41372.
(b) If the district did not meet the applicable minimum percentage re-
quired for payment of salaries of classroom teachers, include a statement
in the Findings and Recommendations .section of the audit report indicat-
ing the minimum percentage required, the district's current expense of
education for the year audited after applicable audit adjustments, and the
dollar amount by which the district was deficient.
NOTE: Authority cited: Section 14502. L Education Code. Reference: Sections
14502.1. 14503, 41020 and 4L372, Education Code.
History
1 . New section filed 5-1 8-2007 as an emergency: operative 5- i 8-2007 (Register
2007. No. 20). A Certificate of Compliance must be transmitted to OAL by
1 1-14-2007 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-1 8-2007 order transmitted to OAL 8- 1 -2(K)7
and filed 9-10-2007 (Register 2007. No. 37).
§ 19830. Early Retirement Incentive.
For fiscal years 2003-04 and 2004-05, perform the following proce-
dures:
(a) Obtain a copy of the certification required by Education Code sec-
tions 22714. 22714.5, and 44929 and verify that the school district re-
ceived approval from the county office of education or that the county
office of education received approval from the Superintendent of Public
Instruction as appropriate.
(b) Verify that the reason(s) contained in the certification are consis-
tent with the results of the early retirement incentive program.
(c) Verify the data disclosed as a result of the district's or county of-
fice's adoption of the early retirement incentive program.
(d) Include a disclosure in the Notes to the Basic Financial Statements
that presents the number and type of positions vacated; the age. service
credit, salary, and, separately, the benefits of the retirees receiving addi-
tional service credit; a comparison of the salary and benefits of each retir-
ee with the salary and benefits of the replacement employee, if any; the
resulting retirement cost, including interest, if any, and postretirement
health benefit costs, incurred by the employer.
NOTE; Authority cited: Section 14502.1. Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1. New section filed 3-15-2004 as an emergency; operative 3-15-2004 (Register
2004, No. 12). A Certificate of Compliance must be transmitted to OAL by
7-13-2004 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3- 1 5-2004 order, including amendment of sub-
section (a), transmitted to OAL 5-6-2004 and filed 6-23-2004 (Register 2004,
No. 26).
3. Amendment adding new first paragraph filed 5- 1 8-2007 as an emergency; op-
erafive 5-18-2007 (Register 2007, No. 20). A Certificate of Compliance must
be transmitted to OAL by 1 1-14-2007 or emergency language will be repealed
by operation of law on the following day.
4. Certificate of Compliance as to 5-1 8-2007 order transmitted to OAL 8- 1 -2007
and filed 9-10-2007 (Register 2007. No. 37).
§ 1 9830.1 . Early Retirement Incentive.
For fiscal year 2005-06 and each fiscal year thereafter, perform the
following procedures:
(a) Obtain a copy of the certification required by Education Code sec-
tions 22714 and 44929 and verify that the school district received ap-
proval from the county office of education or that the county office of
education received approval from the Superintendent of Public Instruc-
tion as appropriate.
(b) Verify that the reason(s) contained in the certification are consis-
tent with the results of the eariy retirement incentive program.
Page 190.11
Register 2008, No. 24; 6-13-2008
§ 19831
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(c) Verify the data disclosed as a result of the district's or county of-
fice's adoption of the early retirement incentive program.
(d) Include a disclosure in the Notes to the Basic Financial Statements
that presents the number and type of positions vacated; the age, service
credit, salary, and, separately, the benefits of the retirees receiving addi-
tional service credit; a comparison of the salary and benefits of each retir-
ee with the salary and benefits of the replacement employee, if any; the
resulting retirement cost, including interest, if any, and postretirement
health benefit costs, incurred by the employer.
NOTE: Authority cited: Section 14502.1. Education Code. Reference: Sections
14.^02.1, 14503 and 41020, Education Code.
History
1. New section filed 5-1 8-2007 as an emergency; operative 5-18-2007 (Register
2007, No. 20). A Certificate of Compliance must be transmitted to OAL by
1 1 - 1 4-2007 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-1 8-2007 order transmitted to OAL 8-1-2007
and filed 9-10-2007 (Register 2007, No. 37).
§ 1 9831 . Gann Limit Calculation.
The following audit procedures apply to the current year appropri-
ations limit calculation for school districts and county offices of educa-
tion.
(a) Verify that the data used by the district or the county office is accu-
rate, ensuring that the prior year Gann ADA and prior year appropriations
limit used by the local education agency match the data on the prior year
appropriations limit calculation previously submitted to the California
Department of Education. If the district or county office has made adjust-
ments to the prior year data, verify that the adjustments are correct. If the
data has been revised, verify that the district or the county office has re-
calculated the prior year appropriations limit and attached a copy of the
recalculation to the current year appropriations limit.
(b) If the agency is found out of compliance, include a finding in the
Findings and Recommendations section of the audit report.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Section 1.5
of Article XIIIB, California Constitution.
History
1 . New section filed 3-15-2004 as an emergency; operative 3-15-2004 (Register
2004, No. 12). A Certificate of Compliance must be transmitted to OAL by
7- 1 3-2004 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 3-1 5-2004 order transmitted to OAL 5-6-2004
and filed 6-23-2004 (Register 2004, No. 26).
3. Amendment of first paragraph and subsection (a) filed 6-12-2006 as an emer-
gency; operative 6-12-2006 (Register 2006, No. 24). A Certificate of Com-
pliance must be transmitted to OAL by 10-10-2006 or emergency language
will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-12-2006 order transmitted to OAL
9-20-2006 and filed 9-29-2006 (Register 2006, No. 39).
§ 19832. School Construction Funds.
(a) School district bonds.
( 1 ) Verify that the proceeds from the sale of bonds issued pursuant to
the provisions of Education Code Section 15 140 were deposited in accor-
dance with the provisions of Educafion Code Section 15146.
(2) Select a sample of expenditures and verify that bond proceeds were
expended only for the purpose(s) for which the bonds were issued, as spe-
cified in the official statement or statements of bond indenture submitted
by the school district governing board to the county auditor or county
treasurer.
(3) Verify that any money transferred to the general fund of the district
from the interest and sinking fund was transferred in compliance with the
provisions of Education Code Section 15234.
(4) If any proceeds from the sale of bonds are found to have been de-
posited inappropriately or to have been expended for purposes other than
those specified in the official statement or statements of bond indenture,
or if any money is found to have been transferred inappropriately from
the interest and sinking fund, include a finding in the Findings and Rec-
ommendations section of the audit report stating the amount inappropri-
ately deposited, expended, or transferred.
(b) Slate School Facilities Funds.
(1 ) Select a sample of expenditures and verify that expenditures from
the school district's account in the county school facilities fund were
made only for qualifying school facilities expenditures as provided in
subdivision (c) of Education Code Section 17070.43 and additionally set
forth in Education Code Section 1 7072.35, or in Education Code Section
17074.25 as further defined in subdivision (f) of Education Code Section
1 7070. 1 5; or for other high priority capital outlay purposes in accordance
with the provisions of subdivision (c) of Education Code Section
17070.63.
(2) If any expenditures of funds from the school district's account in
the county school facilities fund are found to have been made for non-
qualifying purposes, include a finding in the Findings and Recommenda-
tions section of the audit report stafing the amount inappropriately ex-
pended.
NOTE; Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1 . New section filed 6-17-2004 as an emergency; operative 6-17-2004 (Register
2004, No. 25). A Certificate of Compliance must be transmitted to OAL by
1 0- 1 5-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 9-30-2004 as an emergency; operative 10-16-2004 (Reg-
ister 2004, No. 40). A Certificate of Compliance must be transmitted to OAL
by 2-14-2005 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 9-30-2004 order, including repealer of secfion
19832 and renumbering and amendment of former section 19833 to section
19832, transmitted to OAL 12-9-2004 and filed 1-19-2005 (Register 2005,
No. 3).
§19833. Alternative Pension Plans.
(a) As used in this section, "alternative pension plan" means a pension
plan not administered by the California Public Employees Retirement
System (Government Code Secfion 20000 and following) or the State
Teachers Retirement System (Education Code Section 22000 and fol-
lowing).
(b) Interview administrafive persormel and determine whether the lo-
cal education agency has created an entity, joined a joint powers author-
ity, or entered into a joint venture that provides for an altemaUve pension
plan for its current or former permanent, full-fime employees.
(c) If the local education agency has done so, determine that the acfiv-
ity is fully disclosed in the Notes to the Basic Financial Statements.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Educafion Code.
History
1 . New section filed 6-17-2004 as an emergency; operafive 6-17-2004 (Register
2004, No. 25). A Certificate of Compliance must be transmitted to OAL by
10-15-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 9-30-2004 as an emergency; operative 10-16-2004 (Reg-
ister 2004, No. 40). A Certificate of Compliance must be transmitted to OAL
by 2-14-2005 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 9-30-2004 order, including renumbering of for-
mer section 19833 to section 19832 and renumbering and amendment of former
section 19834 to section 19833, transmitted to OAL 12-9-2004 and filed
1-19-2005 (Register 2005, No. 3).
§19833.5. Excess Sick Leave.
(a) Determine whether excess sick leave, as that term is defined in sub-
division (c) of Educafion Code Secfion 22170.5, is expressly authorized
or is accrued for the local educafion agency's employees who are mem-
bers of the California State Teachers Retirement System (CalSTRS) by
performing the following procedures:
(1) Review the employment contracts of the superintendent and one
other high-level administrator who is a CalSTRS member, to idenfify the
number of sick leave days each was authorized per school year.
(2) If neither contract authorizes excess sick leave, review the sick
leave accrual records of the superintendent and the other high level ad-
ministrator to determine whether either or both have accrued excess sick
leave.
Page 190.12
Register 2008, No. 24; 6-13-2008
Title 5
Education Audit Appeals Panel
§ 19836
(3) ff neither authorized nor accrued excess sick leave is identified in
the foregoing steps, disclose that fact in the Supplementary Information
section of the audit report.
(b) If either authorized or accrued excess sick leave is identified in the
audit procedures in subdivision (a), review teachers' (non-administra-
tors) collective bargaining agreements to identify any provision autho-
rizing excess sick leave. If no excess sick leave authorization is identi-
fied, disclose that fact in the Supplementary Information section of the
audit report.
(c) If authorized or accrued excess sick leave is identified in the audit
procedures in subdivisions (a) or (b) or both, disclose that fact in the Sup-
plementary Information section of the audit report, identifying each con-
tract or bargaining agreement that authorized excess sick leave, and spec-
ifying by title(s) the employee(s) whose sick leave accrual exhibited the
granting of excess sick leave.
NOTb:; Aulhorilv cited: Section 14502.1, Education Code. Reference: Sections
14.501. 14502.1.' 14503 and 41020, Education Code.
History
1 . New section filed 6-1 2-2006 as an emergency; operative 6-12-2006 (Register
2006. No. 24). A Certificate of Compliance must be transmitted to OAL by
10-10-2006 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-12-2006 order transmitted to OAL
9-20-2006 and filed 9-29-2006 (Register 2006, No. 39).
§ 19833.6. Notification of Right to Elect California State
Teachers Retirement System (CalSTRS)
Membership.
(a) Determine whether the district provides a CalSTRS membership
election form consistent with the provisions of subdivision (b) of Educa-
tion Code Section 22455.5 (the notification and election form for the
CalSTRS Cash Balance Benefit Program, if the district offers that pro-
gram, or the permissive election and acknowledgement of receipt of
CalSTRS Defined Benefit Plan membership information form, if the dis-
trict does not offer the Cash Balance Benefit Program) to each newly
hired substitute teacher or part-time employee who will render creditable
service as defined in Education Code Section 221 19.5.
(b) If the required form is not provided to each newly hired substitute
teacher or part-time employee who will render creditable service as de-
fined in Education Code Section 221 19.5, include a finding in the Find-
ings and Recommendations section of the audit report.
NOTE: Authority cited: Section 14502.1. Education Code, Reference: Sections
14501. 14502.1.' 14.503 and 41020. Education Code.
History
1 . New section filed 6-1 2-2006 as an emergency; operative 6-1 2-2006 (Register
2006, No. 24). A Certificate of Compliance must be transmitted to OAL by
1 0-10-2006 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-12-2006 order transmitted to OAL
9-20-2006 and filed 9-29-2006 (Register 2006, No. 39).
§ 19834. Proposition 20 Lottery Funds (Cardenas
Textbook Act of 2000).
Determine the amount of the Proposition 20 restricted lottery allow-
ance received from the State Controller.
(a) Verify that the allowance received was accounted for separately.
(b) From the expenditures of the Proposition 20 restricted lottery al-
lowance funds, select a sample and verify that they were for instructional
materials as defined in subdivisions (h), (m), or (n) of Education Code
Section 60010.
(c) If any expenditure was not for instructional materials, include its
amount in a finding in the Findings and Recommendations section of the
audit report.
NOTE: Authority cited: Section 14502.1. Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1 . New section filed 6- 1 7-2004 as an emergency; operative 6-1 7-2004 (Register
2004, No. 25). A Certificate of Compliance must be transmitted to OAL by
1 0- 1 5-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 9-30-2004 as an emergency; operative 10-16-2004 (Reg-
ister 2004, No. 40). A Certificate of Compliance must be transmitted to OAL
by 2-14-2005 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 9-30-2004 order, including renumbering of for-
mer section 19834 to section 19833 and renumbering of former section 19835
to section 19834, transmitted to OAL 12-9-2004 and filed 1-19-2005 (Regis-
ter 2005, No. 3).
§ 19835. State Lottery Funds (California State Lottery Act
of 1984).
Determine the amount of the non-Proposition 20 lottery allowance re-
ceived from the State Controller.
(a) Verify that the allowance was accounted for separately as required
by subdivision (k) of Government Code Section 8880.5.
(b) From the expenditures of the non-Proposition 20 lottery allowance
funds, select a sample and determine whether any funds were used for the
acquisition of real property, constrtiction of facilities, or financing of re-
search.
(c) If any non-Proposition 20 lottery funds are identified as having
been expended for the acquisition of real property, construction of facili-
ties, or financing of research, include the amount of the expenditure in
a finding in the Findings and Recommendations section of the audit re-
port.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1 . New section filed 6-17-2004 as an emergency; operative 6-17-2004 (Register
2004. No. 25). A Certificate of Compliance must be transmitted to OAL by
10-15-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 9-30-2004 as an emergency; operative 10-16-2004 (Reg-
ister 2004, No. 40). A Certificate of Compliance must be transmitted to OAL
by 2-14-2005 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 9-30-2004 order, including renumbering of for-
mer section 19835 to section 19834 and renumbering of former section 19836
to section 19835, transmitted to OAL 12-9-2004 and filed 1-19-2005 (Regis-
ter 2005, No. 3).
§ 19836. California School Age Families Education
(Cal-SAFE) Program.
If the school district, county office of education, or charter school re-
ceived Cal-SAFE funds for the audited year, perform the following pro-
cedures. Do not apply the materiality provisions set forth in Section
19813.
(a) Determine whether the Cal-SAFE annual report of attendance sub-
mitted to the California Department of Education reconciles to support-
ing documentation by verifying the local education agency's calculation
of each reporting line item.
(b) For each line item, select a representative sample of Cal-SAFE pu-
pils whose Average Daily Attendance was included. For each pupil in
each sample, verify the Average Daily Attendance calculation, and trace
the pupil's daily attendance to the data origination documentation.
(c) Determine whether any Cal-SAFE pupils generated Average Dai-
ly Attendance in more than one program. Select a representative sample
from among such pupils. Verify that not more than a total of one unit of
Average Daily Attendance generated by each pupil was included in the
report.
(d) If the total reported units of Average Daily Attendance generated
by Cal-SAFE pupils in their education programs include more than one
unit of Average Daily Attendance for any pupil, include a statement in
the Findings and Recommendations section of the audit report of the
number of excess unit(s).
(e) If any inappropriately reported units of Average Daily Attendance
are identified through the audit procedures in subdivisions (a) and (b),
subtract the inappropriately reported units of Average Daily Attendance
from the total reported. From the resulting total, subtract any excess units
of Average Daily Attendance identified through the audit procedures in
subdivision (c). Include a statement in the Findings and Recommenda-
tions section of the audit report of the correct number of support services
allowances and the dollar value of the inappropriately claimed support
services allowances.
Page 190.13
Register 2008, No. 24; 6- 13-2008
§ 19837
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
NOTE; Authority cited: Section 14502.1, Education Code. Reference: Seclion,s
14502.1, 14503 and 41020, Education Code.
History
1 . New section filed 6-1 7-2004 as an emergency; operative 6-1 7-2004 (Register
2004. No. 25). A Certificate of Compliance must be transmitted to OAL by
10-15-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 9-30-2004 as an emergency; operative 1 0- 1 6-2004 ( Reg-
ister 2004, No. 40). A Certificate of Compliance must be transmitted to OAL
by 2-14-2005 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 9-30-2004 order, including renumbering of for-
mer section 1 9836 to section 1 9835 and renumbering and amendment of former
section 19837 to section 19836, transmitted lo OAL 12-9-2004 and filed
1-19-2005 (Register 2005, No. 3).
4. Change without regulatory effect amending first paragraph and subsections
(d)-(e) filed 4-14-2005 pursuant to section 1 00, title 1, California Code of Reg-
ulations (Register 2005, No. 15).
5. Amendment of first paragraph filed 6-9-2006; operative 6-9-2006 (Resister
2006, No. 23).
§ 19837. School Accountability Report Card.
For fiscal years 2004-05 through 2006-07, perform the following pro-
cedures:
(a) Obtain copies of the quarterly report of summarized complaint data
compiled pursuant to the provisions of subdivision (d) of Education Code
Section 35 1 86. Identify any complaints related to teacher misassignment
or vacancies included in the summarized data and compare each such
complaint to the information on teacher misassignment or vacancies
stated in the School Accountabihty Report Card for the school identified
in the complaint, as required by the provisions of subdivision (b)(5) of
Education Code Section 33126. If the information in the School Ac-
countability Report Card is inconsistent with the information in the com-
plaint, interview management to determine the basis of the inconsisten-
cy. If the School Accountability Report Card was inaccurate, include a
finding in the Findings and Recommendations section of the audit report.
(b) For each school in the sample of schools selected pursuant to Sec-
tion 19817.1(b), obtain the school district's or county office of educa-
tion's completed copy of the interim evaluation instrument developed by
the Office of Public School Construction pursuant to the provisions of
subdivision (d) of Education Code Section 17002. If the interim evalua-
tion instrument was completed prior to the publication of the school's
School Accountability Report Card, compare the information contained
in the instrument to the information on safety, cleanliness, and adequacy
of school facilities contained in the School Accountability Report Card
for that school as required by the provisions of subdivision (b)(9) of
Education Code Section 33126. If the information in the School Ac-
countability Report Card is inconsistent with the information in the inter-
im evaluation instrument, interview management to determine the basis
of the inconsistency. If the School Accountability Report Card was inac-
curate, include a finding in the Findings and Recommendations section
of the audit report.
(c) For each school in the sample of schools selected pursuant to Sec-
tion 19817.1(b), compare the information on the availability of .sufficient
textbooks and other instructional materials included in the School Ac-
countability Report Card pursuant to the provisions of subdivision
(b)(6)(B) of Education Code Section 33126 with the information in the
resolution reviewed pursuant to Section 19828.1(b)(5) and the informa-
fion in the determinafions reviewed pursuant to Section 19828.1(b)(6)
and Section 19828.1(b)(7). If the information in the School Accountabil-
ity Report Card is inconsistent with the informadon in the resolution or
the determinations, interview management to determine the basis of the
inconsistency. If the School Accountability Report Card was inaccurate,
include a finding in the Findings and Recommendations section of the au-
dit report.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14501, 14502.1, 14503 and 41020, Educafion Code.
History
1 . New section filed 2-10-2005 as an emergency; operative 2-10-2005 (Register
2005, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-10-2005 or emergency language will be repealed by operation of law on the
following day. For prior history, see Register 3005, No. 3.
2. Certificate of Compliance as to 2-10-2005 order transmitted to OAL
5-24-2005 and filed 6-20-2005 (Register 2005, No. 25).
3. Amendment adding new first paragraph filed 5-1 8-2007 as an emergency; op-
erative 5-1 8-2007"(Register 2007. No. 20). A Certificate of Compliance must
be transmitted to OAL by 1 1-14-2007 or emergency language will be repealed
by operation of law on the following day.
4. Certificate of Compliance as to 5- 1 8-2007 order transmitted to OAL 8-1-2007
and filed 9-10-2007 (Register 2007, No. 37).
§ 1 9837.1 . School Accountability Report Card.
For fiscal year 2007-08, perform the following procedures:
(a) Obtain copies of the quarterly report of summarized complaint data
compiled pursuant to the provisions of subdivision (d) of Education Code
Section 35 1 86. Identify any complaints related to teacher misassignment
or vacancies included in the summarized data and compare each such
complaint to the information on teacher misassignment or vacancies
stated in the School Accountability Report Card for the school identified
in the complaint, as required by the provisions of subdivision (b)(5) of
Education Code Section 33126. If the information in the School Ac-
countability Report Card is inconsistent with the information in the com-
plaint, interview management to determine the basis of the inconsisten-
cy. If the School Accountability Report Card was inaccurate, include a
finding in the Findings and Recommendations section of the audit report.
(b) For each school in the sample of schools selected pursuant to Sec-
tion 19817.1(b), obtain the school district's or county office of educa-
tion's copy of its most recently completed school facility conditions eval-
uation instrument developed by the Office of Public School ConstrucUon
and approved by the State Allocation Board, or a local evaluation instru-
ment that meets the same criteria, pursuant to the provisions of subdivi-
sion (d) of Education Code Section 17002. If the evaluation instrument
was completed prior to the publication of the school's School Account-
ability Report Card, compare the information contained in the evaluation
instrument to the information on safety, cleanliness, and adequacy of
school facilities contained in the School Accountabihty Report Card for
that school as required by the provisions of subdivision (b)(9) of Educa-
tion Code Section 33 1 26. If the information in the School Accountability
Report Card is inconsistent with the information in the evaluation instru-
ment, interview management to determine the basis of the inconsistency.
If the School Accountability Report Card was inaccurate, include a find-
ing in the Findings and Recommendations section of the audit report.
(c) For each school in the sample of schools selected pursuant to Sec-
tion 1 98 1 7. 1 (b), compare the information on the availability of sufficient
textbooks and other instrucfional materials included in the School Ac-
countability Report Card pursuant to the provisions of subdivision
(b)(6)(B) of Education Code Section 33126 with the information in the
resolution reviewed pursuant to Section 19828.2(b)(5) and the informa-
tion in the determinafions reviewed pursuant to Secfion 19828.2(b)(6)
and Section 1 9828.2(b)(7). If the informadon in the School Accountabil-
ity Report Card is inconsistent with the informadon in the resoludon or
the determinations, interview management to determine the basis of the
inconsistency. If the School Accountability Report Card was inaccurate,
include a finding in the Findings and Recommendations secdon of the au-
dit report.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14501. 14502.1, 14503 and 41020, Educafion Code.
History
1 . New section filed 5-1 8-2007 as an emergency; operative 5-18-2007 (Register
2007, No. 20). A Certificate of Compliance must be transmitted to OAL by
1 1-14-2007 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-1 8-2007 order transmitted to OAL 8-1-2007
and filed 9-10-2007 (Register 2007, No. 37).
3. Amendment of first paragraph filed 6-9-2008 as an emergency; operative
6-9-2008 (Register 2008, No. 24). A Certificate of Compliance must be trans-
mitted to OAL by 12-8-2008 or emergency language will be repealed by opera-
tion of law on the following day.
§ 19837.2. School Accountability Report Card.
For fiscal year 2008-09 and each fiscal year thereafter, perform the
following procedures:
Page 190.14
liegister 2008, No. 24; 6-13-2008
Title 5
Education Audit Appeals Panel
§ 19845
(a) Obiain copies of the quarterly report of summarized complaint data
compiled pursuant to the provisions of subdivision (d) of Education Code
Section 35 186. Identify any complaints related to teacher misassignment
or vacancies included in the summarized data and compare each such
complaint to the information on teacher misassignment or vacancies
stated in the School Accountability Report Card for the school identified
in the complaint, as required by the provisions of subdivision {b)(5) of
Education Code Section 33126. If the information in the School Ac-
countability Report Card is inconsistent with the information in the com-
plaint, interview management to determine the basis of the inconsisten-
cy. If the School Accountability Report Card was inaccurate, include a
finding in the Findings and Recommendations section of the audit report.
(b) For each school in the sample of schools selected pursuant to Sec-
tion 19817.1(b). obtain the school district's or county office of educa-
tion" s copy of its most recently completed school facility conditions eval-
uation instrument developed by the Office of Public School Construction
and approved by the State Allocation Board, or a local evaluation instru-
ment that meets the same criteria, pursuant to the provisions of subdivi-
sion (d) of Education Code Section 17002. If the evaluation instrument
was completed prior to the publication of the school's School Account-
ability Report Card, compare the information contained in the evaluation
instrument to the information on safety, cleanliness, and adequacy of
school facilities contained in the School Accountability Report Card for
that school as required by the provisions of subdivision (b)(9) of Educa-
tion Code Section 33 126. If the information in the School Accountability
Report Card is inconsistent with the information in the evaluation instru-
ment, interview management to determine the basis of the inconsistency.
If the School Accountability Report Card was inaccurate, include a find-
ing in the Findings and Recommendations section of the audit report.
(c) For each school in the sample of schools selected pursuant to Sec-
tion 1 98 1 7. 1 (b), compare the information on the availability of sufficient
textbooks and other instructional materials included in the School Ac-
countability Report Card pursuant to the provisions of subdivision
(b)(6)(B) of Education Code Section 33126 with the information in the
resolution reviewed pursuant to Section 19828.3(b)(5) and the informa-
tion in the determinations reviewed pursuant to Section 19828.3(b)(6)
and Section 19828.3(b)(7). If the information in the School Accountabil-
ity Report Card is inconsistent with the information in the resolution or
the determinations, interview management to determine the basis of the
inconsistency. If the School Accountability Report Card was inaccurate,
include a finding in the Findings and Recommendations section of the au-
dit report.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14501, 14502.11, 14503 and 41020, Education Code.
History
I . New section Filed 6-9-2008 as an emergency; operative 6-9-2008 (Register
2008, No. 24). A Certificate of Compliance must be transmitted to OAL by
1 2-8-2008 or emergency language will be repealed by operation of law on the
following day.
§ 19838. Mathematics and Reading Professional
Development.
If the school district or county office of education received Mathemat-
ics and Reading Professional Development funds, perform the following
procedures:
(a)(1) If it is determined, pursuant to provisions of Section
19828.2(b)(5), that standards-aligned textbooks in mathematics or Eng-
lish language arts were not provided for each pupil, determine whether
Mathematics and Reading Professional Development funding was
claimed for any of the teachers of those pupils.
(2) For each teacher identified in the foregoing procedure, if any, de-
termine the number of that teacher's pupils who were not provided stan-
dards-aligned mathematics or English language arts textbooks and cal-
culate the applicable penalty by multiplying that number of pupils by
$100. Include a statement in the Findings and Recommendations section
of the audit report specifying the number of pupils and the penalty
amount.
(b)( 1 ) Verify that the number of teachers claimed on the request for re-
imbursement submitted to the California Department of Education did
not exceed the number of teachers actually participating in the Mathe-
matics and Reading Professional Development program.
(2) If it is determined, through the foregoing audit procedure that fewer
teachers participated in the Mathematics and Reading Professional De-
velopment Program training than were claimed for reimbursement, in-
clude a statement in the Findings and Recommendations section of the
audit report specifying the number of teachers inappropriately reported
for funding and the amount of funding received for those teachers.
(c)(1) Verify that the training provider who conducted the first 40
hours of training was on the State Board of Education-approved list.
(2) If in-house training was provided during the year audited for any
portion of the remaining 80 hours of follow-up instruction, verify that the
local education agency's in-house professional development met the re-
quirements specified in subdivision (a)(4) of Education Code Section
99237 by being focused primarily on the following:
(A) The mathematics or English language arts content standards
adopted by the State Board of Education pursuant to Section 60605.
(B) The curriculum frameworks adopted by the State Board of Educa-
tion for mathematics and English language arts.
(C) The use of instructional materials that will be used by pupils and
are aligned to the mathematics or English language arts content standards
adopted by the State Board of Education pursuant to Section 60605.
(D) Instructional strategies designed to help all pupils gain mastery of
the California academic content standards, with special emphasis on
English language learners and pupils with exceptional needs.
(3) If it is determined through the foregoing audit procedures that the
school district or county office of education used an unapproved contrac-
tor or that any in-house training was ineligible, or both, include a finding
in the Findings and Recommendations section of the audit report stating
the amount inappropriately spent.
NOTE: Authority cited: Section ] 4502.1, Education Code. Reference: Sections
14502.1, 14503, 41020 and 99237, Education Code.
History
1 . New section filed 5-1 8-2007 as an emergency: operative 5- 1 8-2007 ( Register
2007, No. 20). A Certificate of Compliance must be transmitted to OAL by
1 1-14-2007 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-1 8-2007 order transmitted to OAL 8-1-2007
and filed 9-10-2007 (Register 2007. No. 37).
Article 3.1. State Compiiance Procedures:
School Districts and Charter Schools
§ 19845. Class Size Reduction.
For fiscal year 2003-04 only, perform the following audit steps:
If the school district or charter school received Class Size Reduction
Program funding for the year audited, perform the following procedures,
using daily averaging in all instances in which averaging is required.
(a) Verify the mathematical accuracy of the Class Size Reduction Pro-
gram claim form submitted to the California Department of Education.
(b) Option One Classes
(1) Select a sample of classes from those that were certilled as eligible
for Option One Class Size Reduction Program funding, using the follow-
ing procedures:
(A) The number of classes to be reviewed shall be based on auditor
judgment, but the selection of classes shall be made randomly.
(B) For each class selected, the sample shall include at least 15 days
randomly selected from all instmctional days that occurred between the
first day of instruction and April 15, inclusive, of the year audited.
(C) If class size for the sampled classes was more than 20.4 when aver-
aged over a period from the first day of instruction to April 1 5, inclusive,
the auditor shall conduct a more in-depth review. The in-depth review
shall be either of the following:
Page 190.15
Register 2008, No. 24; 6-13-2008
§ 19845
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
1. A review of all instmctional days for all classes for which a district
or charter school has requested funding pursuant to the provisions of
Education Code Section 52 1 26.
2. A randomly selected sample of all classes and instructional days, of
sufficient size and designed in such a manner that the auditor can con-
clude, with a 95 percent degree of confidence, that the average daily class
size for each class, when averaged over the period from the first day of
instruction to April 15, did not exceed 20.4.
(D) The district or charter school shall make the determination as to
which of the two in-depth review methods set forth in the immediately
preceding subparagraph shall be used.
(2) For sampled classes, review the data used to prepare the list of Op-
tion One classes reported to the California Department of Education, to
verify that the report is supported by contemporaneous records.
(3) For sampled classes, review teacher assignments and other avail-
able pupil and teacher assignment data to verify that the number of stu-
dents reported as being under the immediate supervision of each assigned
teacher for each class reported was the actual class size for a substantial
majority of the full regular school day.
(c) Option Two Classes
( 1 ) Select a sample of classes from those that were certified as eligible
for Option Two Class Size Reduction Program funding, using the follow-
ing procedures:
(A) The number of classes to be reviewed shall be based on auditor
judgment, but the selection of classes shall be made randomly.
(B) For each class selected, the sample shall include at least 15 days
randomly selected from all instructional days that occurred between the
first day of instruction and April 15. inclusive, of the year audited.
(C) If class size for the sampled classes was more than 20.4 when aver-
aged over a period from the first day of instruction to April 15, inclusive,
the auditor shall conduct a more in-depth review. The in-depth review
shall be either of the following:
1 . A review of all instructional days for all classes for which a district
or charter school has requested funding pursuant to the provisions of
Education Code Section 52126.
2. A randomly selected sample of all classes and instructional days, of
sufficient size and designed in such a manner that the auditor can con-
clude, with a 95 percent degree of confidence, that the average daily class
size for each class, when averaged over the period from the first day of
instrucUon to April 15, did not exceed 20.4.
(D) The district or charter school shall make the determination as to
which of the two in-depth review methods set forth in the immediately
preceding subparagraph shall be used.
(2) For sampled classes, review the data used to prepare the list of Op-
tion Two classes reported to the California Department of Education, to
verify that the report is supported by contemporaneous records.
(3) For sampled classes, review teacher assignments and other avail-
able data to ensure that the class size reported was the maximum actual
class size for at least one-half of the instructional minutes offered per day
in each grade for which Option Two Class Size Reduction funding was
claimed.
(4) Review class schedules to ensure that the time that pupils spent in
Option Two classes was primarily devoted to instruction in reading or
mathematics.
(d) Class Size Reduction in districts or charter schools with only one
school serving K-3:
For school districts or charter schools that maintain only one school
that serves kindergarten and grades 1 through 3, verify that:
(1 ) The district or charter school claimed Class Size Reduction fund-
ing for not more than two classes per participating grade level,
(2) The pupil-to-teacher rafio did not exceed 22.4 to 1 in any class,
(3) The average class size of all classes participafing in Class Size Re-
ducfion, combined, did not exceed 20.4, and
(4) The governing board made a public declaration that it exhausted
all possible alternatives to averaging and was unable to achieve a pupil-
to-teacher ratio of 20 to 1 in a way that is educationally acceptable.
(e) General requirements:
( 1 ) For all sampled classes, and for classes claimed for Class Size Re-
duction funding in districts or charter schools with only one school serv-
ing kindergarten and grades 1 through 3, review the school level informa-
tion used to complete the California Department of Education's reporting
form. Verify that:
(A) classes claimed for funding were for pupils in kindergarten, or
grades 1 to 3. inclusive;
(B) if only one grade level was reduced, it was grade 1 ;
(C) if two grade levels were reduced, they were grades 1 and 2; and
(D) priority was given to the reduction of classes in grades 1 and 2 be-
fore classes in kindergarten or grade 3 were reduced.
(2) For the sampled classes, verify that the district or charter school did
not report to the California Department of Educafion on the Class Size
Reduction reporting form:
(A) any classes consisting of special educafion pupils enrolled in spe-
cial day classes on a full-time basis,
(B) any pupil who was enrolled in independent study or home study
for the full regular school day,
(C) any pupil who was enrolled in independent study or home study
for any portion of the full regular school day, for that porfion of each day
that the pupil was on independent study or home study, or
(D) any pupil enrolled in a Class Size Reducfion combination class
who was at a grade level ineligible for Class Size Reduction funding.
(3) For the sampled classes, verify that counts began on the first teach-
ing day each class existed.
(4) If a district elected to reduce class size through the use of an early-
late instructional program and claimed Class Size Reducfion funding for
Opfion One classes, verify that it did not follow the provisions of Educa-
fion Code Secfion 46205 when calculafing instrucfional time used to
qualify for Longer Instructional Day and Year incenfive funding unless
the district operated an early-late instrucfional program pursuant to the
provisions of Education Code Secfion 46205 prior to July 1, 1996.
(5) If a district elected to reduce class size through the use of an early-
late instructional program and claimed Class Size Reduction funding for
Option Two classes, verify that it did not follow the provisions of Educa-
fion Code Section 46205 when calculating instructional fime used to
qualify for Longer Instructional Day and Year incenfive funding.
(f) If any of the classes reported for Class Size Reducfion funds is
found to be ineligible for such funding pursuant to any of the foregoing
audit procedures, or if any individual pupils in classes found to be eligible
are found to have been ineligible because of their grade level(s) but to
have been reported as eligible, or both, prepare a schedule, which must
be presented as part of the Findings and Recommendations, summarizing
the results of all procedures and presenting the noncompliant classes by
grade level, number of classes, number of pupils incorrectly reported as
eligible, and Class Size Reduction funding claimed on the basis of those
pupils, including the data for each ineligible class only once, even if
found to have been ineligible for Class Size Reducfion funds in more than
one of the steps in the audit procedures.
(g) Interview management regarding the district's staff development
program.
(1 ) Verify that the staff development program required, as set forth in
Educafion Code Secfion 52127, that any cerfificated teacher providing
direct instruction to a class in the Class Size Reducfion Program receive
the appropriate training necessary to maximize the educafional advan-
tages of Class Size Reducfion, including but not fimited to methods for
providing individualized instrucfion; effecfive teaching, including class-
room management, in smaller classes; idenfifying and responding to stu-
dent needs; and opportunities to build on the individual strengths of stu-
dents.
(2) If the district did not have a staff development program as set forth
in Education Code Section 52127, include a finding in the Findings and
Recommendations secfion of the audit report showing the full amount of
Class Size Reducfion funding received as disallowed.
Page 190.16
Register 2008, No. 24; 6-13-2008
Title 5
Education Audit Appeals Panel
§ 19845.1
NOIH: Authority cited: Section 14502.1, Education Code. Reference: Sections
1 4.502. 1 , 1 4.503 and 4 1 020, Education Code.
History
1. New article .3.1 heading and renuinbering of section 19826 to section 19845
filed 6-9-2006: operative 6-9-2006 (Register 2006, No. 23).
§ 1 9845.1 . Class Size Reduction.
For fiscal year 2004-05 and each fiscal year thereafter, perform the
following audit steps:
If the school district or charter school received Class Size Reduction
Program funding for the year audited, perform the following procedures,
using daily averaging in all instances in which averaging is required.
(a) Verify the mathematical accuracy of the Class Size Reduction Pro-
gram claim form submitted to the California Department of Education.
(b) Option One Classes
( 1 ) Select a sample of classes from those that were certified as eligible
for Option One Class Size Reduction Program funding, using the follow-
ing procedures:
(A) The number of classes to be reviewed shall be based on auditor
judgment, but the selection of classes shall be made randomly.
(B) For each class selected, the sample shall include at least 15 days
randomly selected from all instructional days that occurred between the
first day of instruction and April 1 5. inclusive, of the year audited.
(C) If class size for the sampled classes was more than 20.4 when aver-
aged over a period from the first day of instruction to April 1 5, inclusive,
the auditor shall conduct a more in-depth review. The in-depth review
shall be either of the following:
1 . A review of all instructional days for all classes for which a district
or charter school has requested funding pursuant to the provisions of
Education Code Section 52126.
2. A randomly selected sample of all classes and instructional days, of
sufficient size and designed in such a manner that the auditor can con-
clude, with a 95 percent degree of confidence, that the average daily class
size for each class, when averaged over the period from the first day of
instruction to April 15, did not exceed 20.4.
(D) The district or charter school shall make the determination as to
which of the two in-depth review methods set forth in the immediately
preceding subparagraph shall be used.
(2) For sampled classes, review the data used to prepare the list of Op-
tion One classes reported to the California Department of Education, to
verify that the report is supported by contemporaneous records.
(3) For sampled classes, review teacher assignments and other avail-
able pupil and teacher assignment data to verify that the number of stu-
dents reported as being under the immediate supervision of each assigned
teacher for each class reported was the actual class size for a substantial
tnajority of the full regular school day.
(c) Option Two Classes
( 1 ) Select a sample of classes from those that were certified as eligible
for Option Two Class Size Reduction Program funding, using the follow-
ing procedures:
(A) The number of classes to be reviewed shall be based on auditor
judgment, but the selection of classes shall be made randomly.
(B) For each class selected, the sample shall include at least 15 days
randomly selected from all instructional days that occurred between the
first day of instruction and April 15, inclusive, of the year audited.
(C) If class size for the sampled classes was more than 20.4 when aver-
aged over a period from the first day of instruction to April 15. inclusive,
the auditor shall conduct a more in-depth review. The in-depth review
shall be either of the following:
1 . A review of all instructional days for all classes for which a district
or charter school has requested funding pursuant to the provisions of
Education Code Section 52126.
2. A randomly selected sample of all classes and instructional days, of
sufficient size and designed in such a manner that the auditor can con-
clude, with a 95 percent degree of confidence, that the average daily class
size for each class, when averaged over the period from the first day of
instruction to April 15, did not exceed 20.4.
(D) The district or charter school shall make the determination as to
which of the two in-depth review inethods set foith in the immediately
preceding subparagraph shall be used.
(2) For sampled classes, review the data used to prepare the list of Op-
tion Two classes reported to the California Department of Education, to
verify that the report is supported by contetnporaneous records.
(3) For sampled classes, review teacher assignments and other avail-
able data to ensure that the class size reported was the maximum actual
class size for at least one-half of the instructional minutes offered per day
in each grade for which Option Two Class Size Reduction funding was
claimed.
(4) Review class schedules to ensure that the time that pupils spent in
Option Two classes was primarily devoted to instruction in reading or
mathematics.
(d) Class Size Reduction option for districts or charter schools with
only one school serving K-3:
For school districts or charter schools that participate in Class Size Re-
duction pursuant to the provisions of subdivision (h) of Education Code
Section 52122. verify that:
(1) The school had no more than two classes per participating grade
level.
(2) The governing board made a public declaration as set forth in sub-
division (h)(2) of Education Code Section 52122.
(3) The average class size of all classes participating in Class Size Re-
duction, combined, did not exceed 20.4. and
(4) The pupil-to-teacher ratio did not exceed 22.4 to 1 in any class.
(e) General requirements:
( 1 ) For all sampled classes, and for classes claimed for Class Size Re-
duction funding in districts or charter schools with only one school serv-
ing kindergarten and grades 1 through 3. review the school level informa-
tion used to complete the California Department of Education's reporting
form. Verify that:
(A) classes claimed for funding were for pupils in kindergarten, or
grades 1 to 3, inclusive;
(B) if only one grade level was reduced, it was grade 1;
(C) if two grade levels were reduced, they were grades 1 and 2; and
(D) priority was given to the reduction of classes in grades I and 2 be-
fore classes in kindergarten or grade 3 were reduced.
(2) For the sampled classes, verify that the district or charter school did
not report to the California Department of Education on the Class Size
Reduction reporting form:
(A) any classes consisting of special education pupils enrolled in spe-
cial day classes on a full-time basis,
(B) any pupil who was enrolled in independent study or home study
for the full regular school day.
(C) any pupil who was enrolled in independent study or home study
for any portion of the full regular school day, for that portion of each day
that the pupil was on independent study or home study, or
(D) any pupil enrolled in a Class Size Reduction combination class
who was at a grade level ineligible for Class Size Reduction funding.
(3) For the sampled classes, verify that counts began on the first teach-
ing day each class existed.
(4) If a district elected to reduce class size through the use of an early-
late instructional program and claimed Class Size Reduction funding for
Option One classes, verify that it did not follow the provisions of Educa-
tion Code Secrion 46205 when calculating instructional time used to
qualify for Longer Instructional Day and Year incentive funding unless
the district operated an eariy-late instructional program pursuant to the
provisions of Education Code Section 46205 prior to July 1, 1996.
(5) If a district elected to reduce class size through the use of an eariy-
late instructional program and claimed Class Size Reduction funding for
Option Two classes, verify that it did not follow the provisions of Educa-
tion Code Section 46205 when calculating instructional time used to
qualify for Longer Instructional Day and Year incentive funding.
(f) If any of the classes reported for Class Size Reduction funding is
found to be ineligible for such funding pursuant to any of the foregoing
Page 190.17
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BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
audit procedures, or if any individual pupils in eligible classes are found
to have been ineligible because of their grade level(s) but to have been
included in the number of eligible pupils reported, or both, prepare, and
include in the Findings and Recommendations section of the audit report,
a schedule summarizing the results of all procedures and displaying the
numbers of noncompliant classes by grade level, number of pupils incor-
rectly reported as eligible, and Class Size Reduction funding claimed on
the basis of those classes and pupils. Include the data for each inehgible
class only once, even if found to have been ineligible for Class Size Re-
duction funding in more than one of the steps in the audit procedures. Dis-
play information separately for classes with annual average enrollments
determined, pursuant to the provisions of Education Code Section
52124.5, to be
( 1 ) equal to or greater than 20.5 but less than 21 .0, with a 20 percent
reduction of the amount to which the district would otherwise be eligible
for each such class;
(2) equal to or greater than 21 .0 but less than 2 1 .5, with a 40 percent
reduction of the amount to which the district would otherwise be eligible
for each such class;
(3) equal to or greater than 21.5 but less than 2 1 .9, with an 80 percent
reduction of the amount to which the district would otherwise be eligible
for each such class; and
(4) equal to or greater than 21.9, with a 100 percent reduction of the
amount to which the district would otherwise be eligible for each such
class.
(g) Interview management regarding the district's staff development
program.
( 1 ) Verify that the staff development program required, as set forth in
Education Code Section 52127, that any certificated teacher providing
direct instruction to a class in the Class Size Reduction Program receive
the appropriate training necessary to maximize the educational advan-
tages of Class Size Reduction, including but not limited to methods for
providing individualized instruction; effective teaching, including class-
room management, in smaller classes; identifying and responding to stu-
dent needs; and opportunities to build on the individual strengths of stu-
dents.
(2) If the district did not have a staff development program as set forth
in Education Code Section 52127, include a finding in the Findings and
Recommendations section of the audit report showing the full amount of
Class Size Reduction funding received as disallowed.
Note. Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503 and 41020, Education Code.
History
1. Renumbering of section 19826.1 to section 19845.1 filed 6-9-2006; operative
6-9-2006 (Register 2006, No. 23).
§ 19846. After School Education and Safety Program.
If the local education agency received After School Education and
Safety funds, perform the following procedures:
(a) If the local education agency operated an after school program
component:
(1 ) Determine whether the local education agency established a policy
regarding reasonable early daily release of pupils from the program.
(2) Select a representative sample of schools for each program type,
as that term is used in the attendance report, for which data was reported
to the California Department of Education for the after school base grant
program. Determine whether the reported number of students served, as
that term is used in the report, for each selected school is supported by
written records that document pupil participation, by tracing the reported
numbers through any documentation used to summarize the numbers of
students served, to written data origination documentation.
(3) For each school selected pursuant to subparagraph (a)(2) of this
section, determine whether the after school program commenced every
day immediately upon the conclusion of the regular schoolday, operated
a minimum of 15 hours per week, and operated until at least 6:00 p.m.
every regular schoolday, by reviewing, for example, local policies and
procedures, program staffing schedules, sign in/out sheets, program bro-
chures, and other relevant documentation.
(4) For each school selected pursuant to subparagraph (a)(2) of this
section, determine whether elementary school pupils participated in the
full day of the after school program on every day during which pupils par-
ticipated, and determine whether pupils in middle or junior high schools
attended the after school program a minimum of nine hours a week and
three days a week, except as consistent with the established early release
policy.
(5) If any noncompliance is found through the foregoing procedures,
include a statement in the Findings and Recommendations section of the
audit report, stating that the local education agency did not have a policy
on reasonable early daily release from the after school program, if that
is the case, and including discrepancies, if any, between the reported
numbers of students served and the totals arising from the supporting
documentation; failure to operate consistent with the days/hours require-
ments set forth in subparagraph (a)(3) of this section, if any; and the por-
tion of reported students served that resulted from attendance, inconsis-
tent with the established early release policy, by elementary school pupils
for less than the full day of the after school program, and from attendance
by middle or junior high school pupils for less than nine hours a week or
fewer than three days a week, if any.
(b) If the local education agency operated a before school program
component:
( 1 ) Determine whether the local education agency established a policy
regarding reasonable late daily arrival of pupils to the program.
(2) Select a representative sample of schools for each program type,
as that term is used in the attendance report, for which data was reported
to the California Department of Education for the before school base
grant program. Determine whether the reported number of students
served, as that term is used in the report, for each selected school is sup-
ported by written records that document pupil participation, by tracing
the reported numbers through any documentation used to summarize the
numbers of students served, to written data origination documentation.
(3) For each school selected pursuant to subparagraph (b)(2) of this
section,
(A) Determine whether the local education agency operated the before
school program for not less than one and one-half hours per regular
schoolday, by reviewing, for example, local policies and procedures,
program staffing schedules, sign in/out sheets, program brochures, and
other relevant documentation.
(B) Determine whether attendance by pupils for less than one-half of
the daily program hours was included in the report of students served.
(4) For each school selected pursuant to subparagraph (b)(2) of this
section, determine whether elementary school pupils participated in the
full day of the before school program on every day during which pupils
participated, and determine whether pupils in middle or junior high
schools attended the before school program a minimum of six hours a
week and three days a week, except as consistent with the late arrival
policy.
(5) If any noncompliance is identified through the foregoing proce-
dures, include a statement in the Findings and Recommendations section
of the audit report, stating that the local education agency did not have
a policy on reasonable late daily arrival of pupils to the before school pro-
gram, if that is the case, and including discrepancies, if any, between the
reported numbers of students served and the totals arising from the sup-
porting documentation; failure to operate for the required hours each
schoolday as set forth in subparagraph (b)(3)(A) of this section, if any;
and the portion of reported students served that resulted from attendance,
inconsistent with the established late arrival policy, by elementary school
pupils for less than the full day of the before school program, and by
middle or junior high school pupils for less than six hours a week or fewer
than three days a week, if any.
(c) General requirements:
( 1 ) Verify that the local education agency contributed cash or in-kind
local funds, equal to not less than one-third of the total state grant, which
Page 190.18
Register 2008, No. 24; 6-13-2008
Title 5
Education Audit Appeals Panel
§ 19852
•
may have originated from liie school district, other governmental agen-
cies, community organizations, or the private sector. Facilities or space
usage may luirill not more than 25 percent of the required local contribu-
tion.
(2) Review program expenditures by performing the following proce-
dures:
(A) Verify that expenditures of state funds for indirect costs were the
lesser o\' the local education agency's indirect cost rate as approved by
the California Department of Education for the year audited, or 5 percent
of the state funding received.
(B) Verify that not more than 15 percent of the slate funding was ex-
pended for administrative costs, including indirect costs charged to the
program.
(C) Verify that not less than 85 percent of the state funding was allo-
cated to schoolsites for direct services to pupils.
(3) If the local education agency did not meet the minimum cash or in-
kind local contribution requirement, spent state program funding on ex-
cess indirect costs or on excess administrative costs, provided an insuffi-
cient allocation to schoolsites. or any combination of the foregoing,
include a finding in the Findings and Recommendations section of the au-
dit report stating, correspondingly, the amount of the local match require-
ment, the amount by which the local education agency failed to meet the
match requirement, the excess amount of the local match requirement
fulfilled through facilities or space usage, the amount(s) inappropriately
spent, and the amount of the insufficiency in schoolsite allocations.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
8482.3, 14502.1, 14503 and 41020, Education Code.
History
1 . New section filed 5-1 8-2007 as an emergency; operative 5-1 8-2007 (Register
2007. No. 20). A Certificate of Compliance must be transmitted to OAL by
1 1-14-2007 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-1 8-2007 order transmitted to OAL 8-1-2007
and filed 9-10-2007 (Register 2007, No. 37).
3. Amendment of subsections (a)(2), (a)(5) and (b)(2) filed 6-9-2008 as an emer-
gency; operative 6-9-2008 (Register 2008, No. 24). A Certificate of Com-
pliance must be transmitted to OAL by 1 2-8-2008 or emergency language will
be repealed by operation of law on the following day.
Article 4.
State Compliance Procedures:
Charter Schools
§ 19850. Contemporaneous Records of Attendance.
(a) Determine whether the Second Principal report of attendance sub-
mitted to the California Department of Education is supported by written
contemporaneous records that document all pupil attendance included in
the charter school's Average Daily Attendance calculations, by tracing
the Average Daily Attendance numbers from the Second Principal report
of attendance through any documentation used by the charter school to
summarize attendance, to written contemporaneous data origination
documents.
(b) If any inappropriately reported units of Average Daily Attendance
are identified through the foregoing audit procedure, recalculate, consis-
tent with the provisions of Education Code Section 46303, the correct
number of units of Average Daily Attendance. Include a statement in the
Findings and Recommendations section of the audit report of the number
of units of Average Daily Attendance that were inappropriately reported
for apportionment and an estimate of their dollar value.
NOTE: Authority cited: Section 14502.1. Education Code. Reference: Sections
14502.1, 14503, 41020, 47612.5 and 47634.2. Education Code.
History
1. New article 4 (sections 19850-19854) and section filed 5-6-2005 as an emer-
gency; operative 5-6-2005 (Register 2005, No. 18). A Certificate of Com-
pliance must be transmitted to OAL by 9-6-2005 or emergency language will
be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2005 order, including amendment of Note,
transmitted to OAL 8-26-2005 and filed 10-1 1-2005 (Register 2005, No. 41).
3. Amendment of article heading filed 2-17-2006 as an emergency; operative
2-17-2006 (Register 2006, No. 7). A Certificate of Compliance must be trans-
mitted to OAL by 6-1 9-2006 or emergency language will be repealed hy opera-
tion of law on the following day.
4. Certificate of Compliance as to 2-1 7-2006 order, including further amendment
of article heading, transmitted (o OAL 4-27-2006 and filed 6-9-2006 (Rcgi.slcr
2006. No. 23).
§ 1 9851 . Mode of Instruction.
(a) If Average Daily Attendance was reported to the California Depart-
ment of Education by the charter school as generated through classroom-
based instaiction, determine whether that attendance was generated in
compliance with all of the follovi'ing conditions:
(1) The charter school's pupils were engaged in educational activities
required of those pupils, and the pupils were under the immediate super-
vision and control of an employee of the charier school who possessed
a valid teaching certification in accordance with the provisions of subdi-
vision (/) of Education Code Section 47605.
(2) At least 80 percent of the instructional time offered at the charter
school was at the schoolsite. The requirement to be "at the schoolsite" is
satisfied if either of the conditions set forth in subdivision (b) of Section
11963 is met.
(3) The charter school's schoolsite was a facility that was used princi-
pally for classroom instruction as that term is defined in subdivision
(b)(1) of Section 11963.
(4) The charter school required its pupils to be in attendance at the
schoolsite at least 80 percent of the minimum instructional time required
pursuant to the provisions of subdivision (a)(1) of Education Code Sec-
tion 47612.5.
(b) If any Average Daily Attendance reported to the California Depart-
ment of Education as classroom-based instruction was not generated in
compliance with all of the preceding conditions, it is not eligible for ap-
portionments unless it was generated in full compliance with the require-
ments set forth in Section 19852. If it was not generated in full com-
phance with the requirements set forth in Section 19852. include a
statement in the Findings and Recommendations section of the audit re-
port of the number of units of Average Daily Attendance that were inap-
propriately reported for apportionment and an estimate of their dollar
value.
NoTE; Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503, 41020, 47612.5 and 47634.2, Education Code.
History
1. New section filed 5-6-2005 as an emergency; operative 5-6-2005 (Register
2005, No. 18). A Certificate of Compliance must be transmitted to OAL by
9-6-2005 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2005 order, including amendment of first
paragraph and Note, transmitted to OAL 8-26-2005 and filed 10-1 l-2(X)5
(Reg'ister2005. No. 41).
3. Amendment of subsection (b) filed 2-17-2006 as an emergency; operative
2-17-2006 (Register 2006, No. 7). A Certificate of Compliance must be trans-
mitted to OAL by 6-19-2006 oremergency language will be repealed by opera-
tion of law on the following day.
4. Change without regulatory effect amending subsection (c)(3) filed 5-12-2006
pursuant to section 1 00, title 1 , California Code of Regulations (Register 2006,
No. 19).
5. Certificate of Compliance as to 2-17-2006 order, including further amendment
of subsection (b), transmitted to OAL 4-27-2006 and filed 6-9-2006 (Register
2006, No. 23).
6. Change without regulatory effect renumbering section 19851 to section 19852
and renumbering section 19852 to section 1985 1, including amendment of sec-
tion heading and subsections (a) and (b), filed 3-1-2007 pursuant to section
100, title 1, California Code of Regulations (Register 2007, No. 9).
§ 19852. Nonclassroom-Based Instruction/Independent
Study.
If Average Daily Attendance was reported by the charter school to the
California Department of Education as generated through
nonclassroom-based instruction (independent study), or was reported as
generated through classroom-based instruction but was not generated in
compliance with all of the conditions set forth in subdivision (a) of Sec-
tion 19851, perform the following procedures:
(a) Determine whether the governing body of the charter school had
adopted written policies for independent study as required by the provi-
sions of Education Code Section 51747. If it had not, any reported Aver-
Page 190.19
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§ 19853
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
age Daily Attendance generated through independent study is not ehgi-
ble for apportionment. If the required policies were in place, determine
whether any reported Average Daily Attendance was generated before
the written policies were adopted. Any reported Average Daily Atten-
dance generated through independent study before the written policies
were adopted is not eligible for apportionment.
(b) Verify the charter school's calculation, made pursuant to Section
1 1 704, of ineligible Average Daily Attendance, if any, generated through
full-time independent study.
(c) Verify that the documentation used by the charter school to sum-
marize monthly attendance provides accurate information. If the charter
school had multiple sites through which it provided independent study,
select a sample of school sites that is representative of the charter
.school's grade spans (elementary, middle, and high schools) and suffi-
cient in size to allow the auditor to draw a reasonable conclusion with re-
spect to the charter school's compliance with independent study require-
ments. Perform the following procedures:
( 1 ) Determine the total number of days of attendance reported for each
sampled site that resulted from attendance by pupils while engaged in in-
dependent study. Reconcile the monthly totals (days of apportionment
attendance) on the site's attendance summary to the summary maintained
by the charter school for the Second Principal attendance report.
(2) Select a test month in the Second Principal attendance reporting pe-
riod. Verify the mathematical accuracy of the monthly report, or its
equivalent if no monthly report is prepared, and trace totals to the site's
attendance summary.
(3) Verify that a certificated employee of the charter school, as defined
by Section 1 1700.1 , coordinated, evaluated, and provided general super-
vision, as that term is defined in SecUon 1 17(X)(b), of each pupil's inde-
pendent study, as required by the provisions of subdivision (a) of Educa-
tion Code Secfion 51747.5.
(4) Select a representative sample of teachers. Verify the mathematical
accuracy of the teachers' attendance records of pupil attendance. Trace
the monthly totals from the monthly report to the attendance records.
(d) From the attendance records, select a representative sample of pu-
pils for whom Average Daily Attendance generated through independent
study was claimed, including pupils on intermittent ("short term") inde-
pendent study, if the charter school offered that opdon, and perform the
following procedures:
(1) Determine each pupil's county of residence at the time of com-
mencing independent study and verify that it is the county in which the
apportionment claim is reported or a contiguous county within Califor-
nia.
(2) Determine whether mailing addresses or other evidence of residen-
cy changed during the time the pupils were in independent study and, if
so, whether each pupil remained a resident of the same or a contiguous
county within California.
(3) Verify that, on each day for which a pupil's attendance was re-
ported, the pupil engaged in an educational activity or activiUes required
of him or her by the charter school.
(4) Verify that each day of each pupil ' s attendance included in calcula-
tions of Average Daily Attendance took place on one of the charter
school's schooldays.
(5) Verify that a total of not more than one day of attendance was re-
corded for each pupil for any calendar day on which school was in ses-
sion.
(6) Verify that a written agreement exists for each pupil.
(7) Verify that every written agreement contained all the elements re-
quired by the provisions of Educafion Code Secfion 51747(c):
(A) The manner, fime, frequency, and place for submitting a pupil's
assignments and for reporting his or her progress.
(B) The objectives and methods of study (pupil activities selected by
the supervising teacher as the means to reach the educational objectives
set forth in the written agreement) for the pupil's work.
(C) The methods utilized to evaluate that work (any specified proce-
dure through which a cerfificated teacher personally assesses the extent
to which achievement of the pupils meets the objectives set forth in the
written assignment).
(D) The specific resources, including materials and personnel, to be
made available to the pupils (resources reasonably necessary to the
achievement of the objecfives in the written agreement, not to exclude re-
sources normally available to all pupils on the same terms as the terms
on which they are normally available to all pupils).
(E) A statement of the policies adopted pursuant to the provisions of
subdivisions (a) and (b) of Educafion Code Section 51747 regarding the
maximum length of time allowed between the assignment and the
completion of a pupil's assigned work, and the number of assignments
a pupil may miss before there must be an evaluation of whether it is in
the pupil's best interests to continue in independent study.
(F) The duration of the independent study agreement, including the be-
ginning and ending dates for the pupil's participation in independent
study under the agreement, with no agreement being for a period longer
than one semester, or one-half year for a school on a year-round calen-
dar.
(G) A statement of the number of course credits or, for the elementary
grades, other measures of academic accomplishment appropriate to the
agreement, to be earned by the pupil upon completion.
(H) A statement in each independent study agreement that indepen-
dent study is an optional educational altemafive in which no pupil may
be required to participate.
(I) Signatures, affixed prior to the commencement of independent
study, by
1. the pupil;
2. the pupil's parent, legal guardian, or caregiver as that term is used
in Family Code Section 6550 and following, if the pupil was less than 18
years of age;
3. the certificated employee who was designated as having responsi-
bility for the general supervision of the pupil's independent study; and
4. all other persons, if any, who had direct responsibility for providing
assistance to the pupil.
(8) Verify that no days of attendance were reported for dates prior to
the signing of the agreement by all parties.
(9) Verify that evaluated pupil work samples, bearing signed or ini-
tialed and dated notafions by the supervising teacher indicafing that he
or she personally evaluated the work, or that he or she personally re-
viewed the evaluafions made by another certificated teacher, have been
retained in the file.
(e) If any inappropriately reported units of Average Daily Attendance
are identified through the foregoing audit procedures, recalculate, con-
sistent with the provisions of Educafion Code Secfion 46303, the correct
number of units of Average Daily Attendance. Include a statement in the
Findings and Recommendations secfion of the audit report of the number
of units of Average Daily Attendance that were inappropriately reported
for apportionment and an estimate of their dollar value.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.], 14503, 41020, 47612.5 and 47634.2, Education Code.
History
1. New section filed 5-6-2005 as an emergency; operative 5-6-2005 (Register
2005, No. 18). A Certificate of Compliance must be transmitted to OAL by
9-6-2005 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2005 order, including amendment of Note,
transmitted to OAL 8-26-2005 and filed 10-1 1-2005 (Register 2005, No. 41).
3. Change without regulatory effect renumbering section 19852 to section 19851
and renumbering section 19851 to section 19852, including amendment of first
paragraph, filed 3-1-2007 pursuant to section 100, title 1, California Code of
Regulations (Register 2007, No. 9).
§ 19853. Determination of Funding for
Nonclassroom-Based Instruction.
If more than 20 percent of the charter school's total Average Daily
Attendance was generated through nonclassroom-based instrucfion (in-
dependent study) as set forth in Section 19852, perform the following
procedures:
(a) Determine whether the charter school has
Page 190.20
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Title 5
Education Audit Appeals Panel
§ 19854
•
•
•
( 1) a mulli-year funding determination, made pursuant to the provi-
sions of subdivision (d) of Education Code Section 47612.5 and of Sec-
tion 47634.2. that applies to the year being audited and that was granted
in a year prior to the year being audited, or
(2) a funding determination otherwise applicable to the year audited.
(b) if the charier school does not have either type of funding deter-
mination specified in subdivision (a) of this section, the charter school
was not eligible for funding for any Average Daily Attendance generated
through nonclassroom-based instruction. Include a statement in the
Findings and Recommendations section of the audit report of the number
of units of Average Daily Attendance that were inappropriately reported
for apportionment and an estimate of their dollar value.
(c) If the charter school has a funding determination as specified in
subdivision (a)(2) of this section, and the charter school was in operation
in the fiscal year prior to the year being audited, verify the accuracy of
the following data submitted by the charter school to the California De-
partment of Education on the nonclassroom-based funding determina-
tion form applicable to the year being audited:
(1) The charter school's federal revenues, including start-up, imple-
mentation, and dissemination grant(s); stale revenues; local revenues, in-
cluding in lieu of property taxes; and other financing sources.
(2) The charier school's total expenditures for instruction and related
services.
(3) The charter school's total expenditures for salaries and benefits for
all certificated employees as defined in subdivision (c)(1) of Section
11963.3.
(4) The charter school's pupil-teacher ratio calculated pursuant to
Section 1 1704, and, if submitted, the pupil-teacher ratio of the largest
unified school district in the county or counties in which the charter
school operates.
(5) The listing of entities that received, in the previous fiscal year,
$50,000 or more or ten (10) percent or more of the charter school's total
expenditures identified pursuant to subparagraphs (B), (C), (D). and (E)
of subdivision (a)(5) of Section 1 1 963.3; the amount received by each en-
tity; whether each of any such contract payments was based upon specific
services rendered or upon an amount per unit of Average Daily Atten-
dance or some other percentage; and an identification of which entities,
if any, had contracts that included provision for payments based on a per
unit of Average Daily Attendance amount or some other percentage.
(d) If any inaccurate data is identified through the immediately forego-
ing audit procedures, prepare a schedule displaying the inaccurate data
and the corresponding correct data. Include the schedule in the Findings
and Recommendations secfion of the audit report.
(e) If a funding determination applicable to the year audited was made
for the charter school by the State Board of Education, pursuant to the
provisions of Education Code Section 47634.2, confirm that the govern-
ing board of the charter school has adopted and implemented conflict of
interest policies as required by subdivision (b)(1)(C) of Section 1 1963.3.
If the governing board of the charier school has not adopted, or has
adopted but has not implemented, conflict of interest policies as required,
include a statement in the Findings and Recommendations section of the
audit report that states the policies were not adopted, if that is the case;
or that the policies were not implemented, if that is the case, and describes
the relevant facts.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14.S02.1, 14503, 41020 and 47634.2, Education Code.
History
1. New section filed 5-6-2005 as an emergency; operative 5-6-2005 (Register
2005. No. 18). A Certificate of Compliance must be transmitted to OAL by
9-6-2005 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2005 order, including amendment of sub-
section (c), transmitted to OAL 8-26-2005 and filed 1 0-11 -2005 iRcL'isler
2005, No. 41).
3. Amendment of subsections (c)(4H 5) filed 2-1 7-2006 as an emergency: opera-
tive 2-17-2006 (Register 2006, No. 7). A Certificate of Compliance must be
transmitted to OAL by 6-19-2006 or emergency language will be repealed by
operation of law on the following day.
4. Certificate of Compliance as to 2-1 7-2006 order, including further amendment
of subsection (c)(4), transmitted to OAL 4-27-2006 and filed 6-9-2006 (Reg-
ister 2006. No. 23).
5. Change without regulatory effect amending first paragraph filed 3-1-2007 pur-
suant to section 100, title 1 . California Code of Regulations (Register 2007, No.
9).
§19854.
Classroom
Kindergarten
Grades 1 through 3
Grades 4 through 8
Grades 9 through 12
Annual Instructional Minutes
Based.
(a) Review the charter school's attendance calendar and bell (class)
schedules or other available comparable documentation. If the charter
school has muUiple sites, select a sample of school sites that is representa-
tive of the charter school's grade spans (elementary, middle, and high
schools).
(b) For each sampled site, compare the amount of instructional min-
utes offered for each grade level during the year being audited to the
amount of instrucfional minutes required pursuant to the provisions of
subdivision (a)( 1 ) of Education Code Secfion 476 1 2.5 as set forth below:
36,000 minutes
50,400 minutes
54,000 minutes
64,800 minutes
(c) Determine whether the charter school offered optional classes to
safisfy instrucfional minutes requirements. If enrollment in optional
classes was low, review the charter school's documentation of class of-
ferings to ensure that the charter school acted effecfively to comply with
the law. Practices that are not consistent with effecfively offering instruc-
fional time may include, but are not limited to, offering only a small num-
ber of courses that in addifion are appropriate only for limited numbers
of pupils, and courses scheduled such that pupils may take them only by
giving up their lunch period.
(d) Prepare the "Schedule of Instructional Time" that must be pres-
ented in the Supplementary Information secfion of the audit report, show-
ing by grade span the minimum instrucfional minutes requirements spe-
cified in subdivision (a)(3) of Education Code Section 46201. the
instrucfional minutes offered during the year being audited showing the
sampled site with the lowest number of minutes offered at each grade
span; and whether the charier school complied with the instructional
minutes provisions.
(e) If the charter school did not offer the required number(s) of instruc-
fional minutes, prepare a separate schedule for each site, showing only
the grade level(s) that were not in compliance, and calculate a proportion-
al reduction in apportionment consistent with the provisions of subdivi-
sion (c) of Education Code Secfion 47612.5. Include both the schedule(s)
and the calculated reduction in apportionment, in a finding in the Find-
ings and Recommendations section of the audit report.
NOTE: Authority cited: Section 14502.1, Education Code. Reference: Sections
14502.1, 14503, 41020, 47612.5 and 47634.2. Education Code.
History
1. New section filed 5-6-2005 as an emergency; operative 5-6-2005 (Register
2005, No. 18). A Certificate of Compliance must be transmitted to OAL by
9-6-2005 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2005 order, including amendment of NoTi;.
transmitted to OAL 8-26-2005 and filed 10-1 1-2005 (Register 2005, No. 41 ).
3. Amendment of subsection (b) filed 5-18-2007 as an emergency; operative
5-18-2007 (Register 2007, No. 20). A Certificate of Compliance must be trans-
mitted to OAL by 1 l-]4-2(X)7 or emergency language will be repealed by op-
eration of law on the following day.
4. Certificate of Compliance as to 5-1 8-2007 order transmitted to OAL 8-1 -2007
and filed 9-10-2007 (Register 2007, No. 37).
* * *
Page 190.21
Register 2008, No. 24; 6-13-2008
• *- —
Barclays Official
California
Code of
Regulations
Title 5. Education
Division 2. California State Library
Vol.6
XHOIVISOISI
*
\A/EST
• Barclays Official California Code of Regulations
425 Market Street • Fourth Floor • San Francisco, CA 94105
800-888-3600
Title 5
California State Library
Table of Contents
Division 2. California State Library
Table of Contents
Page
Chapter ] .
Subchapter 1.
Article 1.
§ 20000.
S 20002.
§ 20003.
§ 20004.
Article 2.
§ 20020.
§ 20021.
Article 3.
§ 20050.
Subchapter 2.
Article 1.
§20100.
§20101.
§20102.
§ 20103.
§ 20104.
§ 20105.
§ 20106.
§20107.
Library Services Provided by the
Slate
191
Article 2.
§20116.
§20117.
§20118.
§20119.
§20120.
§20121
§20122
§ 20123
§ 20124
§ 20125
§20127
§20130
§20131
§20134
Article 3.
§20135.
§20136.
§ 20140.
§20145.
Article 4.
§20150.
State Library 191
General Provisions 191
Loan Period.
Replacement Copies of a Book.
Payment for Photostatic Copies.
Use of Books on Library Premises.
Interlibrary Loans 191
General Policies.
Request for Loan.
Service to Individuals 191
Direct Library Loan Service to
Individuals.
California Library
Services 191
General Provisions 191
Scope.
General Provisions.
Special Filing Provisions for
1978/79.
Waiver of Filing Date.
Eligibility to Participate.
General Requirements for
Participation.
Uniform Population Statistics.
Definitions.
California Library Services
Board Procedures 192.1
Officers of the State Board.
Quorum.
Regular Meetings.
Notices.
Open Meetings of Committees,
Commissions, and Advisory
Bodies.
Open Meetings.
Special Meetings.
Emergency Meetings and Agenda
Items.
Agenda.
Speakers.
Roberts Rules of Order.
Public Hearings.
Waiver by Presiding Officer.
Public Records.
General Provisions for
Systems 192.2
System Budget Request and Plan of
Service.
System Administrative Policy
Manual.
System Administration.
System Advisory Board.
System Reference 192.3
Definitions.
§20151.
Local Flexibility.
§20152.
Integrated Service Program.
§ 20153.
Principles.
§20154.
Service Components.
§20155.
General Improvement of Local
Reference Service.
§20156.
Improvement of Reference Servict
to the Undeserved.
§20157.
Interlibrary Reference.
§20158.
Allowance.
§ 20160.
Special Requirements for 1978/79
and 1979/80 Allowance.
§20161.
F'equirements for Allowance for
Years Following 1979/80.
§ 20162.
Single Library Systems.
Article 5.
Consolidations and
Affiliations
192.4(a)
§20180.
Public Library Consolidations.
§20185.
System Consolidations.
§20190.
Public Library Affiliation with an
Eixisting System.
§20192.
Public Library Withdrawal from
System Membership.
§ 20195.
Public Library Change of System
Membership.
Article 6.
Direct Loans
192.4(b)
§ 20200.
Scope.
§ 20203.
Residency.
§ 20204.
Loans to Eligible Non-Resident
Borrowers.
§ 20205.
Non-Resident Borrower Eligibility.
§ 20206.
Valid Identification.
§ 20210.
Eixchange of Local Funds
Prohibited.
§20211.
Maintenance of Local Service
Standards.
§ 20215.
FLeimbursement for Net Direct
Loans.
§ 20216.
Reporting Requirements.
§ 20217.
Reimbursable Costs.
Article 7.
Communication and
Delivery
192.4(b)
§ 20235.
Definition of Reporting Terms.
Article 8.
Interlibrary Loans
192.4(c)
§20251.
Scope.
§ 20252.
Intent.
§ 20255.
Eligibility.
§ 20257.
Fleimbursable Transaction.
§ 20260.
Reimbursable Costs.
§ 20265.
Participation Requirements.
Subchapter 2.
Library of California
192.4(c)
Article L
General Provisions
192.4(c)
§ 20300.
Scope.
§20301.
Funding Provisions.
Article 2.
Definitions
192.4(d)
§ 20302.
Definitions.
Article 3.
Library of California
Board
192.4(d)
Page i
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title XX
§ 20303.
§ 20304.
§ 2030,*^.
§ 20306.
§ 20307.
§ 20308.
§ 20309.
§20310.
Article 4.
§20311.
§20312.
§20313.
§20314.
§20315.
Article 5.
§20316.
§ 20317.
§20318.
§20319.
§ 20320.
§20321.
Page
Powers and Duties of the State
Board.
Officers of the State Board.
Quorum.
Meetings of the State Board.
Speakers.
Robert's Rules of Order.
Public Hearings.
Public Records.
Eligible Libraries 192.4(e)
Continuation of Membership.
Resource Sharing Standards.
Affiliation with a Regional Library
Network.
Withdrawal from a Regional Library
Network.
Membership Eligibility Appeals.
Regional Library
Networks 192.4(0
Establishment of Regional Library
Networks.
Consolidation of Regional Library
Networks.
Realignment of Regional Library
Networks.
Division of Regional Library
Networks.
Regional Library Network
Long-Range Plan and Annual Plan
of Service.
Administration of Regional Library
Networks.
Article 6.
Access Services 192.4(g)
§ 20322.
Interlibrary Loan.
§ 20323.
Patron Referral and Onsite Services.
§ 20324.
Direct Loan.
§ 20325.
Additional Direct Loan Provisions
for Public Library Jurisdictions.
§ 20326.
Electronic Direct Access.
Article 7.
Statewide Services I92.4(i)
§ 20327.
Telecommunications.
§ 20328.
Bibliographic Databases.
§ 20329.
Specialized Reference and
Information Provision.
§ 20330.
Enhanced Reference and
Information Service.
§ 20331.
Cooperative, Coordinated Resource
Development.
§ 20332.
Preservation.
Subchapter 3.
Library Services for the
Blind 192.4(1)
Page
§ 20400. Toil-Free Telephone Service.
Chapter 2. California Library Construction
and Renovation Board 192.4(1)
Article 1 . General Provisions 192.4(1)
§ 20410. Definitions.
Article 2. California Library
Construction and Renovation
Program 192.4(1)
§ 20412. Eligibility for Grants.
§20414. Purposes of Grants.
§ 20416. Matching Funds.
§ 2041 8. Normal Public Construction Costs
and Excessive Costs.
§ 20420. Application for Grants.
§ 20422. Audits and State Payments.
§ 20424. Facility Dedicated to Direct Public
Library Service.
§ 20426. Changes in Projects and Withdrawal
of a Grant.
Chapter 3. California Reading and Literacy
Improvement and Public Library
Construction and Renovation
Bond Act of 2000 192.57
Article 1. General Provisions 192.57
§ 20430. Definitions.
Article 2. California Library
Construction and Renovation
Program 192.58
§ 20432. Purposes of Grants.
§ 20434. Funding Priorities.
§ 20436. Determining Project Costs.
§ 20438. Site and Title Requirements.
§ 20440. Grant Application Requirements.
Appendix 1 Application Form 192.66
Appendix 2 Required Elements for Joint Use Cooperative
Agreements 192.96
Appendix 3 Community Library Needs Assessment
Components 192.96
Appendix 4 Library Plan of Service Components . . . 192.97
Appendix 5 Library Building Program
Components 192.98
Appendix 6 Requirements for Site Lease and Lease-
Purchase Agreements 192.99
§ 20442. Submission of Applications and
Grant Awards.
§ 20444. State Payments; Fiscal and Program
Compliance Review.
Page ii
(4-25-2003)
Title 5
California State Library
§20101
Division 2. California State Library
•
Chapter 1. Library Services Provided by
the State
Subchapter 1. State Library
Article 1. General Provisions
§ 20000. Loan Period.
(a) Books and like materials are lent for five weeks.
(b) Periodicals are lent for three weeks.
(c) Foreign language fiction is lent for three months.
(d) Exceptions to the above loan periods may be made for certain types
of material or for special needs of the borrower.
NOTE: Authority cited for Chapter 1 : Sections 19304 and 19320, Education Code.
Issuing agencies: State Board of Education and Superintendent of Public Instruc-
tion. Reference: Sections 19320 and 19330, Education Code.
History
1. Editorial renumbering of Chapter 2, Subchapter 1, to Division 24, Chapter I
(Register 69, No. 5 1 ). For prior history see Register 66, No. 2.
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
3. Amendment of subsection (c) filed 5-5-82; effective thirtieth day thereafter
(Register 82, No. 19).
4. Editorial renumbering of Division 1. Chapter 24 (sections 20000-20400) to Di-
vision 2, Chapter 1 , and editorial renumbering of former Division 2, Chapter 1
(Sections 20410-20426) to new Division 2, Chapter 2 (Register 2001, No. 45).
For prior history, see Register 90, No. 50.
§ 20002. Replacement Copies of a Book.
NOTE: Authority eiled: Sections 19304 and 19320. Education Code. Reference;
Seetions 19304, 19320 and 19332-19334, Education Code.
History
1. Amendment filed 9-23-77; effective thirtieth day thereafter (Register 77, No.
39).
2. Repealer filed 5-5-82; effective thirtieth day thereafter (Register 82, No. 19).
§ 20003. Payment for Photostatic Copies.
(a) A private individual or a firm shall pay in advance of delivery for
photostatic copies, or any other item that may be sold by the State Li-
brary.
(b) Public agencies may buy and receive delivery of such copies or
other items, and be billed later for the purchase price.
NOTE: Authority and reference cited: Sections 19304 and 19320, Education Code.
History
1 . New NOTE filed 5-3-82; effective thirtieth day thereafter (Register 82, No. 1 9).
§ 20004. Use of Bool<s on Library Premises.
Any person may use in reading rooms of the State Library any books,
periodicals, and like material. He shall not. however, mark, cut, tear, de-
face, or remove any pages or parts thereof. Any person who does so, may
thereafter be denied the use of any library material.
NOTE: Authority and reference cited: Sections 19304 and 19320, Education Code.
History
1. New NOTE filed 5-5-82; effective thirtieth day thereafter (Register 82, No. 19).
Article 2. Interiibrary Loans
§ 20020. General Policies.
State Library books and materials which are permitted to circulate
shall be made available to inhabitants of the State through a loan service.
(a) Where there is a local library, all requests for loan of State Library
materials shall be made through a local library, except as provided in Sec-
tion 20050.
(b) In addition to borrowing through any library which they arc en-
titled to use, high school students in schools where no established school
library exists may borrow through a high school district employee desig-
nated by the proper school authorities to handle library requests.
(c) Direct service to individuals may be made as provided in Section
20050.
NOTE: Authority cited: Sections 19304 and 19320, Education Code. Reference:
Sections 19320 and 19330, Education Code.
History
1. Amendment of subsection (b) filed 5-5-82; effective thirtieth day thercaher
(Register 82, No. 19).
§ 20021 . Request for Loan.
The State Library shall loan any book or periodical which is available
for loan purposes to any other public or private library in California upon
receipt of a request from the borrowing library.
NOTE: Authority and reference cited: Sections 19304 and 1 9320, Education Code.
History
1 . New NOTE filed 5-5-82; effective thirtieth day thereafter ( Register 82, No. 1 9).
Article 3. Service to Individuals
§ 20050. Direct Library Loan Service to Individuals.
The State Library shall give direct library loan service to the following
persons only, and upon proper identification:
(a) Members of the California Legislature.
(b) Legislative staff members, State officers and employees.
(c) Accredited representatives of the Capitol Correspondents Associ-
ation as published in most recent legislative histories.
(d) Employees, located in Sacramento, of Organizations Representing
California State Employees as verified by the State Personnel Board.
(e) A resident of the State in an area where no local library service is
available.
NOTE: Authority cited for Anicle 3: Sections 19304 and 19320, Education Code.
Reference: Sections 19320 and 19330, Education Code.
History
1. Amendment filed 3-19-71; effective thirtieth day thereafter (Register 71. No.
12).
2. Amendment filed 1-25-72; effective thirtieth day thereafter (Register 72. No.
5).
3. Amendment of subsection (b) filed 4-18-75; effective thirtieth day thereafter
(Register 75, No. 16).
4. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
5. Amendment of NOTE filed 5-5-82; effective thirtieth day thereafter (Register
82, No. 19).
Subchapter 2. California Library Services
Article 1. General Provisions
§20100. Scope.
The regulations contained in this chapter shall implement the Califor-
nia Library Services Act, Chapter 4 of Part 11 of Division 1 of Title I of
the Education Code, beginning with section 18700 thereof.
NOTE: Authority and reference cited for Article 1 (Sections 20100-20106. con-
secutive): Chapter 4 (Section 1 8700, et seq. ) of Part 1 1 , Education Code. Issuing
agency: California Library Services Boju^d.
History
1. New Article 1 (Sections 20100-20106, consecutive) filed 7-20-78; effective
thirtieth day thereafter (Register 78, No. 30).
§20101. General Provisions.
(a) The State Board finds that it is in the best interests of the citizens
of California and best fulfills the purposes of the Act (Chapter 4, part 1 1 ,
Division 1 , Title 1 , Education Code) that libraries participating in any one
program of the Act participate in all applicable programs of the Act.
(b) Any public library participating in programs of the Act shall, under
section 18724(h) of the Act, provide access to the library's bibliographic
Page 191
Register 2001, No. 45; 11-9-2001
§ 20102
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
and location data upon request from the State Board for inclusion in the
appropriate data base established by the State Board in implementation
of the Act. The access shall be provided in such form, manner, and fre-
quency as are agreed upon between the State Board and the library.
(c) Funding distributed according to California Library Services Act
provisions may not be used to support other than library purposes. To
comply with Education Code Section 18703(c). the funding may not be
used to replace local funds for library services, but only to supplement
the local funding to further the purposes of the Act.
(d) A public library participating in any program of the Act must par-
ticipate in the direct loan transaction reporting, whether the library partic-
ipates in either of the direct loan programs or not. During the designated
transaction reporting periods all CLSA participating libraries must re-
cord all direct loans made to eligible residents of other jurisdictions
whose libraries are participating in the direct loan programs, as long as
the handling costs of paid loans are not being covered in whole, or in part,
by CLSA funds in addition to direct loan reimbursement funds. LSCA
funds, or by funds provided by the jurisdiction of the eligible non-resid-
ent.
Note. Authority cited: Section 18724. Education Code. Reference: Sections
18700-18703. and 18724, Education Code.
History
1 . New subsection (d) filed 9-2 1-79 as an emergency; effective upon filing (Reg-
ister 79, No. 38). A Certificate of Compliance must be filed within 120 days or
emergency language will be repealed on l-19-80.>
2. Certificate of Compliance filed 1-17-80 (Register 80, No. 3)
3. Amendment of subsection (d) filed 5-21-81; effecfive thirtieth day thereafter
(Register 81, No. 21).
§ 201 02. Special Filing Provisions for 1 978/79.
NOTE: Authority cited: Section 18724, Education Code. Reference: Secfions
18700-18767, Education Code.
History
1. Repealer filed 1-30-81; effecfive thirtieth day thereafter (Register 81. No. 5).
§ 20103. Waiver of Filing Date.
The State Board may waive or reset any filing dates required by these
regulations, if the State Board determines that so doing would best serve
the purposes of the Act.
§ 201 04. Eligibility to Participate.
Funding under any program of the Act shall be provided only to li-
braries which are physically and administratively located within Califor-
nia and which meet any additional eligibility criteria required for specific
program participation.
§ 20105. General Requirements for Participation.
(a) Public Library Participation Authorization. Every public library
wishing to participate in any of the programs of the Act must file with the
State Board an authorization by the jurisdictional governing body for that
library's participation. The authorization must be in the form and manner
and be filed by the date specified by the State Board.
(b) Public Library Certification. Upon the authorization by the juris-
dictional governing body, the head librarian of each public library wish-
ing to participate in the programs of the Act must file a certification of
compliance with provisions of the Act. This certification shall remain in
effect until the library jurisdiction no longer complies with the stated pro-
visions. The certification shall specifically include compliance with Edu-
cation Code Sections 18703(c) and 18724(e).
If the library or jurisdicfion is no longer in compliance, the head li-
brarian shall notify the Board no later than thirty days following such a
change in compliance status.
(c) Participation by Libraries other than Public Libraries. The head li-
brarian of such library eligible to participate in any of the programs of the
Act and wishing to do so must file with the State Board a notice of its in-
tent to participate and of its agreement to the provisions of the Act and
administrative regulations as they apply to the library's participation.
This notice shall be filed in such form and manner as specified by the
State Board by September 1 of the fiscal year preceding active participa-
tion. The agreement shall remain in effect until rescinded by the State
Board or the library.
(d) Reports, Applications, and Claims. Any budget documents, re-
ports. appHcations. and claims for funds pursuant to this Act shall be sub-
mitted by participating libraries in such form and manner and by the dates
established by the State Board.
(e) No public library participating in the programs of the Act may
charge its residents, as defined in section 20203, any fee to obtain a li-
brary card nor for services for which it is receiving reimbursement under
the California Library Services Act.
(f) The California Library Services Board believes that it is in the best
interests of the citizens of California that the information services of pub-
lic libraries be provided free of charge.
NOTE: Authority cited: Section 18724, Education Code. Reference: Section
18700-18767, Education Code.
History
1 . New subsections (e) and (f) filed 3-8-79; effecfive thirtieth day thereafter (Reg-
ister 79, No. 10).
2. Amendment of subsections (b) and (c) filed 5-21-81; effecfive thirtieth day
thereafter (Register 81, No. 21).
§ 20106. Uniform Population Statistics.
Any funds distributed per capita shall be awarded using the most re-
cently published and available combined estimate for cities and counties
from the California State Department of Finance.
§20107. Definitions.
(a) The definitions concerning California Library Services Act com-
ponents set forth in Education Code Section 18710 are hereby incorpo-
rated by reference, with additions as noted in subsection (b) of this sec-
tion. The definitions incorporated by reference are accurate to California
Statutes 1979.
(b) Additions to the regulations hereby incorporated are as follows:
( 1 ) "Chief Executive Officer" means the State Librarian.
(2) "President" means the elected President of the Board.
(3)"Public library affiliation" means the formal and legal joining to a
System (i.e. the obtaining of full System membership status) by a pubhc
library not previously a member of any System. A Public Library Affilia-
tion is not considered complete until all necessary local System and juris-
dictional agreements have been approved and are in force, and the State
Board has approved the affiliation.
(4) "Public library consolidation" means the formal and legal joining
of the functions, services, operations, etc. of two or more formerly inde-
pendent public libraries into a single public library, as defined in Educa-
tion Code Section 18710 (e). A Public Library Consolidafion is not con-
sidered complete until all necessary local jurisdictional agreements have
been approved and are in force, and the State Board has approved the con-
solidation (see Administrative Code Section 20180, below).
(5) Reference collection. Reference collection means a collection of
materials, both print and non-print, designed primarily for use in answer-
ing requests for information.
(6) Reference specialist. Reference specialist means a trained and ex-
perienced librarian who can provide reference referral services and who
can also understand how to approach the community in general and the
undeserved in particular, together with appropriate skills in analysis of
informafion needs and design and implementation of reference programs
responsive to those needs. A reference specialist may be employed in
providing any of the services for which he/she is qualified.
(7) "Secretary" means the Executive Secretary of the Board.
(8) "State Board" means the California Library Services Board.
(9) "System consolidation" means the formal and legal joining of geo-
graphic service areas, functions, operations, etc. of two or more formerly
separate Systems into a single Cooperative Library System, as defined
in Education Code Section 1 87 1 0 (c). A System Consolidation is not con-
sidered complete until all necessary local System consolidation agree-
ments have been approved and are in force, and until the State Board has
approved the consolidation (see Administrative Code Secfion 201 85, be-
low).
•
Page 192
Register 2001, No. 45; 11-9-2001
Title 5
California State Library
§ 20125
(10) "Valid non-resident borrowers card" means a card that is issued
free of charge by a public library to a resident of another jurisdiction
which maintains a public library, as long as such card meets all of the le-
gal requirements of the issuing library.
(11) "Vice-President" means the elected Vice-President of the Board.
NOTt-: Authority cited: Section 18724, Education Code. Reference: Section
18700-18767. Education Code.
History
1 . New .section filed 10-24-79; effective thirtieth day thereafter (Register 79, No.
43).
2. Amendment of subsection (b) filed .'i-21-81; effective thirtieth dav thereafter
(Register 81, No. 21).
Article 2.
California Library Services Board
Procedures
§ 201 1 6. Officers of the State Board.
The State Board shall elect a President and Vice-President. The State
Librarian shall be the Chief Executive Officer of the State Board.
(a) The State Board shall annually elect a President and Vice-Presi-
dent at the first regular meeting of each calendar year.
(b) Should a vacancy occur in the Office of President or Vice-Presi-
dent, the State Board shall at its net regular meeting elect one of its mem-
bers to fill such vacancy for the remainder of the term.
(c) Duties of President. The President shall preside at all meetings of
the State Board, shall execute for the State Board any documents requir-
ing such execution, and shall perform such other duties as the State Board
so provides.
(d) Duties of Vice-President. The Vice-President shall in the absence
of the President perform any of the duties of President that cannot reason-
ably await the President's return.
(e) Duties of the Chief Executive Officer.
(1 ) Make such reports and recommendations to the State Board as he
deems desirable and appropriate or as may be required by the State
Board.
(2) Administer the provisions of this chapter.
(3) Review all claims to ensure programmatic and technical com-
pliance with the provisions of this chapter.
NOTE: Authority cited: Section 18724, Education Code. Reference: Sections
18720 and 18724, Education Code.
History
1. New Article 2 (Sections 20116-20134, not consecutive) filed 7-20-78; effec-
tive thirtieth day thereafter (Register 78, No. 30).
2. Amendment of subsection (e) filed 5-21-81; effecfive thirtieth day thereafter
(Register 81, No. 21).
§20117. Quorum.
A quorum for all State Board meetings shall be seven (7) members.
The concurrence of 7 of its members shall be necessary to the validity of
all actions of the State Board.
§ 201 1 8. Regular Meetings.
(a) Date. Regular meetings of the State Board shall take place at least
bi-monthly on the third Thursday of the months of February, April, June.
August, October; the December meeting shall be held in conjunction
with the California Library Association conference.
(b) Place. The tentative locations for the regular meetings of the fol-
lowing calendar year shall be determined annually, at the last regular
meeting of the calendar year.
(c) Change of date or place. Nothing in this regulation shall be con-
strued to prevent the State Board from altering its regular meeting dates
or places of meeting.
(d) Meeting notice. A notice of regular meetings shall be provided at
least seven days prior to the meeting date to any person annually request-
ing such notice under section 201 1 9 below. Such notice shall include the
time, date, and place of the regular meeting and a copy of the agenda
therefor.
1. Repealer and new subsection (a) file 4-1 1-80; effective thirtieth dav thereafter
(Register 80, No. 15).
2. Amendment of subsecfion (b) filed 5-21-81; effective thirtieth day thereaflcr
(Register 81, No. 21).
§20119. Notices.
(a) Eligibility. Notice of any regular or special public meeting of the
State Board shall be given to any person annually requesting under sec-
tion 201 19(b).
(b) Procedure. Individuals and organizations wishing to receive notice
of regular and special meetings of the State Board and copies of the agen-
da may annually request the Secretary to include their names on the mail-
ing list. Inclusion on the mailing list will result in notification to the ad-
dressee of all regular and special meetings of the Stale Board. The
Secretary shall annually notify interested agencies and organizations
that, upon request, they are entitle to be placed on the mailing list.
§ 20120. Open Meetings of Committees, Commissions,
and Advisory Bodies.
(a) State Board Committees. Meetings of State Board commiuees
composed solely of members of the Slate Board, created by a formal ac-
tion of the State Board, shall be open and public.
(b) Advisory Bodies. Unless otherwise provided by law, meetings of
any advisory body, or committees or subcommittees thereof, created by
statutes or by formal action of the Slate Board, to advise or report or rec-
ommend to the Stale Board, shall be open and public.
§ 201 21 . Open Meetings.
All meetings of the State Board will be open and public except for ex-
ecutive sessions authorized by Government Code Sections 11120-
11131.
§ 20122. Special Meetings.
Special meetings may be called by the President of the State Board or
a majority of ihe members thereof for any stated purpose. Notice of such
meetings shall be provided at least 24 hours in advance to those persons
so requesting under section 201 19(b).
§ 20123. Emergency Meetings and Agenda Items.
(a) Power. An emergency meeting may be called by the President of
the State Board or a majority of the members thereof without providing
the notice required by section 201 19 if there is an unforeseen emergency
condition in existence.
(b) Definition. An unforeseen emergency condition exists when there
is an immediate threat of adverse effects on the program authorized by
the Act of such scope that requires action of the State Board to avert such
effects.
(c) Agenda Items. An item may be included on the agenda of any regu-
lar meeting if an unforeseen emergency condition exists without the no-
tice required by section 20119.
(d) Certification. Concurrence of 7 of the members is required to certi-
fy that an emergency condition exists in order to take any action at an
emergency meeting or regarding an emergency item.
(e) Notice. If reasonably possible, notice of the emergency item or
meeting shall be provided to those so requesting under section 20 1 1 9(b).
Lack of such notice shall not invalidate any action taken on said item or
at said meeting.
§20124. Agenda.
(a) All matters to be submitted for consideration of the State Board
shall be sent to the Secretary at least 10 days preceding a regular meeting
of the State Board, at California Library Services Board, P.O. Box 2037,
Sacramento, CA. 95809.
(b) Setting of Agenda. The agenda for regular meetings of the State
Board shall be set by the Chief Executive Officer at least 8 days prior to
the meeting.
§20125. Speakers.
(a) Recognifion of Speakers. Members of the public or the State Li-
brary staff will be recognized by the President of the State Board to speak
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BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
al any meeting. All remarks made shall be germane to the business at
hand and shall be addressed to the President. No person other than the
person having the floor and members of the State Board shall be per-
mitted to enter the discussion.
(b) Subject of Remarks. All speakers before the State Board shall con-
fine their remarks to the subject indicated in their written request, or indi-
cated in the recognition by the President.
§ 201 27. Robert's Rules of Order.
Except where the provisions of the California Library Services Act of
1977 or of these regulations provide to the contrary, or when the State
Board determines otherwise, the State Board shall operate under the lat-
est edition of Robert's Rules of Order.
§20130. Public Hearings.
(a) Notice. The State Board may hold a public hearing regarding any
matter pending before it, after giving the 45-day notice as required by the
California Administrative Procedures Act. Such notice shall include ade-
quate descriptive matter relating to the subjects to be considered in hear-
ing.
(b) Alternative hearing. The State Board may direct that a public hear-
ing be held before staff of the State Library, an advisory commission to
the State Board, or a standing or ad hoc committee of the State Board re-
garding any matter which is, or is likely to be, pending before the State
Board.
(c) Speakers.
(1) Notice. Persons wishing to address the State Board on a subject to
be considered at a public hearing, should present a request to the Secre-
tary four (4) working days in advance of the meeting at the office of the
Secretary, stating the subject they wish to address, the organization they
represent, if any, and the nature of their testimony. Persons wishing to ad-
dress the Board, who have not presented a request four days in advance,
may be heard at the discretion of the presiding officer.
(2) Copies of Statement. The speaker may provide a written copy of
his statement to the Secretary 24 hours in advance of the hearing.
(3) F*ublic Testimony. At or before the hearing at which oral comments
from the public are to be received, the State Board or other hearing body
shall determine the total amount of time that will be devoted to hearing
such oral comments, and may, at its discretion, determine the time to be
allotted to each person or to each side of an issue.
Note-. Authority cited: Section 18724, Education Code. Reference: Sections
18720, and 18724, Education Code.
History
1. Amendment of subsection (a) filed 5-21-81; effective thirtieth day thereafter
(Register 81, No. 21).
§ 201 31 . Waiver by Presiding Officer.
At any time upon a showing of good cause, the presiding officer of the
hearing may waive the requirements of Sections 20130.
§ 20134. Public Records.
(a) Inspection of Public Records.
(1) Inspection of the original copy of any public record of the State
Board (as defined in Government Code section 6252(d) and 6254) will
be permitted during regular office hours of the State Library, Library-
Courts Building, Sacramento.
(2) Requests to inspect such records should be filed with the Secretary
at least five working days prior to the requested date in order to insure
availability.
(3) Requests for inspection should be as specific as possible in identi-
fying the records desired.
(4) Original copies of public records shall not be removed from the of-
fice the Secretary.
(b) Obtaining Copies of Public Records.
(1) Requests to obtain copies of public records may be made in person
or by mail to the office of the Secretary.
(2) Such requests should be as specific as possible in identifying the
records desired.
(3) Certification of the authenticity of copies may be obtained from the
Secretary.
Article 3. General Provisions for Systems
§ 20135. System Budget Request and Plan of Service.
Each System participating in programs of the Act shall adopt a System
Plan of Service, developed with the assistance of the System Advisory
Board, and prepare a budget for carrying out the objectives of the Plan.
After discussion and review by the System Advisory Board, and approval
by the Administrative Council, the System budget request and Plan of
Service shall be annually submitted to the State Board by June 1 of the
fiscal year immediately preceding the fiscal year for which funds are re-
quested.
(a) Plan of Service. The annual Plan of Service shall describe in the
form and manner prescribed by the State Board how the System proposes
to carry out the purposes of the Act, and it shall include information rela-
tive to the following statements:
( 1 ) A population profile. This shall be no more than five years old, and
shall use the most current data available.
(2) A description of the users and the non-users of the services of the
members of the System.
(3) A description of the services provided by the System.
(4) A hst of the major unmet information needs of the population of
the System area.
(5) A plan for the use of CLSA funds, listing each of the services in (3)
above which the System plans to maintain or improve, and each of the
unmet needs in (4) above which the System plans to address. Under each
such service to be provided or unmet needs to be addressed, the plan shall
include:
(A) The user benefit expected.
(B) A brief description of the method by which the benefit will be pro-
vided.
(b) Budget. The System budget shall document in the form and manner
prescribed by the State Board the dollar amounts to be expended for pro-
viding each System service or addressing each unmet need.
(c) In addition, each System shall file by September 1 of each year a
report, in the form and manner prescribed by the State Board for the fiscal
year just ended, that describes actual accomplishments and expenditures
of the System program, compares them with the planned accomplish-
ments and expenditures for the fiscal year reported and includes other ap-
propriate commentary.
NOTE: Authority cited: Section 18724, Education Code. Reference: Sections
1 8740-18767, Education Code.
History
1. New Article 3 (Sections 20135-20145, not consecurive) filed 7-20-78; effec-
tive thirtieth day thereafter (Register 78, No. 30).
2. Amendment filed 5-21-81; effective thirtieth day thereafter (Register 81, No.
21).
3. Amendment filed 10-23-81; effecfive thirtieth day thereafter (Register 81, No.
43).
§ 20136. System Administrative Policy Manual.
Each System participating in programs of the Act must develop by
July 1, 1979, a System Administrative PoHcy Manual which shall include
along with any other items the System finds useful, its policies for:
(a) Receiving and accounting for state and federal funds on behalf of
the System.
(b) Employment of System personnel.
(c) Interaction with System Advisory Boards.
(d) Executing the System programs approved by the State Board.
Policy manuals shall be in conformity with the California Library Ser-
vices Act. Policy manuals shall be kept current.
§ 20140. System Administration.
(a) Cooperative Library Systems. The System Administrative Council
shall consist of the head librarian of each jurisdiction in the system. In
case of the head librarian's absence, an official delegate or alternate may
Page 192.2
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California State Library
i? 2(H54
•
•
vole in place of the head librarian, li shall have regular meetings, open
and accessible to the public and to members of the System Advisory
Board as required in the Ralph M. Brown Act (Govt. Code Section
54950-54961 ). Information about the meetings of the Council shall be
disseminated in such a way and in such languages as the Council deter-
mines will most effectively inform the public of the Council's activities.
The Council shall be represented at each meeting of the System Advisory
Board. The Council shall provide for the position of a Council Chair-per-
son, and for rotation of that position among the Council members.
NOTEi: Authority cited: Section 18724. Education Code. Reference: Sections
187iO(n) and 18740(a), Education Code.
History
1 . Repealer of subsection (b) filed 3-2.'S-82; effective thirtieth day thereafter (Reg-
ister 82, No. 22).
§ 20145. System Advisory Board.
(a) Purpose. The State Board finds that it is in the best interests of the
citizens of California and best fulfills the purposes of the Act that System
Advisory Board members participate in the planning and development
of CLSA-funded system services, in cooperation with their respective
System Administrative Councils. The purpose of the System Advisory
Board program shall be to provide a means for effective communication
between each Administrative Council and the residents of its system ser-
vice areas, and to help ensure that library services provided by each sys-
tem respond appropriately to the needs of its residents.
(b) Establishment. An Advisory Board for each System shall be estab-
lished. The Advisory Board shall consist of the number of members spe-
cified in Education Code Section 18747(b) and 18748, except that no
System Advisory Board shall consist of fewer than five members.
(c) Advisory Board Members. Each System shall provide the Califor-
nia Library Services Board annually, no later than June 1, with a list of
the members of the System Advisory Board and an indication of the un-
deserved population segments represented. Categories used in the Popu-
lation Profile portion of the System Plan of Service shall be used to indi-
cate the population segments represented.
(d) Organization. Each Advisory Board may formalize its organiza-
tion by adopting by-laws. Such by-laws shall be in conformity with the
Act. these regulations, and Robert's Rules of Order, Newly Revised.
(e) Advisory Board Meetings. The Advisory Board shall have regular
meetings, open and accessible to the public. Information about the meet-
ings shall be disseminated in such a way and in such languages as the Ad-
visory Board determines will most effectively inform the public of the
Board's activities. It shall be the responsibility of each Advisory Board
Member to inform his or her appointing governing body and respective
community of these activities. The Advisory Board shall also be repre-
sented at meetings of the Administrative Council and shall provide the
Administrative Council with regular reports of the Board's activities.
(f) Orientation and Training. It shall be the responsibility of each Sys-
tem Administrative Council to work in conjunction with the State Board
and the System Advisory Board to ensure that materials and training are
provided as necessary to orient each Advisory Board member to the
goals, functions and responsibilities of the State Board, the System Ad-
ministrative Council, and the System Advisory Board. The Chief Execu-
tive Officer may, on behalf of the State Board, provide and/or recom-
mend such materials and training as appropriate.
NOTE: Authority cited: Section 18724, Education Code. Reference: Section
18750, Education Code.
History
1. Amendment of subsections (a) and (b) filed 5-21-81; effective thirtieth day
thereafter (Register 81, No. 21).
2. Amendment filed 1 0-23-81 ; effective thirtieth day thereafter (Register 81, No.
43).
Article 4. System Reference
§20150. Definitions.
For purposes of this Article:
(a) "Discernible difference" means the difference in quality or quanti-
ty of service to the user made possible by the support provided under this
Article, beyond the service which would have been provided had the
meinber library not had that support.
(b) "Evidence of benefit" means verification (e.g.. statistical sainple;
staff or user personal testimony; case study) of a discernible difference.
(c) "Performance objectives" means the quantified expression of ser-
vice specifications (e.g., average response fime; number of new users sat-
isfactorily served). The quantities may be set at varying levels from year
to year, as experience is gained and as available resources vary.
(d) "Service specification" means a qualitative outcome (a goal)
which each System shall strive to achieve for one or more of the service
components of the System Reference program set forth in Section 20 1 54
of this Arficle. It describes what is to be examined in determining if a ref-
erence service is performing as intended. Service specifications are ex-
pected to be relatively constant over a period of several years.
NOTE: Authority cited: Section 18724, Education Code. Reference: Section
18741. Education Code.
History
1 . Renumbering of former Section 201 50 to Section 201 5 1 and new Section 201 50
filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33). For history
of former section, see Register 78. No. 23.
§20151. Local Flexibility.
The intent of this Arficle is to allow Systems maximuin flexibility to
decide in what way they will caixy out the requirements of the Article.
Systems should provide the best possible professional Reference ser-
vices.
NOTE: Authority cited for Chapter 2 (Sections 20150-20195. not consecutive):
Section 18720 et seq. , Education Code. Issuing agency: California Library Ser-
vices Board.
History
1. Editorial renumbering and correction of Chapter 2. Subchapter 2 (Register 69,
No. 5 1 ). For prior history, see Registers 66, Nos. 2 and 32; 68, Nos. 23 and 41;
69, No. 25; 71, No. 1.
2. Amendment of NOTE filed 9-23-77; effective thirtieth day thereafter (Register
77, No. 39).
3. Repealer of Chapter 2 (Sections 201 00-20401 , not consecutive) filed 5-1 7-78;
effective thirtieth day thereafter (FLegister 78, No. 20).
4. New Chapter 2 (Sections 20150-20195, not consecutive) filed 6-9-78; effec-
tive thirtieth day thereafter (Register 78, No. 23).
5. Renumbering of former Section 20151 to Section 20152 and renumbering of
former Section 20150 to Section 20151 filed 8-9-83; effective thirtieth day
thereafter (Register 83, No. 33).
§ 20152. Integrated Service Program.
The intent of this Article is that the elements to improve service to the
undeserved should be developed and carried out as much as possible in
an integrated manner with all local and System services, so that all ele-
ments together provide an inseparable, total library service program.
History
1 . Renumbering of former Section 201 5 1 to Section 201 52 filed 8-9-83; effective
thirtieth day thereafter (Register 83, No. 33).
§20153. Principles.
Each System shall adopt a program of coordinated reference service
support to the members of the system that conforms to the following prin-
ciples:
(a) The program makes a discernible difference to the service provided
to the user when he or she asks the library for help.
(b) The program incorporates services that are specific to the needs of
the undeserved.
(c) The program is designed to provide evidence of benefit that will be
understandable to local users, library staffs, and state officials.
NOTE: Authority cited: Section 18724, Education Code. Reference: Section
18741, Education Code.
History
1. New section filed 8-9-83; effective thirtieth day thereafter (Register 83, No.
33).
§20154. Service Components.
Each System shall use its reference allowance to provide the following
three service components:
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§ 20155
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(a) general improvement of local reference service;
(b) improvement of reference services to the undeserved; and
(c) interlibrary reference.
NOTE: Authority cited: Section 18724. Education Code. Reference: Sections
187]0(h)(s) and 18741. Education Code.
History
1 . New section tiled 6-8-83; designated effective 7-1-83 pursuant to Government
Code Section U 346.2(d) (.Register 83, No. 24).
§ 20155. General Improvement of Local Reference Service.
(a) Service specifications and performance objectives for the general
improvement of local reference service component which are specific to
each System shall be adopted by each System. Each System shall, using
information provided by its member libraries;
( 1 ) Assess the needs of. and the service to the general population now
being provided by the System's member libraries, then
(2) Identify those program areas where improvement can make a sig-
nificant difference in the quality or quantity of service, and determine
which of those can be improved by use of available resources, then
(3) Evaluate which of those remaining areas would offer the greatest
improvement in service to the general population, then finally,
(4) Adopt service specifications and performance objectives to ac-
complish the improved service, which shall be subject to approval by the
Chief Executive Officer on behalf of the State Board.
(b) Evidence of benefit. In designing its general improvement of local
reference service component, each System shall provide for evidence of
benefit that can be gathered without unreasonably burdening the System
and its members.
NOTE: Authority cited: Section 18724 Education Code. Reference: Section
18741, Education Code.
History
1 . New section filed 6-8-83; designated effective 7-1-83 pursuant to Government
Code Section 11 346.2(d) (Register 83, No. 24).
2. New subsection (b) filed 8-9-83; effective thirtieth day thereafter (Register 83,
No. 33).
§ 20156. Improvement of Reference Service to the
Undeserved.
(a) Service specifications and performance objectives for the improve-
ment of reference service to the undeserved component which are specif-
ic to each System shall be adopted by each System. Each System shall,
using information provided by its member libraries:
(1) Assess the reference needs of, and the reference service to the un-
deserved now being provided by the System's member libraries, then
(2) Identify the undeserved population and those reference program
areas where improvement can make a significant difference in the quality
or quantity of reference service, and determine which reference program
areas can be improved by use of available resources, then
(3) Evaluate which of those remaining areas would offer the greatest
improvement in reference service to the undeserved, then finally,
(4) Adopt service specifications and performance objectives to ac-
complish the improved reference service, which shall be subject to the
approval by the Chief Executive Officer on behalf of the State Board.
(b) Evidence of benefit. In designing its component to improve refer-
ence service to the undeserved, each System shall provide for evidence
of benefit that can be gathered without unreasonably burdening the Sys-
tem and its members.
(c) Determination of "Fair and Equitable." Each System shall provide
an identified amount from within its CLSA Reference allowance for its
improvement of reference service to the undeserved component. This
budget, when accompanied by approved service specifications and per-
formance objectives as described in Section 20156(a) above, shall be
considered as the "fair and equitable" portion of its reference allowance,
required by Education Code, Section 18741(b).
NOTE: Authority cited: Section 18724, Education Code. Reference: Sections
18710(s) and 18741, Education Code.
History
1 . New section filed 6-8-83; designated effective 7- 1-83 pursuant to Government
Code Section II 346.2(d) (Register 83, No. 24).
2. New subsections (b) and (c) filed 8-9-83; effective thirtieth day thereafter (Reg-
ister 83, No. 33).
§20157. Interlibrary Reference.
(a) Each System shall design its interlibrary reference component to
the following service specifications:
( 1 ) The highest possible percentage of questions shall be answered.
(2) The answers shall be delivered to the user within an acceptable Ume
period.
(3) Answers shall meet the user's need in terms of amount, format, lan-
guage, and accuracy of information.
(4) Specifications (1 )-(3) should be carried out at the lowest possible
cost.
(b) The following uniform performance objectives shall be met by all
Systems in implementing the interlibrary reference services specifica-
tions:
(1 ) Answers shall be provided for 90% of all questions referred from
member hbraries.
(2) 70% of answers shall be returned to the originating member library
within 10 working days of the question having been transmitted by that
library into the System's reference referral structure.
(3) For 1 and 2 above the following definifions are established:
"Answer" means a reply to a user" s question that provides the user with
the information sought; or with knowledge that the information does not
exist in verifiable form; or that the information is likely available from
one or more indicated sources which can, for a specified reason, be more
effectively contacted by the user than by the library system; or any com-
binaUon of the foregoing. "Answer" does not include a status report.
"Originating member library" means the System member public li-
brary as defined in Education Code Section 18710(1).
"Within 10 working days" means a 10-day period which begins when
a question is referred to a source other than within the originating mem-
ber library, by a part of that library authorized to do so by its System's
reference referral procedures. The measured period ends when the an-
swer is received by the part of the originating member library designed
by its System procedures to receive the answer to the particular question.
"Working days" means Mondays. Tuesdays, Wednesdays, Thurs-
days, and Fridays, excluding legal holidays.
NOTE: Authority cited: Section 18724, Education Code. Reference: Sections
18710(h), 18726 and 18741, Education Code.
History
1 . New section filed 6-8-83; designated effective 7-1-83 pursuant to Government
Code Section 1 1346.2(d) (Register 83, No. 24).
2. New subsection (b) filed 10-17-83; effective thirtieth day thereafter (Register
83, No. 43).
§20158. Allowance.
Each System shall receive an annual allowance based on the number
of member libraries of the System and on the total population served by
that System. The State Board shall periodically, and at least annually, re-
view and approve the membership and populafion figures, and determine
an appropriate funding formula which shall be uniform statewide.
NOTE: Authority cited: Section 18724, Exlucation Code. Reference: Sections
18724(d) and 18741(a), Education Code.
History
1 . New section filed 6-8-83; designated effective 7-1-83 pursuant to Government
Code Section 1 1 346.2(d) (Register 83, No. 24).
§ 201 60. Special Requirements for 1 978/79 and 1 979/80
Allowance.
NOTE: Authority cited: Section 18724, Education Code. Reference: Sections
18700-18767, Education Code.
History
1. Repealer filed 1-30-81; effective thirtieth day thereafter (Register 81, No. 5).
§ 201 61 . Requirements for Allowance for Years Following
1979/80.
NOTE: Authority cited: Section 18724, Education Code. Reference: Sections
18741, 18745-18748, EducaUon Code.
•
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•
History
1. Amendment tiled 4-13-79: effective thirtieth day thereafter (Register 79. No.
2, Repealer filed 5-2 1-81; effective thirtieth day thereafter (Register 8 1 , No. 2 1 ).
§ 201 62. Single Library Systems.
NOTH: Authoritv cited: Section 18724, Education Code. Reference: Section
18741, Education Code.
History
1 . Repealer filed 5-25-82; effective thirtieth day thereafter (Register 82, No. 22).
Article 5. Consolidations and Affiliations
§ 20180. Public Library Consolidations.
(a) If any two or more contiguous juri.sdictions operating public li-
braries wish to consolidate their h'braries into a single library agency and
receive establishinent grants under Education Code Section 18732, a
joint notice of intent signed by the head librarians of the consolidating
jurisdictions must be filed with the State Board no later than September
1 of the fiscal year immediately preceding the effective dale for consoli-
dation. Authorizations to consolidate, approved by the governing body
of each consolidating jurisdiction, and a joint plan for provision of con-
solidated services, signed by the head librarians, must be filed with the
State Board no later than June 1 of the fiscal year immediately preceding
the effective date of the consolidation.
(b) The State Board's approval of requests for library consolidation
funds under Education Code Section 1 8732 shall be based on its determi-
nation that the consolidation provides a more effective means of carrying
out the purposes of the Act than would be the case if the consolidation
did not occur.
(c) For purposes of determining the eligibility of the consolidating ju-
risdictions to receive funds under other provisions of the Act, a pubUc li-
brary consolidation approved by the State Board will be considered ef-
fective beginning July 1 of the fiscal year immediately following the
fiscal year in which the consolidation authorizations are filed.
NoTE: Authority cited: Section 18724, Education Code. Reference: Section
18732, Education Code.
History
1. Amendment of subsection (a) filed 1-30-81; effective thirtieth day thereafter
(Register 81, No. 5).
2. Amendment of subsection (a) and new subsection (c) filed .5-21-81; effective
thirtieth day thereafter (Register 81, No. 21).
§ 20185. System Consolidations.
(a) If any two or more Systems whose borders are contiguous wish to
consolidate and receive a consolidation grant under Education Code Sec-
tion 1 875 1 , a joint notice of intent, approved by the Administrative Coun-
cils of the consohdating systems, must be filed with the State Board no
later than September 1 of the fiscal year immediately preceding the effec-
tive date of consolidation. System participation authorizations approved
by the jurisdictional governing body of each of the System's member li-
braries, and a new system plan of Service and budget, must be filed with
the State Board no later than June 1 of the fiscal year immediately preced-
ing the effective date of consolidation. If the State Board approves the
consolidation funding request, a grant shall be awarded for each of the
two fiscal years following the fiscal year in which the filing is made.
(b) The State Board's approval of requests for System consolidation
funds under Education Code Section 1985 1 shall be based on its determi-
nation that the consolidation provides a more effecfive way of carrying
out the purposes of the Act than would be the case if the consolidation
did not occur.
(c) For purposes of determining the eligibility of the consolidating sys-
tems to receive funds under other provisions of the Act. a system consoli-
dation approved by the State Board will be considered effective begin-
ning July 1 of the fiscal year immediately following the fiscal year in
which the consolidation authorizafions are filed.
NOTE: Authority cited: Section 18724, Education Code. Reference: Section
18751, Education Code.
History
1. Amendment of subsection (a) filed l-3()-81; effective thirtieth day thereafier
(Register 81, No. 5).
2. Amendment of subsection (a) and new subsection (c) filed .5-21-8 1 ; efiective
thirtieth day thereafter (Register 81, No. 21).
§ 20190. Public Library Affiliation with an Existing System.
(a) If any jurisdiction, not previously a member of any System, joins
a System with borders contiguous to the jurisdiction, and the System
wishes to receive an affiliation grant under Education Code Section
18752, the administrative body of the System shall file a notice of intent
and the jurisdictional governing body of the affiliating library shall file
an affiliauon authorization with the State Board as follows:
(3) For memberships occurring between July 1, 1980, and June 30,
1981, thenoUceof intent shall be filed by September 1. 1980. and the af-
filiauon authorization shall be filed by June 1, 1981. If the State Board
approves, a grant of $3,000 shall be made for each of the fiscal years
1981/82 and 1982/83.
(4) For memberships occurring between July 1, 1981, and June 30.
1 982, the notice of intent shall be filed by September 1 , 1 98 1 , and the af-
filiauon authorizafion shall be filed by June 1, 1982. If the State Board
approves, a grant of $2,000 shall be made for each of the fiscal years
1982/83 and 1983/84.
(5) For memberships occurring between July 1, 1982, and June 30
1983, the notice of intent shall be filed by September 1 , 1 982, and the af-
filiation authorization shall be filed by June 1, 1983. If the State Board
approves, a grant of $1,000 shall be made for each of the fi.scal years
1983/84 and 1984/85.
(6) System memberships occurring following June 30, 1983 shall not
be eligible for grants under Education Code Section 18752.
(b) The State Board's approval of requests for affiliation grants under
EducaUon Code Section 18752 shall be based on its determination that
the proposed membership is at least as effective a way of carrying out the
purposes of the Act as would be the case if the membership were with a
System other than the one joined.
(c) For purposes of determining the eligibility of the affiliating public
library or system to receive funds under other provisions of the Act, an
affiliation will be considered effective beginning July 1 of the fiscal year
immediately following the fiscal year in which the affiliaUon authoriza-
tion is filed.
NOTE: Authority cited: Secfion 18724, Education Code. Reference: Sections
18700-18767, Educafion Code.
History
1 . Amendment and new subsection (c) filed 12-5-80; effective thirtieth day there-
after (Register 80, No. 49).
§ 20192. Public Library Withdrawal from System
Membership.
(a) If a member library does not retain its membership in any System
participating in the programs of the Act, the System shall notify the State
Board no later than three months preceding the beginning of the fiscal
year in which the withdrawal takes effect.
(b) Any System failing to provide the notice required in Section
20192(a) may be required to return to the State Board any funds allocated
to it on the basis of the withdrawing library's membership, if the Chief
Executive Officer determines that such funds would not have been allo-
cated had the required notice been provided.
NOTE: Authority cited: Section 18724, Education Code. Reference: Sections
18724(b) and 18726(c), Education Code.
History
1. New section filed 6-8-83; effective thirtieth day thereafter (Register 83, No.
24).
§ 20195. Public Library Change of System Membership.
If any jurisdiction at present or previously a member of a System which
has received state funds pursuant to that jurisdicUon's membership,
wishes to join another System instead, and if the library and the System
it proposes to join wish to receive state funds pursuant to that jurisdic-
tion's membership under Article 5 of the Act, the governing body of the
Page 192.4(a)
Register 2001, No. 45; 1 1 -9-2001
§ 20200
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
jurisdiction and the administrative body of the System it proposes to join
shall file a joint notice of intent with the State Board. The notice shall be
filed by September 1 of the year preceding any July I of the first full fiscal
year for which state funds pursuant to the new membership are requested.
The State Board shall approve all appropriate state fund payments to the
System under Article 5 of the Act only if it determines that the new mem-
bership results in a more effective statewide method of carrying out the
purposes of the Act than would be the case if the jurisdiction retained or
resumed the System membership it had previously. If the State Board
does not make such a determination in favor of the new membership, then
the new System's funding under Article 5 of the Act shall be calculated
on the basis of the System comprising only those public library jurisdic-
tions whose membership is approved.
Article 6. Direct Loans
§ 20200. Scope.
Except where otherwise specified, the regulations contained in the Ar-
ticle apply both to Education Code Section 1 873 1 (Universal Borrowing)
and Education Code Section 1 8743 (Equal Access) of the Act.
NOTE: Authority and reference cited for Article 6 (Sections 20200-20217, not
consecutive): Chapter 4 (Section 18700,etseq. ) of Part 11, Education Code. Issu-
ing agency: California Library Services Board.
History
1. New Article 6 (Sections 20200-20217, not consecutive) filed 7-20-78; effec-
tive thirtieth day thereafter (Register 78, No. 30).
§ 20203. Residency.
For purposes of this Article, each resident of the State shall be deemed
to have a single legal residency, which shall entitle him/her to resident
library services of the jurisdiction in which he/she resides, and such ser-
vices shall not be reimbursable under this Article. In determining the
places of residency, the following rules as excepted from Government
Code section 244 shall be observed:
(a) It is the place where one remains when not called elsewhere for la-
bor or other special or temporary purpose, and to which he or she returns
in seasons of repose.
(b) There can be only one residence.
(c) A residence cannot be lost until another is gained.
(d) The residence of the parent with whom an unmarried minor child
maintains his or her place of abode is the residence of such unmarried mi-
nor child.
(e) A married person shall have the right to retain his or her legal resi-
dence in the State notwithstanding the legal residence or domicile of his
or her spouse.
§ 20204. Loans to Eligible Non-Resident Borrowers.
(a) Public libraries participating in direct loan programs under this
Act, shall not charge any fee to non-residents for borrowing privileges.
(b) Reserves and interlibrary loan requests shall be accepted by the
participating public library under the same rules and policies applied to
local residents.
(c) All procedures governing registration of borrowers shall apply
equally to residents and non-residents.
(d) All materials normally loaned by a participating public library are
available for loan to non-residents under the same rules and policies
applied to local residents.
(e) All loan and return rules governing circulation apply equally to res-
idents and non-residents. If overdue materials are returned to a library
other than the library from which borrowed, fines may be paid to and re-
tained by the library to which the return is made. Payments for lost or
damaged material are payable to the lending library, and are to be for-
warded by the library to which payment is made.
(f) Special loan privileges extended by the participating public library
to teachers and other groups within its jurisdiction need not be extended
beyond the jurisdiction.
§ 20205. Non-Resident Borrower Eligibility.
An eligible non-resident borrower must be a resident of California,
(a) Hold a valid borrowers card issued by his/her home library, or (b)
Hold or obtain a valid non-resident borrowers card issued by any Califor-
nia public library, or
(c) Hold a valid state borrowers identification card issued by any Cali-
fornia public library;
(d) And present any additional identification normally required by a
library of its own residents.
(e) Nothing in this section shall prevent the is.suing of a non-resident
card or charging of fees to a resident of another state, except that loans
to such non-residents shall not be counted as reimbursable transactions.
§ 20206. Valid Identification.
The lending library must be supplied with the name and current ad-
dress of the borrower and the name of the library jurisdiction in which the
borrower maintains his or her legal residency.
§ 20210. Exchange of Local Funds Prohibited.
Libraries participating in direct loan programs authorized by the Act,
shall not charge other jurisdictions for borrowing privileges extended to
their residents, except that contracts for loan or other services provided
within a defined geographic area by a library jurisdiction to residents of
another jurisdiction not served by their library jurisdiction are not prohib-
ited. Persons served under such contracts are to be registered as residents
of the jurisdiction providing the contract service.
§ 2021 1 . Maintenance of Local Service Standards.
It is the intent of this Article that local service standards be maintained:
(a) Extension of borrowing privileges by libraries to non-residents,
should not adversely affect the level of service provided by the home li-
brary to its own residents.
(b) No library jurisdiction may reduce or fail to maintain or improve
the level of service to its residents for the purpose of placing undue re-
liance on the library services of neighboring library jurisdictions.
§ 20215. Reimbursement for Net Direct Loans.
Loan of a library material of any type by a participating public library
to an eligible nonresident borrower shall result in reimbursement from
the state under Education Code Sections 18731 and 18743 to the extent
that the number of such loans exceeds the number of items borrowed by
that library jurisdiction's residents from other participating public li-
braries, during a specific reporting period.
§20216. Reporting Requirements.
To obtain reimbursement, participating public libraries shall provide
reports in the form and manner, and for the period required. Reports must
be submitted by established deadlines. Records in support of claims for
state funds must be maintained for four years.
§20217. Reimbursable Costs.
Reimbursable costs, expressed on a unit basis, are those handling costs
incurred by the lending library in processing a direct loan to a non-resid-
ent. The State Board shall periodically review, at least once a year, and
approve such cost data, but the reimbursement rate, as adopted, shall be
uniform statewide.
•
Article 7. Communication and Delivery
§ 20235. Definition of Reporting Terms.
In complying with the reporting requirements of Section 20135 each
system shall report the following items using the following definitions
with respect to the communication and dehvery programs:
(a) "Message" means the transmission of a discrete body of informa-
tion from one library to another by means of a telecommunications sys-
tem to a single individual or institutional addressee. Many separate items
of information may be contained in a single message. The same body of
information transmitted to several addressees at physically distinct loca-
•
Page 192.4(b)
Register 2001, No. 45; 11-9-2001
Title 5
California State Library
§ 20300
•
•
lions constitutes several, not one. messages. Written information physi-
cally conveyed by delivery van. U.S. Mail, or other courier services is not
considered a "message" for communications and delivery reporting pur-
poses.
(b) "Itein delivered" means the physical removal of a discrete item
from one library to another by means of a delivery van, U.S. Mail, courier
service, or other delivery system. Reasonable Judgement shall be exer-
cised in determining particular "items" status (e.g.. a carton containing
10.000 brochures is one — not 10,000 items).
(c) "Frequency/schedule of delivery service" means that specific (dai-
ly, twice weekly, weekly, etc.) frequency of delivery service received by
member libraries. If not all members receive the same frequency of deli v-
ery service the number of member libraries served on each differing
schedule must be reported.
(d) "Other" means that when a system employs communications or de-
livery methods other than those specifically cited on the standard report-
ing forms, the system must specify the method(s) employed and separate-
ly account for the message or delivery volume for each such method.
NOTE; Authority cited: Section 18724, Education Code. Reference: Sections
18724(e) and 18743, Education Code.
History
1. Renumbering of former Article 7 (Sections 20251-20265. not consecutive) to
Article 8 (Sections 2025 1-20265, not consecutive) and new Article 7 (Section
20235) filed 6-8-83; effective thirtieth day thereafter (Register 83, No. 24). For
prior history, see Register 78, No. 30.
Article 8. Interlibrary Loans
§20251. Scope.
The regulations in this article refer to interlibrary loan activity covered
under the provisions of Education Code section 18744 (i.e. System inter-
library loan) and 18765 (i.e. Statewide loan).
NOTE: Authority and reference cited for Article 7 (Sections 20251-20265, not
consecutive): Chapter 4 (Section 18700, etseq. ) of Part 11, Education Code, issu-
ing agency: California Library Services Board.
History
1. Renumbering of former Article 7 (Sections 20251-20265, not consecutive) to
Article 8 (Sections 2025 1-20265, not consecutive) filed 6-8-83; effective thir-
tieth day thereafter (Register 83, No. 24). For prior history, see Register 78, No.
30.
§ 20252. Intent.
It is the intent of this program of the Act to support the sharing of li-
brary resources through interlibrary loan. Library materials needed by a
library user and not available in that user's library will be made available
to the user via interlibrary loan.
§ 20255. Eligibility.
(a) Public Libraries. Any public library as defined in Education Code
section 18710(1), which has been authorized by its jurisdiction to partici-
pate in programs of the Act must participate in the interlibrary loan pro-
grams of the Act.
(b) Libraries Other Than Public Libraries. To be eligible to participate
these libraries must be authorized by their own administrative authorities
to do so and must file the proper notice with the State Board as outlined
in section 20105(c). Further, a library, other than a public library, may
be eligible for a reimbursement only for a loan to an eligible public li-
brary. Libraries, other than public libraries, which can become ehgible
for participation in the interlibrary loan reimbursement programs of the
Act include only the following:
(1) Libraries operated by public schools or school districts. These li-
braries include only those defined in Education Code section 18710(m).
(2) Libraries operated by public colleges or universities. These include
those academic libraries (Education Code section 18710(a)) which are
funded primarily with public funds. Academic libraries potentially eligi-
ble for these programs include the libraries of the University of Califor-
nia, of the State University and College System, and of the California
Community Colleges.
(.1) Libraries operated by public agencies for institutionalized persons.
Libraries for the institutionalized include hospital, correctional, and resi-
dential treatment facility libraries which are funded primarily with public
funds (i.e. local, state, or federal tax monies).
(4) Libraries operated by nonprofit private educational or research in-
stitutions. These libraries include those operated by private colleges and
universities which maintain nonprofit status under provisions of the fed-
eral Internal Revenue Service or the California Franchise Tax laws.
These libraries also include those operated by private companies which
are primarily devoted to educational or research purposes and which
maintain nonprofit status under provisions of the federal Internal Reve-
nue Service or the California Franchise Tax laws. Such libraries may be
required by the State Board to furnish proof of their nonprofit status in
addition to any other required notices and forms.
§ 20257. Reimbursable Transaction.
An interlibrary transaction can result in reimbursement under Educa-
tion Code sections 18744 and 18765 if it consists of the loan of a library
material of any type which is collected by a library or if it consists of the
provision of a copy in lieu of loan of a library material, from any eligible,
participating lending library to any eligible public library as defined in
section 20255 and in Education Code sections 18744 and 18765.
§ 20260. Reimbursable Costs.
Reimbursable costs are only those handling costs which a lending li-
brary incurs in filling a successfully completed interlibrary loan transac-
tion. The State Board shall periodically, and at least annually, review and
approve the cost data and determine an appropriate funding formula
which shall be uniform statewide.
§ 20265. Participation Requirements.
Participating libraries, both public and nonpublic, shall conform to the
following requirements:
(a) Reporting. To obtain reimbursement a library shall provide by the
deadline reporting date, all required reports of its interlibrary loan trans-
actions in an established form and manner determined by the Board for
the period required.
(b) Audit. For audit purposes, a record of the interlibrary loan transac-
tions must be maintained for four years.
(c) Fees. A library providing an item for interiibrary loan may not col-
lect a handling fee on a transaction for which that library claims an interli-
brary loan reimbursement under provisions of this article. A photocopy
fee, exclusive of photocopy handling charge, may be collected.
(d) Direct Loan Availability. Participating libraries shall make maxi-
mum use of available bibliographic access tools to refer users to borrow
directly from nearby libraries where requested material is easily avail-
able, rather than to process an interiibrary loan.
(e) Responsibility for Borrowed Materials. The borrowing library
shall be responsible for all items it borrows, and if such item is lost or
damaged by the library or its users, the borrowing library may be required
by the lending library to make restitution for the item.
(f) Adherence to Standards. All participating libraries shall attempt to
follow the standards described in the "California Library Services Act In-
terlibrary Loan Standards," which is hereby incorporated by reference.
The State Board may withhold reimbursements to libraries which contin-
ually fail to meet the standards of performance.
Subchapter 2. Library of California
Article 1. General Provisions
§ 20300. Scope.
The regulations contained in this chapter shall implement the Library
of California Act, Chapter 4.5 of Part 11 of Division 1 of Title 1 of the
Education Code, beginning with Section 18800 thereof.
NOTE: Authority cited: Section 1 8821, Education Code. Reference: Chapter 948,
Statutes of 1998; Chapter 4.5, Section 18800, Education Code.
Page 192.4(c)
Register 2001, No. 45; 11 -9-2(X)l
§ 20301
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
History
1. New subchapter 2 (articles 1-7, sections 20300-20332), article 1 (sections
20300-20301 ) and section filed 5-8-2000: operative 6-7-2000 (Register 2000,
No. 19).
§20301. Funding Provisions.
(a) Funding distributed according to Library of California Act provi-
sions shall be used to support library purposes.
(b) Institutions and public library jurisdictions receiving reimburse-
ment under the provisions of Education Code Section 18844(a-e) may
not collect fees for those same services or those portions thereof for
which they have received reimbursement.
Note-. Authority cited: Section 18821, Education Code. Reference: Sections
18801(b)(1), 18802(d), 18802(i)and 18830(c), Education Code.
History
1. New section filed 5-8-2000; operative 6-7-2000 (Register 2000, No. 19).
Article 2. Definitions
§ 20302. Definitions.
(a) These additional definitions concerning Library of California Act
components complement those set forth in Education Code Section
18810.
(b) Additions to the definitions are as follows.
(1) "California Literacy Campaign" means the program authorized
and funded under the California Library Literacy Service Act, Education
Code Section 18733.
(2) "Chief Executive Officer" means the State Librarian.
(3) "Families for Literacy" means the program authorized and funded
under the California Library Literacy Service Act, Education Code Sec-
tion 18735.
(4) "Fiscal year" means the State fiscal year unless otherwise speci-
fied.
(5) "President" means the elected president of the state board.
(6) "Regional library network affiliation" means that a public library
jurisdiction or an insfituUon formally and legally joins a regional library
network to obtain full membership status.
(7) "Regional library network consolidation" means the formal and le-
gal joining of the geographic service areas, functions, services, and op-
erafions of two or more formerly separate regional library networks into
a single regional library network, as defined in Education Code Sections
18840-18842.
(8) "Regional library network division" means the separation of the
geographic service areas, functions, services, operafions, and member-
ship of a single regional library network into two or more regional library
networks, as defined in Education Code Sections 18840-18842.
(9) "Regional library network realignment" means a change in bound-
aries of two or more regional library networks.
(10) "Regional network council" means regional library council, as
defined in Educafion Code Secfion 18810(r).
(11) "Statewide electronic library card" means the mechanism by
which a library user is authorized to obtain the services provided under
Education Code Secfion 18844(d), the Electronic Direct Access pro-
gram. These services allow the user to browse the bibliographic catalogs
of libraries statewide on a computer, idenfify and request library re-
sources through a computer, and/or receive the information resources by
means of a computer. The statewide electronic library card may be a
physical card or an electronically authenticated equivalent or other ap-
propriate vehicle.
(12) "Vice-President" means the elected vice-president of the state
board.
NOTE: Authority cited: Section 18821, Education Code. Reference: Section
18810, Education Code.
History
L New article 2 (section 20302) and section filed 5-8-2000; operative 6-7-2000
(Register 2000, No. 19).
Article 3. Library of California Board
§ 20303. Powers and Duties of the State Board.
Pursuant to its authority to establish regional library networks, the
state board may approve:
(a) regional library network affiliations and withdrawals; and
(b) regional library network consolidations, realignments, and divi-
sions.
NOTE: Authority cited: Secfion 18821, Educafion Code. Reference: Sections
18821(e), 18830(ajand 1 8840, Education Code.
History
1. New article 3 (secfions 20303-20310) and secfion filed 5-8-2000; operative
6-7-2000 (Register 2000, No. 19).
§ 20304. Officers of the State Board.
The state board shall elect a president and a vice-president from its
members. The term of each office shall be one year.
(a) The state board shall elect annually a president and vice-president
at the last regular meeting of each calendar year.
(b) Should a vacancy occur in the office of president or vice-president,
the state board shall elect one of its members to fill such vacancy for the
remainder of the term. The state board shall take this action at its next reg-
ular meeting following the occurrence of the vacancy.
(c) Duties of the President. The president shall preside at all meetings
of the state board, shall appoint committees and advisory bodies as autho-
rized by the state board and as necessary to carry out its work, shall
execute for the state board any documents requiring such execution, and
shall perform such other duties as the state board determines.
(d) Duties of the Vice-President. The vice-president shall, in the ab-
sence of the president, perform the duties of the president.
NOTE: Authority cited: Section 18821, Education Code. Reference: Secfion
18820, Education Code.
History
1. New secfion filed 5-8-2000; operafive 6-7-2000 (Register 2000, No. 19).
§ 20305. Quorum.
A quorum for all state board meetings shall be seven of the thirteen
members.
NOTE: Authority cited: Secfion 18821, Education Code. Reference: Secfion
18820, Education Code.
History
1. New secfion filed 5-8-2000; operafive 6-7-2000 (Register 2000, No. 19).
§ 20306. Meetings of the State Board.
(a) Frequency. Regular meetings of the state board shall be held at least
four times each year, distributed over the course of the year.
(b) Schedule. The tentative dates and locations for the regular meet-
ings for the forthcoming calendar year shall be determined annually, at
the last regular meeting of the calendar year.
(c) Changes in Schedule. Nothing in this regulation shall be construed
to prevent the state board from altering its regular meeting dates or alter-
ing the locations of meetings.
(d) Meeting Notice. Any person or organization desiring to receive no-
tice(s) of state board meetings may direct the request to: Library of
California Board, California State Library, P. O. Box 942837, Sacramen-
to, California 94237-0001.
NOTE: Authority cited: Secfion 18821, Education Code. Reference: Secfion
18820, Educafion Code.
History
1. New secfion filed 5-8-2000; operafive 6-7-2000 (Register 2000, No. 19).
§ 20307. Speakers.
(a) Recognition of Speakers. Members of the public or the Slate Li-
brary staff may be recognized by the president to speak at any state board
meeting. All remarks made shall be germane to the business at hand and
shall be addressed to the president.
(b) Subject of Remarks. All speakers before the state board shall con-
fine their remarks to the subject indicated in the recognition of the presi-
dent.
•
Page 192.4(d)
Register 2001, No. 45; 11-9-2001
Title 5
California State Library
§20313
NOTh: Authority cited: Section 18821, Education Code. Reference: Section
18820. Education Code.
History
1 . New section filed 5-8-2000; operative 6-7-2000 (Register 2000. No. 19).
§ 20308. Robert's Rules of Order.
Except where the provisions of the Library of California Act or of
these regulations provide to the contrary, or when the state board deter-
mines otherwise, the slate board shall operate utider the provisions of
Robert's Rules of Order. The state board shall adopt an edition of Rob-
ert's Rules of Order as the edition for use by the state board.
NOTt: Authority cited: Section 18821, Education Code. Reference: Section
18820. Education Code.
History
1 . New section filed 5-8-2000: operative 6-7-2000 (Register 2000, No. 19).
§ 20309. Public Hearings.
The slate board may hold a public hearing regarding any matter pend-
ing before it.
NOTE: Authority cited: Section 18821. Education Code. Reference: Section
18820, Education Code.
History
1 . New .section filed 5-8-2000; operative 6-7-2000 (Register 2000. No. 19).
§ 20310. Public Records.
Inspection of the original copy of any public record of the state board,
as defined in Government Code Section 6252(d) and 6254, shall be per-
mitted during the regular office hours of the California State Library. Li-
brary and Courts I Building, 914 Capitol Mall, Sacramento, California
95814.
NOTE: Authority cited: Section 1 882 1 , Education Code; and Section 6253.4, Gov-
ernment Code. Reference: Section 18820, Education Code; and Section 6253(a),
Government Code.
History
I. New section filed 5-8-2000; operative 6-7-2000 (Register 2000. No. 19).
Article 4. Eligible Libraries
§ 2031 1 . Continuation of Membership.
(a) Each institution or public library jurisdiction shall continue as a
member of a regional library network as long as:
( 1 ) at least one of its participating libraries meets the eligibility stan-
dards required by Education Code Section 18830(a) and complies with
the agreements required by Education Code Section 1 8830(b);
(2) the local governing agencies and appropriate administrative autho-
rities do not reduce funding for library services as a result of membership
in the regional library network and participation in the programs and ser-
vices delivered under this Act; and
(3) the institution or pubhc library jurisdiction and its participating li-
braries comply with the resource sharing standards specified in Section
20312 of this subchapter.
(b) Each regional library network shall assure the compliance of its
members with these provisions through its meinbership policies and pro-
cedures.
Note: Authority cited: Section 18821. Education Code. Reference: Sections
18830 and 18840(c), Educafion Code.
History
1. New article 4 (sections 20311-20315) and section filed 5-8-2000; operative
6-7-2000 (Register 2000. No. 19).
§ 20312. Resource Sharing Standards.
(a) Each participating library shall participate in one or more of the
four access services components in Education Code Section 18844(a-d).
(b) Each member of a regional library network shall provide access to
the library's bibliographic records and location information for those re-
sources it has agreed to share with other libraries, to support the purposes
of Education Code Sections 18842(d) and 1 885 l(a-b). The access shall
be provided in such form, manner, and frequency as established through
subsequent rulemaking conducted under the provisions of the Adminis-
trative Procedure Act (Chapter 3.5 of Division 3 of Title 2 of ihe Govern-
ment Code, commencing at Section 1 1 340).
NOTE: Authority cited: Section 18821, Education Code. Reference: Sections
18830(b). 18842(d), 18844 and ]8851(a-b), Education Code.
History
1 . New section filed 5-8-2000; operative 6-7-2000 (Register 2000. No. 19).
§ 20313. Affiliation with a Regional Library Network.
(a) If any institution or public library jurisdiction joins the regional li-
brary network serving its geographic area under the provisions of Educa-
tion Code Section 18830. its affiliation shall be certified by the state
board.
(b) Should an institution or public library jurisdiction wish to join a re-
gional library network other than the one serving its geographic area, it
may request an exception to the geographic boundary requirement from
the state board. An exception may also be requested to enable all partici-
pating libraries of a single institution or public library jurisdiction to be
served by a single regional library network. The state board's approval
for exceptions shall be based on its determination that:
( 1 ) the proposed membership is at least as effective a way of carrying
out the purposes of the Act as would be the case if the membership were
with the regional library network serving the geographic area; and
(2) the proposed membership does not result in an inefficient expendi-
ture of state funds or redundancy of service.
(c) If the participating libraries of an institution or a public library ju-
risdiction are located in geographic areas served by different regional li-
brary networks, the institution or public library jurisdiction may become
a member of each regional library network serving one or more of its par-
ticipating libraries. However, each participating library shall receive
state-supported services from a single regional library network and only
that regional library network shall file a certification of library participa-
tion with the state board under the provisions of Section 203 1 3(0 of this
subchapter for the participating library.
(d) The administrative body of the regional library network shall file
a notice of agreement and the institutional governing body or the public
library jurisdictional governing body shall file an affiliation request with
the state board by April 1 of the fiscal year prior to the fiscal year when
such status is sought.
(1) The notice of agreement shall certify that the regional library net-
work approves the membership application of the institution or public li-
brary jurisdiction.
(2) The affiliation request shall certify that the governing body or ap-
propriate administrative authority for the institution or jurisdiction
wishes to join the regional library network and agrees to comply with the
provisions of this Act.
(e) For purposes of determining the eligibility of the affiliating institu-
tion or public library jurisdiction to receive services and funds under the
provisions of this Act, an affiliation shall be considered effective begin-
ning July 1 of the fiscal year immediately following the fiscal year in
which the affiliation is certified by the state board. The state board may
approve an earlier effective date if it determines that such action would
best serve the purposes of the Act.
(0 Participating Libraries.
(1) If a library within a member institution or member public library
jurisdiction elects to become a participating library and it meets the eligi-
bility criteria for a participating library as set forth in Education Code
Section 18830(a-b), and its participation is approved by the regional li-
brary network, the administrative body of the regional library network
shall file a certification of library participation with the state board by
April 1 of the fiscal year prior to the fiscal year when such status is sought.
(2) For purposes of determining the eligibility of the participating li-
brary to receive services and funds under the provisions of this Act, the
status of the library as a participating library shall be considered effective
beginning July 1 of the fiscal year immediately following the fiscal year
in which the certificaUon of library participation is filed with the state
board. The state board may approve an earlier effective date if it deter-
mines that such acfion would best serve the purposes of the Act.
Page 192.4(e)
Register 2001, No. 45; 11-9-2001
§ 20314
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
NOTE; Authority cited: Section 18821, Education Code. Reference: Sections
18821(e), 18830, 18831(a) and 18840, Education Code.
History
1. New section filed 5-8-2000; operative 6-7-2000 (Register 2000, No. 19).
§ 20314. Withdrawal from a Regional Library Network.
(a) If a member institution or public library jurisdiction does not retain
its membership in a regional library network, the regional library net-
work shall notify the state board within thirty days following the official
action of the member and/or the regional library network.
(b) If a participating library does not retain its status as a participating
library in a regional library network, the regional library network shall
notify the state board within thirty days following the official action of
the member on behalf of its participating library and/or the regional li-
brary network.
(c) For the purposes of determining the eligibihty of an institution or
a public library jurisdiction or a participating library to receive services
and funds under the provisions of this chapter, a withdrawal shall be con-
sidered effective upon filing the notification with the state board.
NOTE: Authority cited: Section 18821, Education Code. Reference: Sections
18821(e), 18830 and 18840, Education Code.
History
1. New section filed 5-8-2000; operative 6-7-2000 (Register 2000, No. 19).
§ 20315. Membership Eligibility Appeals.
(a) If an institution or a public library jurisdiction considers the mem-
bership eligibility policies and/or membership eligibility actions of the
regional library network serving its geographic area to be inconsistent
with the purposes and provisions of this Act, it may file an appeal with
the state board.
(b) An appeal shall include references to the relevant purposes and/or
provisions of the Act; information on the membership eligibihty policies
and/or membership eligibility actions of the regional library network
which appear inconsistent with the Act; and any available documenta-
tion.
(c) The state board shall notify the regional library network of the ap-
peal and shall invite the regional library network to respond to the appeal,
which response is due within sixty days of the state board's notice.
(d) The state board shall take action on the appeal within one hundred
and fifty days of the institution's or public library jurisdiction's initial fil-
ing.
(e) The state board's determination shall be based upon:
(1) the accuracy of the data presented in the appeal;
(2) the impact of the regional library network's membership eligibility
actions and/or membership eligibility policies on resource sharing in the
geographic region and the state;
(3) the consistency of the regional library network's membership eh-
gibility actions and/or membership eligibility policies with the purposes
and provisions of the Act; and
(4) the exclusion or inclusion of libraries by type, size, or other factors
inconsistent with the purposes of this Act as a result of the regional library
network's membership eligibility actions and/or membership eligibility
policies.
(0 The decisions of the state board shall become effective thirty days
from its official action on the appeal.
NOTE: Authority cited: Section 18821, Education Code. Reference: Section
18821(h), Education Code.
History
1. New section filed 5-8-2000; operative 6-7-2000 (Register 2000, No. 19).
Article 5. Regional Library Networks
§ 20316. Establishment of Regional Library Networks.
(a) The state board shall use the following criteria to approve the
boundaries of the regional library networks, considering both cost-effec-
tiveness and relationship to the resource sharing purposes of this chapter:
public library jurisdictional boundaries; commonality with boundaries of
educational institutions; recognition of current transportation, market-
ing, and communication patterns; location of and access to library re-
sources; adequacy of resources for resource sharing purposes; popula-
tion; and geographical contiguity.
(b) Every geographic area of the state shall be served by a regional li-
brary network.
(c) Upon receipt of a plan for a regional library network as set forth in
Education Code Section 18840, the state board shall review the plan for
completeness and for compliance with the purposes and provisions of the
Act.
(d) The state board shall conclude its plan review within one hundred
and twenty days from the submission of a plan and approve it or disap-
prove it. If a regional library network's plan is disapproved, the state
board shall note the reason(s) for its disapproval and may make recom-
mendations as to modifications which would make the plan approvable.
A modified plan may be re-submitted for state board consideration.
(e) Upon state board approval, a regional library network shall be es-
tablished for the purposes of this Act and its organization and members
shall be recognized as ehgible to receive services and funds under the
provisions of this Act. The establishment and recognition of the regional
library network shall be considered effective on the first July 1 following
state board approval. The state board may approve an earlier effective
date if it determines that such action would best serve the purposes of the
Act.
NOTE: Authority cited: Section 18821, Education Code. Reference: Section
18821(e), Educafion Code.
History
1. New article 5 (sections 20316-20321) and section filed 5-8-2000; operative
6-7-2000 (Register 2000, No. 19).
§ 20317. Consolidation of Regional Library Networks.
(a) If any two or more regional library networks whose borders are
contiguous wish to consolidate, a joint notice of intent, approved by the
regional network councils of the consolidating regional hbrary networks,
shall be filed with the state board no later than September I of the fiscal
year immediately preceding the July I effective date of the consolidation.
Regional Hbrary network affiliation authorizations approved by the insti-
tutional or public library jurisdictional governing body of each member
of the new consolidated regional library network, and a new regional li-
brary network plan as specified in Education Code Section 18840, shall
be filed with the state board no later than January 1 5 of the fiscal year im-
mediately preceding the July 1 effective date of the consolidation.
(b) The state board's approval of requests for regional library network
consolidations shall be based on the criteria for the establishment of re-
gional library networks specified in Section 20316 of this subchapter and
upon the slate board's determination that the consolidation provides at
least as effective a way of carrying out the purposes of the Act as would
be the case if the consolidation did not occur.
(c) For purposes of determining the eligibility of the regional library
networks and their members to receive services and funds under other
provisions of the Act, a consolidation approved by the state board shall
be considered effective beginning July I of the fiscal year immediately
following the fiscal year in which the consolidadon authorizations are
filed. The state board may approve an earlier effective date if it deter-
mines that such action would best serve the purposes of the Act.
NOTE: Authority cited: Section 18821, Education Code. Reference: Secfions
18821(e) and 18840, Education Code.
History
1. New section filed 5-8-2000; operafive 6-7-2000 (Register 2000, No. 19).
§ 20318. Realignment of Regional Library Networks.
(a) If any two or more regional library networks whose borders are
contiguous wish to realign their boundaries, a joint notice of intent, ap-
proved by the regional network councils of the realigning regional library
networks, shall be filed with the state board no later than September 1 of
the fiscal year immediately preceding the effective date of the realign-
ment. Regional library network affiliafion requests approved by the insti-
tutional or public library jurisdictional governing body of each member
of the new regional library networks, and revised or new regional library
network plans as specified in Education Code Section 18840, shall be
Page 192.4(f)
Register 2001, No. 45; 11-9-2001
Title 5
California State Library
§ 20322
filed with the state board no later than January 15 of the fiscal year im-
mediately preceding the effective date of the realignment.
(b) The state board's approval of requests for regional library network
realignments shall be based on the criteria for the establishment of re-
gional library networks specified in Section 203 1 6 of this subchapter and
upon the stale board's determination that the realignment provides at
least as effective a way of carrying out the purposes of the Act as would
be the case if the realignment did not occur.
(c) For purposes of determining the eligibility of the regional library
networks and their members to receive services and funds under other
provisions of the Act, a realignment approved by the state board shall be
considered effective beginning July 1 of the fiscal year immediately fol-
lowing the fiscal year in which the realignment authorizations are filed.
The state board may approve an earlier effective dale if it determines that
such action would best serve the purposes of the Act.
NOTE: Authority cited: Section 18821. Education Code. Reference: Sections
18821(e) and 18840. Education Code.
History
1. New section filed 5-8-2000; operative 6-7-2000 (Register 2000, No. 19).
§ 20319. Division of Regional Library Networi(s.
(a) If a regional library network wishes to divide into two or more re-
gional library networks, a notice of intent approved by its regional net-
work council shall be filed with the state board no later than September
1 of the fiscal year immediately preceding the July 1 effective date of the
division. Regional library network affiliation authorizations approved by
the institutional or public library jurisdictional governing body of each
member of the new regional library networks, and a new regional library
network plan as specified in Education Code 18840 for each regional li-
brary network resulting from the division, shall be filed with the state
board no later than January 15 of the fiscal year immediately preceding
the July 1 effective date of the division.
(b) The state board's approval of requests for regional library network
divisions shall be based on the criteria for the establishment of regional
library networks specified in Section 20316 of this subchapter and upon
the slate board's determination that the division provides at least as effec-
tive a way of carrying out the purposes of the Act as would be the case
if the division did not occur.
(c) For purposes of determining the eligibility of the regional library
networks and their members to receive services and funds under other
provisions of the Act, a division approved by the slate board shall be con-
sidered effective beginning July 1 of the fiscal year immediately follow-
ing the fiscal year in which the division request is filed. The stale board
may approve an earlier effective date if it determines that such action
would best serve the purposes of the Act.
NOTE: Authority cited: Section 18821, Education Code. Reference: Sections
18821(e) and 18840, Education Code.
History
1. New section filed 3-8-2000; operative 6-7-2000 (Register 2000, No. 19).
§ 20320. Regional Library Network Long-Range Plan and
Annual Plan of Service.
To continue to qualify for funding under the Library of California Act,
each regional library network shall submit a long-range plan and an
annual plan of service to the stale board for its approval.
(a) The long-range plan shall set forth the goals and objectives for the
regional library network over a three year period, relative to the purposes
of this Act and the needs of people within the region.
(b) The annual plan of service shall provide for:
(1) services to advance the regional library network's long-range
goals and objectives; and
(2) a budget proposed for the next fiscal year.
(c) Following approval by the regional network council, the long-
range plan and annual plan of service shall be submitted annually to the
state board by April 1 of the fiscal year immediately preceding the fiscal
year for which funds are requested.
(d) The state board shall review the long-range plan and the annual
plan of service for compliance Vk/ith the purposes and provisions of the
Act.
(e) The state board shall conclude its review within sixty days from the
submission of the plans and approve or disapprove them. If a regional li-
brary network's plans are disapproved, the state board shall note the rca-
son(s) for their disapproval and may make recommendations as to modi-
fications which would make the plans approvable. Modified plans may
be re-submitted for state board consideration.
(f) Any revision of the annual plan of service, including its budget,
shall be submitted to the chief executive officer at least thirty days prior
to the effective date of the proposed changes.
(g) In addition, each regional library network shall file by October 1
of each year a report for the fiscal year just ended, that describes the actual
accomplishments and expenditures of the regional library network pro-
gram, compares them with the planned accompHshments and expendi-
tures for the fiscal year reported, and includes other appropriate commen-
tary.
NOTE: Authority cited: Section 18821, Education Code, Reference: Sections
18840(d) and 18841(a), Education Code.
History
1. New section filed 5-8-2000; operative 6-7-2000 (Register 2000. No. 19).
§ 20321 . Administration of Regional Library Networks.
(a) The regional library network shall provide for the position of a
chairperson.
(b) The regional network council and its representative board shall
have regular meetings, which shall be open and accessible to the public
as required in the Open Meetings Act (Government Code Sections
54950-54961).
(c) The regional network council and its representative board may es-
tablish such subgroups, committees, and advisory bodies as necessary to
assure the effective and efficient operation of the regional library net-
work.
NOTE: Authority cited: Section 18821, Education Code. Reference: Sections
18840(a), 18840(h) and 18841. Education Code.
History
1. New section filed 5-8-2000; operative 6-7-2000 (Register 2000. No. 19).
Article 6. Access Services
§ 20322. Interlibrary Loan.
This program of the Act supports the sharing of library materials
through interlibrary loan. Library resources needed by a library user and
not available in the user's library may be made available to the u.ser via
interlibrary loan.
(a) Members of regional library networks are eligible to obtain interli-
brary loans and to receive reimbursement for interlibrary loans under the
provisions of this chapter. A library shall agree both to extend interlibrary
loan services and initiate interlibrary loan requests for its primary clien-
tele in order to participate in this program.
(b) An interlibrary loan shall result in reimbursement under Education
Code Section 1 8844(a) if it consists of the loan of a library material in any
format or if it consists of the provision of a copy in lieu of loan of a library
material from one member of a regional library network to another mem-
ber of any regional library network statewide.
(c) Interlibrary loan protocols shall be established through subsequent
rulemaking conducted under the provisions of the Administrative Proce-
dure Act (Chapter 3.5 of Division 3 of Title 2 of the Government Code,
commencing at Section 1 1340).
(d) Reimbursable costs are those handling costs and delivery costs
which a lending library incurs in filling a successfully completed interii-
brary loan request.
(e) The reimbursement formula and procedures shall be established
through subsequent rulemaking conducted under the provisions of the
Administrative Procedure Act (Chapter 3.5 of Division 3 of Title 2 of the
Government Code, commencing at Section 1 1340).
Page 192.4(g)
Register 2001, No. 45; 1 1-9-2001
§ 20323
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(f) To obtain reimbursement, a regional library network member shall
provide to the state board an invoice detailing its interlibrary loan trans-
actions for the appropriate period. For audit purposes, a record of these
invoices must be maintained for four years.
Note. Authority cited; Section 18821, Education Code. Reference: Section
18844(a). Education Code.
History
1. New article 6 (sections 20322-20326) and section filed 5-8-2000: operative
6-7-2000 (Register 2000, No. 19).
§ 20323. Patron Referral and Onsite Services.
This program of the Act enables library users from one institution or
public library jurisdiction to use library services and resources in another
institution or public library jurisdiction which would otherwise be inac-
cessible to them.
(a) Members of regional library networks are eligible to refer patrons
under this program. Members of regional library networks are eligible to
receive reimbursement for onsite services delivered under the provisions
of this Act.
(1) The provision of onsite services to a referred library patron shall
result in reimbursement under Education Code Section 18844(b) if the
services are delivered and if the referral originated from another member
of the regional library network in accordance with protocols developed
by the regional library network.
(2) The provision of onsite services to a referred library patron shall
result in reimbursement under Education Code Section 18844(b) if the
services are delivered and if the referral originated from a member of any
regional library network statewide. Protocols shall be established
through subsequent rulemaking conducted under the provisions of the
Administrative Procedure Act (Chapter 3.5 of Division 3 of Title 2 of the
Government Code, commencing at Section 11340).
(b) Information agencies with uncommon and exceptional onsite ser-
vices and resources, which would otherwise be inaccessible to the public,
may receive designation as an eligible recipient of reimbursement funds
under Education Code Section 18844(b).
( 1 ) The information agency may apply to a regional library network
to provide services to its members provided that:
(A) it is one of the few if not the only source of the onsite service in
the region; and
(B) it agrees to comply with the purposes and provisions of this Act.
(2) The information agency may apply to the state board to provide
services to members of all regional library networks statewide provided
that:
(A) it is one of the few if not the only source of the onsite service in
the state; and
(B) it agrees to comply with the purposes and provisions of this Act.
(c) Reimbursable onsite services are those identified by the state
board.
(d) Reimbursable costs are those identified by the state board.
(e) To obtain reimbursement, an institution or a public library jurisdic-
tion or an information agency shall provide to the state board an invoice
detailing its provision of onsite services to referred library patrons for the
appropriate period. For audit purposes, a record of these invoices shall
be retained for four years.
(0 Reimbursable services, costs, and procedures shall be established
through subsequent rulemaking conducted under the provisions of the
Administrative Procedure Act (Chapter 3.5 of Division 3 of Title 2 of the
Government Code, commencing at Section 11 340).
NOTE: Authority cited: Section 18821, Education Code. Reference: Section
18844(b), Education Code.
History
] . New section filed 5-8-2000; operative 6-7-2000 (Register 2000, No. 19).
§ 20324. Direct Loan.
This program of the Act enables library users to receive direct borrow-
ing privileges at libraries for which these people do not constitute the pri-
mary clientele.
(a) Members of a regional library network are eligible to receive reim-
bursement for extending direct borrowing privileges to people who are
not part of their primary clientele, but who are part of the primary clien-
tele of other members of its regional library network. Services shall be
provided in accordance with the protocols of the regional library net-
work.
(b) Members of a regional library network are eligible to receive reim-
bursement for extending direct borrowing privileges to people who are
not part of their primary clientele, but who are part of the primary clien-
tele of other members of any regional library network statewide. Proto-
cols shall be established through subsequent rulemaking under the provi-
sions of the Administrative Procedure Act (Chapter 3.5 of Division 3 of
Title 2 of the Government Code, commencing at Section 1 1340).
(c) A library participating in a direct loan program under this Act shall
apply the same rules, policies, procedures, and fees related to borrowing
privileges to eligible borrowers from other institutions or public library
jurisdictions as are applied to individual members of its own primary
clientele. Where there are different categories of primary clientele with
different service levels, the library shall identify the service level applica-
ble to eligible borrowers from other institutions or public library jurisdic-
tions.
(d) Libraries participating in this program shall ascertain whether or
not each person requesting direct borrowing privileges is a member of its
primary clientele. If the person is a member of the library's primary clien-
tele, such services shall not be reimbursable under this Act.
(e) An eligible borrower shall hold a valid borrowers card (or equiva-
lent) issued by a member of a regional library network in recognition of
his or her status as part of the primary clientele of that institution or public
library jurisdiction.
(1) Any additional identification generally required by a library of its
own primary clientele may also be required.
(2) The lending library may also require the name and current address
of the borrower and the name and current address of the institution or
public library jurisdiction through which the borrower is eligible for ser-
vice.
(f) Contracts for loan and other services provided by an institution or
a public library jurisdiction to the primary clientele of another institution
or public library jurisdiction are not prohibited. Persons served under
such contracts shall be registered as part of the primary clientele of the
institution or public library jurisdiction providing the contract service.
No reimbursement for services provided under the terms of such con-
tracts shall be provided under this Act.
(g) Loan of a library material of any type by an institution or pubUc
library jurisdiction to an eligible borrower shall result in reimbursement
from the state under Education Code Section 1 8844(c). Reimbursements
shall be equitable in that:
( 1 ) each loan to an eligible borrower from a type of library different
from the lending library shall be reimbursed; and
(2) each loan to an eligible borrower from the same type of library as
the lending library shall be reimbursed on a net imbalance basis, to the
extent that the number of items loaned to its non-primary clientele ex-
ceeds the number of items borrowed by its primary clientele from other
libraries of the same type.
(h) To obtain reimbursement, an institution or public library jurisdic-
tion shall provide to the state board an invoice detailing its provision of
direct loan services for the appropriate period. For audit purposes, a re-
cord of these invoices shall be retained for four years.
(i) Reimbursable costs are those handling costs incurred by the lending
library in processing a direct loan under the provisions of this Act.
(j) The reimbursement formula and procedures shall be established
through subsequent rulemaking conducted under the provisions of the
Administrative Procedure Act (Chapter 3.5 of Division 3 of Title 2 of the
Government Code, commencing at Section 1 1340).
Note: Authority cited: Section 18821, Education Code. Reference: Section
18844(c), Education Code.
Page 192.4(h)
Register 2001, No. 45; 11-9-2001
Title 5
California State Library
§ 20327
History
1 . New section filed 5-8-2000: operative 6-7-2000 (Register 2000, No. 19).
§ 20325. Additional Direct Loan Provisions for Public
Library Jurisdictions.
Each public library jurisdiction that is a member of a regional library
network shall provide direct borrowing privileges to all residents of the
geographic area served by the regional library network in accordance
with Education Code Section 1 8842(c) and shall provide such service un-
der the provisions of Section 20324 of this subchapter.
(a) In addition to the reimbursable services identified in Section 20324
(a-b) of this subchapter, each public library jurisdiction is eligible to re-
ceive reimbursement for extending direct borrowing privileges to
Californians who are not residents of its geographic jurisdiction and who
are not part of the primary clientele of other members of any regional li-
brary network.
(b) For the purposes of this Act, each resident of the state shall be
deemed to have a single legal residency, which shall entitle him or her
to resident library services of the public library jurisdiction in which he
or she resides, and such services shall not be reimbursable under this Act.
In determining the places of residency, the provisions of Government
Code Section 244 shall apply.
(c) Extension of borrowing privileges by public library jurisdictions
to residents of the geographic area served by the regional library network
shall not adversely affect the level of service provided by that Ubrary to
its own primary clientele.
(1 ) If existing public library service programs, funded at the local lev-
el, are diminished as a result of this resource sharing program, the public
library jurisdiction may request a waiver of its participation in the direct
loan program or a waiver of one or more of the provisions of Section
20324 (c) of this subchapter.
(2) The regional library network shall submit the original waiver re-
quest and the subsequent recommendation of the regional library net-
work to the state board for its consideration within ninety days from re-
ceipt of the original request.
(3) The state board shall approve or disapprove the waiver request
within one hundred and twenty days of the waiver filing with the state
board by the regional library network. If approved, the provisions of the
waiver shall be effective thirty days from the date of the state board's ac-
tion and shall be effective for the time period specified by the state board
in its approval.
(4) Criteria considered by the state board in making its determination
on the waiver request shall include: impact of the direct loan program on
local library service; equity of benefits to the primary clientele of the re-
questing library; relationship of the acfion proposed by the public library
jurisdiction to the purposes of the Act; and recommendation of the re-
gional library network.
NoTE: Authority cited: Section 18821, Education Code. Reference: Sections
18802(i) and 18844(c), Education Code.
History
1. New section filed 5-8-2000: operative 6-7-2000 (Register 2000, No. 19).
§ 20326. Electronic Direct Access.
This program of the Act enables library users to obtain electronic bor-
rowing privileges and electronic information delivery privileges from li-
braries for which these people do not constitute the primary clientele.
(a) Each member of a regional Ubrary network is eligible to authorize
library users who constitute part of its primary clientele to utilize this ser-
vice and is eligible to receive reimbursement for extending this service
to people who are not part of its primary clientele but who are part of the
primary clientele of other members of regional Ubrary networks state-
wide.
(b) A member of a regional library network desiring to participate in
this program shall;
( 1 ) make its own bibliographic records and location information as de-
scribed in Section 20328(a) of this subchapter available electronically
statewide;
(2) at its discretion, authorize members of its primary clientele to re-
ceive electronic borrowing privileges and electronic information deliv-
ery privileges by issuing statewide electronic library cards to them;
(3) provide electronic borrowing privileges and electronic informa-
tion delivery privileges to authorized holders of statewide electronic li-
brary cards; and
(4) deliver services in accordance with the protocols established
through subsequent ruleinaking conducted under the provisions of the
Administrative Procedure Act (Chapter3.5 of Division 3 of Title 2 of the
Government Code, commencing at Section 1 1340).
(c) An eligible borrower is a person who is authorized by and holds a
valid statewide electronic library card issued by a member of any region-
al library network statewide.
(1) Any additional identification normally required by a library of its
own primary clientele may also be required.
(2) The lending library may also require the name and current address
of the borrower and the name and current address of the institution or
public library jurisdiction by which the borrower is eligible for service.
(3) Items may be sent electronically to the computer transmitting the
request or to a designated substitute computer or to an e-mail account.
(4) Items which cannot be transmitted electronically may be delivered
physically to the member of the regional library network authorizing the
eligible borrower. Alternatively, the borrower may pay for delivery costs
for delivery to an alternate site. The borrower is responsible for returning
the item to the Ubrary authorizing him or her as an eligible borrower or,
alternatively, paying the delivery and related costs of returning the item
to the lending library.
(d) Electronic transmission of information or loan of a library material
of any type by an institution or a public library jurisdiction to an eligible
borrower shall result in reimbursement from the state under Education
Code Section 18844(d). An institution or public library jurisdiction shall
not collect reimbursement for the same transaction under both the interli-
brary loan program and the electronic direct access program.
(e) Reimbursable costs are those handling costs and delivery costs
which a lending library incurs in filling a successfully completed elec-
tronic direct loan transaction.
(f) To obtain reimbursement, an institution or public library jurisdic-
tion shall provide to the state board an invoice detailing its electronic di-
rect access transactions for the appropriate period. For audit purposes, a
record of these invoices shall be maintained for four years.
(g) The reimbursement formula and procedures shall be established
through subsequent rulemaking conducted under the provisions of the
Administrative Procedure Act (Chapter 3.5 of Division 3 of Title 2 of the
Government Code, commencing at Section 1 1340).
NOTE: Authority cited; Section 18821, Education Code. Reference: Section
1 8844(d), Education Code.
History
1. New section filed 5-8-2000; operative 6-7-2000 (Register 2000, No. 19).
Article 7. Statewide Services
§ 20327. Telecommunications.
This program of the Act assists all participating libraries in obtaining
equitable access to the resources and services of all other California li-
braries through a telecommunications infrastructure.
(a) Each member of a regional library network is eligible to receive
state funds for its participating libraries to become electronic doorways
to other library resources and services statewide. The state board shall
identify minimum technical specifications and/or performance standards
to allow libraries to meet this designation through subsequent rulemak-
ing conducted under the provisions of the Administrative Procedure Act
(Chapter 3.5 of Division 3 of Title 2 of the Government Code, commenc-
ing at Section 11340).
(b) Any combination of regional library network members, including
regional library networks, is eligible to receive state funds for linking li-
brary automation systems, supporting electronic access and resource
Page 192.4(i)
Register 2001, No. 45; 11-9-2001
§ 20328
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
sharing, maintaining access to electronic files and databases, and other
services pursuant to the purpose of this Act. The state board shall identify
minimum technical specifications and/or performance standards for ob-
taining state funds through subsequent rulemaking conducted under the
provisions of the Administrative Procedure Act (Chapter 3.5 of Division
3 of Title 2 of the Government Code, commencing at Section 1 1340).
(c) Any member of a regional library network is eligible to receive
state funds to assist its participating libraries with the telecommunica-
tions ability to provide access for its clientele to services provided under
this Act in a manner that is generally available statewide. The state board
shall identify minimum technical specifications and/or performance
standards to achieve this equity through subsequent rulemaking con-
ducted under the provisions of the Administrative Procedure Act (Chap-
ter 3.5 of Division 3 of Title 2 of the Government Code, commencing at
Section 11340).
(d) The state board shall identify priorities, criteria, procedures, and
eligible costs for telecommunications projects through subsequent rule-
making conducted under the provisions of the Administrative Procedure
Act (Chapter 3.5 of Division 3 of Title 2 of the Government Code, com-
mencing at Section 1 1340).
NOTE: Authority cited: Section 18821, Education Code. Reference: Section
18850(a), Education Code.
History
I. New article 7 (sections 20327-20332) and section filed 5-8-2000; operative
6^7-2000 (Register 2000, No. 19).
§ 20328. Bibliographic Databases.
This program of the Act ensures that the bibliographic records and
location information representing resources in participating libraries are
made available statewide.
(a) Members of regional library networks shall provide access to the
bibliographic records and location information for those resources they
share with other libraries. Bibliographic records and location informa-
tion may be provided for books, serials, non-print items, information
files, and other library materials. Protocols shall be established through
subsequent rulemaking conducted under the provisions of the Adminis-
trative Procedure Act (Chapter 3.5 of Division 3 of Title 2 of the Govern-
ment Code, commencing at Section 11340).
(b) For those library resources available for sharing but for which bib-
liographic records and location information are unavailable, incomplete
or incompatible with current national standards for cataloging, or inac-
cessible in electronic format, or a combination thereof, the state board
may allocate funds to:
(1) reimburse regional library network members for cataloging pre-
viously-uncataloged or inadequately-cataloged materials in an online
communications format at the national standards of Machine Readable
Cataloging (MARC 21 ; 1999 edition; Network Development and MARC
Standards Office, Library of Congress) which is hereby incorporated by
reference; and
(2) reimburse regional library network members for converting local
bibliographic records to the online communications format at the nation-
al standards of Machine Readable Cataloging (MARC 21; 1999 edifion;
Network Development and MARC Standards Office, Library of Con-
gress) which is hereby incorporated by reference.
(c) The state board may establish and maintain electronic access to
bibliographic records and location information for library materials,
through the creation of one or more centralized online databases, or
through linking library automation system servers to one or more access
clients, or both, depending upon the availability and capabilities of local
or regional library resources and the priority for statewide access.
(d) The state board may allocate funds to train library staff in the stan-
dards and technologies needed to support the creation and maintenance
of bibliographic databases and to utilize linked systems or equivalent ac-
cess.
(e) The state board shall idenfify priorities, criteria, procedures, and el-
igible costs for bibliographic databases projects through subsequent rule-
making conducted under the provisions of the Administrative Procedure
Act (Chapter 3.5 of Division 3 of Title 2 of the Government Code, com-
mencing at Section 1 1340).
NOTE: Authority cited: Section 18821, Education Code. Reference: Section
18851, Education Code.
History
1 . New section filed 5-8-2000; operative 6-7-2000 (Register 2000, No. 19).
§ 20329. Specialized Reference and Information Provision.
This program of the Act enables libraries to draw upon the specialized
information resources of other libraries statewide to answer questions be-
yond the capacity and capability of the regional library network and its
members.
(a) The state board may designate libraries, regional library networks,
and information agencies to respond to queries in specific subject areas
and reimburse them for their services.
(b) The state board may allocate funds to libraries and regional library
networks to make available or develop and assemble information re-
sources especially relevant to culturally diverse populations and people
with disabilities, converting those resources to electronic format in in-
formation modules and making them accessible statewide.
(c) The state board shall identify priorities, criteria, procedures, and el-
igible costs for specialized reference and information services projects
through subsequent rulemaking conducted under the provisions of the
Administrative Procedure Act (Chapter 3.5 of Division 3 of Title 2 of the
Government Code, commencing at Section 1 1340).
Note: Authority cited: Section 18821, Education Code. Reference: Section
18853(a), Education Code.
History
1. New section filed 5-8-2000; operative 6-7-2000 (Register 2000, No. 19).
§ 20330. Enhanced Reference and Information Service.
This program of the Act improves reference service at the local level
in all participating libraries.
(a) Members of regional library networks or regional library networks
or a combination thereof are eligible to receive state funds for reference
enhancement projects.
(b) Eligible projects include but are not limited to:
(1) training in reference service provision;
(2) developing local library reference collections and services;
(3) providing consultafions;
(4) conducting continuing education classes;
(5) developing and implementing reference evaluation tools; and
(6) other services as necessary to improve local reference service un-
der the provisions of this program.
(c) Services provided under this program shall be offered to members
of regional library networks.
(d) The state board shall select the projects for implementation on the
basis of the following criteria:
(1) demonstrated need for the project;
(2) evidence of adequate planning;
(3) anticipated effectiveness of the proposed approach and plan of op-
eration in addressing the need;
(4) qualifications and skills of key personnel;
(5) cost-effectiveness and adequacy of resources to achieve the proj-
ect goal(s);
(6) anticipated contribution of the project to improvement of reference
service in libraries; and
(7) appropriateness of the evaluation plan.
(e) Each applicant seeking funding under this program shall submit an
application that addresses the criteria in Section 20330(d) of this sub-
chapter.
(f) The state board shall identify priorities, procedures, and eligible
costs for enhanced reference and information services projects through
subsequent rulemaking conducted under the provisions of the Adminis-
trative Procedure Act (Chapter 3.5 of Division 3 of Title 2 of the Govern-
ment Code, commencing at Section 1 1340).
(g) Each applicant receiving funds under this program shall submit a
final report comparing project goals with actual accomplishments and
Page 192.4(j)
Register 2001, No. 45; 11-9-2001
Title 5
California State Library
§ 20332
•
budget estimates with actual expenditures. The final evaluation, using
the methodology specified in the application (Section 20330(d)(7) of this
subchapter), shall also be included.
Note. Authority cited: Section 18821, Education Code. Reference: Section
1885.^(b). HducationCode.
History
I . New section filed .S-8-2000; operative 6-7-2000 (Register 2000, No. 19).
budget estimates with actual expenditures. The final evaluation, using
the methodology specified in the application (Section 2033()(d)(3)(l) of
this subchapter), shall also be included.
NOTE: Authority cited: Section 18821. Education Code. Reference: .Section
18855, Education Code.
History
1. New section filed 5-8-2000: operative 6-7-2000 (Register 2000. No. 19).
§ 20331. Cooperative, Coordinated Resource
Development.
This program of the Act encourages, promotes, and supports the coop-
erative acquisition and utilization of library resources among participat-
ing libraries.
(a) The state board may negotiate reduced acquisition costs or licens-
ing costs and usage fees tor members of regional library networks.
(b) The state board may allocate funds to support the trial participation
of regional library network members in the use of library resources and
technologies for a limited period of time, enabling them to use and evalu-
ate information resources new to them. Member libraries may participate
by contacting the state board.
(c) The state board may allocate funds to develop, license, distribute,
and support electronic files or databases to be used by members of re-
gional library networks.
(d) Any combination of regional library network members or a region-
al library network or a combination thereof is eligible to receive funds for
cooperative, coordinated resource development projects,
(1) Eligible projects include but are not limited to:
(A) cooperative acquisition or selection processes to assure quality ac-
quisitions and cost-effectiveness for all participants;
(B) collection agreements regarding areas of subject responsibilities
for acquisition and/or long-term retention;
(C) shared storage and retention facilities;
(D) collection assessment and evaluation; and
(E) other projects as necessary to promote cooperative, coordinated re-
source development consistent with the purpo.ses of this program.
(2) Each participating library involved in a project under this program
shall already be capable of meeting the basic, recurring information
needs of its primary clientele through its locally supported collection. Li-
brary resources purchased, in whole or in part, under this program shall
be widely accessible to Califomians for the useful life of those resources
and shall be represented on regional and statewide bibliographic data-
bases or electronic information access gateways.
(3) The state board shall select the projects for implementation on the
basis of the following criteria:
(A) demonstrated need for the project;
(B) evidence of adequate planning;
(C) anticipated effectiveness of the proposed approach and plan of op-
eration in addressing the need;
(D) qualifications and skills of key personnel;
(E) cost-effectiveness and adequacy of resources to achieve the proj-
ect goal(s);
(F) sufficient local or other funds committed to project purposes;
(G) anticipated contribution of the project to the improvement of li-
brary collections available locally, regionally, and statewide;
(H) plan for project continuation; and
(1) appropriateness of the evaluation plan.
(4) Each applicant seeking funds under this program shall submit an
application that addresses the criteria in Section 20331(d)(3) of this sub-
chapter,
(5) The state board shall identify priorities, procedures, and eligible
costs for cooperative, coordinated resource development projects
through subsequent rulemaking conducted under the provisions of the
Administrative Procedure Act (Chapter 3.5 of Division 3 of Title 2 of the
Government Code, commencing at Section 11340).
(6) Each applicant receiving funds under this program shall submit a
final report comparing project goals with actual accomplishments and
§ 20332. Preservation.
This program of the Act preserves, and provides widespread access to,
library materials documenting California's heritage, enhancing Califor-
nia's educational opportunities and economic future, and portraying
California's cultural diversity.
(a) Any member of a regional library network or a regional library net-
work or a combination thereofis eligible to receive funds for preservation
projects.
(b) Eligible projects include but are not limited to;
(1) preservation of library materials in any format by reformatting,
digitizing, conservation treatment, and other appropriate preservation
methods;
(2) preservation program management, including needs as.sessment
and planning, research and testing, training, disaster preparedness and re-
covery, and other managerial activities;
(3) improvement of collection security and the storage environment;
and
(4) other projects necessary to preserve library materials consistent
with the purposes of this program,
(c) Each member of a regional library network participating in a proj-
ect under Education Code Section 1 8856 (b) shall demonstrate a coinmit-
ment to ongoing preservation. Library resources preserved, in whole or
part, under this program, shall be made available for long-term resource
sharing purposes and shall be represented on electronic or bibliographic
databases accessible regionally and/or statewide.
(d) The state board shall select the projects for implementation on the
basis of the following criteria:
(1) demonstrated need for the project;
(2) evidence of adequate planning;
(3) anticipated effectiveness of the proposed approach and plan of op-
eration in addressing the need;
(4) qualifications and skills of key personnel;
(5) cost-effectiveness and adequacy of resources to achieve the proj-
ect goal(s);
(6) sufficient local or other funds committed to project purposes;
(7) uniqueness of materials to be preserved;
(8) contribution of materials to be preserved toward documenting
California's heritage, enhancing Califomia's educational and economic
future, and portraying California's cultural diversity;
(9) adequacy of the resource sharing plan; and
(10) appropriateness of the evaluation plan.
(e) Each applicant seeking funds under this program shall submit an
application that addresses the criteria in Section 20332(d) of this sub-
chapter.
(f) The state board shall identify priorities, procedures, and eligible
costs for preservation projects through subsequent rulemaking con-
ducted under the provisions of the Administrative Procedure Act (Chap-
ter 3.5 of Division 3 of Title 2 of the Goveinment Code, commencing at
Section 11340),
(g) Each applicant receiving funds under this program shall submit a
final report comparing project goals with actual accomplishments and
budget estimates with actual expenditures. The final evaluation, using
the methodology specified in the application (Section 20332(d)(IO) of
this subchapter), shall also be included.
NOTE: Authority cited: Section 18821, Education Code. Reference: Section
18856(b), Education Code.
History
1. New section filed 5-8-2000; operative 6-7-2000 (Register 2000, No. 19).
Page 192.4(k)
Register 2(X)1, No. 45; 11-9-2001
§ 20400
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Subchapter 3.
Library Services for the
Blind
§ 20400. Toil-Free Telephone Service.
(a) State funds for toll-free telephone service for registered patrons of
the federally designated regional libraries for the blind and physically
handicapped shall be used as follows:
( 1 ) The regional library shall make available toll-free telephone ser-
vice 24 hours a day to registered patrons of the regional library.
(2) Patrons of a regional library shall not use the toll-free telephone
service for ordinary requests. For example, the toll-free number shall not
be used to submit requests from a new reading list.
(3) The regional library shall acquire a tape recorder to allow patrons
to leave messages after normal working hours. Normal working hours are
defined as 8 a.m. to 4 p.m., Monday through Friday.
(4) The regional library shall submit a claim for reimbursement of the
billed costs of toll-free telephone service to the California State Library.
NOTE: Authority cited: Section 19325, Education Code. Reference: Section
19325, Education Code.
History
1 . Repealer of Chapter (Sections 20300-20354) and new Chapter 3 (Section
20400) filed 2-19-82; effective thirtieth day thereafter (Register 82, No. 8). For
prior history, see Registers 79, No. 29; 79, No. 15; 79, No. 1 1 ; 77, No. 22; and
71, No. 11.
Chapter 2. California Library Construction
and Renovation Board
Article 1. General Provisions
§20410. Definitions.
(a) Addition/renovation. "Addition/renovation" means a project
which adds new square footage to an existing public library in conjunc-
tion with remodeling that existing public library building.
(b) Applicant. "Applicant" means a local jurisdiction as defined under
Education Code sections 19956 and 19961 which is eligible for and in the
process of making application for California Library Construction and
Renovation Bond Act funds.
(c) Appraised value. The "appraised value" means the value of land,
an existing building or any other improvements as determined by a certi-
fied appraisal performed within one year prior to the date of the State Li-
brarian's deadline for application.
(d) Built-in equipment. "Built-in equipment" means equipment
which is constructed as part of the building which is not detachable and
therefore not removable from the building or grounds.
(e) Completion of the public library project. "Completion of the public
library project" means the completion of the construction contract and
the receipt by the applicant of the final state payment of funds.
(0 Conversion. "Conversion" means a project which converts by re-
modeling an existing building, not currently used for public library pur-
poses, into a public library building.
(g) Eligible project costs. "Eligible project costs" are costs authorized
in Education Code sections 19957, 19962(d) and 19963. The terms "eli-
gible project costs" and "eligible project expenditures" are used synony-
mously.
(h) Eligible projected construction cost. "Eligible projected construc-
tion cost" means:
(1) for the remodeling portion of conversion, addition/renovation or
remodeling projects: the projected construction costs limited specifically
to the purposes of energy conservation, providing access for the disabled,
and rehabilitation of existing facilities to bring them into compliance
with current health and safety requirements established by State Statutes,
State Building Codes and local building codes for public facilities;
(2) for new construction: those construction contract costs which are
derived by calculating the normal public construction costs in the appli-
cant's area (See section 20418(c)(l)-(7)).
(i) Excessive. "Excessive" means going beyond the limits of what is
customary. The State Librarian shall be the sole judge of the limits of
what is customary with respect to public library constaiction projects.
(j) Fastened to the structure. "Fastened to the structure" means bolted,
screwed, or welded to the structure of the building or otherwise perma-
nently attached to the building.
(k) Library building program. The "library building program" means
a document which provides the analysis of the need for the library project
and defines the specific space requirements for a new or improved library
building in a manner specified in Appendix 3.
(/) Local matching funds. "Local matching funds" means 35 percent
of the eligible project costs.
(m) New construction. "New construction" means the construction of
new building square footage for:
( 1 ) a totally new library building, or
(2) an addition to an existing library building, or
(3) an addition to an existing building which is being converted to a
library building.
(n) Project. "Project" means a new construction or remodeling project
for purposes authorized under Education Code section 19957.
(0) Projected construction cost. "Projected construction cost" means
the projected cost of the construction contract for the library project esti-
mated by architects and engineers licensed to practice in the State of Cali-
fornia.
(p) Qualified library consultant. "Qualified library consultant" means
a person who:
(1) possesses a Masters in Library Science (MLS) or equivalent 5th
year degree in library science,
(2) has acted as a consultant to provide at least five of any of the ser-
vices specified in section 20414(1)(4)(A) through (E). for at least five
different library projects within the last ten years, and
(3) has provided the services as an independent contractor, or as the
employee of an organization involved with the administration of public
libraries.
(q) Remodeling. "Remodeling" means any form of renovation or reha-
bilitation of an existing facility. The three terms, remodeling, renovation
and rehabilitation are used synonymously.
(r) State matching funds. "State matching funds" means 65 percent of
the eligible project costs.
(s) Supplemental funds. "Supplemental funds" means any additional
local funds above and beyond the eligible project costs which are directly
related to the library construction project and are required for the comple-
tion of the library construction project.
NOTE: Authority cited: Section 19960, Education Code. Reference: Sections
19952, 19956. 19957, 19958, 19961, 19962, 19963, 19964, 19966 and 19967 Edu-
cation Code.
History
1. New section filed 10-31-90; operadve 10-31-90 (Register 90, No. 50).
2. Editorial renumbering of Division 1, Chapter 24 (secfions 20000-20400) to Di-
vision 2, Chapter 1, and editorial renumbering of former Division 2, Chapter 1
(Sections 20410-20426) to new Division 2, Chapter 2 (Register 2001, No. 45).
Article 2. California Library Construction
and Renovation Program
§ 2041 2. Eligibility for Grants.
(a) Joint Powers Agreements (JPA). Grants shall be available to appli-
cants participating in joint powers agreements as long as each party of the
JPA is an eligible grant recipient as defined in Education Code section
19956.
(b) Official library service area populations of the project. For the pur-
pose of making application for state funds from the California Library
Construction and Renovation Board for a public library construction
project, when providing the current (1990) and projected (2010) popula-
•
•
Page 192.4(1)
Register 2001, No. 45; 11-9-2001
Title 5
California State Library
§ 20414
lion of the library service area, the applicant shall only count the people
residing:
( 1 ) within the official legal boundaries of the applicant, and
(2) within the service area of the proposed project, but
(3) exclude all people living within the boundaries of other special dis-
trict, county, or city library service areas, for which there is no library ser-
vice contract with the applicant.
NOTE: Authority cited: Section 19960, Education Code. Reference: Sections
199.S6. 19961 and 19966 Education Code.
History
1. New section filed 10-31-90; operative 10-31-90 (Register 90, No. 50).
§20414. Purposes of Grants.
(a) Allowance for art works. Any work of art which is acquired as an
eligible project cost shall be fastened to the structure of the library build-
ing or otherwise permanently attached to the grounds.
(b) Acquisition of a prefabricated or existing building
( 1 ) A local jurisdiction may acquire, through purchase or donation, a
prefabricated building or an existing building for the purpose of convert-
ing it to a public library.
(2) The eligible cost of the building shall be determined in the follow-
ing ways:
(A) If the building will be purchased by the applicant after the State
Librarian's deadline for application, either the purchase price or the ap-
praised value of the building shall be an eligible cost for the library proj-
ect;
(B) If the building has already been purchased by the applicant prior
to the State Librarian's deadline for application, the appraised value of
the building shall be an eligible cost for the library project;
(C) If the building has been or will be donated to the applicant, the ap-
praised value of the building shall be an eligible cost for the library proj-
ect.
(3) In the case (A), where the purchase price of the building is used for
the eligible cost, the applicant shall provide documentation acceptable to
the State Librarian demonstrating proof of the purchase price paid for the
building. In case (A), the choice between the use of either the purchase
price or the appraised value of the building shall be at the option of the
applicant.
(4) A building shall be considered acquired by the applicant on the date
the title to the building has been transferred to and recorded in the name
of the applicant.
(c) Rejection or the application for conversion of an existing building.
The State Librarian may reject an application for the purchase of an exist-
ing building, if the State Librarian finds the existing building to be unsuit-
able for conversion to a public hbrary because of:
(1) poor structural condition,
(2) presence of toxic materials,
(3) building conditions which limit effective library service,
(4) inappropriate location to serve as a public library,
(5) conversion costs in excess of the normal public construction cost
inthe applicant's area for new construction, or
(6) excessive costs of site acquisition, demolition or development.
(d) Rejection of the application for additional renovation because of
the existing library facility. The State Librarian may reject an application
for an addition/renovation project, if the State Librarian finds that the ex-
isting building is unsuitable for renovation because of:
( 1 ) poor structural condition,
(2) presence of toxic materials,
(3) building conditions which limit effective library service,
(4) inappropriate location to continue serving as a public library, or
(5) renovation costs in excess of the normal public construction cost
in the applicant's area for new construction.
(e) Multipurpose buildings. A "multipurpose project" means a project
which results in a multi-use facility for which part of the use is for the
delivery of public library services. The applicant shall determine the total
and eligible project costs for that portion of the multipurpose project that
is dedicated solely to the delivery of public library services. The architect
shall provide a cost analysis comparing the budget of the multipurpose
project as a whole with the budget of the library portion of (he project.
(f) Land ownership. The applicant may apply for state funds if the
applicant owns the proposed library site or shall acquire the site as part
of the project. If ownership of the library site is not in the name ol" the
applicant, the applicant may apply for state funds only if the applicant ob-
tains an option to purchase the site, or a lease or lease-purchase agree-
ment for a period of not less than 20 years following completion of the
project, or the useful life of the building, whichever is longer. The lease
or lease purchase agreement may contain a provision that makes the per-
formance of the agreement contingent upon funding of the project by the
California Library Construction and Renovation Board.
(g) Acquisition of a site.
(1) A local jurisdiction may acquire land for the purpose of building
a public library facility, by:
(A) purchase,
(B) donation,
(C) lease, or
(D) lease-purchase agreement.
(2) The eligible cost of the land for the library project's site shall be
determined in the following ways:
(A) If the land will be purchased by the applicant after the State Li-
brarian's deadline for application, either the purchase price or the ap-
praised value of the land shall be an eligible cost for the library project;
(B) If the land has already been purchased by the applicant within three
years of the State Librarian's deadline for application, either the purchase
price or the appraised value of the land shall be an eligible cost for the
library project;
(C) If the land has already been purchased by the applicant prior to
three years from the State Librarian's deadline for applicant, the ap-
praised value of the land shall be an eligible cost for the library project;
(D) If the land has been or will be donated to the applicant, the ap-
praised value of the land shall be an eligible cost for the library project.
(3) In cases (A) and (B), where the purchase price of the land is used
for the eligible cost, the applicant shall provide documentation accept-
able to the State Librarian demonstrating proof of the purchase price paid
for the land. In cases (A) and (B), the choice between the use of either the
purchase price or the appraised value of the land shall be at the option of
the applicant.
(4) The value of land, which has been acquired through a lease or a
lease-purchase agreement, shall not be an eligible cost.
(5) The value of land, already owned by the applicant and dedicated
to the operation of an existing public library, shall not be an eligible cost.
(6) Land shall be considered acquired by the applicant on the dale the
title to the land has been transferred to and recorded in the name of the
applicant.
(h) Rejection of the apphcation because of the site. The State Librarian
may reject an application, if the State Librarian finds that the proposed
site has:
(1 ) excessive acquisition costs,
(2) title restrictions that adversely effect the state's interest in the site,
(3) limited vehicular accessibility, in terms of traffic volume on roads
or streets, or parking capacity for the library building,
(4) inappropriate geographical location within the library service area.
(5) excessive site development costs,
(6) excessive demolition costs,
(7) limited lot size or poor configuration,
(8) location in a 100-year flood plain, or
(9) non-compliance with California Environmental Quality Act
(CEQA).
(i) Site development and demolition. Site development and demolition
costs associated with the project are eligible project costs, but shall be di-
rectly related to the construction of the library facility. Eligible site devel-
opment and demolition costs shall be limited to work performed within
the legal boundaries of the library project's site, except in the case of utili-
Page 192.4(111)
Register 2001, No. 45; 11-9-2001
§ 20416
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
ties, paving, curbs or gutters which may extend 100 feet beyond the legal
boundaries of the site if the work is required to tie-in the library with ex-
isting utilities and roads.
(j) Remodeling. General remodeling of an existing building is not an
eligible project cost. Only remodeling limited specifically to the pur-
poses of energy conservation, providing access for the disabled, and re-
habilitation of existing facilities to bring them into compliance with cur-
rent health and safety requirements for public facilities is an eligible
project cost. This applies to the remodeling of any facility, including ex-
isting library buildings, existing library buildings which are being expan-
ded, or existing buildings which are being converted into a library build-
ing.
(k) Architects and engineers.
(r)Payment of fees for any work related to the library construction
project performed by architects and engineers is an eligible project cost.
(2) "Architects and engineers" means a person required to be certified
or licensed by either the State Board of Architectural Examiners, State
Board of Landscape Architects, State Board of Registration for Profes-
sional Engineers and Land Surveyors, or the State Board of Registration
for Geologists and Geophysicists. and who possesses a current and valid
license or certificate from that body.
(/) Other design professionals. Payment of fees for any work related
to the library project performed by other design professionals is an ehgi-
ble project cost. "Other design professionals" means:
(1) Interior designers employed to design furnishings and equipment,
provide floor layouts, write specifications, and otherwise develop con-
tract documents and supervi.se the bidding of furnishings and equipment
for the interiors contract or portion of the general contract for the library
construction project;
(2) Construction cost estimators employed to provide project cost esti-
mates;
(3) Asbestos consultants registered by the California Occupational
Safety and Health Administration (CAL/OSHA) who are employed to
perform asbestos surveys and asbestos abatement contract administra-
tion;
(4) Qualified library consultants providing:
(A) public library needs assessments,
(B) public library facility master plans,
(C) public library site studies,
(D) public library building programs, and
(E) public library architectural plans reviews.
(m) Ineligible purposes. Project costs which are ineligible also means,
but is not limited to, the following:
(1) Costs associated with construction administration or project man-
agement performed by the local public works department of the appli-
cant, or by individuals who are not licensed architects, engineers or other
design professionals as specified in Education Code section 19957;
(2) Costs associated with the performance of appraisals;
(3) Costs associated with the performance of an audit;
(4) Costs associated with the acquisition of land by use of a lease or
lease-purchase agreement
NOTE; Authority cited: Section 19960, Education Code. Reference: Sections
19957, 19958, 19962, 19963, 19964 and 19967 Education Code.
History
I. New section filed 10-31-90; operafive 10-31-90 (Register 90, No. 50).
§ 20416. Matching Funds.
(a) Resolution certifying the project budge the local funding commit-
ment, supplemental funds and the application
(1) The governing body of the applicant shall certify by resolution the
following:
(A) the project budget contained in the application (See section
20418(e) and application form section entitled "Library Project Bud-
get"),
(B) the commitment of local matching funds,
(C) the applicant's ability to finance the supplemental funds necessary
to complete the project in a timely manner (See section 20418(d)),
(D) that local matching and supplemental funds will be available when
needed to meet the project's cash flow requirements (See section
20418(d)).
(E) the accuracy and truthfulness of all information contained in the
application form (See section 20420(e)), and
(F) a commitment to operate the completed facility and provide direct
public library service, unless the facility shall be operated by a jurisdic-
tion other than the applicant (See section 20424(a)).
(2) The resolution shall be supported by official action taken at an open
meeting o[' the governing body of the applicant and duly recorded in the
minutes of that meeting. The resolution shall be signed by the duly
elected head of the jurisdiction and notarized or validated by the affixing
of the official seal of the clerk of the jurisdiction. The resolution shall be
submitted with the application prior to the State Librarian's deadline for
application. An application submitted without the resolution shall be
deemed ineligible by the State Librarian.
(3) Private funds from donations, gifts or foundations which are identi-
fied as such in the library project budget secfion of the application form
shall be deposited in a fund account under the complete control of the
applicant prior to the State Librarian's deadline for applications. An ac-
count statement bearing on its face an original signature of the applicant's
fiscal officer and a statement certifying the necessary account balance
from private sources and the applicant's control over the account, shall
be submitted with the applicadon prior to the State Librarian's deadline
for applications.
(b) In-kind expenditures or donafions. In-kind expenditures or dona-
tions of materials, labor, equipment, works of art, articles or services of
value of any kind shall not qualify as matching funds, and shall not be
counted as eligible project costs.
(c) Land credit.
(1) The State Librarian shall allow credit for all land already acquired
by the applicant, which has not been rejected by the State Librarian as a
library site, except:
(A) land already owned by the applicant and dedicated to the operation
of an exisfing public library;
(B) land not owned by the applicant, but secured by a lease or lease-
purchase agreement.
(2) The credit allowance for land purchased by the applicant prior to
three years of the State Librarian's deadline for applications shall be the
appraised value of the land for the hbrary project.
(3) The credit allowance for land purchased by the applicant for the li-
brary project within three years of the State Librarian's deadline for
applications shall be the purchase price paid by the applicant for the land
or the appraised value of the land.
(4) No credit allowance shall be made for land which will be purchased
by the applicant after the State Librarian's deadline for applicafion (See
section 20414(g)(2)(A)).
(5) The credit allowance for land which has been donated to the appli-
cant prior to the State Librarian's deadline for applicaUons shall be the
appraised value of the land for the Ubrary project.
(6) No credit allowance shall be made for land which will be donated
to the applicant after the State Librarian's deadline for application (See
section 20414(g)(2)(D)).
(7) No credit allowance shall be made for land which has been ac-
quired through a lease or a lease purchase agreement.
(8) No credit allowance shall be made for land which is already owned
by the applicant and dedicated to the operation of an exisfing public li-
brary.
(d) Appraisal.
( 1 ) For the purpose of determining the appraised value of land or a
building, a certified appraisal shall be obtained by the applicant and sub-
mitted with the application prior to the State Librarian's deadline for
applicafions.
(2) A "certified appraisal" means conformance with the requirements
of the Lancaster-Montoya Appraisal Act (Civil Code secfions 1922 to
1922.14).
Page 192.4(n)
Register 2001, No. 45; 11-9-2001
Title 5
California State Library
5} 20418
(3) The appraiser performing the certified appraisal shall be a member
of the American Institute of Real Estate Appraisers, or the Appraisal In-
stitute and carry the MAI designation, or a member of the Society of Real
Estate Appraisers and carry the SREA designation.
(4) The appraiser shall be an independent contractor, and not an em-
ployee or agent of the applicant or the seller of the proposed library site.
(3) If the certified appraisal is contested by either the Slate Librarian
or the applicant, one or more additional certified appraisals shall be ob-
tained by the applicant and the difference in the appraisals shall be re-
solved with a determination of land value made by the Office of Real Es-
tate and Design Services in the Department of General Services for the
State of California.
(e) Furnishings credit. Cash expenditures, not to exceed 10 percent of
the eligible project costs, for furnishings required to make the facility ful-
ly operable may be credited towards the 35 percent matching funds re-
quirement.
(f) Architectural plans credit.
(1) The State Librarian shall give credit for architectural plans and
drawings developed solely for the public library project for which appli-
cation is being made. The plans and drawings shall have been created by
an architect or engineer licensed to practice in the State of California. The
combined credit and eligible cost for architectural plans and drawings
shall not exceed twelve percent of the construction cost of the project.
(2) "Architectural plans and drawings" means, and is limited to, any
of the following documents necessary for the design of the public library
building:
(A) conceptual plans and drawings.
(B) schematic plans and drawings,
(C) preliminary or design development plans and drawings, and
(D) final working drawings and specifications, commonly referred to
as contract documents.
Note. Authority cited: Section 19960, Education Code. Reference: Sections
19957, 19961, 19962, 19964 and 19967 Education Code.
History
1. New section filed 10-31-90; operative 10-31-90 (Register 90, No. 50).
§ 20418. Normal Public Construction Costs and Excessive
Costs.
(a) Architect's projected construction cost estimate and conceptual
plans. A projected construction cost estimate for a conversion, addition/
renovation, remodeling or new project shall be provided by architects
and engineers. Conceptual plans shall be submitted justifying the archi-
tectural and engineering estimate of the projected construction cost. The
normal public construction costs in the applicant's area shall be deter-
mined using the methods specified in sections 20418(b)(l)-(4) for re-
modeling and sections 20418(c)(l)-(7) for new construction.
(b) Normal public construction costs in the applicants area for remod-
eling.
( 1 ) The normal pubhc construction costs in the applicant's area for the
remodeling portion of conversion, addition/renovation or remodeling
projects shall be only the eligible construction project costs portion of the
projected construction cost estimate provided by architects and engi-
neers. In addition to the projected construction cost estimate, architects
and engineers shall also provide the eligible projected construction cost
estimate for the remodeling portion of conversion, addition/renovation
or remodeling projects.
(2) Remodeling, conversion, and addition/renovation projects shall
submit:
(A) An engineering study performed by a licensed engineer which as-
sesses the structural integrity of the existing building; and
(B) An asbestos survey which determines the presence of asbestos
containing materials in the building and provides an initial cost estimate
for the safe removal or abatement of the materials. The building survey
for asbestos containing materials shall be performed by an asbestos con-
sultant registered with the California Occupational Safety and Health
Administration (CAL/OSHA); and
(C) For energy conservation projects, an energy audit performed by a
licensed engineer shall be submitted; and
(D) For projects which involve rehabilitation for health and safety pur-
poses, the architect shall cite specific sections of State Statutes, State
Building Codes and local building codes which demonstrate that the ex-
isting building is in need of rehabilitation for health and safety purposes.
(3) For remodeling and conversion projects, an eligible contingency
not to exceed twenty percent of the eligible projected construction cost
for remodeling may be utilized in the project budget.
(4) For addition/renovation projects, an eligible contingency not to ex-
ceed fifteen percent of the eligible projected construction cost of the new
construction, and an eligible contingency not to exceed twenty percent
of the eligible projected construction cost for remodeling, may be utilized
in the project budget.
(c) Normal public construction costs in the applicant's area for new
construction.
(1) For new construction, the calculation of the normal public con-
stmction cost in the applicant's area shall be based on the current ( 1 99 1)
cost of public library buildings, which shall be $1 15.20 per square fool.
This figure does not include costs for land acquisition, site development,
demolition, works of art, shelving and built-in equipment, or movable
furnishings and equipment.
(2) The current cost shall be modified utilizing the following "Califor-
nia Locality Adjustment Table by County." The current cost figure is
multiplied by the factor in the adjustment table to obtain the locally ad-
justed cost of public library buildings.
California Locahty Adjustment Table by County
Coiinry Multiplier Factor
Alameda 1.35
Alpine 1.20
Amador 1.19
Butte 1.14
Calaveras 1.11
Colusa 1.14
Contra Costa 1 .30
Del Norte 1.15
El Dorado 1.20
Fresno 1.19
Glenn 1.14
Humboldt 1.15
Imperial 1.17
Inyo 1.21
Kern 1.17
Kings 1.19
Lake 1.14
Lassen 1.11
Los Angeles 1 .27
Madera 1. 11
Marin 1.31
Mariposa 1.13
Mendocino 1.14
Merced 1.12
Modoc 1.11
Mono 1.20
Monterey 1 .26
Napa 1.22
Nevada 1.18
Orange 1 .29
Placer 1.20
Plumas 1.14
Riverside 1 .23
Sacramento 1.21
San Benito 1 .26
San Bernardino 1 .23
San Diego 1.18
San Francisco 1.39
San Joaquin 1.19
San Luis Obispo 1.15
San Mateo 1 .33
Page 192.4(0)
Register 2001, No. 45; 11-9-2001
§ 20418
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
County Multiplier Factor
Santa Barbara 1.25
Santa Clara 1.29
Santa Cruz 1.22
Shasta 1.11
Sierra 1.18
Siskiyou 1.11
Solano 1 .23
Sonoma 1.22
Stanislaus 1.11
Count}'
Sutter
Multiplier Factor
1.J3
Tehama
1.11
Trinity ...
1.11
Tulare
i.n
Tuolumne
1.12
Ventura
1 .24
Yolo
1.14
Yuba
1.13
[The next page is 192.5.]
Page 192.4(p)
Register 2001, No. 45; 11-9-2001
Title 5
California State Library
§ 20420
(3) The locally adjusted cost shall then be increased by I /3 percent per
month lor each month from the State Librarian's deadline for application
until the anticipated dale of construction bids for the project. This figure
shall be the eligible projected construction cost. This figure, or a lesser
amount, shall be utilized as the normal construction cost in the appli-
cant's area unless justification for a higher figure can be made based upon
recent local bidding experience.
(4) At the applicant's option, this eligible projected construction cost
figure may be increased by averaging the construction contract costs for
a minimum of three comparable public construction projects bid within
two years of the State Librarian's deadline for application. If three com-
parable public construction project bids cannot be found within two years
of the State Librarian's deadline for application, this locally determined
comparable cost approach cannot be utilized by the applicant.
(5) "Comparable public construction projects" shall be post offices,
museums, courthouses, city halls, auditoriums, community college and
public libraries, senior citizens centers, public schools and recreation
centers.
(6) The locally determined comparable cost figure shall be averaged
with the eligible projected construction cost to obtain the revised eligible
projected construction cost figure, which shall be considered to be the
normal public construction cost in the applicant's area.
(7) For projects with new construction, an eligible contingency not to
exceed fifteen percent of the eligible projected construction cost may be
utilized in the project budget.
(d) Certification of excessive costs. For projects where the projected
construction cost exceeds the eligible projected construction cost, the
applicant shall provide certification in the form of a resolution demon-
strating the capability to finance the supplemental funds necessary to
construct the project at the higher cost (See section 20416 (a)). The reso-
lution shall also guarantee that the required local matching and supple-
mental funds necessary to complete the project at the level stated in the
project budget will be made available for the project in a timely manner.
(e) Project budget. The project budget shall include all expenditures
for eligible project costs, as well as any other capital outlay expenditures
directly related to the library construction project. In addition, the project
budget shall show the sources of all funding including state matching, lo-
cal matching, and local supplemental funding. The project budget, speci-
fied in the library project budget section of the application, shall be certi-
fied by resolution of the governing body of the applicant (See section
20416. (a)).
NOTE: Authority cited: Section 19960, Education Code. Reference: Sections
19957, 19962, 19963 and 19964 Education Code.
History
1. New section filed 10-31-90; operative 10-31-90 (Register 90, No. 50).
§ 20420. Application for Grants.
(a) Minimum local matching requirement. To be eligible for state
matching funds, the minimum eligible project cost shall be at least
$33,846, and the applicant shall provide at least $18,846 in local match-
ing funds and request not less than $35,000 in state matching funds.
(b) Construction bids already adverfised. If construcfion bids have
been submitted prior to six months before the State Librarian's deadline
for application, and all bids were formally rejected resulting in no con-
tract award, the project may be submitted during the grant application
process.
(c) Application forms.
( 1 ) Each applicant may make a preliminary application on the form
shown in Appendix I entitled "Pre-application for California Library
Construcfion and Renovation Bond Act Funds." If an applicant makes a
pre-application, the State Librarian shall provide a preliminary evalua-
fion of the proposal and nofify the applicant of the compefitiveness of the
project.
(2) Each applicant shall make a formal application for state funds on
the form shown in Appendix 2 entitled "Applicafion for California Li-
brary Construcfion and Renovation Bond Act Funds" and provide a li-
brary building program using the outline shown in Appendix 3 entitled
"Outline of Requirements for a Library Building Program."
(d) Deadline for applications and late or incomplete application sub-
missions
( 1 ) The pre-application shall be received by the Bond Act Fiscal Offi-
cer, or that officer's designee, at the following location by 3 p.m. on No-
vember 2 1 , 1 990:
California State Library
Library & Courts Building
Fiscal Services - Room 215
914 Capitol Mall
Sacramento, CaUfornia 95814-4877
(2) If a pre-application is not received by that fime, the State librarian
shall not review the pre-application and shall not notify the applicant of
the compefifi veness of the project, but the applicant may still make appli-
cafion.
(3) Applicafions for the first funding cycle shall be received by the
Bond Act Fiscal Officer, or that officer's designee, at the following loca-
fion by 3 p.m. on February 15, 1991:
California State Library
Library & Courts Building
Fiscal Services - Room 215
914 Capitol Mall
Sacramento, California 95814^877
(4) If funds are available after the first funding cycle, applications for
the second funding cycle shall be received by the Bond Act Fiscal Offi-
cer, or that officer's designee, at the following locafion by 3 p.m. on July
19, 1991:
California State Library
Library & Courts Building
Fiscal Services - Room 215
914 Capitol Mall
Sacramento. California 95814^877
(5) If an applicafion. or documents required to support the application,
are not received by the State Librarian's deadline for applications for the
first funding cycle, the applicant shall not be considered by the State Li-
brarian or board for grant approval during the first funding cycle.
(6) If an applicafion, or documents required to support the applicafion.
are not received by the State librarian's deadline for applications for the
second funding cycle, the applicant shall not be considered by the State
Librarian or board for grant approval during the second funding cycle.
(7) The State Librarian may waive any minor procedural problems or
technicaUfies which occur during the submission of applications.
(e) Certification of the applicafion. The applicant shall cerfify , by reso-
lufion (See secfion 20416(a)) and by signing the applicafion form, the ac-
curacy and truthfulness of the information provided during the applica-
fion for state funds.
(f) Correcfions in project applicafion information. If due to oversight
or clerical error, the information provided by the applicant during the
applicafion process proves to be inaccurate, the board, at its discretion,
has the authority to make minor adjustments to correct obviously inaccu-
rate informafion in applications.
(g) Only one pre-application and one application per project.
(1) Only one pre-application for each proposed project shall be sub-
mitted by the applicant.
(2) Only one applicafion for each proposed project shall be submitted
by the applicant.
(h) Withdrawal of an applicafion. If it is determined by the applicant
that a project cannot be built within the scope of the application submitted
to the State Librarian and board, the application may be withdrawn by the
applicant at any fime.
NOTE: Authority cited: Section 19960, Education Code. Reference: Sections
19956, 19957, 19960, 19961, 19962, 19963, 19964, 19965, 19966 and 19967,
Education Code.
History
1. New section filed 10-31-90; operative 10-31-90 (Register 90, No. 50).
Page 192.5
Register 97, No. 24; 6- 13-97
§ 20422
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
2. Editorial correction of subsection (d)(5) (Register 97, No. 24).
§ 20422. Audits and State Payments.
(a) Audit requirements. The State Librarian shall require a final fiscal
and program compliance audit of eligible project funds performed by an
independent Certified Public Accountant (CPA) utilizing Generally Ac-
cepted Accounting Principles (GAAP), to be submitted to the State Li-
brarian by the grant recipient prior to release of the final ten percent of
state project funds.
(b) State payments.
(1) The State Librarian shall authorize state grant payments to the
grant recipient on a periodic reimbursement basis. Payments shall be
made no more frequently than on a monthly basis. Payment requests shall
state that the reimbursement request is being made only for eligible proj-
ect expenditures. Payment requests shall be submitted with an original
signature of the grant recipient's fiscal officer, or that officer's desig-
nated agent, affixed to an original copy of the payment request.
(2) The final state payment of ten percent shall be made when:
(A) all eligible project funds have been expended;
(B) the grant recipient certifies, by providing a compliance letter from
the local building official, that the building has been completed in accor-
dance with the approved plans and specifications, including the installa-
tion of bookstacks, funded by state and local matching funds;
(C) the grant recipient shows evidence of having recorded a "Notice
of Completion" for which the lien period has expired and for which all
outstanding liens have been settled;
(D) the grant recipient shows evidence of the building title having been
accepted by the grant recipient;
(E) the grant recipient provides evidence that the Stale' s interest in the
building, and the land, if the land is owned by the grant recipient, has been
recorded in the title record (See section 20424 (c)); and
(F) the grant recipient submits a final audit which is acceptable to the
Stale Librarian (See section 20422(a)).
NOTE: Authority cited: Sections 19960, Education Code. Reference: Sections
19957, 19958, 19962, 19963, 19965 and 19967 Education Code.
History
1. New section filed 10-31-90; operative 10-31-90 (Register 90, No. 50).
§ 20424. Facility Dedicated to Direct Public Library
Service.
(a) Statement of library jurisdiction's willingness to operate. If the pro-
posed library facility will not be operated by the applicant, a resolution
indicating a willingness to operate the facility shall be adopted by the
governing body, or its designated officer who has been empowered to act
in its behalf that will be operating the facility after its completion. This
resolution shall be submitted with the application prior to the State Li-
brarian's deadline for application.
(b) Marketable record title.
( 1 ) "Marketable record title" means that the title to the property shall
include both legal and equitable estates, shall be free from unknown en-
cumbrances, and shall be in a condition that an informed and reasonable
buyer, exercising reasonable care would and should accept it,
(2) The applicant shall obtain marketable record title to the library site,
unless the library site shall be secured through a lease or lease-purchase
agreement. When the applicant owns the site, the applicant shall provide
the State Librarian with proof that the applicant holds marketable record
title to the Ubrary site.
(3) If the library site is being secured through a lease or lease-purchase
agreement, the applicant shall provide the State Librarian with proof that
the lessor holds marketable record title to the library site.
(4) If the applicant has acquired or is acquiring a building for the pur-
pose of converting it into a public library, the applicant shall obtain mar-
ketable record title to the building. The applicant shall provide the State
Librarian with proof that the applicant holds marketable record title to the
building.
(5) Proof of marketable record title shall include a preliminary title re-
port. The preliminary title report shall include, but not be limited to, the
following as applicable:
(A) name and addresses of all owners and their respective interests,
(B) a description of the exact property being proposed,
(C) a statement of easements, appurtenances, encumbrances, and all
other matters of record that might impact on the use of the property, and
(D) a plat plan or survey showing in detail the location of the property
and any easements.
(6) If exceptions to marketable record title are present, the applicant's
legal counsel shall submit a written opinion indicating that the exceptions
present do not diminish the use of the property for a public library build-
ing or in any way diminish or limit the state's interest in the property.
(7) Proof of marketable record title to a building and site, or proof that
marketable record title to a building and site can be obtained, shall be sub-
mitted with the application prior to the State Librarian's deadline for
applications.
(c) State's interest recorded in the title record.
( 1 ) When state grant fund have been provided by the California Li-
brary Construction and Renovation Board for acquisition of or credit for
land, the grant recipient shall record in the title record the state's interest
in the land upon completion of the project.
(2) The title record for land shall specify the state's interest by record-
ing that the land shall be used to provide direct public library service for
twenty years following the completion date of the project or the useful
life of the library building in place upon it, whichever is longer, as speci-
fied in Education Code section 19967.
(3) When state grant funds have been provided by the California Li-
brary Construction and Renovation Board for acquisition, construction,
or remodeling of a library facility, the grant recipient shall record in the-
title record the state's interest in the facility upon completion of the proj-
ect.
(4) The title record for the building shall specify the state's interest by
recording that the library facility shall be used to provide direct public
library service for twenty years following the completion date of the proj-
ect or the useful life of the building, whichever is longer, as specified in
Education Code section 19967.
(d) Value determined by mutual agreement. For purposes of Education
Code section 19967, determining the value of the facility and land by mu-
tual agreement shall mean by use of a certified appraisal as called for in
section 20416 (d).
Note. Authority cited: Section 19960, Education Code. Reference: Sections
19956, 19957, 19962 and 19967 Education Code.
History
1. New section filed 10-31-90; operative 10-31-90 (Register 90, No. 50).
§ 20426. Changes in Projects and Withdrawal of a Grant.
(a) Changes in a project. Any change in the project made by the gant
recipient subsequent to the approval of the project by the board, which
significantly changes the project information provided during the appli-
cation process, shall be approved by the State Librarian. The State Li-
brarian shall have the sole authority to determine if a change is signifi-
cant. If the State Librarian does not approve the change, the grant
recipient may appeal the State Librarian's decision to the board. The de-
cision of the board regarding a change in the project is final and binding.
(b) Withdrawal of a grant. If it is determined by the grant recipient that
a project cannot be built within the scope of the approved application, the
project may be withdrawn by the grant recipient at any time. The board
shall disapprove matching state funds for projects which have been with-
drawn by the grant recipient.
Page 192.6
Register 97, No. 24; 6- 13-97
Title 5 California State Library § 20426
, PRE-APPLICATION
2 FOR
3 CALIFORNIA LIBRARY CONSTRUCTION AND RENOVATION BOND ACT FUNDS
4
5 APPENDIX 1 (To Section 20420 (c))
6
7 Administered by the California State Library: Gary E. Strong. California State Librarian
8
9 The pre-applieation shall be received by the Bond Act Fiscal Officer, or that officer's designee, at the following
10 location by 3 p.m. on November 21, 1990:
II
1 2 California State Library
1 3 Library & Courts Building
1 4 Fiscal Services - Room 215
15 914 Capitol Mall
1 6 Sacramento, California 95814-4877
17
1 8 The applicant local jurisdiction pursuant to the Education Code, Title 1 . Division 1 . Part 1 1 , Chapter 1 1 , Sections
19 19950-19981 and Title 5. Division 2, Chapter L Sections 20410-20426 of the California Code of Regulations,
20 hereby makes pre-application for a state matching grant for the construction or remodeling of the public library
21 facility described herein:
22 PROJECT IDENTIFICATION
23
24 OFHCIAL NAME OF PROJECT: ►
25
26 TYPE OF APPLICANT City: D County: D City/County: D District: D
27
28 Joint Powers Agreement (JPA):
48
2o (If applicable — specify names of parties)
30
3 1 GRANT APPLICANT: ►
■^2 Legal name of jurisdiction that will own building
33
34 Elected Official : ►
35 Mayor, Chairperson of Board of Supervisors, Head of Special District, authorized to sign the pre-applica-
36 I'""
37 Title: ►• Phone: ►
38
39 Address: ►
40
41
42
43 For JPA Projects Only
44 If application is by a JPA applicant, provide the elected official of the second party.
45
46 Elected Official: ►
47 Mayor, Chairperson of Board of Supervisors, Head of Special District, authorized to sign the pre-applica-
tion
49 Title: ► Phone: ►
50
5 1 Address: ►
52
53
54
55
56 LIMIT COMMENTS THROUGHOUT THE ENTIRE FORM TO SPACE PROVIDED UNLESS OTHERWISE
57 STATED. LIMIT TYPE SIZE TO NO SMALLER THAN 11 POINTS, AND 12 PITCH (ELITE) WITH NO
58 MORE THAN 6 LINES PER INCH. ATTACHMENTS SHALL NOT BE ACCEPTED UNLESS REQUIRED
59 BY REGULATION OR CALLED FOR ON THE PREAPPLICATION FORM.
60
Page 192.7 Register 90, Nos. 48-50; 12- 14-90
§ 20426 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
1
2 LIBRARY JURISDICTION:
3 Legal name of library that will operate the service in the building
4
5
6 Library Director Name: ^
7
8 Title: ► Phone:
9
10 Address: ►
13
14
1 5 PROJECT EVALUATION DATA
16
17
1 8 GROSS SQUARE FOOTAGE:
19
20 The current gross square footage of the existing public library(s) being replaced is:
21
22 ► SF
23
24 (If there is no existing facility, enter "0")
25
26 At completion of the project, the total gross square footage of the proposed public library building will be:
27
28
29 ► SF
30
31
32 STANDARD METROPOLITAN STATISTICAL AREA (SMSA):
33
34 Is the proposed site for the project located in a Standard Metropolitan Statistical Area (SMSA)?
35
36 Yes D No D
37
38 DISTANCE TO NEAREST EXISTING PUBLIC LIBRARY FACILITY:
39
4Q (For purposes of this distance determination only, a "public library facility" means a building of 1,400
41 square feet or more providing direct public library service.)
42
43
44 Number of miles to the nearest existing public library facility other than the library facility(s) being replaced by
45 the proposed project:
46
Miles
47
48 (Provide mileage to the nearest 1/1 0th or a mile by driving the distance in an automobile from the
40 proposed site to the nearest public library facility, regardless of what jurisdiction the public library is
^r. located in.)
51
52 Name of Nearest Public Library Facility: ^
53
54 Square Footage of Nearest Public Library Facility: ► SF
55
56
57
Page 192.8 Register 90, Nos. 48-50; 12-14-90
Title 5 California State Library § 20426
1 NUMBER OF SQUARE MILES IN THE PROJECT SERVICE AREA:
2
3 Number of square miles in tlie project service area: ► SQ Miles
4
5
6 LIBRARY PROJECTS SERVICE AREA 1990 POPULATION: ^
7
8 LIBRARY PROJECTS SERVICE AREA 2010 POPULATION: ►
9
10
' 1 AGE OF THE EXISTING PUBLIC LIBRARY:
12
1-^ When was the existing public library building, which will be replaced or improved by the proposed
14 project, initially built?
^ Year
Year
15 ►
16
17 (If proposed project will replace more than one building, list the oldest of the buildings.)
18
1 9 (If there is no existing facility, enter "0")
20
2 1 CONDITION OF THE EXISTING PUBLIC LIBRARY:
2?
23 When was the most recent structural renovation or
04 expansion of the existing public library building?
25
26 ►
27
90 (If proposed project will replace more than one building, list the most recent activity for any
Iq of the buildings.)
30
3 j (If there is no existing facility, enter "0")
32
33 ELECTRONIC INFORMATION DELIVERY UNITS: (Public use units only.)
34
35 For the purposes of this section, "electronic information delivery units" means computer terminals, CD-ROM
3^ readers, microcomputers, computer printers, photocopy machines, facsimile machines, minicomputers,
oy audio-visual listening or viewing units, microform readers and reader/printers, TDD units, downlink satellite
'■^r, dishes, and CATV monitor/tuners dedicated for the use of the public.
39
40 Number of electronic information delivery units dedicated to public use to be housed in the proposed project.
41 and specified in the project's building program and furnishings and equipment budget:
42 ► 'Jnits
43
44 MEETING SPACE: (Public use space only.)
45
45 For purposes of this section, "meeting space" means community meeting space, conference space, quiet study
4-7 space, literacy training space, children's story hour space, theatres, and multipurpose space dedicated for the use
.0 of the public.
49
3Q Number of square feet of meeting space dedicated to public use to be housed in the proposed project, and speci-
^1 fied in the project's building program:
52
53 ► SF
Page 192.9 Register 90, Nos. 48-50; 12- 14-90
§ 20426
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
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CHANGING CONCEPTS IN PUBLIC LIBRARY SERVICE
Describe how the proposed project will respond to changing concepts in public library service:
Page 192,10
Register 90, Nos. 48-50; 12-14-90
Title 5
California State Library
§ 20426
•
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NEEDS ASSESSMENT
Briefly describe why the proposed project is needed, and the degree to which citizens, community
organizations and local agencies participated in the determination of the need. Summarize physical facility and
service limitations, population growth, changing demographic characteristics etc.:
Page 192.11
Register 90, Nos. 48-50; 12- 14-90
§ 20426 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
I PROJECT BUDGET ESTIMATE
2
3 Estimated Total Eligible Project Costs: ► $
4
5 Local Match (35%): ^ $
6
7 State Match (65%): ^ $
8
9
10
APPLICATION TIMETABLE
During which funding allocation cycle does the applicant intend to apply?
12
13 □ First Cycle D Second Cycle
14
15 SIGNATURES
16
17 The parties below attest to and endorse the accuracy and truthfulness of the pre-apphcation for California Library
18 Construction and Renovation Bond Act funds. It is further understood that this pre-application is not binding.
19 but is necessary to obtain the State Librarian's notification of the competitiveness of the proposed project.
20
21 LIBRARY DIRECTOR
22
23 I hereby affirm that the library jurisdiction, for which I am the administrative agent, is aware of the
24 pre-application.
25 fe. ^
25 Signature Date
27
28 b. ^
Signature Date
Name (Type) Title (Type)
29 Name (Type) Title (Type)
30
31
32 OFFICIAL OF THE APPLICANT LOCAL JURISDICTION
33 (Local policy-level general governmental official, e.g., city manager, mayor, administrator etc.)
34
35 I hereby affirm that the local jurisdiction, for which I am a governmental official, is aware of the pre-apphcation.
36
37 ^ ►
38
39
40 ^
41
42
43 For JPA Projects Only
44 If pre-application is by a JPA applicant, provide the elected official of the second party.
45
46 OFFICIAL OF THE APPLICANT LOCAL JURISDICTION
47 (Local policy-level general governmental official, e.g., city manager, mayor, administrator etc.)
48
49 I hereby affirm that the local jurisdiction, for which I am a governmental official, is aware of the pre-application.
50
51 ►
52
53
54 ►
55
56
Signature Date
Name (Type) Title (Type)
Page 192.12 Register 90, Nos. 48-50; 12-14-90
•
Title 5 California State Library § 20426
, APPLICATION
2 FOR
3 CALIFORNIA LIBRARY CONSTRUCTION AND RENOVATION BOND ACT FUNDS
4
5 APPENDIX 2 (To Section 20420 (c))
6
7 Administered hy the California State Library: Gary E. Strong, California State Librarian
8
9 The application shall be received by the Bond Act Fiscal Officer, or that officer's designee, at the following
10 location by 3 p.m. on February 15, 1991 or July 19, 1991.
11
1 2 California State Library
1 3 Library & Courts Building
1 4 Fiscal Services - Room 2 1 .S
15 914CapitolMali
1 6 Sacramento, California 95814-4877
17
18 The applicant local jurisdiction pursuant to the Education Code, Title 1, Division LPart 11, Chapter 11, Sections
] i) J 9950-1 9981 and Title 5, Division 2. Chapter 1, Sections 20410-20426 of the California Code of Regulations.
20 hereby applies for a state matching grant for the construction or remodeling of the public library facility described
7j herein:
22 PROJECT IDENTIFICATION
23
24 OFFICIAL NAME OF PROJECT: ►
25
26 TYPE OF APPLICANT: City: D County: D City/County: D District: D
27
)g Joint Powers Agreement (JPA):
•
TQ (If applicable — specify names of parties)
30
3 1 GRANT APPLICANT: ^
-^9 Legal name of jurisdiction that will own building
33
34 Elected Official :►
35 Mayor, Chairperson of Board of Supervisors, Head of Special District, authorized to sign
r^^ the application
37 Title: ► Phone: ►
38
39 Address: ►
40
41
42
43 For JPA Projects Only
44 If application is by a JPA applicant, provide the elected official of the second party.
45
46 Elected Official: ►
47 Mayor, Chairperson of Board of Supervisors, Head of Special District, authorized to sign the application
48
49 Title: ► Phone: ►
50
5 1 Address: ►
52
53
54
55
56 LIMIT COMMENTS THROUGHOUT THE ENTIRE FORM TO SPACE PROVIDED UNLESS OTHERWISE
57 STATED. LIMIT TYPE SIZE TO NO SMALLER THAN 11 POINTS, AND 12 PITCH (ELITE) WITH NO
58 MORE THAN 6 LINES PER INCH. ATTACHMENTS SHALL NOT BE ACCEPTED UNLESS REQUIRED
59 BY REGULATION OR CALLED FOR ON THE APPLICATION FORM. CLEARLY LABEL ALL SUPPORT-
gQ ING DOCUMENTS SUBMITTED WITH THE APPLICATION WITH THE NAME OF THE APPLICANT
AND PROJECT.
Page 192.13 Register 90, Nos. 48-50; 12-14-90
§ 20426
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
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•
Project Coordinator:
Title: ►
Address:
Name of individual who will have administrative control over the project for the local jurisdiction
Phone: ►
Alternate Contact Person: ►
(If the project coordinator is unavailable, the contact person shall be authorized to ace in the capacity of the project coordinator)
Title: ► Phone: ►
Address: ►
Head of Planning Department: ►
(If JPA, provide Head of Planning Department for jurisdiction providing the service. If applicable — Special Districts exempt)
Title: ► Phone: ►
Address: ►
•
Head of Public Works Department:
Title: ►
Address: ►
(If applicable. If JPA, provide for jurisdiction providing the service.)
Phone: >■
Page 192.14
Register 90, Nos. 48-50; 12-14-90
•
•
Title 5 California State Library § 20426
2
3
4 LIBRARY JURISDICTION: ►
5 Legal name of library that will operate the service in the building
6
7 Library Director Name: ►
8
9 Title: ► Phone:
10
1 1 Address: ►
13
14
15
16 Alternate Contact Person: ►
17
18 Title: ► Phone: ►
19
20 Address: ►
21
22
23
24
25 Library Building Consultant: ►
95 (If applicable)
27
28 Title; ► Phone: ►
29
30 Address: ►
3)
32
33
34
35 Architect: ► License*:
-^g (providing construction budget estimate & conceptual plans)
37
38 Title: ► Phone: ►
39
40 Address: ►
41
42
43
44
45 Interior Designer: ►
^^ "' (If applicable)
47
48 Title: ► Phone: ►
49
50 Address: ►
51
52
53
54
55
56
57
Page 192.15 Register 90, Nos. 48-50; 12- 14-90
§ 20426 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
2 CHANGES IN PROJECT INFORMATION
3
4
5
6 Were there any changes in the proposed project information from that provided during the pre-appli cation or a
7 previous application?
8 Yes D No D
9
10
1 1 If so. were changes made in any of the following?
12
1 3 Project Square Footage Yes □ No □
14
15 Standard Metropolitan Statistical Area (SMSA) Yes D No □
16
17 Distance to Nearest Existing Public Library Yes □ No □
18
19 Square Miles in Project Service Area Yes [U No D
20
21 Library Project's Service Area 1990 Population Yes LJ No LJ
22
23 Library Project's Service Area 2010 Population Yes LJ No LJ
24
25 Age of existing public library building Yes CH No CH
26
2 ' Date of most recent renovation or expansion of
28 existing public library building ^^^ ^ No LJ
29
30 Electronic Information Delivery Units Yes □ No □
31
32 Meeting Room Space Yes CD No D
33
34 Project Budget Yes D No D
35
36 Needs Assessment Yes D No LH
37
38 Changing Concepts in Library Service Yes d] No CH
39
40
41
42 (This information will be utilized by the State Library to update the project database created from information
43 previously provided during the pre-application or an earlier application.)
44
45
46
47
48
49
50
51
52
53
•
•
Page 192.16 Register 90, Nos. 48-50; 12- 14-90
Title 5
California State Library
§ 20426
•
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55
TYPE OF PUBLIC LIBRARY PROJECT & GROSS SQUARE FOOTAGE
TYPE OF PROJECT:
A) New Building
B) Addition
&
Remodeling
Of Existing Library Bldg. for:
Energy Conservation
Disabled Access
Health & Safety
Yes D No D
Yes D No D
Yes D No D
C) Conversion
(Acquisition of a Building to convert
into a public library building)
&
Remodeling
Of Building for:
Energy Conservation Yes D No D
Disabled Access Yes D No D
Health & Safety Yes D No D
D) Remodeling of Existing Library Building for:
Energy Conservation Yes EH No D
Disabled Access Yes CD No d
Health & Safety Yes D No D
E) Remodeling for Shelving & Built-in Equipment:
(For projects with this activity only)
MULTIPURPOSE PROJECTS:
Is the project also a multipurpose building?
Specify other uses of multipurpose building:^
GROSS PROJECT SQUARE EOOTAGE
► SF
► SF
► SF
SF
SF
SF
Yes n No D
CURRENT GROSS SQUARE FOOTAGE:
The current gross square footage of the existing public library(s) being replaced is:
►
(If there is no existing facility, enter "0")
SF
Page 192.17
Register 90, Nos. 48-50; 12- 14-90
§ 20426 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
I PROJECT PLANNING INFORMATION
2
3 LIBRARY FACILITIES MASTER PLAN:
4
.^ STANDARD METROPOLITAN STATISTICAL AREA (SMSA):
6
7 Is the proposed site for the project located in a Standard Metropolitan Statistical Area (SMSA)?
8
9 Yes D No □
1 0 DISTANCE TO NEAREST EXISTING PUBLIC LIBRARY FACILITY:
I I (For purposes of this distance determination only, a "public library facility" means a building of 1 ,400 square feet or
12 more providing direct public library service.)
13
14 Number of miles to the nearest existing public library facility other than the library facility(s) being replaced by
15 the proposed project:
16 ► Miles
17
1 8 (Provide mileage to the nearest 1/lOth of a mile by driving the distance in an automobile from the proposed site to
I g the nearest public library facility, regardless of what jurisdiction the public library is located in.)
20
2] Name of Nearest Public Library Facility: ^
22
23 Square Footage of Nearest Public Library Facility: ^ SF
24
25
26 NUMBER OF SQUARE MILES IN THE PROJECT SERVICE AREA:
27
28 Number of square miles in the project service area: ^ SQ Miles
29
30
31
32 RELATIONSHIP OF PROJECT TO NEIGHBORING PUBLIC LIBRARY FACILITIES:
33
34 Describe how the proposed facility relates to neighboring existing and proposed public library facilities. If a facilities master
35 plan exists, reference appropriate pages in the report to support statements:
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55 If the applicant has completed or updated a jurisdiction-wide library facilities master plan within the last 5 years,
56 the document shall be submitted with the application.
57
58
•
Page 192.18 Register 90, Nos. 48-50; 12-14-90
Title 5
California State Library
§ 20426
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47
48
49
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51
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53
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56
57
NEEDS ASSESSMENT FOR THE LIBRARY PROJECT:
LIBRARY PROJECTS SERVICE AREA 1990 POPULATION: ^
LIBRARY PROJECTS SERVICE AREA 2010 POPULATION: ^
AGE OF THE EXISTING PUBLIC LIBRARY:
When was the existing public library building, which will be replaced or improved by the proposed
project, initially built?
^ Year
(If proposed project will replace more than one building, list the oldest of the buildings.)
(if there is no existing facility, enter "O'")
CONDITION OF THE EXISTING PUBLIC LIBRARY:
When was the most recent structural renovation or expansion of the existing public library building?
^ Year
(If proposed project will replace more than one building, Ust the most recent activity for any of the
buildings.)
(If there is no existing facility, enter "0")
PHYSICAL FACILITY LIMITATIONS
Provide statements of deficiencies of the existing public library facility(s) for the following:
(If more than one facility, complete this section for each facility separately, i.e., submit two copies of this section of the
form.)
Structural:
Page 192.19
Register 90, Nos. 48-50; 12-14-90
§ 20426
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
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Electrical Power & Data Distribution:
Lighting (natural & electrical):
Mechanical (HVAC):
Page 192.20
Register 90, Nos. 48-50; 12-14-90
Title 5
California State Library
§ 20426
3
4
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II
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59
Energy Conservation:
Health & Safety:
Disabled Access:
Page 192.21
Register 90, Nos. 48-50; 12-14-90
§ 20426
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
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59
Acoustics:
Space Rexibility/Expandability:
Functional Spatial Relationships:
Other/General:
Engineering, Energy & Asbestos Studies:
If the existing library facility will be remodeled, or if an existing building will be converted into a library building,
provide a copy of an engineering study and an asbestos survey with supporting cost figures. If the existing facility will
be remodeled for energy conservation, provide a copy of an energy audit with supporting cost figures.
Page 192.22
Register 90, Nos. 48-50; 12-14-90
•
•
Title 5 California State Library S 20426
2 SERVICE LIMITATIONS:
3
4 Provide a statement of space deficiencies of the existing public library facility(s):
6 (If more than one facility, complete this section for each facility separately, i.e., submit two copies of this section of the form.)
7
8
9
10 Collections:
13
14
\5
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36 Readers' Seating:
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
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55
56
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Page 192.23 Register 90, Nos. 48-50; 12-14-90
§ 20426 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
Staff Offices. Workstations & Supervision:
1
2
3
4
5
6
7
8
9
10
12
13
14
15
16
17
18
19
20 Special Purpose Units:
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39 Meeting Room Seating:
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
Page 192.24 Register 90, Nos. 48-50; 12-14-90
•
•
•
Title 5 California State Library § 20426
' Types of Services for which space is lacking:
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
2^
23
24
25
26 Describe the degree to which citizens, community organizations and local agencies participated in the
27 determination of the need for a new/improved facility:
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51 If helpful in demonstrating the facility limitations, provide photographs or a video tape of the existing library
52 building(s) as support documentation. Label all photographs or video tapes with name of applicant and project.
53 This submittal is optional.
54
55 If the applicant has completed or updated a jurisdiction-wide or project specific library needs assessment within
56 the last 5 years, the document shall be submitted with the application.
57
58
59
Page 1 92.25 Register 90, Nos. 48 - 50; 1 2 - 1 4 - 90
§ 20426
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
J
2
3
4
5
6
7
8
9
10
11
12
13
14
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52
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56
57
58
LIBRARY BUILDING PROGRAM:
For new construction, conversion and addition/renovation projects, a final building program document shall be
submitted with the application. The library building program shall meet the requirements shown in Appendix 3.
•
Demographics:
Briefly describe how the proposed library project will meet the needs of the service area population based
on the existing and projected demographic characteristics, including, but not limited to factors such as age,
race, ethnicity, education and socio-economic considerations:
•
Page 192.26
Register 90, Nos. 48-50; 12-14-90
Title 5
California State Library
§ 20426
•
3
4
6
7
8
9
10
II
12
13
14
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17
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20
2!
22
23
24
25
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56
Changing Concepts in Public Library Service:
Describe how the proposed project will respond to changing concepts in public library service:
Page 192.27
Register 90, Nos. 48 - 50; 1 2 - 1 4 - 90
§ 20426 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
2 Building Components Allocation for the Proposed Library Project:
3
4 Provide a summary of the proposed project's holdings at capacity as retlected in the library building program, by providing the
5 proposed allocations for the following library building components:
6
7 Collections Number of Vols/Units
8
9
10 Books
11
12 Adult ►
13
14 Fiction ^
15
16 Non-Fiction ►
17
1 8 Reference ►
19
20 Special ►
21
22 Young Adult (if applicable) ►
23
24 Children ►
25
26 Easy/Picture ^
27
28 Juvenile ►
29
^^ Fiction
31
32 Non-Fiction ►
33
34 Reference ^
35
36 Total Books ►
37
38
39 Audio-Visual
40
4 ' Video Tapes
42
43 Compact Discs ►
44
45 Audio Cassette Tapes ►
46
47 Phonodiscs ►
48
49 Talking Books ►
50
5] Computer Software ►
52
53 Other (slides, photographs, realia etc.) ►
54
55 Total Audio- Visual Materials ►
56
57
58 Periodicals Titles Number of titles
59
60
61 Adult ►
62
63 Young Adult (if applicable) ^
64
65 Children ^
66
Page 192.28 Register 90, Nos. 48-50; 12-14-90
•
Title 5
California State Library
§ 20426
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47
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Readers ' Seating
Aduli Reference Services . . .
General Book Collection . . .
Browsing Services
Young Adults (if applicable)
Children's Services
Periodicals Services
Special Collections
Other (Miscellaneous)
Number of Seats
Staff Workstations:
Circulation
Adult Reference
Children's
Young Adult (if applicable) .
Special Collections
Administration
Technical Services
Extension
Custodial
Other (Specify )
Other (Specify )
Number of
Public Serx'ice
Workstatioits
Number of
Off/Workroom
Workstations
Page 192.29
Register 90, Nos. 48-50; 12-14-90
§ 20426
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Number of Units
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Special Purpose Units
(Provide for both staff and public use.)
Computer Terminals
CD-ROM Readers
Microcomputers
Minicomputers
Computer Printers
Microform Readers and Reader/Printers
Microform Cabinets
Lateral/Vertical Files
Photocopy Machines
Facsimile Machines
AV ListeningA'iewing Stations
Map Files
Atlas Cases
Card Catalog Units
Workstations for the Disabled (TDD* etc.)
Other (Specify: )
Other (Specify: )
* Telecommunication Device for the Deaf (TDD)
Electronic Information Delivery Units: (Public use units only.)
For the purposes of this section, "electronic information delivery units" means computer terminals, CD-ROM
readers, microcomputers, computer printers, photocopy machines, facsimile machines, minicomputers, audio-
visual listening or viewing units, microform readers and reader/printers, TDD units, downlink satellite dishes, and
CATV monitor/tuners dedicated for the use of the public.
Number of electronic information delivery units dedicated to public use to be housed in the proposed project, and
specified in the project's building program and fumishings and equipment budget:
► Units
Page 192.30
Register 90, Nos. 48-50; 12-14-90
Title 5
California State Library
§ 20426
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Cable Television Production Capabilities
Describe the cable television production capabilities of the proposed project (uplink dish, cable channel, production studio etc.
Meeting Space (Provide for staff and public use)
Community Meeting Space
Conference Space
Quiet Study Space
Literacy Training Space
Staff Training Space
Administrative Conference Space
Children's Story Hour Space
Multipurpose Space
Theatres
Other (Specify: )
Other (Specify: )
Other (Specify: )
Number of Seals
Meeting Space (Public use space only.)
For purposes of this section, "meeting space" means community meeting space, conference sp)ace, quiet study
space, literacy training space, children's story hour space, theatres, and multipurpose space dedicated for the use
of the public.
Number of square feet of meeting space dedicated to public use to be housed in the proposed project, and specified
in the project "s building program:
► SQ. FT.
Page 192J1
Register 90, Nos. 48-50; 12-14-90
§ 20426 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
1 Service & Space Conversion Standards and Guidelines:
2 Provide information regarding any standards or guidelines utilized in the building program for the following. The use of
3 standards or guidelines is not mandatory, but if used, provide the conversion factors for the following:
4
-' Collections
6 Provide and cite the source for any standard or guideline used, such as units per capita , units per square foot, etc.:
7
8 Books
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19 Audio-visual
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26 Periodicals
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-'■^ Reader 's Seats
34 Provide and cite the source for any standard or guideline used, such as reader's seats per capita or per 1 ,000 people, etc.:
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'^■^ Staff Workstations
46 Provide and cite the source for any standard or guideline used, such as number of staff or staff workstations per capita or per
47 1.000, etc.:
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Page 192.32 Register 90, Nos. 48-50; 12-14-90
Title 5
California State Library
§ 20426
3 Square Footage
4 If national (e.g. Wheeler & Goldhor or ALA 1962) or local quantitative space conversion standards were utilized to plan this
^ project, specify the level and cite the source:
SF/ Capita Source:
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If the library facility is not being planned to provide at least .5 square foot per capita, explain why this is not
necessary to meet the local service needs of the project's projected population:
If the proposed project's square footage becomes inadequate to effectively serve the population of the
service area within twenty years, what is the current plan to meet the library facility needs of the service
Page 19233
Register 90, Nos. 48-50; 12-14-90
§ 20426
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
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Summary of the Library Facility Space Requirements:
Provide a summary of the spaces, collections, readers seats and square footage in the program:
(Attach additional pages if necessary.)
•
Name of Space/Area
Volumes in
Collections
Readers
Seats
SQ. FT.
Net Assignable Sub-total:
Non-Assignable Space*:
(Non-Assignable Square Footage is
Total Facility Gross Square Footage: . . .
% of the Gross Square Footage)
*"Non-Assignable" means utility areas of a building required for the function of the building such as stairways, elevators,
dedicated corridors and walkways, public lobbies, restrooms, duct shafts, mechanical rooms, electrical closets, janitor's closets,
fireplaces, interior and exterior wall thickness, exterior amenities which are part of the building but not enclosed, such as patios,
canopies, porches, covered walkways, etc.
Page 192.34
Register 90, Nos. 48-50; 12-14-90
•
•
Title 5 California State Library § 20426
2
3 SITE DATA:
4
-'^ For new construction, conversion and addition/renovation projects, provide all of the following data for evaluation
6 of the proposed library site:
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9 Ownership and Availability
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I I (Provide for remodeling projects as well.)
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13 Sile
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15 Is the library site currently owned by the applicant? Yes I — I No I — I
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'"^ Will the library site be owned by the applicant? ^^'' L-l No U
1 o
'^^ Is the library site currently leased by the applicant? ^'^'^ LJ No LJ
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21 If the library site is leased, provide the name and address of the owner:
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24 Name: ►
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26 Address: ►
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33 If the library site is not already owned by the applicant:
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35 (a) A legally executed option to purchase agreement for the site shall be submitted with the application; or
36
37 (b) A legally executed lease or lease-purchase agreement for the site shall be submitted with the application.
38
39 (See Section 20414 (t))
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42 Building
43
44 (For Conversion Projects Only)
45
46 Is the building to be converted currently owned by the applicant?
47
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49 Yes U No U
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51
52 If the building to be converted is not already owned by the applicant, a legally executed option to purchase agree-
53 ment for the building shall be submitted with the application (even if the building will be donated to the applicant).
54
Page 192.35 Register 90, Nos. 48-50; 12-14-90
§ 20426 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
] Title Considerations
2
3 (Provide for remodeling projects as well.)
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5 Site
6
7 Provide a preliminary title report for the proposed library site with the application (See Section 20424 (b)).
8
9 Name of Title Company Officer: ►
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1 1 Name of Title Company:^
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13 Address: ^
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17 Telephone: ►
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19 Are there any exceptions to marketable record title? Yes I — I No I — I
20 (See Section 20424 (b))
21
22 If so, the applicant shall provide legal counsel's written opinion regarding exceptions in the title report.
23
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25 Building
26
27 (For Conversion Projects Only.)
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29 Provide a preliminary title report for the building to be converted into a library with the application.
30 (See Section 20424 (b))
31
32 Name of Title Company Officer: ►
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34 Name of Title Company:^ ^_____
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36 Address: ^
37
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40 Telephone: ► ■
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42 Are there any exceptions to marketable record title? Yes | — | No | — |
43 (See Section 20424 (b))
44
45 If so, the applicant shall provide legal counsel's written opinion regarding exceptions in the title report.
46
47 Boundary Survey
48
49 (Provide for remodeling projects as well.)
50
5 1 (For multipurpose projects, provide for the library portion of project only.)
52
53 Provide a boundary survey showing the metes and bounds of the proposed library site upon which the proposed
54 library facility and site improvements are to reside. The survey shall be stamped and signed by a licensed land
surveyor.
•
Page 192.36 Register 90, Nos. 48-50; 12-14-90
Title 5 California State Library § 20426
Appraisal
T
3 (For multipurpose projects, provide for the library portion of proiect only.)
4
5 Site
6
7 What is/was the purchase price of the library site? ► $
8
9 (Provide the following only if appraisal is required.)
10
1 ! What is the appraised value of the library site? ► $
1 3 Name of appraiser who performed appraisal:
14
15 Telephone: ►
16
17 Credentials: ►
1 8 (Shall have MAI or SREA)
19
20 Enclose a copy of the appraisal for the property (See Section 20416 (d)).
21
22 Building
23
24 What is/was the purchase price of the building to be converted?
25
26 ►$
27
28 (Provide the following only if appraisal is required.)
29
30 What is the appraised value of the building? ► $
31
32 Name of appraiser who performed appraisal: ►
33
34 Telephone: R^
35
36 Credentials:^
37 (Shall have MAI or SREA)
38
39 Enclose a copy of the appraisal for the property (See Section 2041 6 (d)).
40
41
42 Site Use Potential
43
44 Accessibility
45
46 Is the site strategically located in a geographically central part of the library service area? Yes I I No I I
48 Is the site located in a retail commercial business district (either downtown or suburban)? Yes I I No I I
49
50 Is the site generally accessible to all parts of the service area? Yes I I No I I
51
Page 192.37 Register 90, Nos. 48-50; 12-14-90
§ 20426
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Describe any natural or artificial barriers which may impede access lo the site:
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List the major arterial routes in the proximity of the site with traffic count (number of vehicles per day)
information:
Number
of Blocks Trajfic Count
Street Name from Site Count Date
►
Is site located on a pedestrian circulation pattern? Yes I — I No I — I
Can curb cuts be obtained to provide access to site? Yes I — I No i — I
Is site located on or near a mass transit line? Yes I — I No I — I
Number of mass transit lines stopping within 1/4 mile of site: ^
Library Parking
Number of spaces available off street, on site: ► spaces
Number of spaces available off street, off site: ^ spaces
(within 500 feet of front door)
Number of spaces available on street: ► spaces
(within 500 feet of front door)
TOTAL NUMBER OF SPACES AVAILABLE FOR PARKING: ► spaces
Number of parking spaces required by zoning: ► spaces
Calculate the number of parking spaces required, if 1 .5 square foot of parking space is needed for every 1 .0 square
foot of library building (assume an average parking space equals 350 SF/space):
Building Gross SF x 1.5 divided by 350 = ► spaces
•
Page 192.38
Register 90, Nos. 48-50; 12-14-90
Title 5
California State Library
{j 20426
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If proposed project provides less parking than J. 5 SF of parking space to 1 SF of building space, provide
justification of why the library needs less parking:
Site Description
Size
The total square footage of the library site should equal the square footage shown in 1 through 7 below:
(If the project is an addition to an existing library, complete this section for the entire site, i.e., the existing site plus any
newly acquired land.)
(If the project is a multipurpose building, complete this section only for the library portion of the project.)
1. PROPOSED LIBRARY BUILDING FOOTPRINT*
2. PROPOSED LIBRARY PARKING LOT
3. FUTURE LIBRARY EXPANSION OF BUILDING**
4. FUTURE LIBRARY EXPANSION OF PARKING**
5. REQUIRED LOCAL ZONING SET-BACKS
6. DESIRED AESTHETIC SET-BACKS & AMENITIES
7. MISCELLANEOUS & UNUSABLE SPACE
TOTAL SQUARE FOOTAGE OF LIBRARY PROJECT SITE:
SF
SF
SF
SF
SF
SF
SF
SF
'Footprint" means the square footage of surface area of the site that the building occupies.
** If expansion for the building or parking will not take additional space on the site, please explain method to
be used:
Page 192.39
Register 90, Nos. 48-50; 12-14-90
§ 20426 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
1 Zoning
2
3 What is the current zoning classification of the site? ►
4
5 Will the site have to be rezoned to build the project? Yes LJ No LJ
6
7 Will a variance be needed to build the project? Yes I I No I I
8
Q If so, when can the variance be obtained? ►
10 (I^ate)
1 1 Solar Orientation
12
1 3 Will the orientation of the site and placement of the building on the site allow solar access from a westerly direction
14 into the library building through windows or doors?
YesU NoU
15
1 5 If yes, how will this problem be addressed:
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25 Topography
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27 Describe the general topography of the site. Is the site generally level or will it require extensive rough grading?
28 Provide estimates on the amount and cost of cut and fill that may be necessary:
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39 Has a topographical survey been completed? Yes I I No I — I
40
41 Drainage
42
43 (Provide for remodeling projects as well.)
44
45 Is the site in the 100 Year Flood Plain? Yes U No U
46
47 Do any water courses drain onto the site which require control? Yes I I No I I
48
49 Do any water courses drain off the site which require control? Yes I I No I I
50
51 Is the storm sewer system adequate to prevent localized flooding of the site during intense Yes I I No I I
22 storms?
53
•
Page 192.40 Register 90, Nos. 48-50; 12-U-90
Title 5 California State Library § 20426
' Cal/foniia Environmental Oiialiry (CEOA)
T
3 (SeePublicResourcesCode.Seciions 21000 -21 177 and California Code of Regulations. Title 14. Sections 1?000- 153X7)
4
3 (Provide for remodeling projects as well.)
6
7 The applicant, as the lead agency, shall provide evidence that the necessary environmental impact documentation
8 (EID) as required by the provisions of CEQA has been fully completed:
9
IQ 1 ) If the applicant has determined that there is no possibility the project will result in an adverse environmental
1 1 impact, or that the project qualifies for a specific statutory or regulatory exemption, and therefore is not subject
. ^ to the provisions of the act. provide an explanation and appropriate citations:
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34 If an exemption is claimed for the project, provide a statement of the basis for the claim, and if completed, a
35 copy of the Notice of Exemption with the application.
36
37 2) If a negative declaration was adopted for the project, provide a final copy of the negative declaration, as well
38 as a conformed (stamped by the County Clerk) copy of the Notice of Determination which has been signed
39 by the lead agency and filed with the County Clerk with the application.
40
41 3) If the project was the subject of an Environmental Impact Report (EIR), provide a final copy of the EIR and
42 a conformed (stamped by the County Clerk) copy of the Notice of Determination which has been signed by
43 the lead agency and filed with the County Clerk with the application.
44
45 Before adopting a Negative Declaration, or a final Environmental Impact Report, the applicant shall submit the
46 draft environmental documents to the:
47
48 State Clearinghouse
49 Office of Planning and Research
50 1400 10th Street
5j Sacramento, California 95814
52
53 The applicant shall take into consideration timely comments made by state agencies on the project before adopting
54 final environmental documents and approving the project. The applicant shall provide either the compliance letter
55 or the comments from state agencies provided by the State Clearinghouse with the application. After project
56 approval, a Notice of Determination shall be filed with the County Clerk before it is submitted with the
applicafion.
Page 192.41 Register 90, Nos. 48-50; 12-14-90
§ 20426
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
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Summarize the potential significant adverse effects to the environment of the proposed project and any
measures that have been adopted to mitigate or reduce these effects:
Are there any unresolved legal actions pending against the project regarding CEQA compliance? If so,
provide the case name, court number and a brief explanation:
Page 192.42
Register 90, Nos. 48-50; 12-14-90
Title 5
California State Library
§ 20426
1 Historic districts
2
3
4 (Provide for remodeling projects as well.)
5
6 Was the existing library building, if it is being renovated or expanded as part of the project, or any buildings on
7 adjacent properties, built prior to 1 94 1 ?
10 Is the existing library building, or any buildings on adjacent properties:
YesD NoD
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On the National Register of Historic Places'?
A National Historic Landmark?
A National Monument?
YesE] NoD
YesD NoD
Yes n No D
On County or Municipal Historic Designation hst? Yes I I No I I
Is there a local historic preservation ordinance that applies to the proposed project site or any adjacent properties?
Yes D No D
If yes, briefly specify any applicable requirements or restrictions, such as height limits etc.
49
50 If yes, is the proposed project conceptual design substantially in compliance with the local historic preservation
5 1 ordinance?
52
53
YesD NoD
Page 192.43
Register 90, Nos. 48-50; 12- 14-90
§ 20426
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
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Geotechnical Report
Identify and summarize any special geologic conditions, including, but not limited to, compressible and
expansive soils, tunnels and mine shafts, unstable slopes, active seismic zones, excessive ground water and
areas prone to liquefaction. Indicate if these conditions will prevent the use, or significantly increase the
cost of developing the site for a public library building:
Provide a copy of the geotechnical report performed by a licensed engineer with the application.
Demolition costs
Describe any demolition costs involved with the site:
Page 192.44
Register 90, Nos. 48-50; 12-14-90
Title 5
California State Library
§ 20426
Lllilities
Describe utilities availability and associated costs if any utilities are not currently located within 100 feet of a
property line of the site:
(All off-site costs beyond 100 foot utility tie-ins arc local ineligible expenses, but shall be idenlified and included in the
budget estimate under ineligible site development costs.)
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Utility'
Electricity
Telephone
Gas
Cable TV
Storm Sewer
Sanitary Sewer
Water
Availability
YesD NoD
YesD NoD
YesD NoD
YesD NoD
YesD NoD
YesD NoD
YesD NoD
Cost to Bring Sen ice to Site
Site Development Costs
Utilities
Cut, Fill & Rough Grading
Special Foundation Support
(pilings etc.)
Paving, curbs, gutters & sidewalks
Retaining Walls
Landscaping
Signage
Lighting
Removal of underground tanks
Removal of toxic materials
Rock removal
Other (Specify)
►
TOTAL SITE DEVELOPMENT COSTS:
Eligible
Ineligible
Page 192.45
Register 90, Nos. 48-50; 12-14-90
§ 20426
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
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Mitigating Circumstances:
If there are problems with the proposed site, what mitigating circumstances lessen the negative impact?
Describe the proposed design solutions which moderate the site's drawbacks. Provide information on
alternative sites considered, and why the proposed site is the best location for a public library in the service
area:
Visual Record:
Provide photographs and/or a video tape of the site and surrounding area. Show several views of the site and a
360 degree perspective around the site of the surrounding buildings. Label all photographs and video tapes with
the name of the applicant and project.
Provide a map showing the location of the proposed library site in the community. This map (or another with a
larger scale) shall show the service area of the proposed project, and if possible, the nearest existing library (other
than the one being replaced).
PROJECT TIMETABLE
Provide the timetable for the proposed project. Show estimated dates of completion, as well as actual dates of
completion:
TIMETABLE
Site Purchase/Lease Agreement Executed
Schematic Plans & Cost Estimate
Design Development Plans & Cost Estimate
Working Drawings & Final Cost Estimate
Start of Construction
Completion of Construction
DATE
Calculate the number of months from the month of application until the estimated start of construction:
Calculate the number of months for the construction of the project from start to finish:
Months
Months
Page 192.46
Register 90, Nos. 48-50; 12- 14-90
Title 5 California State Library § 20426
1
2
3
4
5 CONCEPTUAL ARCHITECTURAL PLANS
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1 1 New construction, conversions and addition/renovations:
12
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14 For new construction, conversion and addition/renovation projects, a set of conceptual plans (no less than 22 x
1 5 34 inches for paper size) prepared by an architect licensed to practice in the State of California shall be submitted
16 with the application. Multipurpose projects shall submit the required conceptual plans for both the total
' ^ multipurpose project, as well as the library portion of the project.
19
20 The conceptual plans shall consist of the following:
21
22
23 (a) An area plan showing the library site in context with the surrounding neighborhood buildings, parking and
14 streets.
25
26
27 (b) A site plan showing the library building, parking lot and access roads, as well as any anticipated future
28 expansion of the building and parking lot. The site plan shall also indicate the direction of north.
29
30
^ ' (c) A tloor plan (single line) showing, and identifying by name on the plan, the major programmed areas for the
;^^ library. Each area shall show the square footage called for in the library building program and the actual .square
footage allocated on the plan.
33
34
35
36 (d) Two sections through the building, one longitudinal and one latitudinal.
37
38
39 (e) Two elevations, with one elevation being the front of the library building.
40
41
42 (f) Outline specifications describing the type of construction by identifying the basic building components
43 (structural, mechanical etc.), and the type of occupancy. The architect shall reference any applicable Sections
•44 of State Statutes and State Building Codes.
45
46
47 (g) For the remodeling portion of the project, a floor plan which identifies the extent and limits of the remodeling.
48
49
50 (h) For projects which involve rehabilitation for health and safety purposes, the architect shall cite the specific
5 1 Sections of State Statutes, State Building Codes or local codes which demonstrate that the existing building
52 is in need of rehabilitation for health and safety purposes. If local codes are cited, provide a copy of any cited
53 sections of the local code.
54
55
56
57
58 Remodeling of existing libraries only:
59
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61 For projects which involve remodeling of existing libraries exclusively, only outline specifications with a floor
62 plan which identifies the extent and limits of remodeling shall be submitted with the application. If the remodeling
63 project involves rehabilitation for health and safety purposes, the architect shall cite the specific Sections of State
64 Statutes, State Building Standards Codes or local codes which demonstrate that the existing library building is
65 in need of rehabilitation for health and safety purposes. Provide a copy of any sections of the local code which
^ have been cited.
68
69
Page 192.47 Register^, Nos. 48-50; 12-14-90
§ 20426 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
2 FINANCIAL INFORMATION
3
4 Normal Construction Costs in the Applicant's Area:
5
6 (See Section 20418(c))
7
8 (For projects with new construction only.)
9
10
1 1 In order to justify the eligible projected construction cost estimate for new construction, the following information
12 is required:
13
14
15 The current (1990) cost of public library buildings figure of $1 15.20 per square foot multiplied by the following
16 locality adjustment factor:
17
18
19 1) County: ► Multiplier Factor: ^
20
21
22 2) Locally Adjusted Cost Per Square Foot ($/SF): ^ $ / SF
23 ($1 15.20 X Multiplier Factor)
24
25
26 This figure is increased by 1/3 percent for every month from the State Librarian's deadline for application until
27 the anticipated bid date which provides the eligible projected construction cost per square foot estimate.
28
29
30 3) Number of Months: x .33 = ► % Inflation Factor
31
32
33 4) Locally Adjusted $/SF x Inflation Factor % = ► $ / SF
34
35
36 The locally adjusted cost per square foot figure added to the inflation factor cost per square foot figure (line 2 plus
^^ line 4) equals the normal public construcfion cost in the applicant's area:
39
40 5) Eligible projected construction $/SF: ► $ / SF
41
42
43 The eligible projected construction cost is calculated by multiplying the eligible projected construction cost per
44 square foot figure times the square footage of new construction:
45
46
47 Eligible projected construction $/SF: ^ * / SF
48 (re-enter line 5)
49
50 X
51
52 The Square Footage of New Construction: ► SF
53
54
55 Equals:
56
57
58 6) The eligible projected construction cost: ^ *
59
60
61 If the projected construction cost estimated by the project architect is lower than the figure in line 6, the applicant
62 shall use the lower figure as the normal public construction cost in the applicant's area.
63
64 If the optional modification below is not utilized, the eligible projected construction cost may be increased by
65 fifteen percent to allow for a contingency at this point:
66
67 Eligible Contingency: ^ 5
68 (15% of line 6)
69
Page 192.48 Register 90, Nos. 48-50; 12-14-90
Title 5
California State Library
§ 20426
•
•
12
13
14
15
16
17
18
19
20
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
Optional modification:
The applicant may. at its option, employ a local cost comparison approach to increase the eligible projected
construction cost figure. List a minimum of three comparable public construction projects which have been bid
within two years of the State Librarian's deadline for application:
Project
Date Bid
Contract
Cost/SF
B) ►
C) ►
D) ►
E) ►
F) ►
/ SF
/ SF
/ SF
/ SF
/ SF
/ SF
Comparable public construction projects are post offices, museums, courthouses, city halls, auditoriums,
community college and public libraries, senior citizens centers, public schools and recreation centers.
The costs per square foot of the above recently bid comparable projects are averaged to obtain the:
7) Locally Determined Comparable $/SF:
(average of A through F)
/ SF
The average of this locally determined comparable cost per square foot figure (line 7) and the eligible projected
construction cost per square foot figure (line 5) equals the revised eligible projected construction cost per square
foot:
Locally Determined Comparable $/SF:
(reenter line 7)
Plus
Eligible Projected Construction $/SF:
(reenter line 5)
Divided by 2, Equals
8) Revised Eligible Projected Construction $/SF:
/ SF
/ SF
/ SF
The revised eligible projected construction cost is calculated by multiplying the eligible projected construction
cost per square foot figure times the square footage of new construction:
Revised eligible projected construction $/SF:
(reenter line 8)
The Square Footage of New Construction;
Equals:
/ SF
SF
9) The revised eligible projected construction cost: ► -*•
The revised eligible projected construction cost may be increased by fifteen percent to allow for a contingency:
Eligible Contingency:
" (15% of line 9)
•
Page 192.49
Register 90, Nos. 48-50; 12-14-90
§ 20426 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
1
2 Detailed Projected Construction Cost Estimate
3
4
5 For new constaiction. the architect shall provide the applicant, and the applicant shall submit with the application,
6 a conceptual phase estimate of the projected construction costs for the proposed project. The estimate shall be
7 organized using either A. or B. as follows, or a similar estimating format. The footnoted citations below are
g provided only as a reference. Applicants are not required to use the external documents footnoted by asterisks
g in order to comply with the cost estimate requirements.
10
11
12 A.- General Requirements Finishes
13 Site Work Specialties
14 Concrete Equipment
15 Masonry Furnishings
16 Metals Special Conditions
17 Wood and Plastics Conveying Systems
|g Thermal and Moisture Protection Mechanical
J 9 Doors and Windows Electrical
20
21
22 B.** Foundations Conveying
23 Substructures Mechanical
24 Superstructures Electrical
25 Exterior Closure General Conditions
26 Roofing Special
27 Interior Construction Site Work
28
29
30 * Construction Specifications Institute (C.S.I.) Masterformat Divisions
31 ** R.S. Means Assemblies Cost Data Manual
32
33
34
35 For remodeling work, the architect shall provide the applicant, and the applicant shall submit with the application,
36 a conceptual plans estimate of the projected construction costs for the proposed project. The estimate shall be
37 organized by the three types of eligible project expenditures for remodeling work:
38
39 A. Energy Conservation
40
41 B. Access for the Disabled
42
43 C. Compliance with Current Health and Safety Requirements for Public Facilities
44
45
46 For remodeling work, the architect shall also provide a lump sum estimate for the remaining "general"
47 remodeling work included in the project.
48
49
50 Multipurpose Cost Comparison:
51
52 (For multipurpose projects only.)
53
54 The architect shall provide the applicant, and the applicant shall submit with the application, a cost analysis
55 comparing the budget of the multipurpose project as a whole with the budget of the library portion of the project,
56 using the same formats as above.
57
•
Page 192.50 Register 90, Nos. 48-50; 12-14-90
Title 5
California State Library
§ 20426
•
Library Project Budget
(Provide for all projects. Provide for library portion only of multipurpose projects.)
LlBliARY PROJECT COSTS ELIGIBLE
1 ) Purchase Price or Appraised Value of Building ► $
Construction Contract for:
2) New Construction ► $
(Including additions)
Remodeling for:
3) Energy Conservation ► $
4) Disabled Access ► $
5) Health & Safety ► $
6) General (Other) N/A
7) Contingency ► $
8) Site Development Costs ^ $
9) Site Demolition Costs ► $
10) Fastened Shelving & Built-in Equipment ► $
1 i ) Works of Art ► $
12) Furnishings ► $
13) Movable Equipment N/A
14) Geotechnical Reports ^ $
15) Architectural & Engineering Fees ► $
16) Construction Cost Estimator Fees ► $
1 7) Asbestos Consultant Fees ► $
18) Library Consultant Fees ► $
19) Interior Designer Fees ► $
20) Local Project Administration Costs N/A
2 1 ) Other (Specify ) ... ► $
22) Other (Specify ) . . ^ $
Page 192.51
INELIGIBLE
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
Register 90, Nos. 48-50; 12-14-90
§ 20426
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
ELIGIBLE
23) Subtotal $ ► $
(Add lines 1 through 22)
24) State Project Administration Fee ► $
(1/2% of line 23 eligible costs)
25) Purchase Price of Land ► $
26) Appraised Value of Land ^ ^
(No lease or lease-purchase)
27) Credit for Architectural & Engineering (A & E) Fees ► $
(Paid for prior to 2/1 5/88 for 1 st funding cycle, and prior
to 7/19/88 for 2nd funding cycle)
28) TOTAL COSTS: ► $
SOURCES OF PROJECT INCOME:
29) State Matching Funds ► $
(65% of line 28 eligible costs)
30) Local Matching Funds ^ $
(35% of line 28 eligible costs)
31) City
32) County
33) Special District
34) Private
35) Other (Specify: )
36) Local Credits (Land, A&E Fees and Furnishings)
(Enter total of figures on lines 25 through 27 and only
furnishings from line 12 which have already been
acquired prior to the State Librarian's deadline for
application)
(No credit for land which will be acquired)
(The addition of lines 3 1 through 36 must equal line 30)
37) Adjusted Local Match
(Line 30 minus Hne 36)
38) Supplemental Local Funds
(The same as line 28 ineligible)
39) TOTAL PROJECT INCOME:
(Add lines 29, 30 and 38)
INELIGIBLE
N/A
N/A
N/A
N/A
N/A
•
N/A
N/A
•
Page 192.52
Register 90, Nos. 48-50; 12-14-90
Title 5 California State Library § 20426
' Local Funding Commitment:
2
-^ Provide the necessary resolution by the eoveming body of the applicant required to support the application.
4 (See Section 20416 (a))
5
6
7
8 SIGNATURES
9
10
1 1 The parties below attest to and certify the accuracy and truthfulness of the application for California Library
1 2 Construction and Renovation Bond Act funds. If the application is successful, the application agrees to execute
1 3 the project on the basis of the application data provided herein.
14
1 3 LIBRARY DIRECTOR
16
1 7 1 hereby affirm that the library jurisdiction, for which I am the administrative agent, approves of the application
1 8 and will operate the facility as a library after its completion.
19
20
21 ► ►
22 Signature Date
23
24 ► ►
25 Name (Type) Title (Type)
26
27
28 HEAD OF PLANNING DEPARTMENT
29 (If applicable - Special Districts exempt)
30 1 hereby certify the accuracy of the 1990 and 2010 population figures contained in the application for the
3 1 jurisdiction which I represent.
32
33
34 ► ►
35 Signature Date
36
37 ► ►
38 Name (Type) Title (Type)
39
40
41 ELECTED OFFICIAL
42
43 Signature of Mayor, Chairperson of Board of Supervisors, or Head of District, authorized to miake application
44 for the local jurisdiction
45
46
47 ► ►
48 Signature Date
49
50 ► ^
51 Name (Type) Title (Type)
52
53
54
55
Page 192.53 Register 90, Nos. 48-50; 12-14-90
§ 20426 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
' JPA projects only.
2
3 (If application is by a JPA applicant, provide the elected official and head of planning of the second party.)
4
'^ ELECTED OFFICIAL
6
7 Signature of Mayor, Chairperson of Board of Supervisors, or Head of District, authorized to make
8 application for the local jurisdiction
9
1 2 Signature Date
13
14 ► ►
1 5 Name (Type) Title (Type)
16
17
18
19
20 HEAD OF PLANNING DEPARTMENT
2 1 (If applicable - Special Districts exempt)
22 I hereby certify the accuracy of the 1990 and 2010 population figures contained in the application for the
23 jurisdiction which I represent.
24
25
26 ► ►
27 Signature Date
28
29 ► ►
30 Name (Type) Title (Type)
31
32
•
Page 192.54 Register 90, Nos. 48-50; 12- 14-90
Title 5 California State Library § 20426
, OUTLINE
2 OF
3 REQUIREMENTS FOR A LIBRARY BUILDING PROGRAM:
4
5 APPENDIX 3
6
7 (To Section 20410 (k) & Section 20420 (c) via application form)
8
9
1 0 Table of Contents
11
12 Overview and Introduction
13
14 Provide a general introduction to the project with an overview of the need for the project along with a time
1 3 schedule for the project. Discuss the relationship of the library building program to the architectural design
16 process, as well as the roles of the librarv buildins team members.
17
'^ Community Analysis
19
20 Provide an in-depth understanding of the particular community by describing and analy/'.ing all relevant
21 factors which will have an effect upon the library's roles and plan of service.
23 GoverumetUal Agencies
24
25 Identify all governmental agencies which will have an influence on the planning of the new facility and
26 describe the nature of the relationship. Identify key individuals and define their roles in the project.
27
28 Location
29
30 Provide general information locating the projected within the library service area and local jurisdiction.
3 1 An area map showing the location of the proposed project site shall be included, if a site has been
32 identified. Further site analysis is optional.
33
34 Demography
35
-^6 Provide information about the size, projected growth and demographic characteristics of the population
-^ ' within the library service area. This information shall include, but not be limited to. the composition of
-^^ the population by age, race, ethnicity, education and other socio-economic factors. This information
'^ shall be analyzed and compared to the norm of larger populations such as the special district, city, county,
state and nation. This data shall be used in developing thelibrary's plan of service to its community.
42 Library Institutional Analysis
43
44 Describe the mission of the public library and the library plan of service providing any information which will
4.5 be necessary to determine the allocation of space for the proposed library building in terms of collections.
46 reader's seats, staff workstations, special purpose units and meeting room space.
47
48 History of the Library
49
50 Provide a brief history of the development of the library.
51
52 Library Plan of Service
53
54 Define any applicable roles of the proposed public library and describe any specific goals and objectives
55 for library service to the community. Provide a detailed analysis of the types of services to be offered
^^ as well as how the plan will be implemented in the proposed facility. Provide any applicable use
^^ statistics, service standards or guidelines. Provide a citation and brief description if there is a
-^ jurisdiction-wide plan of service that has been officially adopted. Provide a citation and summary
'Z^ analysis if there is a user survey to support the library's plan of service.
60
61 Library Collections
62
63 Describe the current status of the library collections and project the capacity of future holdings for the
64 proposed facility. Discuss collection development and provide justification for the size and types of
65 collections based on demographics, previous as well as anticipated purchasing patterns, verifiable
66 library use statistics, and any applicable standards or guidelines. Provide a summary of all project
67 collections to be housed in the library, as well as the conversation factors used to calculate the required
^ shelving units to store the holdings.
69
70
Page 192.55 Register 2001, No. 49; 12-7-2001
§ 20426 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
2
3
4
5 Readers^ Sears
6
7 Describe the number, type and allocation ol" the patron seating needed to meet the requirements of the
8 proposed facility. Identify any standards utilized in determining the amount of seating as well as any
9 applicable conversion factors use to calculate the square footage needed to house the various types of
'0 seating.
11
12 Special Purpose Units/Spaces
13
14 Identify and describe the various kinds of special purpose units (CD-ROM readers, microform readers,
1 5 photocopy machines etc.) which will be required in order to support the operation of the proposed facility.
1 6 Describe the significance of this equipment in meeting the challenge of changing concepts in public hbrary
1 7 service. Provide an allocation of the units as well as any applicable conversion factors used to calculate the
^° square footage needed to house the special purpose units.
90 -Sto/f Workstations
21
22 Describe the projected staff organization and provide any applicable standards used in determining the size
23 of the projected staff. Provide the resulting number of staff workstations (public, office and workroom)
24 needed to provide the desired service level in the proposed facility, and indicate the proposed allocation of
25 staff workstations. Provide conversion factors used to calculate the square footage needed to house the
26 various types of staff workstations.
27
28 Meeting Room Requirements
29
30 Describe the number and capacity of meeting rooms for the proposed library. Indicate how this space
3 1 supports the library's plan of service and provide an allocation of the space. Provide conversion factors used
32 to calculate the square footage needed for the various types of meeting room seats.
33
34 Facility Space Analysis
35
36 Summary of Facility Space Requirements
37
38 Provide a summary page(s) of the various spaces in the proposed library showing the name of the spaces
39 with the respective square footage, collections and reader's seats required.
40
41 Spatial Relationships
42
43 Describe the relationships of the various spaces in the proposed library either through the use of narrative,
44 a spatial diagram or a matrix.
45
46 Space Descriptions
47
48 Provide a description of each individual space as well as a general narrative for the whole library which
49 addresses, as appropriate, the following items:
51 Square footage, occupancy by staff and patrons, type and size of collections, functional activity
52 description, spatial relationships, flexibility, expandability, staff efficiency, energy efficiency,
53 fenestration, space finishes, building materials, access for the disabled, acoustics, environmental
54 conditions (HVAC), electrical power supply, illumination, communications, computer applications,
55 security systems, signs, audio-visual aspects, visual supervision and layout of furniture and equipment.
56
57
58 Financial Analysis
59
60 Provide a preliminary capital outlay project budget for the proposed facility with cost justifications.
61
62
•
Note: Authority cited: Section 19960, Education Code. Reference: Sections HISTORY
19961, 19965, and 19966 Education Code. 1. New section filed 10-31-90; operative 10-31-90 (Register 90, No. 50).
Page 192.56 Register 2001, No. 49; 12-7-2001
Title 5
California State Library
§ 20430
Chapter 3. California Reading and Literacy
Improvement and Public Library
Construction and Renovation Bond Act of
2000
Article 1. General Provisions
§ 20430. Definitions.
(a) Addition — a project that increases the floor area of enclosed space
of an existing building. "Addition" also means "expansion."
(b) Addition/remodeling — a project that combines remodeling with
an addition to an existing building.
(c) Administrative costs of the project [Education Code section
1 9990] — administrative costs include costs of any services provided by
employees of the applicant jurisdiction or its library service provider, ex-
cluding professional services as described in section 20432(e) and (f)
where such services are required by the applicant jurisdiction to be pro-
vided by a Public Works or similar department, or by other departments
providing the professional services, and where the costs are directly
billed to the construction project.
(d) Applicant — a local jurisdiction as defined under Education Code
section 1 9988 that is eligible for a grant and that is in the process of mak-
ing application for California Reading and Literacy Improvement and
Public Library Construction and Renovation Bond Act of 2000 funds.
(e) Application Form — the form entitled "Application Form: Califor-
nia Reading and Literacy Improvement and Public Library Construction
and Renovation Bond Act of 2000 Funds" found in section 20440. Ap-
pendix 1.
(f) Appraised value — the value of land, an existing building, or any
other improvements as determined by an independent certified appraiser
no more than one year prior to the date of the Board's deadline for ap-
plication. [See section 20436(a) for appraisal requirements.]
(g) Architect — an architect holding a valid license under California
Business and Professions Code, Chapter 3, Division 3. commencing with
section 5300.
(h) Assignable square footage — the usable space within the building
assigned to furniture and equipment, excluding any non-assignable
space.
(i) Board — California Public Library Construction and Renovation
Board.
(j ) Bond Act — the California Reading and Literacy Improvement and
Public Library Construction and Renovation Bond Act of 2000 (Educa-
tion Code sections 19985-20011).
(k) Co-located library — a library that houses a combined public li-
brary and public school library in a single facility, either on or off of
school grounds. Library services provided in the facility shall be defined
by a cooperative agreement between the public library jurisdiction that
will operate the library and one or more public school districts serving
any combination of K-12 students. The terms "co-location project" and
"co-located library" are used synonymously. If portions of a co-located
project are not devoted to the delivery and support of public library direct
service, the project shall be considered, in addition, a multipurpose proj-
ect.
(/) Common areas of a multipurpose building — areas of a multi-occu-
pant building that are shared by its occupants.
(m) Community Library Needs Assessment — a written evaluation of
the library service needs of an identified public hbrary service area con-
taining the elements specified in section 20440, Appendix 3.
(n) Completion of the public library project — For the purposes of
Bond Act grant projects, the public library project shall be considered
complete at Substantial Completion.
(0) Constaiction manager — an individual who has had respon.sibilily
for construction management for five or more construction projects in
excess of $1,000,000 each, within the 10 years prior to the Board's ap-
plication deadline.
(p) Conversion — remodeling an existing building that is not currently
used for public library purposes to make it a public library.
(q) Construcfion cost estimator — an individual who has had responsi-
bility for five or more construction project cost estimates in excess of
$1,000,000 each, within the 10 years prior to the Board's application
deadline.
(r) Cooperative agreement — a written legal agreement containing the
elements specified in section 20440 . Appendix 2.
(s) DSA — Division of the State Architect, Department of General
Services, State of California.
(t) Electronic technologies — any electronic device or network that
proces.ses or provides access to data or informafion.
(u) Eligible project costs — reimbursable costs authorized in Educa-
tion Code secUons 19989 and 19995(b) as made specific in these regula-
tions.
(v) Eligible projected construction cost:
( 1 ) For new construction — construction contract costs for a public li-
brary or joint use library facility derived by calculating the normal public
construction costs in the applicant's area as specified in section 20436(c).
(2) For conversion, remodeling, and addition/remodeling — construc-
tion costs related to all aspects of remodeling, rehabilitating, or renovat-
ing an exisfing public library facility owned by the applicant; or construc-
tion costs related to the conversion of a building into a public library, as
specified in secUon 20436(d).
(w) Engineer — an engineer holding a valid license under California
Business and Professions Code, Chapter 7, Division 3, commencing with
section 6700, in that branch of engineering that is applicable.
(x) Existing public library — a facility operated to provide public li-
brary direct service, either owned or leased, if the lease has a total dura-
tion of not less than 20 years.
(y) Existing public school library — a facility operated to provide li-
brary service to students in a public school, either owned or leased, if the
lease has a total duration of not less than 20 years.
(z) Fenestrafion — the arrangement, proportioning, and design of ex-
terior and interior windows, clerestories, skylights, window walls, and
doors in a building.
(aa) Field Act — Education Code sections 1 728 1 , 1 7365, and 8 1 1 30.
(bb) Gross square footage — the entire area of the building interior in-
cluding the exterior wall thickness. The total of the assignable square
footage and the non-assignable square footage equals the gross square
footage. Whenever the terms or abbreviations "square footage," "square
feet," "SQ FT," or "SF" are used in the Bond Act regulations or appen-
dices without the modifiers "assignable" or "non-assignable." then the
terms or abbreviations mean "gross square footage" or "gross square
feet."
(cc) Inadequate infrastructure — incoming telecommunication con-
nection to a public school building equal to or less than 5 1 2 thousand bits
per second (512K bps).
(dd) Joint use project — a public library project that is either a co-lo-
cated library or a joint venture project.
(ee) Joint venture project — a project to construct a public library facil-
ity that jointly serves both public library users and any combination of
K-12 students as defined by a cooperative agreement between a public
library jurisdicfion and one or more public school districts. Joint venture
library services are defined in secfion 20434(a)(1)(B).
iff) K-] 2 — kindergarten through grade 1 2.
(gg) Library building program — the planning document that de-
scribes the space requirements and all other general building consider-
ations required for the design of a public library building, as specified in
section 20440, Appendix 5.
(hh) Library consultant — a qualified library consultant who meets all
of the following criteria:
Page 192.57
Register 2001, No. 49; 12-7-2001
§ 20432
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(1) Possesses a Master of Library Science or equivalent 5tii year de-
gree in library science.
(2) Has been a consultant for at least five different library projects
within the last 10 years for the development of at least one of the follow-
ing;
(A) Library needs assessment.
(B) Library plan of service.
(C) Library facility master plan.
(D) Library site study.
(E) Library building program.
(F) Library architectural plans review.
(3) Has provided the services in (2) above as an independent contractor
or as the employee of an organization involved with the administration
of public libraries.
(ii) Library facilities master plan — a jurisdiction-wide plan detailing
the anticipated need for new and/or remodeled public hbrary facilities for
a specified period of time.
(jj) Local matching funds — 35% of the total eligible project costs sub-
mitted in the Library Project Budget in the Application Form, which the
applicant is responsible for obtaining from sources other than the Bond
Act.
(kk) Mid-point of construction — the calendar date that falls half-way
between the start of construction and Substantial Completion of the proj-
ect.
(//) Multipurpose building — a multi-occupant faciUty, part of which
is a public library and part of which is used for other purposes. [See also
the definition (k), Co-located library].
(mm) New construction — new building square footage for one or
more of the following:
(1) A totally new library building.
(2) An addition to an existing public library building owned by the ap-
plicant.
(3) An addition to an existing building that is being converted to a pub-
lic library building.
(nn) New public library — any of the following:
(1) The construction of a new public library building.
(2) The acquisition of a building that is not currently a public library
and remodeling it to become a public library.
(3) A replacement facility for an existing public library, whether on the
same site or a new site.
(oo) Non-assignable space — utility areas of a building required for
the function of the building, including stairways; elevators; corridors and
interior walkways; public lobbies; restrooms; duct shafts; mechanical
rooms; electrical closets; telecommunications closets for voice, data,
electrical, security, and fire systems; janitor's closets; fireplaces; interior
and exterior wall thickness; and exterior amenities that are part of the
building but not enclosed, such as loading docks and covered patios,
porches, and walkways.
(pp) Project — a remodeling, remodeling with addition, or new
construction project for purposes authorized under Education Code sec-
tion 19989.
(qq) Project manager — an individual who has had responsibility for
project management of five or more construction projects in excess of
$1,000,000 each, within the 10 years prior to the Board's application
deadline.
(rr) Projected construction cost — the construction cost of the library
project as estimated by an architect, engineer, or construction cost esti-
mator.
(ss) Public library portion of a building or site — the portion of the
building or site dedicated to the delivery and support of public library di-
rect services plus the pro rata share of common areas attributable to the
delivery and support of public library direct services.
(tt) Readers' seats — all seating in the library available for the public
of all ages to use while reading print materials (i.e., lounge seating.
benches, lloor cushions, seating at tables, carrels, and study counters).
Readers' seats do not include technology workstations.
(uu) Remodeling — any form of renovation or rehabilitation of an ex-
isting facility. The following terms are used synonymously: remodeling,
renovation, and rehabilitation.
(vv) State matching funds — 65% of the total eligible project costs
submitted in the Library Project Budget in the Application Form.
( ww) Substantial Completion — the date on which the owner and con-
tractor agree that the construction contract is sufficiently complete to per-
mit the owner to take possession of the facility.
(xx) Supplemental funds — local funds required to cover ineligible
project costs that are directly related to the construction project.
(yy) Technology workstations — workstations in the library (e.g.
tables, carrels, counters, office systems) available for the public of all
ages to use while operating any kind of library-provided electronic or au-
diovisual technology (i.e.. personal computers, computer terminals, on-
Hne public access computers (OPAC), audio and video units, ADA adap-
tive technology, and microform readers).
NOTE: Authority cited: Section 19992, Education Code. Reference: Sections
19989, 19994, 19995 and 19996, Education Code.
History
1. New chapter 3 (articles 1-2. sections 20430-20444), article 1 (section 20430)
and section filed 12-5-2001; operative 1-4-2002 (Register 2001, No. 49).
Article 2. California Library Construction
and Renovation Program
§ 20432. Purposes of Grants.
(a) Acquisition of an existing or prefabricated building
A local jurisdiction may acquire, through purchase or donation, an ex-
isting building or a prefabricated building for the purpose of converting
it to a public library.
(b) Multipurpose building
A local jurisdiction may acquire space in a multipurpose building for
use as a public library.
(c) Allowable site use
A local jurisdiction may build a public library facility on land that has
been:
(1) Purchased.
(2) Donated.
(3) Leased.
(4) Secured by a lease-purchase agreement.
(d) Site development and demolition costs
Site development and demolition costs are eligible if they are:
(1) Necessary and directly related to the construction of the public li-
brary.
(2) Within the legal boundaries of the public library project site.
(3) No more than 100 feet beyond the legal boundaries of the site and
are required to tie-in the public library site with existing utilities and
roads. Such work shall be limited to:
(A) Utilities.
(B) Paving.
(C) Sidewalks, curbs, and gutters.
(D) Landscaping and irrigation.
(E) Traffic signals.
(e) Architectural and engineering services
( 1 ) Payment of fees for any work related to the public library construc-
tion project performed by architects and engineers are eligible project
costs provided they are cash expenditures made not earlier than three
years prior to the submission of the grant application, as specified in
Education Code section 19995(b).
(2) Matching funds credit for architectural plans and drawings.
(A) The cost of architectural plans and drawings developed solely for
the public library project for which the application is being made, regard-
Page 192.58
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Title 5
California State Library
§ 20434
•
•
less of when their cost was incurred, may be credited toward the matching
funds requirement.
(B) "Architectural plans and drawings'" means, and is limited to. the
following documents created by an architect or engineer that are neces-
sary for the design of the proposed public library building:
1. Conceptual plans and drawings.
2. Schematic plans and drawings.
3. Design development plans and drawings (also referred to as prelimi-
nary plans and drawings).
4. Construction documents and specifications (also referred to as final
working drawings and specifications).
(f) Other professionals
Fees for work related to the public library construction project per-
formed by the following professionals are eligible project costs:
( 1) Americans with Disabilities Act (ADA) consultants
(2) Attorneys
(3) Audio-visual consultants
(4) Building security systems consultants
(5) Certified Public Accountants
(6) Construction managers
(7) Hazardous materials consultants — Registered Environmental As-
sessors registered by the California Environmental Protection Agency,
Office of Environmental Health Hazard Assessment, and asbestos con-
sultants registered by the California Occupational Safety and Health Ad-
ministration, who are employed to perform hazardous materials surveys
and related abatement contract administration.
(8) Historical consultants required to assess the historical significance
of an existing building.
(9) Interior designers employed to:
(A) Design furnishings and equipment.
(B) Provide furnishings floor plans and layouts.
(C) Write specifications.
(D) Otherwise develop bid documents and supervise the bidding and
installation of furnishings and equipment for the interiors contract or por-
tion of the general contract for the public library construction project.
(10) Independent construction cost estimators employed to provide
project cost estimates
(11) Land surveyors
(12) Library Consultants providing or assisting in the preparation of:
(A) Library needs assessments.
(B) Library plans of service.
(C) Library facility master plans.
(D) Library site studies.
(E) Library building programs.
(F) Library architectural plans reviews.
(13) Lighting consultants
(14) Project managers
(15) Real estate appraisers
(16) Scientists required for CEQA compliance
(17) Signage consultants
(18) Technology planning consultants
(19) Telecommunication consultants
(20) Traffic engineering consultants
(g) Remodeling existing public library facilities owned by the appli-
cant jurisdiction
(1) As required by Education Code 19989 (c), all projects to remodel
existing public library facilities shall include "necessary upgrading of
electrical and telecommunications systems to accommodate Internet and
similar computer technology."
(2) These improvements are defined as enhancements to the electrical
and data systems that provide:
(A) Dedicated circuits for all computers and their peripherals.
(B) Copper, fiber optic, or wireless data connections with a minimum
of Category 5 data cabling. Category 5 cable is data communications
twisted pair cable appropriate for transmission of signals up to 100 Mb/
second.
(h) Ineligible project costs
Ineligible project costs include but are not limited to the following:
( 1 ) Costs for services related to the administration of the public library
construction project that are performed by employees of the applicant or
the library service provider are ineligible. An exception shall be made for
professional services described in section 20432(e) and (f) where such
services are required by the applicant jurisdiction to be provided by a
Public Works or similar department, or by other departments providing
the professional services, and where costs for the services are directly
billed to the construction project.
(2) Lease or lease-purchase payments or the value of land secured
through a lease or lease-purchase agreement.
(3) The costs associated with portions of a project that will not be used
for the delivery and support of public library direct services are not eligi-
ble project costs.
(4) In-kind expenditures and services or donations of materials, labor,
furniture, equipment, or articles of any kind shall not qualify as matching
funds and shall not be counted as eligible project costs.
(5) The value of land owned by the applicant that is already dedicated
to the operation of an existing public library.
NOTE: Authorily cited: Section 1999?., Education Code. Reference: Sections
19987, 19989. 19990, 19995 and 19996, Education Code.
History
1. New article 2 (sections 20432-20^144) and section filed 12-5-2001 ; operative
1^-2002 (Register 2001, No. 49).
§ 20434. Funding Priorities.
(a) New public library project priorities
(1) First priority for new public library facilities: joint use projects
As specified in Education Code section 19994(a)(1), first priority for
new public libraries shall be given to joint use projects in which the
agency that operates the library and one or more school districts have a
cooperative agreement. [See sections 20440(d)( 1 ) and Appendix 2 for in-
formation about Cooperative Agreements.]
Joint use projects shall be one of two types:
(A) Co-located library [See "Co-located library" definition in section
20430(k)]
(B) Joint venture projects [See "Joint venture project" definition in
section 20430(ee)]
Joint venture projects shall provide one or more of the following ser-
vices:
1. Computer center
A computer center houses computer systems with electronic resources
or other educational technologies to assist with any combination of K- 1 2
student learning activities. Services shall include one or more of the fol-
lowing:
a. A range of computer literacy classes covering introductory to ad-
vanced skill levels.
b. Access to the computer resources, including the Internet, for both
public and student clienteles.
c. Computer literacy activities for students and their families or care-
givers.
d. Distance learning equipment and staff to enable online instruction
and other forms of educational interaction with distant communities, in-
dividuals, or institutions.
2. Family literacy center
A family literacy center houses materials and space for tutoring and
instructional activities to improve the ability of K-12 students and their
parents or caregivers to read and write English and to develop lifelong
learning skills. Activities shall include one or more of the following:
a. One-to-one tutoring, either personal or online.
b. Small group instruction.
c. Reading and writing instruction.
d. Computers with software to improve reading and writing skills.
e. Literacy programming for students and their families or caregivers.
f. After-school literacy programming for students.
3. Homework center
Page 192.59
Register 2001, No. 49; 12-7-2001
§ 20436
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
A homework center houses space to provide materials and formal sup-
port to assist K-12 students with homework and/or study assignments.
Support shall focus on the needs of students including either general as-
sistance in reading, writing, science, language, math skills, and study
skills, or individual student assignment assistance, or both. Services shall
include one or more of the following:
a. Specialized print and electronic resource collections responsive to
curriculum needs, including designated computer time for student home-
work needs.
b. Peer and/or adult assistance, either paid or volunteer.
c. Instruction in research and study skills.
d. Provision of appropriate support tools such as bibliographies, listing
of web sites, and pathfinders.
e. After-school computer or language literacy activities.
f. Temporary reserve or limited circulation collections in response to
teacher requests.
4. Career center
A career center houses space to provide job, career, and college educa-
tion information to assist K-12 students in assessing and pursuing voca-
tional and career choices. Information formats shall include any com-
bination of print, electronic, and audiovisual resources. Service shall
include one or more of the following:
a. Resources providing information on various careers and vocations,
future opportunities, and the necessary associated job skills and/or
education.
b. Career counseling assistance, either paid or volunteer.
c. Information on available training programs and available jobs.
d. Resume assistance, online job posting, and interview training.
e. College-preparation programs, including scholarship information,
college application assistance, college entrance exam preparation, and
college essay and resume preparation.
5. Shared electronic and telecommunication library services
Shared library electronic and telecommunication services provide for
the sharing of electronic equipment and resources that complement the
curriculum of K-12 students. Services shall include one or more of the
following:
a. Wide-area network between the public library and public school(s).
b. Collaborative electronic resource database licenses and related
training.
c. Collaborative catalog access and shared circulation systems and re-
lated training.
6. Subject specialty learning centers
Subject specialty learning centers house a comprehensive, in-depth
collection of resources and learning activities on a specific subject area
that complements the curriculum of the school district that is a part of the
joint use cooperative agreement.
7. Other library services
Other similar collaborative library services that directly benefit K-12
students.
(2) Second priority for new public library facilities: all others
As specified in Education Code section 19994(a)(2), all other new
public library projects shall be given second priority.
(b) Priorities for remodeling existing public library facilities owned by
the applicant jurisdiction
(1) Remodeling first priority
As specified in Education Code section 19994(b)(1), to be considered
for first priority funding, a project to remodel an existing public library
building owned by the applicant jurisdiction shall be within the atten-
dance area of a public elementary, middle, or high school that, at the time
of application, is identified as having inadequate infrastructure to support
access to computers and other educational technology.
(A) If the project is located in the attendance area of more than one
public school, the applicant may select any one of the schools with inade-
quate infrastructure.
(B) The applicant shall submit with the Application Form;
1 . A letter from the public school district superintendent verifying that
at the time of the Board's application deadline:
a. The project site is located within the attendance area of the identified
public school.
b. None of the public school buildings at the identified public school
has an incoming telecommunication connection greater than 512 thou-
sand bits per second (512K bps).
2. A copy of the public school attendance area map showing that the
public library project site is within the attendance area.
(2) Remodeling second priority
As specified in Education Code section 19994(b)(2), second priority
shall be given to all other remodeling projects for existing public library
facilities owned by library jurisdictions.
NOTE: Authority cited: Sections 19992 and 19994, Education Code. Reference:
Sections 19991, 19993, 19994 and 19999, Education Code.
History
1. New section filed 12-5-2001; operative 1^^-2002 (Register 2001, No. 49).
§ 20436. Determining Project Costs.
(a) Determining the value of land and buildings
( 1 ) Land and buildings purchased by or donated to the applicant
(A) The eligible project cost for land and buildings acquired by the ap-
plicant, whether purchased or donated, shall be the appraised value as de-
termined by a certified appraiser no more than one year prior to the date
of the Board's deadline for application.
(B) When an existing building is purchased for conversion and will be
a multipurpose building, the applicant shall provide an appraisal of only
the public library portion of the building and site. [See definition: section
20430(ss)]
(2) Appraisals of land and buildings
(A) An appraisal is only required if the value of the land or building
will be claimed as an eligible project cost or a local matching fund credit.
(B) Appraisals of land and buildings to determine the best and highest
use of the property shall be in conformance with the requirements of the
Real Estate Appraiser's Licensing and Certification Law (Business and
Professions Code sections 22300, et seq.).
(C) Appraisals shall be performed by an appraiser who:
1. Has a State Certified General Real Estate Appraiser's License.
2. Is an independent appraiser, not an employee of the applicant, the
applicant's library service provider, or the seller of the proposed public
library site.
(3) Contested appraisals
If the appraisal is contested by the State Librarian or the applicant, one
or more additional certified appraisals shall be obtained by the applicant.
The difference in the appraisals shall be resolved by a determination of
land value made by the California Department of General Services, Real
Estate Division.
(b) Construction cost estimate
All applicants shall submit with the Application Form a projected
construction cost estimate that is based on the conceptual plans and that
has been prepared by an architect, engineer, or a construction cost esti-
mator.
The estimate shall be organized in one of the following formats, or in
a similar estimating format, at the applicant's option.
(1) Format 1 [Construction Specification Institute (C.S.I.) Masterfor-
mat Divisions]
(A) General Requirements.
(B) Site Work.
(C) Concrete.
(D) Masonry.
(E) Metals.
(F) Wood and Plastics.
(G) Thermal and Moisture Protection.
(H) Doors and Windows.
(I) Finishes.
(J) Specialties.
•
•
Page 192.60
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Title 5
California State Library
§ 20436
•
•
(K) Equipment.
(L) Furnishings.
(M) Special Conditions.
(N) Conveying Systems.
(0) Mechanical.
(P) Electrical.
(2) Format 2 [R. S. Means Assemblies Cost Data Manual]
(A) Foundations.
(B) Substructures.
(C) Superstaiciures.
(D) Exterior Closure.
(E) Roofing.
(F) Interior Construction.
(G) Conveying.
(H) Mechanical.
(1) Electrical.
(J) General Conditions.
(K) Special.
(L) Site Work.
(c) Determining normal public construction costs for new construction
The normal public construction cost in the applicant's area for new
construction, both new facilities and square footage for an addition, shall
be based on the January 2002 cost per square foot figures for public li-
brary buildings, as determined by Marshall Valuation Service in Special
Studies: Library Buildings. The cost per square foot for new facilities is
$202, and the cost per square foot for square footage added to an existing
building is $238. These figures do not include costs for land acquisition;
site development, demolition, utilities, or landscaping; surface and un-
der-building parking; works of art; shelving; furniture; built-in service
desks, counters, workstations, or other casework; movable equipment; or
architectural and engineering fees.
(I) Locality adjustment
The current cost shall be modified utilizing the following "California
Locality Adjustment Table by County." The current cost figure is multi-
plied by the factor in the adjustment table to obtain the locally adjusted
cost of public library buildings.
California Locality Adjustment Table by County
County Multiplier Factor
Alameda
Alpine
Amador
Butte
Calaveras
Colusa
Contra Costa
Del Norte
El Dorado
Fresno
Glenn
Humbolt
Imperial
Inyo
Kern
Kings
Lake
Lassen
Los Angeles
Madera
Marin
Mariposa
Mendocino
Merced
Modoc
Mono
Monterey
Napa
Nevada
Orange
Placer
Plumas
1.15
.98
.98
.94
.92
.96
1.14
1.05
1.04
.98
.96
1.05
.97
1.03
.97
.92
.98
.98
1.01
.91
1.13
.93
.92
.91
.98
1.02
1.07
1.05
1.00
1.01
1.01
.97
County
Riverside
Sacramento
San Benito
San Bernardino
San Diego
San Francisco
San Joaquin
San Luis Obispo
San Mateo
Santa Barbara
Santa Clara
Santa Cruz
Shasta
SieiTa
Siskiyou
Solano
Sonoma
Stanislaus
Sutter
Tehama
Trinity
Tulare
Tuolumne
Ventura
Yolo
Yuba
Multiplier Factor
.99
1 .00
1.04
1 .00
.97
1.20
.97
.97
1.14
l.(X)
1.17
1 .05
.98
.97
.98
1.07
1.04
.93
.93
.98
1.02
.92
.93
.99
.94
.93
(2) Inflation adjustment
(A) The locally adjusted cost may then be increased by 1 /5 percent per
month for each month from January 1 , 2002. through the estimated mid-
point of construction of the project.
(B) This figure shall be the eligible projected construction cost. This
figure, or a lesser amount, shall be utilized as the normal public construc-
tion cost in the applicant's area unless justification for a higher figure can
be made based upon recent local bidding experience.
(3) Optional method
(A) At the applicant's option, the locally adjusted cost figure may be
replaced by averaging the construction contract cost per square foot for
a minimum of three comparable public construction projects bid in the
applicant's county within three years of the Board's deadline for applica-
tion.
(B) If three comparable public construction project bids cannot be
found in the applicant's county within three years of the Board's deadline
for application, this locally determined comparable cost approach cannot
be utilized by the applicant.
(C) Comparable public constiiiction projects are:
1. Public libraries.
2. Community colleges.
3. Post offices.
4. Museums.
5. Courthouses.
6. City halls.
7. Auditoriums.
8. Convention centers.
9. Civic centers.
10. Senior citizen centers.
11. F*ublic schools.
1 2. Recreation centers.
(4) Contingency for new construction
For projects with new construction an eligible contingency not to ex-
ceed 10% of the eligible projected construction cost may be utilized for
any eligible cost in the project budget.
(5) Costs in excess of normal public construction cost
For projects where the projected construction cost exceeds the eligible
projected construction cost, the applicant shall provide 1 00% of the sup-
plemental funds necessary to construct the project at the higher cost.
(d) Normal public construction costs in the applicant's area for remod-
ehng
Page 192.61
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§ 20438
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(1) For remodeling projects, and for the remodeling portions of con-
version and addition/remodeling projects, the normal public construc-
tion cost in the applicant's area is the eligible projected construction cost
estimated by an architect, engineer, or construction cost estimator.
(2) For remodeling projects, and for the remodeling portion of conver-
sion and addition/remodeling projects, a contingency of not more than
15% of the projected cost for remodeling may be utilized in the project.
(3) For addition/remodeling projects, and for the remodeling portion
of conversion and addition/remodeling projects, an eligible contingency
not to exceed 10% of the eligible projected construction cost of the new
construction and an eligible contingency not to exceed 15% of the eligi-
ble projected construction cost for remodeling, may be utilized for any
eligible cost in the project budget.
(e) Project budget
The project budget found in the Application Form [see section 20440,
Appendix 1] shall include both eligible and ineligible project costs di-
rectly related to the public library construction project.
The project budget shall also include the following sources of project
revenue:
(1 ) Amount of State matching funds.
(2) Amounts and sources of all local matching funds.
(3) Amounts and sources of all local supplemental funds.
(t) Calculating the eligible project costs for multipurpose projects
For each budget line item in the project budget on the Application
Form, applicants shall calculate the eligible project costs as follows:
( 1 ) Public library direct services areas eligible costs
The applicant shall determine the eligible project costs for those areas
that are dedicated to the delivery and support of public library direct ser-
vices.
(2) Common areas eligible costs
For a multipurpose project, applicants shall determine the eligible cost
of the common areas by calculating the public library's pro rata share of
those costs.
(3) Multipurpose project cost analysis
An applicant proposing a multipurpose building project shall submit
a cost analysis that has been prepared by an architect or construction cost
estimator. The cost analysis shall compare the multipurpose project as a
whole to the public library portion of the project, justifying the cost fig-
ures in the Multipurpose Project Budget section of the Application Form.
(g) Projected Library Operating Budget
Applicants shall provide on the Application Form a library operating
budget that projects:
(1) The initial library start-up expenses.
(2) Annual operating expenses for the library.
NOTE: Authority cited: Section 19992. Education Code. Reference: Sections
19989, 19990, 19993, 19995 and 19996, Education Code.
History
1. New section filed 12-5-2001; operative 1^-2002 (Register 2001, No. 49).
§ 20438. Site and Title Requirements.
(a) California Environmental Quality Act (CEQA)
(1) The applicant, as lead agency, shall submit with the Application
Form, evidence that the environmental impact documentation (EID) re-
quired by CEQA has been fully completed. [See Public Resources Code
sections 21 000-21 177 and California Code of Regulations, Title 1 4. sec-
tions 15000-15387.]
(2) This evidence shall consist of one of the following:
(A) No adverse environmental impact
1. Determining applicability of CEQA for the project
If the applicant has determined that there is no possibility the project
will result in an adverse environmental impact, or that the project quali-
fies for a specific statutory or categorical exemption, and therefore is not
subject to the provisions of CEQA, provide an explanation and appropri-
ate legal citations.
2. Categorical exemption
If an exemption is claimed for the project, the applicant shall also sub-
mit the following:
a. A statement of the basis for the claim.
b. A copy of the Notice of Exemption.
(B) Negative declaration
If a negative declaration was adopted for the project, applicants shall
provide a final copy of the negative declaration, as well as a conformed
(stamped by the County Clerk) copy of the Notice of Determination
which has been signed by the lead agency and filed with the County Clerk
with the Application Form.
(C) Environmental Impact Report
If the project was the subject of an Environmental Impact Report
(EIR), applicants shall provide a final copy of the EIR and a conformed
(stamped by the County Clerk) copy of the Notice of Determination
which has been signed by the lead agency and filed with the County Clerk
with the Application Form. Applicants shall also provide a copy of the
adopted statement of overriding considerations.
(3) State Clearinghouse review
Before adopting a Negative Declaration or an Environmental Impact
Report, the applicant shall submit the draft environmental documents to
the State Clearinghouse at the following address:
STATE CLEARINGHOUSE
OFITCE OF PLANNING AND RESEARCH
P.O. BOX 3044
SACRAMENTO. CA 95812-3044
The applicant shall take into considerafion timely comments made by
State agencies on the project before adopting final environmental docu-
ments and approving the project. The applicant shall provide either the
compliance letter or the comments from State agencies provided by the
State Clearinghouse with the Application Form. After project approval
a Notice of Determination shall be filed with the County Clerk before it
is submitted with the Applicafion Form.
(b) Marketable record title
"Marketable record title" means that the title to the property shall in-
clude both legal and equitable estates, be free of unknown encumbrances,
and be in a condition that an informed and reasonable buyer, exercising
reasonable care, would and should accept it.
(c) Obtaining marketable record title
(1) Site is owned or will be owned by the applicant:
(A) The applicant shall submit proof of current marketable record title
to the public library site.
(B) Applicants with muUipurpose buildings shall submit proof of cur-
rent marketable record title only for those portions of the multipurpose
project site for which Bond Act funds will be expended.
(C) Even though the applicant does not own the property at the time
the application is submitted, the applicant shall submit proof of current
marketable record title.
(2) Lease and lease-purchase agreements
If the public library site will be secured through a lease or lease-pur-
chase agreement, the applicant shall provide the State Librarian with
proof that the lessor holds marketable record title to the public library site
and shall comply with the requirements of secfion 20440, Appendix 6,
item 1. c.
(3) Acquisifion of a building
If the applicant acquired or will acquire a building for the purpose of
converting it into a public library, the applicant shall obtain marketable
record title to the building.
(4) Preliminary title report required
Proof of current marketable record title shall be submitted with the Ap-
plication Form, secfion 20440, Appendix 1. The proof of marketable re-
cord tifie shall include a preliminary fitle report which shall include, but
not be limited to, the following, as applicable.
(A) Names and addresses of all owners and their respecfive interests.
(B) A description of the exact property being proposed.
(C) A statement of easements, appurtenances, encumbrances, and all
other matters of record that might impact the use of the property.
(D) A plat plan or survey showing in detail the locafion of the property
and any easements.
(5) Tifie exceptions
•
•
Page 192.62
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Title 5
California State Library
§ 20440
•
•
If there are exceptions to the marketable record title, the applicant's
legal coimsel shall prepare a written opinion indicating that the excep-
tions present do not diminish the use of the property for a public library
building or in any way diminish or limit the State's interest in the proper-
ty-
Id) State's interest recorded in the title record
( 1 ) State's interest in the land
(A) Slate's interest in the land required
When Stale grant funds have been provided by the Board for acquisi-
tion of or credit for land, upon completion of the project the grant recipi-
ent shall record the State's interest in the land in the title record.
(B) Statement to be added to land title
The title record for land shall specify the Slate's interest by recording
that the land shall be used to provide public library direct service for 40
years following the completion date of the project, as specified in Educa-
tion Code section 19999.
(2) State's interest in the public library building
(A) State's interest in the building required
When Bond Act funds have been provided for acquisition, construc-
tion, or remodeling of a public library facility, upon completion of the
project the grant recipient shall record the State's interest in the facility
in the title record.
(B) Statement to be added to the building title
The title record for the building shall specify the State's interest by re-
cording thai the public library facility shall be used to provide public li-
brary direct service for 40 years following the completion dale of the
project, as specified in Education Code section 19999.
NOTE: Authority cited: Section 19992, Education Code. Reference: Sections
19989 and 19999, Education Code.
History
1. New section filed 12-5-2001; operative 1-4-2002 (Register 2001, No. 49).
2. Change without regulatory effect redesignating former subsection (a)(2)(D) as
subsection (a)(3) and amending subsections (c)(l)(A)-(C) and (c)(4) filed
3-18-2003 pursuant to section 100, title 1, California Code of Regulations
(Register 2003, No. 12).
§ 20440. Grant Application Requirements.
(a) Application for Bond Act grant funds
( 1 ) For each application cycle, applicants shall submit:
(A) A completed Application Form found in section 20440, Appendix
1 , and six additional copies of the form.
(B) One copy of each supporting document.
(2) Applications submitted for each cycle, including supporting docu-
ments, are the properly of the California Stale Library.
(3) Applications shall be submitted by the application deadlines and
sent to the mailing address specified in section 20442.
(b) Supporting documentation instructions
( 1 ) All supporting documentation shall be submitted with the Applica-
tion Form.
(2) Supporting documentation is required for all applications unless
otherwise noted in the Bond Act regulations.
(3) If an Executive Summary is specified in a required document, it
shall be no longer than two single-spaced typed pages. Limit type size
to no smaller than 11 pointif using a computer, or 12 pitch (elite) if using
a typewriter.
(c) Supporting document submittals: site and building
(1) Boundary survey
(A) All applicants, except those with multipurpose projects, shall pro-
vide a boundary survey showing the metes and bounds of the proposed
library site.
(B) Applicants with multipurpose buildings shall provide a boundary
survey for the entire multipurpose project site.
(C) The survey shall be stamped and signed by a licensed land survey-
or.
(2) Geotechnical report
Applicants with new construction or additions to existing public li-
braries or buildings to be converted to public libraries shall provide a
copy of a geotechnical report performed by a licensed engineer.
(3) CEQA documentation [See section 20438(a)]
(4) Visual record of the existing library
(A) Applicants who have existing public library buildings that will be
replaced or improved shall provide photographs and/or video of the ex-
isting public library building as support documentation concerning the
age and condition of the building. If a new library building will replace
more than one existing library, applicants shall provide photographs and/
or video of each library being replaced.
(B) An applicant proposing a co-located joint use project in partner-
ship with a public school that has an existing library shall also provide
photographs and/or video of each school library that will be replaced or
improved.
(C) All photographs and videos shall be labeled with the name of the
applicant and the project name.
(5) Map and visual record of the site
Applicants with new construction or additions to existing public li-
braries or buildings to be converted to public libraries shall provide
photographs and/or video of the site and surrounding area as follows:
(A) Visual record
1 . Show views facing toward the site from a minimum of two vantage
points from outside the site, one of which shall be the building front en-
trance.
2. Show at least one view from each of the following directions from
the vantage point of the middle of the site, facing out: north, south, east,
and west.
3. All photographs and videos shall be labeled with the name of the ap-
plicant and the project name.
(B) Map showing the site
Provide one or more maps showing the location of the proposed library
site in the community showing the following:
1 . The service area of the proposed project,
2. All major thoroughfares,
3. All public K-12 schools and,
4. All major retail business centers.
(6) Preliminary title report [See section 20438(c)(4)]
(7) Legal opinion regarding title exceptions [See section 20438(c)(3)]
(8) Site ownership, option to purchase, or possession of lease
(A) If a site is owned by the applicant at the time of application, the
applicant shall submit verification of ownership.
(B) If the library site is not owned by the applicant at the time of ap-
plication, the applicant shall submit one of the following with the Ap-
plication Form:
1 . For a site that will be purchased, a copy of a legally executed option
to purchase agreement for the site.
2. For a site that will be donated, a copy of a legally binding agreement
to donate the site.
3. For a site that will be secured through a lease or lease-purchase
agreement, a legally executed lease or lease-purchase agreement for the
site that is in compliance with the conditions of section 20440, Appendix
6, and which may contain a provision making the lease agreement or
lease-purchase agreement contingent upon funding of the project by the
Board.
(9) Building ownership (conversion projects)
(A) If a building is owned by the applicant at the time of application,
the applicant shall submit verification of ownership.
(B) If a building to be converted into a public library is not owned by
the applicant at the time of apphcation, the applicant shall submit a copy
of a legally executed option to purchase agreement for the building.
(C) In the case of a building that will be donated, the applicant shall
submit a copy of a legally binding agreement to donate the building.
(10) Verification of property value
Page 192.63
Register 2003, No. 12; 3-21 -2003
§ 20440
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Completed property appraisals shall be submitted with the Applica-
tion Form. [See section 20436(a).]
(11) Parking shared use agreement (if applicable) [See Application
Form, Library Automobile Parking section]
(12) Required studies for remodeling, conversion, and addition-re-
modeling projects only
Applicants for remodeling, conversion, and addition-renovation proj-
ects shall submit the following with the Application Form:
(A) Structural study — A licensed engineer's study that assesses the
structural integrity of the existing building.
(B) Hazardous materials — A hazardous materials survey that deter-
mines the presence of hazardous materials in the building and provides
an initial cost estimate for the safe removal or abatement of the materials.
The building survey for hazardous materials shall be performed by a haz-
ardous materials consultant as defined in section 20432(f)(7).
(C) Energy audit — a study performed by a licensed engineer that as-
sesses the existing facility 's energy efficiency and makes specific recom-
mendations regarding how the facility can be made more energy effi-
cient.
(D) ADA study — a study performed by an ADA consultant that as-
sesses the existing facility's limitations for its use by individuals with dis-
abilities and makes specific recommendations regarding how the facility
can be made physically accessible.
(E) Project feasibility study — performed by architects and engineers
to determine the feasibility of utilizing a specific building for the pro-
posed public library project.
(13) First priority remodeling projects only: letter from the public
school district superintendent [See section 20434(b)(l)(B)l.]
(14) First priority remodehng projects only: public school attendance
area map [See section 20434(b)(l)(B)2.]
(d) Supporting document submittals: planning
For the required supporting documents defined in Appendices 3-5, all
components and elements listed in the Appendices are required, but need
not be in the specific order listed in the Appendices and may appear in
any of the planning documents.
(1) Joint use projects only: cooperative agreement
Along with the grant Application Form for a joint use project, all appli-
cants for joint use project funding shall submit a copy of the cooperative
agreement between the public library jurisdiction and the public school
district(s) that shall include the elements listed in section 20440, Appen-
dix 2.
(2) Community Library Needs Assessment
(A) All applicants shall submit a copy of a Community Library Needs
Assessment that demonstrates the need for the specific project and de-
scribes its relationship to the overall public library jurisdiction.
(B) Joint use project applicants shall develop the Community Library
Needs Assessment as a collaborative effort between both the public li-
brary and the public school district(s) and shall also consider and respond
to the needs of both public library and school library clienteles.
(C) The Community Library Needs Assessment shall have been com-
pleted or revised within five years of the application deadline.
(D) Community Library Needs Assessment components
The Community Library Needs Assessment shall include, but not be
limited to, the elements listed in section 20440, Appendix 3.
(3) Library Plan of Service
(A) Applicants shall submit a Library Plan of Service that describes
how the needs of the residents in the library service area, as identified in
the Community Library Needs Assessment, will be met by the proposed
project.
(B) The Library Plan of Service shall include the elements Usted in sec-
tion 20440, Appendix 4.
(4) Library Building Program
(A) Applicants shall submit a Library Building Program that demon-
strates how the Library Plan of Service will be implemented in the proj-
ect.
(B) The Library Building Program shall contain the components hsted
in section 20440, Appendix 5.
(5) Conceptual plans submittal
(A) All applicants shall submit conceptual plans on paper not less than
24"x36" prepared by an architect justifying the architectural and engi-
neering projected construction cost estimate. The plans shall be sub-
mitted with the Application Form prior to the Board's application dead-
line.
(B) Applicants with multipurpose projects shall submit the required
conceptual plans for both the total multipurpose project, as well as the li-
brary portion of the project.
(C) The conceptual plan submittal shall consist of the following:
1 . An area plan showing the library site in context with the surrounding
neighborhood buildings, parking, pubhc transit stops, and streets. The
plans and documentation shall demonstrate that the architectural design
for the project is compatible with the scale and character of the surround-
ing neighborhood.
2. A site plan showing the library building, automobile and bicycle
parking, access roads, bicycle and pedestrian pathways, and any antici-
pated future expansion of the building and parking. The site plan shall
also indicate which direction is north.
3. A floor plan (single hne drawing) identifying by name the major
programmed areas for the library, including non-assignable spaces.
Each area shall show the assignable square footage called for in the li-
brary building program and the actual square footage allocated on the
floor plan.
4. Two sections through the building, one longitudinal and one latitu-
dinal.
5. Two elevations, with one elevation being the front of the library
building.
6. Outline specifications describing the type and quality of building
systems, basic components, and components unique to the project. The
specifications shall contain references to any applicable sections of State
statutes and State building codes.
(e) Supporting document submittals: financial and certifications
( 1 ) Projected construction cost estimate [See section 20436(b)]
(2) Multipurpose projects: cost analysis [See section 20436(f)(3)]
(3) Resolution certifying project budget, local funding commitment,
supplemental funds, and public library operation
The applicant's governing body shall certify the following by resolu-
tion and submit a copy of the resolution with the Application Form:
(A) A commitment to provide the local matching fund amount identi-
fied in the Library Project Budget, as required by Education Code section
1 9995(a), including and identifying any amounts to be credited to local
matching funds pursuant to section 19995(c) and (d).
(B) A commitment to provide supplemental funds necessary to com-
plete the project at the level stated in the project budget [See section
20436(e)].
(C) The availability of the local matching and supplemental funds spe-
cified in the project budget when they are needed to meet cash flow re-
quirements for the project.
(D) The project budget contained in the Library Project Budget section
of the Application Form.
(E) The accuracy and truthfulness of all information submitted in the
Application Form and the required supporting documents.
(F) A commitment to operate the completed facility and provide public
library direct service, unless the public library shall be operated in whole
by a jurisdiction other than the applicant.
(G) A commitment that the facility shall be dedicated to public library
direct service use for a period of 40 years following completion of the
project, regardless of any operating agreements the applicant may have
with other jurisdictions or parties.
(4) Operation of the facility involving a jurisdiction other than the ap-
plicant
•
•
Page 192.64
Register 2003, No. 12; 3-21-2003
•
Title 5 California State Library § 20440
ir the completed public library will be operated by a jurisdiction other account statement shall be submiued with the Application Form.
than the applicant, the applicant shall obtain from the operating jurisdic- NotE; Authority cited: Sections 19991! and 19994, Education Code. Kdcrcncc:
tion acopy of a resolution of its governing body that certifies a commit- Sections 19988, 19989, 19993, 19996. 19997, 19998 and 19999. Education Code.
ment to operate the completed facility and provide public library direct History
, i^ ■, ,u -.u tu A f .- c 1. New .sectionandappendices l-6liiled 12-5-2001:operalive 1-4-2002 (Rcsiis-
service and submit the copy with the Application rorm. ^^^ -,qqj ^^ ^g. ^^ '
(5) Private funds - availability deadline and account certification 2. Cha'nge without regulatory eflect amending appendices 1 and .3 filed .v 18-200.3
The applicant shall submit a copy of an account statement from the ap- pursuant to section 100, title 1 , California Code of Regulations (Register 2003.
plieant's accounting system showing the ainount of private funds desig- ^o- !-)•
nated in the Library Project Budget section of the Application Form. This
Page 1 92.65 Register 2003, No. 1 2; 3 - 2 1 - 2003
§ 20440 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
Appendix 1
Application Form
CALIFORNIA READING AND LITERACY IMPROVEMENT AND PUBLIC LIBRARY
CONSTRUCTION AND RENOVATION BOND ACT OF 2000 FUNDS
Administered by the California State Library, Office of Library Construction
The applicant local iur'ndidion, pursuant to ttte Education Code, Title I, Division I Part II Cl)apter 12, Articles 1-3,
sections 19985-20011 and Title 5, Division 2. Chapter 3, sections 20430-20444 of fhe California Code of Regulations,
liereby makes application for a state matcl)ing grant for /he construction or remodeling of fhe public library facility
described l)erein and in all supporting documents:
APPLICATION FORM INSTRUCTIONS:
i^Umit comments throughout the entire form to the space provided unless otherwise stated.
*r Single space responses, limiting type size to no smaller than 1 1 points If using a computer, or 12
pitch (elite) if a typewriter is used.
f^ Attachments shall not be accepted unless required by regulation or called for in the application
form.
^Applicants shall submit a completed Application Form and six additional copies of the form.
(See section 20440 for complete application submittal requirements]
PROJECT IDENTIFICATION
L Official Name of Project: ^.
2. Type of Applicant Jurisdiction: ♦fC/iec/f one on/y; City ["] County | | City/County | [ District | |
3. Grant Applicant Name: ^
Legal name ofjuriidic^on that will own building
(for multipurpose projects, list the legal name of the jurisdictions that will own the public library portion of the multipurpose building.)
A. Authorized Official of the Applicant Jurisdiction: ♦
Mayor, Chairperson of Board of Supervisors, Head of Special District, authorized to sign the application
Title: ^ Phone: ♦ E-mail: I
Address: ♦
5. Project Coordinator. ^_
•
Nome of individual who will have administrative control over the project for the applicant local jurisdiction
Title: ♦ Phone: ^ E-mail: ♦
Address: I
Page 192.66 Register 2003, No. 12; 3-21-2003
Title 5 California State Library § 20440
6. Alternate Project Contact Person: ♦
If the project coordinator is ur\available. fhe contact person sho// be oufhor/zed to act in ttte capacity of tt}e project coordinator.
Title: ^ Phone: I E-mail: ♦
Address: ♦
7. Head of Planning Department: ^
(Fortt)e applicant jurisdiction, if applicable. Special Districts are exempt.)
Title: ♦ Phone: ♦ E-mail: ♦
Address: ♦
8. Head of Public Works or General Services Department: I
If Applicable: Head of Public Works or General Services Department for ttie applicant jurisdiction. Special Districts are exempt.
Title: ^ Phone: ♦ E-mail: ♦
Address: ♦ ___^
9. Operating Library Jurisdiction: i_
10. Library Director Name: ♦
Legal name of library tl\at will operate the public library.
Public library director for the library jurisdiction that will operate the public library.
Title: ^ Phone: ♦ E-mail: ♦
Address: ♦
1 1 . Alternate Library Contact Person: ♦
If the library director is unavailable, the contact person shall be authorized to act in the capacity of the library director.
Title: ^ Phone: ♦ E-mail: ♦
Address: ♦
12. Library Building Program Consultant: ♦
(If applicable)
Title: ♦ Phone: ♦ E-mail: I
Address: ♦
Page 192.67 Register 2003, No. 12; 3-21 -2003
§ 20440
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
13. Technology Planning Consultant: ^
Title: ^ Phone: ♦
(If applicable)
E-mail: ♦
Address: I
14. Project Arctiitect: ♦.
License#
Providing consfruction budget estimate and/or conceptual plans.
Title: ♦ Phone: ♦ E-mail: ♦_
Address: I
15. Project Manager: ♦
Title: ♦ Phone: ♦.
Address: ^
(If applicable)
E-mail: ♦
U. Construction Manager: ♦
Title: ♦ Phone: ♦.
Address: ♦
(If applicable)
E-mail: ♦
17. Construction Cost Estimator: ♦
Title: ♦
Phone: ♦
Address: ♦
18. Hazardous Materials Consultant: ^
Title: ♦ Phone: ♦_
Address: I
f/f applicable)
E-mail: ♦
f/f applicable)
E-mail: I
19. Project Interior Designer: f
Title: ♦ Phone: ♦.
Address: ^
f/f applicable)
E-mail: ♦
Page 192.68
Register 2003, No. 12; 3-21-2003
Title 5
California State Library
§ 20440
•
TYPE OF PROJECT
•
New Public Library Building Gross Total Project Square Footage
1. Construction of a New Public Library Building ♦ SF
2. Conversion of an Existing Building into a New Public Library Building ♦
3. Conversion and Expansion of on Existing Building into a New Public Library ♦_
.SF
SF
Gross Square Footaae
"I Remodeling: SF
Expansion: SF
(Include both new & remodeled square footage.)
Priorify:
I I First Priorifv "jo/nf Use"
I I Co-Location Joint Use
I I Joint Venture Joint Use
I I Computer Center | | Shared Electronic/Telecommunications
I I Family Literacy Center [_] Subject Specialty Center
I \ Homework Center [~] Career Center
I I Other similar collaborative library sen/ices with direct benefit to K- 12 students
Specify:
Q Second Priorify "All Others"
Existing Public Library Building Gross Total Project Sauare Footaae
4. Remodeling an Existing Public Library Building
5. Remodeling and Expansion of an Existing Public Library Building
.SF
SF
Gross Sauare Footage
Remodeling: SF
Expansion: SF
(Include bottt new & remodeled square footage.)
I I First Priority
A public library project in the attendance area of a public sctiool that has inadequate infrastructure to support
access to computers and other educational technology.
"Inadequate infrastructure" is defined as an incoming telecommunication connection to a school building of
equal to or less than 512 thousand bits per second (51 2K bps).
Name of Public School:_
I I Second Priority "All Ottiers"
Field Act Applicability (Joint use projects only)
6. Is the project subject to the Field Act? Yes |_J
Ho\J
Page 192.69
Register 2003, No. 12; 3-21-2003
§ 20440
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Multipurpose Buildings (Multipurpose BuUdlng Projects Only)
is the project a Multipurpose Buiiding? YesQ No| |
(A multipurpose building is a multi-occupant facility, part of wt)ict) is a public library and pail of wh/c/i is used for ott)er purposes.)
Types of Multipurpose Building Uses & Square Footage Allocations
Space Use
SQFT
1 . Dedicated to Public Library Use
(Including Public library / Schooi Ubrar/ Use. If Joint Use Project)
2. Dedicated to "Other" Uses
A. Specify:
B. Specify:
C. Specify:
D. Specify:
E. Specify:
F. Specify:
G. Specify:
H. Specify:
3. Subtotal: Dedicated to "Other" Uses
SQFT
_SF
_SF
.SF
.SF
_SF
_SF
.SF
SF
SF
Line I SF divided by
(Une 1 SF + Une 3 SF)
Add L/nes 2A SF
ttini 2H SF
SF
line 3 SF dMded by
(Une 1 SF * Une 3 SF)
4. Common Areas ^
5. Subtotal: Total of Common Areas ^
6. Public Library Pro Rata Share of Common Areas^
7. "Other" Uses Pro Rata Share of Common Areas'
8. TOTAL MULTIPURPOSE BUILDING SQUARE FOOTAGE
9. SF AHRIBUTABLE TO PUBLIC LIBRARY USE
-SF
Must equal Une 6SF + Une 7 SF
SQFT
Une 5SFx
% In Une 1
SF
SF
UneSSFx
% In Une 3
SF
Add Unes 1 SF, 3SF,S,5 SF
SF
Une 1 SF * Une 6 SF
' "Common Areos" are fhose areas of a multi-occupant building ttiat are sttared by all occupants, sucti as lobbies, vestibules,
mectianical rooms, restrooms, custodial areas, delivery, sliipping and receiving areas, loading docks, kitctienettes, auditoriums,
meeting rooms, conference rooms, and storage areas ttiat are used by all parlies of a multipurpose building.
Page 192.70
Register 2003, No. 12; 3-21-2003
Title 5
California State Library
§ 20440
PROJECT PLANNING INFORMATION
Population Growth
When providing the 1980, 2000, and 2020 population figures below, the applicant shall count only those residents:
(a) Within the official boundaries of the applicant jurisdiction, and
(b) Within the service area of the proposed project, but
(c) Exclude all people living within the boundaries of other special district, county, or city public library sen/Ice
areas, for which there is no public library service contract with the applicant.
All Projects:
1. Public library project's service area 1980 popa/af/on: ■
2. Source:
3. Population Percentage Change from 1980 to 2000:
4. Public library project's service area 2000 population:
5. Source:
6. Population Percentage Ct)ange from 2000 to 2020:
7. Public library project's service area 2020 population:
8. Source:
Joint Use Projects (Both Co-location & Joint Venture Projects):
9. Project's public schoo/ attendance area(s) 1980 student population:
10. Source:
1 1. Population Percentage Change from 1980 to 2000:
12. Project's public sctiool attendance area(s) 2000 student population:
13. Source:
14. Population Percentage Chonge from 2000 to 2020:
15. Project's public schoo/ affendance area(s) 2020 student population:
16. Source:
Page 192.71
Register 2003, No. 12; 3-21-2003
§ 20440 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
Existing Library Facility Square Footage
Existing Pubiic Library:
1 . The current gross square footage of the existing public library(s) being replaced is: I SF
If no existing public library facility, enter "0. "
Existing Schoo/ Library: (Co-located Projects Only)
2. The current gross square footage of the existing school libraryfs) being replaced is: ♦ SF
If no existing sctiool library facility, enter "0. "
Library Facilities Master Plan
Describe the relationship of the proposed project to other existing or planned library facilities for the
jurisdiction.
Page 192.72 Register 2003, No. 12; 3-21 -2003
Title 5 California State Library § 20440
Age of the Existing Library Facility
See Definition of "Existing Public library, " section 20430.
All Projects
1 . When was the existing public library building (s) ^ Year
that will be replaced or improved built? if no existing public library facility, enter "N/A"
If proposed project will replace more than one
building, list the oldest of the buildings.
Co-Located Joint Use Proiecis Only
In addition to the intormotion listed above:
2. When was the existing school library building(s) I Year
that will be replaced or improved built? if no existing sctiool library facility, enter "N/A"
If proposed project will replace more than one
building, list ttie oldest of the buildings.
Condition of the Existing Library Facility
See Definition of "Existing Public Library. " section 20430,
All Projects
3. When was the most recent structural ^ renovation or I Year
expansion of the existing public library building (s) that if no existing public library facility, enter "N/A "
is to be replaced or improved by the proposed project?
If proposed project will replace more than one
building, list the oldest of the buildings.
Co-Located Projects Only
In addition to the infornnation listed above:
A. When was the most recent structural ^ renovation or ^ Year
expansion of the existing school library building(s) that ifno existing sciiooi library facility, enter "N/A"
is to be replaced or improved by the proposed project?
If proposed project will replace more than one
building, list the oldest of the buildings.
' Pertaining to tt\e load bearing elements of fhe building
Page 192.73 Register 2003, No. 12; 3-21-2003
§ 20440
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
SITE INFORMATION
Ownership and Availability
Siie
1 . Is the library site currently owned by \he applicant?
2. Will the library site be owned by the applicant?
3. Will the library site be leased by the applicant?
4. If the library site will be leased, provide the name of the owner:
5. Was the site acquired with funds from the "Class Size Reduction
Kindergarten-University Public Education Facilities Bond Act of 1998"?
[See Education Code section 19995 (c)]
6. Is the site currently dedicated to the operation of a public library?
BUIlQinQ (For Conversion Projects Only)
7. Is the building to be converted currently owned by the applicant?
8. Will the building be owned by the applicant?
Qves Q No
I lYes Q No
LJYes [J No
ElYes n No
Qves [] No
□ Yes D No
I — I Yes I — I No
Title Considerations
Site
9. Are there any exceptions to marketable record title?
6 UIIQin Q {For Conversion Projects Only)
10. Are there any exceptions to marketable record title?
I lYes I I No
Dves D
Ho
Appraisal
(No appraisal is required if the value of the land or building will not be claimed as an eligible project cost or a local matching fund credit)
S/fe
1 1 . What is the appraised value of the library site?
(or library portion of site, if multipurpose project)
♦ $
12. Does the appraiser have a State Certified General Real Estate Appraiser's License?
fi Ullding (For Conversion Projects Only)
^ $
Dyes D
No
13. What is the appraised value of the building?
(or library portion of building, if multipurpose project)
14. Does the appraiser have a State Certified General Real Estate Appraiser's License? j | Yes | | No
Page 192.74
Register 2003, No. 12; 3-21-2003
Title 5 California State Library § 20440
Site Use Potential
Accessibility
Describe the accessibility of the proposed site for the residents in the library service area:
Equal Access
Discuss the site's accessibility to all parts of the library service area and its location in relationship to the
geographic center of the library service area. Discuss any natural and artificial barriers that may
impede access to the site.
Public Transit Access
m- Number of public transit stops located within V4 mile of site:
If public transit is available in the library service area, describe the various public transit access
opportunities for the site. If no public transit is available in the library service area, enter "No Public
Transit Service."
Page 192.75 Register 2003, No. 12; 3-21-2003
§ 20440 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
Pedestrian & Bicycle Access
Describe other access opportunities such as pedestrian walkways and bicycle paths. Discuss plans for
amount and location of bicycle parking, including local ordinance requirements.
Automobile Access
Describe the site's accessibility by automobile for residents of the library service area. Take into
consideration traffic, traffic systems, and availability of curb cuts.
Proximity to Major Thoroughfares
List the major arterial routes in the library service area with the most recent traffic counts (number of
vehicles per day):
Number
of Blocks Traffic Count
Street Name from Site Count Date
2.
3.
4.
Page 192.76 Register 2003, No. 12; 3-21-2003
Title 5
California State Library
§ 20440
library Automobile Parkir)g
1 . Number of library parking spaces available off sfreet, on library site.
2. Number of library parking spaces available off street, off library site.
(within 500 feet of front door)
3. Number of parking spaces available on street.
(within 500 feet of front door)
4. Total Number of Spaces Available for Library Parking.
spaces
spaces
spaces
spaces
Zon/ng Requirements
5. Number of on-site library parking spaces required by local zoning
spaces
6. Was a zoning variance or waiver obtained for the project for parking? ♦ |_J Yes | | No
7. If so, by how many spaces were the parking requirements reduced? ^ spaces
8. Provide number of square feet per parking space as required by local zoning .. I_
SF
9. If no local zoning requirement, provide the average number of square feet
per parking space used in the project calculations: ^ SF
Automobile Parkir)g to Building Square Footage Ratio
10. Calculate: # of Square Feet of Parking SF
Example:
# of Square Feet of Building
# of Square Feet of Parking
# of Square Feet of Building
_SF of Parking/ 1 SF of Building
SF
1 5,000 SF
10,000 SF
= 1.5 SF of Parking / 1 SF of Building
library Bicycle Parking
1 1 . Total Number of Spaces Available for on-site Library Bicycle Parking.
.spaces
Page 192.77
Register 2003, No. 12; 3-21-2003
§ 20440 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
Parking Rafionale
Describe the rationale behind the amount of parking that will be available for the project, including: ( V
the location of the automobile parking (on-site or off-site), both within and beyond 500 feet of the
library entrance; (2) local zoning requirements; (3) the availability of public transportation; (4) bicycle
parking and bicycle and pedestrian paths; and (5) any other considerations impacting automobile
parking requirements including, but not limited to, parking partnerships with shared use agreements.
Visibility
Describe how visible and prominent the public library building will be within the library service area.
Page 192.78 Register 2003, No. 12; 3-21-2003
Title 5 California State Library § 20440
Community Confexf & Planning
Describe the proximity of the proposed site to other facilities and areas of the community, and how that
proximity enhances the use of the library by the residents in the library service area. Describe the
appropriateness of the proposed site including whether the proposed library project will contribute to
the establishment, redevelopment, or revitalization of a community or downtown core, business district,
or neighborhood. Describe how the proposed library is connected to other uses, including public use
facilities, by a full range of transportation and pedestrian options.
Site Selection Process
Describe the site selection process including community and planning department involvement,
consultant assistance, as well as any other pertinent activities associated with determining the best site
for the library project.
Page 192.79 Register 2003, No. 12; 3-21 -2003
§ 20440 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
Site Selection Summary
Describe why the proposed site was selected and why it is the best available location tor the proposed
public library project. If there are problems with the proposed site, are there mitigating circumstances
that lessen the negative impact of the problem or problems? Describe any proposed design solutions
that may moderate the site's drawbacks.
Page 192.80 Register 2003, No. 12; 3-21-2003
Title 5 California State Library § 20440
Site Description
Size
The total square footage of the library site should equal the square footage shown In 1 through 8 below:
All Projects (Except Multipurpose Buildings) SaUOre Footaqe
1 . Proposed Library Building Footprint^ SF
2. Proposed Library Surface Parking Lot SF
3. Proposed Library Parking Structure Footprint ^ SF
4. Future Library Building Expansion Footprint^ SF
5. Future Library Parking Expansion SF
6. Required Local Zoning Set-Backs SF
7. Desired Aesthetic Set-Backs & Amenities SF
8. Miscellaneous & Unusable Space SF
9. Total Square Footage of Library Project Site SF
1 0. Proposed Under-Building Parking SF
' "Footprint" means f/ie square footage of surface area of tl\e site f/iaf a building or structure occupies. For example, a single
story 10,000 square foot building would have a 10.000 square foot footprint but a two-story 10.000 square foot building witti
5,000 square feet on each level would ttave a footprint of 5,000 square feet.
Multipurpose Building Projects Only A B c D
Library^ Library Portion Other^ Other^
Dedicated of Common Common Dedicated
SOFT SOFT SOFT SQ FT
1 . Proposed Building
2. Proposed Surface Parking Lot
3. Proposed Parking Structure
4. Future Building Expansion
5. Future Parking Expansion
6. Required Local Zoning Set-Backs
7. Desired Aesthetic Set-Backs & Annenities
8. Miscellaneous & Unusable Space
9. Total Square Footage of Multipurpose Project Site
1 0. Proposed Under-Building Parking
2 Library means tt\at portion of f/ie project that fu^ovides space for the delivery and support of public library direct services,
including joint use school library services (co-location or joint venture).
^ "Other" uses means any other space that does not provide for the delivery and support of public library direct services.
Page 192.81 Register 2003, No. 12; 3-21 -2003
§ 20440 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
Zoning
Ciassirication
1 . What is the current zonina classification of the site? ♦
2. Will the site have to be rezoned to build the project?
Yes No
Variance or Waiver
3. Will a zoning variance or waiver be needed to build the project?
Yes No
4. If so, list the date the variance or v^aiver has been or will be granted? ♦ _
(Date)
Pern)its & Fees
Permit & Fees Identification
Provide a list of any site permits or
fees that have been
or will need to be obtained
Date Obtained or
Permit or Fee
Cost of Permit or Fee
will be Obtained
5.
6.
7.
8.
s
$
$
S
Drainage
9. Is the site in the 100-Year Flood Plain? Yes | |No| |
10. Do any watercourses that require control drain onto the site? Yes [""] No [_]
1 1 . Do any watercourses that require control drain off the site? Yes I | No I |
12. Is the storm sewer system currently adequate to prevent localized flooding of the site? Yes | | No | |
Page 192.82 Register 2003, no. 12; 3-21-2003
Title 5 California State Library § 20440
California Environmental Quality Act (CEQA)
CEQA Litigation
Are there any unresolved legal actions pending against the project regarding CEQA compliance? If so,
provide the case name, court number, and a brief explanation.
Energy Conservation
Describe what measures (include building design, solar orientation, materials, mechanical systems,
natural ambient lighting, etc.) are planned to reduce energy consumption and operating costs for the
library.
Page 192.83 Register 2003, No. 12; 3-21-2003
§ 20440 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
Historic Buildings
Historic Status
1 . Was the existing building, if it is being renovated or expanded as part of the
project, or any buildings on adjacent properties, built longer than 50 years ago?
Yes
No
Is the existing library building project, or any buildings on
adjacent properties:
2. On the National Register of Historic Places?
Yes
No
3. A National Historic Landmark?
Yes
No
4. A National Monument?
Yes
No
5. On County br Municipal Historic Designation list?
Yes
No
6. On the California Register of Historical Resources list?
Yes
No
7. A California Historical Landmark?
Yes
No
8. A State Point of Historical Interest?
Yes
No
Federal Compliance
9. Will this project utilize Federal funds or require a permit or license from a Federal Agency?
Yes
No
10. If yes, has the review process required by section 106 of the National Historic
Preservation Act been completed?
Yes
No
If not, please explain.
Page 192.84 Register 2003, no. 12; 3-21-2003
Title 5
California State Library
§ 20440
•
State Historic Preservation Office (SHPO)
1 . Has the State Historic Preservation Office been contacted regarding the project? Yes | | No | |
If yes, summarize any comments received from SHPO. Does the project meet the Secretary of the
Interior's Standards for the Treatment of Historic Properties? Please explain.
•
Local Historic Preservation Ordinance
2. Is there a local historic preservation ordinance that applies to the proposed
project site or any adjacent properties?
Yes
n NoD
If yes, briefly specify any applicable requirements or restrictions, such as height limits, eic. Further,
describe any ways that the proposed project's conceptual design plans are not substantially in
compliance with the local historic preservation ordinance.
Page 192.85
Register 2003, No. 12; 3-21-2003
§ 20440
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Geofechnical Report
Identify and summarize any special geologic conditions. Including, but not limited to, compressible and
expansive soils, tunnels and mine shafts, unstable slopes, active seismic zones, excessive ground vs/ater
and areas prone to liquefaction. Indicate if these conditions vvill prevent the use or significantly increase
the cost of developing the site for a public library building.
•
•
Demolition
Describe any necessary demolition of structures and the associ(
(If no demolition, indicate by "N/A")
Structure (s) to be Demolished
1.
3ted costs involved with the site.
Demolition Cost Estimate
IS
♦ $
♦ $
2.
3.
4.
5.
6.
Total Demolition:
Page 192.86
Register 2003, No. 12; 3-21-2003
Title 5
California State Library
§ 20440
Utilities
Describe availability of utilities and associated costs if any utilities are not currently located within 100
feet of a property line of the site.
Utility Availability
1. Electricity Yes I — I No I — I
2. Fiber Optic Cable Yes [Zi No [H
3. Telephone Yes [""[ Nol — I
4. Gas
5. Cable TV
6. Storm Sewer
7. Sanitary Sewer
8. Water
Yes O NoQ
Yes EH NoO
Yes LJ NoLJ
Yes LJ NoLJ
Yes I — 'No' — I
Cost to brina Service to Site (Ineligible)
n
♦ $
n
♦ $
♦ $
♦ $
n
♦ $
Site Development
(All off -site costs beyond 100 foot utility tie-ins are local ineligible expenses, but st^all be identified and included in the budget
estimate under ineligible site development costs.)
Site Development Costs
1. Utilities ♦$
2. Cut, Fill & Rough Grading ♦ $
3. Special Foundation Support (pilings, etc.} ♦ $
4. Paving, curbs, gutters & sidewalks ♦ $
5. Retaining Walls ^
6. Landscaping ♦ $.
7. Signage ♦ $.
8. Lighting I $.
9. Removal of underground tanks ♦ $ .
1 0. Removal of toxic materials ♦ $ .
1 1. Rock removal ♦ $.
12. Traffic signals I $.
Other (Specify):
13. „_ ♦ $ .
14. ♦ $ .
15. TOTAL SITE DEVELOPMENT COSTS ♦ $ .
Eligible
Ineligible
n
♦ $
♦ $•
♦ $■
n.
Page 192.87
Register 2003, No. 12; 3-21-2003
§ 20440
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
FINANCIAL INFORMATION
Normal Public Construction Costs in the Applicant's Area
For projects with new construction only (I.e.. constructing a totally new library building or ttie expansion to an existing building)
Construction Cost Index Approact):
To Justify the eligible projected construction cost estimate for new construction, applicants shall complete the following:
1) January 2002 current costs per square foot:
A. For new facilities: $202/SF
B. For square footage added to an existing building, i.e. "expansions": $238/SF
Multiply the appropriate County Locality Adjustment Factor (2B) by the appropriate new cost per square foot figure (2C) (See
section 20436 (c) (1) to obtain f/ie "Locally Adjusted Construction Cost per Square Foot" figure (2D):
2) A. County:
Name of Project County
County Locality
B. Adjustment Factor:
Appropriate
X C. New Cost/SF: $
(Select: 1A or IB)
7SF =D.$.
/SF
rExamDie:
Solano
S202/SF
3) A. Locally Adjusted Construction Cost Per Square Foot:
$ /SF
(Re-enter Line 2D)
The "Locally Adjusted Construction Cost per Square Foot" {3A) figure may be increased by 1 /5 percent per month for
each month from January 1 , 2002, through to the estimated mid-point of construction of the pro'iecl
Multiply the number of months (4A) times .002 (1/5%) to get an inflation factor (4b). Multiply the inflation factor (4B) times the
"Locally Adjusted Construction Cost per Square foot" figure (4C) to get an "Additional Cost per Square Foot" figure (4D):
Number
4) A. of Months:
fExamole:
Inflation
X .002 = B. Factor: .
(1/5%)
X .002 =
Locally Adjusted
X C. Construction $/SF:$
/SF
Additional $/SF
=D. $ /SF
(Re-enter 3A)
S2U/SF
Add the resulting "Additional Cost per Square Foot" figure (5A) to the "Locally Adjusted Construction Cost per Square Foof figure
(SB) to get the "Bligible Projected Construction Cost per Square Foot" figure (5C):
Additional
5) A. Cost/SF: $
(Re-enter 4D)
Locally Adjusted
7SF + B. Construction $/SF: $ .
fExomple:
(Re-enter 4C)
S216/SF
Eligible Projected
7SF = C. Construction $/SF: $_
/SF
S222/SF
The total "Eligible Projected Construction Cost" for the project is calculated by multiplying the "Eligible Projected
Construction Cost per Square Foot" figure (5C) by the total number of square feet of new construction:
6) Ttie Eligible Projected Construction $/SF:
Multiplied By
7} The Square Footage of New Construction:
Equals
8) Ttie Eligible Projected Construction Cost:
$
(Re-enter 5C)
7SF
SF
If the projected construction cost estimated by the project architect is lower than the figure in Line 8, the applicant
shall use the lower figure as the normal public construction cost in the applicant's area.
A 10% project contingency amount is allowed and is calculated by multiplying the total Eligible Projected
Construction Cost by 10%:
9) Eligible Contingency: (1 0% of Line 8) $
Page 192.88
Register 2003, No. 12; 3-21-2003
Title 5
California State Library
§ 20440
Comparable Public Construction ApproacI):
As an alternate to ttie Construction Cost Index approacti to estimating normal construction costs in ttie applicant's area, ttie
applicant may employ a local public construction cost comparison approach) to calculate the Eligible Projected Construction
Cost figure. [See seciion 20436 (c)(3)] List a minimum of ttiree comparable public construction projects thiat have been bid
within the applicant's County within three years of the Board's deadline for application.
Comparable public construction projects are public libraries, community colleges, post offices, museums, courthouses, city halls,
auditoriums, convention centers, civic centers, senior citizen centers, public schools, and recreation centers.
The costs listed shall be for construction of the building only and exclusive of any site acquisition, demolition, development,
utilities, or landscaping; surface and under building parking; works of art; shelving; furniture; built-in service desks, counters,
workstations, or other casework; movable equipment; or architectural and engineering fees.
Construction
Prolect Dote Bid Cost/SF I^BOBTSI
A.
B.
C.
D.
E. TOTAL
10) Locally Determined Comparable Cost Per Square Foot ($/SF):
DMded by =
Re-enter Line E
Example: S660/SF
^^ of Projects
S /SF
CraBS
S /SF
SQQl
S /SF
nss
S /SF
$ /SF
sfcra
^ S /SF
Locally Determined Comparable
Cost per Square Foot
Divided b>
$220/SF
The "Locally Determined Comparable Cost per Square Foot" (10) figure may be increased by 1/5 percent per month
for each month from January ) , 2002, through to the estimated mid-point of construction of the project.
Multiply the number of months (1 1A) times .002 (1/57o) to get an inflation factor (1 IB). Multiply the inflation factor (11 B) times the
"Locally Determined Comparable Cost per Square Foot" figure (1 IC) to get the "Additional Cost per Square Foot" figure (1 ID):
Number
11) A. of Months:
fExomDle:
Inflation
X .002 = B. Factor:
(1/5%)
14 X .002 =
Locally Determined
C. Comparable $/SF:
(Re-enter 10)
S220/SF
ySF = D. 5.
-/SF
Adding the resulting "Additional Cost per Square Foof figure (12 A) to the "Locally Detennined Construction Cost per Square Foof '
ffgure (12B) gives the "Eligible Projected Construction Cost per Square Foof figure (12C):
Additional
12) A. Cost/SF: $_
(Re-enter 1 1D]
Locally Determined
7SF + B. Construction $/SF: $
Example:
(Re-enter 11 C)
$220/SF
Eligible Projected
7SF = C. Construction $/SF: $_
/SF
$226/SFl
The "Eligible Projected Construction Cost" is calculated by multiplying the "Eligible Projected Construction
Cost per Square Foot" figure (12C) tinnes the square footage of new construction:
13) The Eligible Projected Construction $/SF: . $ /SF
Multiplied By (Re-enter 12C)
14) The Square Footage of Nevyr Construction: SF
Equals
15) The Eligible Projected Construction Cost: $
If the projected construction cost estimated by the project architect is lower than the figure in Line 1 5, the applicant
shall use the lower figure as the normal public construction cost in the applicant's area.
A 10% project contingency amount is allowed and is calculated by multiplying the total Eligible Projected
Construction Cost by 10%:
U) Eligible Contingency: (10% of Line IS) %
Page 192.89
Register 2003, No. 12; 3-21-2003
§ 20440 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
Library Project Budget (AII projects exceei Multipurpose projects)
Ifttiere are no costs in any line item below for the project, specify by putting a zero "0" in the blank provided.
Line Items: Eligible Ineligible
1} New Construction $ $
2) Remodeling Construction $ $
3) Contingency $ $
4) Appraised Value ot Building $ $
5) Appraised Value of Land $ $
6) Site Development $ $
7) Site Demolition $ $
8) Site Permits & Fees $ $
9) Site Option to Purchase Agreement $ $
lOJ Furnishings & Equipment Costs $ $
11) Signage $ $
1 2) Architectural & Engineering Fees $ $
] 3) Construction Cost Estimator Fees $ $
14) Interior Designer Fees $ $
1 5) Geotechnical/Geohazard Reports $ $
1 6) Hazardous Materials Consultant Fees $ $
1 7) Energy Audit, Structural Engineering, Feasibility & ADA Studies $ $
1 8) Library Consultant Fee $ $
1 9) Construction/Project Management $ $
20) Other Professional Fees $ $
21 ) Local Project Administration Costs $ $
22) Works of Art $ $
23) Relocation Cosh & Moving Cosh $ $
24) Acquisition of Library Materials $
25) Other (Specify) : $ $
26} Other (Specify) : $ $
27) Other (Specify) : $ $
28) TOTAL PROJECT COSTS: $ $
Page 192.90 Register 2003, No. 12; 3-21 -2003
Title 5
California State Library
§ 20440
Sources of Project Revenue (M projects except Mumpwpose Projects)
29) Slate Matching Funds (65% of Line 28i Eligible Costs) $
30) Local Matching Funds (Line 28 Eligible Costs minus Line 29) $
IMust also equal the total of Unes 31-35}
Sources of Local Matching Funds:
31) City 4
32) County $
33) Special District -$
34) Private $
35) Other (Specify: ) ^
36) Local Credits $
Land 2 $
A&E fees $
37) Adjusted Local Match [Line 30 minus Line 36] $
38) Supplemental Local Funds [Same os Line 28 ineligible] $
39) TOTAL PROJECT INCOME: [Add Unes 29, 30, and 38] „ $
^ Up to a maximum of $20,000,000
^ Land credit is not allowed for /and acquired by funds from f/ie "Class Size Reduction Kindergatfen-University Public Education
Facilities Bond Act of 1998" [See Education Code section 19995 (c) wtiict] references Part 68 (commencing witi) section 100400 of
the Education Code)
Projected Library Operatmg Budget
(New Public Libraries, includina Conversion Projects except Multipurpose Projects)
INITIAL
START-UP
EXPENSES
ANNUAL
EXPENSES
EXPENDITURES
1. Salaries/Benefits
$_
s
2. Facilities Costs
Insurance
Maintenance (Including Custodial, Trashi, Landscaping, etc.)
Security
Utilities
Other (Soecifv):
$_
$.
$_
s
s
s
3. Equipment & Supplies Costs
Equipment
Supplies
4. Materials
Books, AV, Magazines, & Newspapers
Electronic Services & Subscriptions
Ottier Formats
5. Other Allocations (As applicable to the proposed project)
Administrative/Business OffJce
Broncti Operations
Circulation Services
Facilities & Capital Coordination
Program Planning
Techinical Sen/ices
Ottier (Specifvl:
$_
$_
s
$
6. Miscellaneous (Ottier)
7. TOTAL EXPENDITURES:
$.
s
Page 192.91
Register 2003, No. 12; 3-21 -2003
§ 20440
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Multipurpose Project Budget (Witli Library Project Budget) (MuHip^rpose projects omy)
If there are no costs »n any line item below for ttte project, specify by putting a zero "0" in f/ie blank space provided.
Line items:
1 . New Construction
2. Rennodeling Construction $
3. Contingency $
4. Appraised Value of Building $
5. Appraised Value of Land $
6. Site Development $
7. Site Dennolition $
8. Site Permits & Fees $
9. Site Option Agreement $
10. Furnishings & Equipment Costs $ ,
1 1 . Signage $ .
1 2. Architectural & Engineering Fees $ ,
1 3. Construction Cost Estimator Fees $
14. Interior Designer Fees $ ,
1 5. Geotechniccl/Geohazard Reports $ .
$,
$.
A
Library^
Dedicated
Eligible
$
1 6. Hazardous Materials Consultant
Fees
1 7. Energy Audit, Structural ADA, &
Engineering Feasibility Studies
18. Library Consultant Fees
$
B
Library Portion
of Common
Eliaible
C
Library
Total
Eligible
D
Library
Total
Ineligible
E
Other2
Total
Ineligible
$
$.
$_
$
$
$.
$_
s
$
$_
$.
s
$
$.
$.
$
$
$_
$.
$
$
$.
$_
$
$
$_
$.
$
$
$.
$_
$
$
$_
$_
$
$
$_
$_
$
$
$_
$_
$
$
$_
$_
$
$
$_
$_
$
$
$.
$_
$
$
$_
$_
$
$
$_
$_
$
$
$_
$_
$
$
$_
$-
$
$
$_
$_
$
$
$_
$_
$
$
$_
$_
$
$
$_
$_
$
$
$_
$_
$_
$
$
$_
$_
$
$
$-
$_
$
19. Construction/Project Management $
20. Other Professional Fees $
21 . Local Project Administration Costs $
22. Works of Art $
23. Relocation Costs & Moving Costs $
24. Acquisition of Library Materials
25. Other (Specify): $
26. Total Project Costs: $
' library means fhof portion of the project that provides space for the delivery and support of public library direct services,
including joint use school library services (co-location or joint venture).
^ "Other^uses means any ofher space that does not provide for the delivery and support of public library direct services.
Page 192.92
Register 2003, No. 12; 3-21-2003
Title 5
California State Library
§ 20440
Sources of Multipurpose Project Revenue (Multipurpose Projects oniy)
27. State Matching Funds (65% of Line 26 Total Eligible costs') $
28. Local Matctiing Funds $
(Column C. Line 26 minus Line 27. Musf also equal the total of Lines 29 - 33]
Sources of Local Matching Funds:
29. City .$
30. County $
31 . Special District $
32. Private $
33. Other (Specify: ) $
34. Local Credits $
Land- $
A&E Fees $
35. Adjusted Local Match (Line 28 minus Line 34) $
36. Supplemental Local Funds 4
(Some OS Line 26 Library (D) and Other (E) Total Ineligible]
37. TOTAL P ROJ ECT INCOME [Add t/nes 27. 28 ond 36; $
"^ Up to a maximum of $20,000,000
^ Land credit is not allowed for land acquired by funds from fhe "Class Size Reduction Kindergarten-University Public Education
Facilities Bond Act of 1998" [See Education Code section 19995 (c) wt)icti references Part 68 (commencing witii section 100400 of
/he Education Code)]
Projected LlbrOry Operofing Budget (Multipurpose New construction and conversion projects amy)
INITIAL
START-UP ANNUAL
EXPENDITURES EXPENSES EXPENSES
1. Salaries/Benefits $ $
2. Facilities Costs $ $
Insurance
Maintenance (Including Custodial, Trasti, Landscaping, etc.)
Security
Utilities
Other (Specify);
3. Equipment & Supplies Costs $ $
Equipment
Supplies
4. Materials $ $
Books, AV, Magazines, & Newspapers
Electronic Services & Subscriptions
Other Formats
5. Ottier Allocations (As applicable to the proposed project) $ $
Administrative/Business Office
Brancfi Operations
Circulation Sen/ices
Facilities & Capital Coordination
Program Planning
Tecfinical Services
Other (Specify):
6. Miscellaneous (Other) $ $
7. TOTAL EXPENDITURES: $ $
Page 192.93
Register 2003, No. 12; 3-21 -2003
§ 20440
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Financial Capacity (New Consfructlon and Conversion Projects Only)
Applicants with new public library projects shall describe their tinancial capacity to open and maintain
operation of the proposed library including anticipated revenue sources for library operations support.
PROJECT TIMETABLE
•
Provide the timetable for the proposed project.
Show estimated dates of completion for future activities, as v/ell as actual dates for activities already completed.
ACTIVITY DATE
1 . Planning and Land Use Permits Obtained (If Applicable)
2. Site Acquired (Obtain Possession by Purchase, Donation or Lease)
3. Schematic Plans Completion
4. Design Development Plans Completion
5. Working Drawings (90%) Completion
6. Construction Documents Completion
7. Project Advertised for Bids
8. Start of Construction
9. Estimated Mid-Point of Construction
10. Completion of Construction
1 1 . Opening of Library Building to the Public
12. Final Fiscal & Program Compliance Review Completed
•
Page 192.94
Register 2003, No. 12; 3-21-2003
Title 5 California State Library § 20440
APPLICATION CERTIFICATION
SIGNATURES
The parties below attest to and certify the accuracy and truthfulness of the application for California
Reading and Literacy Improvement and Public Library Construction and Renovation Bond Act of 2000
funds. If the application is successful, the applicant agrees to execute the project on the basis of the
application data provided herein including all supporting documents.
AUTHORIZED OFFICIAL OF THE APPLICANT JURISDICTION
Signature of Mayor, Chairperson of Board of Supervisors, or Head of District, authorized to make
application for the local jurisdiction.
Signature Date
Name (type) Title (type)
LIBRARY DIRECTOR OF THE OPERATING LIBRARY JURISDICTION
I hereby affirm that the library jurisdiction, for which I am the administrative agent, approves of the
application and will operate the facility as a public library after its completion.
Signature Date
Name (type) Title (type)
□ SUBfAIT COMPLETED APPLICATION FORM AND SUPPORTING DOCUMENTS ACCORDING
TO INSTRUCTIONS IN SECTION 20440
□ MAIL APPLICATION AND SUPPORTING DOCUMENTS TO:
Bond Act Fiscal Officer
Office of Library Consfrucfior)
1029 J Street, Suite 400
Socramenfo, CA 95814-2625
Page 192.95 Register 2003, No. 12; 3-21-2003
§ 20440
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Appendix 2
Required Elements for Joint Use Cooperative Agreements
As required in section 20440(d)(1). applicants with joint use projects
shall submit a copy of the cooperative agreement between the public li-
brary and the public school district(s) that includes the following ele-
ments:
[. A definition of the roles and responsibilities of each party with re-
spect to funding, staffing, supervision, operation, management, and oth-
ers as applicable.
2. A description of the joint library services and how they will be pro-
vided.
3. The library hours of service for the pubhc and for students.
4. The number and classifications of staff members.
5. The use of volunteers, if any.
6. Identification of the location of the proposed joint use project.
7. Ownership of the site, facility, furnishings, equipment, and library
materials.
8. All sources and uses of funding.
9. Responsibility for facility operation, maintenance, and manage-
ment.
10. Review and modification process for the conditions of the agree-
ment.
1 1 . Field Act applicability to the project:
a. A statement that the project will or will not be subject to the Field
Act.
b. The rationale for the determination regarding the Field Act applica-
bility.
12. A 20-year commitment to providing joint use library services con-
sistent with the intent of the cooperative agreement.
13. Acknowledgment and incorporation of Education Code section
19999 and section 20440(e)(3)(G) of these regulations which requires
the provision of public library direct services for 40 years.
Appendix 3
Community Library Needs Assessment Components
As required in section 20440(d)(2), all applicants shall submit a copy
of a Community Library Needs Assessment that demonstrates the need
for the project and describes its relationship to the overall public library
jurisdiction. The needs assessment shall include, but is not limited to, the
following components:
1. Table of Contents giving page numbers for each division and each
required Executive Summary.
2. Overall Executive Summary for the Community Library Needs As-
sessment, not to exceed two, single-spaced typed pages. Limit type size
to no smaller than 1 1 point if using a computer, or 12 pitch (elite) if using
a typewriter.
a. The Executive Summary shall provide a narrative overview of the
findings of the Community Library Needs Assessment, citing relevant
community demographic information.
b. The Executive Summary for joint use projects shall also include a
description of the K- 12 student population that will be served by the joint
use project and their needs.
3. Needs assessment methodology
a. Applicants shall provide an Executive Summary of the needs assess-
ment methodology not to exceed two, single-spaced typed pages. Limit
type size to no smaller than 1 1 point if using a computer, or 1 2 pitch (elite)
if using a typewriter.
b. Applicants shall describe how they involved residents, community
organizations, special interest groups, special populations including
those with disabilities, local agencies, and others, as applicable, in deter-
mining the needs of the residents of the library service area and the need
for a new or improved facility.
c. Applicants with joint use projects shall also describe how the school
and/or school district was involved in planning the joint use facility and
services and include a description of the involvement of the following
school representatives, as applicable: superintendents, principals, school
board members, teachers, certified library media teachers, parents, stu-
dents, and any school support organizations.
d. Applicants shall describe methods used to elicit community input,
such as surveys, focus groups, community meetings, and other methods
used.
4. Community Analysis with Executive Summary
Applicants shall describe and analyze relevant factors that affect the
Hbrary goals, objectives, and Library Plan of Service for the residents in
the project service area. Factors include, but are not limited to, the follow-
ing:
a. Governmental agencies
Identify governmental agencies that will have an influence on the
planning of the facility and describe the nature of the relationship. Identi-
fy key individuals in the government agencies and describe their roles in
the project.
b. School agencies
Identify public and private schools within the district that will be
served by the proposed project and their service needs, including whether
or not a school library exists.
c. Community organizations
Identify community organizations that will be served by the proposed
project, and describe their service needs.
d. Demography
Applicants shall obtain the following demographic information from
federal, state, or regional sources, and identify the source.
( 1 ) Population characteristics Describe the service area population, in-
cluding, but not limited to, its current size, projected growth, and demo-
graphic characteristics to the extent such information is available for the
project service area.
(2) Data not available for the specific project service area
If the information is unavailable for the project service area, the appli-
cant may utilize the demographic information for local jurisdictions in
which the project is located.
(3) Demographic data and analysis
Include the following data for the project service area and an analysis
of the data:
■ The average California Academic Performance Index (API) for pub-
lic schools in the library service area.
■ Poverty rate.
■ Per capita income.
■ Literacy rate.
■ Unemployment rate.
■ Population composition by age.
■ Population by occupation.
■ Median property value.
■ Population by educational level.
■ Others (optional).
This information shall be compared to the norm for the state and na-
tion, to the extent such information is available.
Applicants shall include an Executive Summary of the overall find-
ings of the community analysis. The Executive Summary shall not ex-
ceed two, single-spaced typed pages. Limit type size to no smaller than
1 1 point if using a computer, or 12 pitch (elite) if using a typewriter.
5. Analysis and discussion of community characteristics.
6. Analysis of library service needs with Executive Summary.
Applicants shall provide an in-depth analysis of the library service
needs based on the findings of the Community Library Needs Assess-
ment.
Applicants shall include an Executive Summary describing how the
demographic characteristics, and any other factors, will affect the Li-
brary Plan of Service. The Executive Summary shall not exceed two,
•
•
•
Page 192.96
Register 2003, No. 12; 3-21-2003
Title 5
California State Library
§ 20440
•
•
single-spaced typed pages. Limit type size to no smaller than 1 1 point if
using a computer, or 12 pitch (elite) if using a typewriter.
7. Service limitations of existing library facilities with Executive Sum-
mary
If existing facilities will be replaced or improved, applicants shall de-
scribe how the existing facilities are inadequate in providing the types of
services needed for residents of the project service area.
Applicants shall describe the limitations and constraints of services
provided in the existing public library facilities that will be replaced or
improved for categories a-f below. For co-located joint use projects, also
provide the information for the school library.
a. Collections.
b. Readers' seating.
c. Staff offices, workstations, and visual supervision.
d. Technology.
e. Meeting rooms.
f. Special purpose (miscellaneous).
Applicants shall provide descriptions of the types of library services
that are needed but currently unavailable in the existing pubHc library
buildings. For joint-use projects, both co-located and joint venture, also
address school library services that are needed but currently unavailable.
Applicants shall provide an Executive Summary which will give a nar-
rative overview of the service limitations of the existing facility based on
categories a-f listed above, not to exceed two, single-spaced typed
pages. Limit type size to no smaller than 1 1 point if using a computer, or
12 pitch (elite) if using a typewriter. If more than one existing facility is
being replaced or improved, provide a separate summary for each facil-
ity. For co-located projects, provide a separate summary of the service
limitations of the school library.
8. Physical limitations of existing library facilities with Executive
Summary
If existing facilities will be replaced or improved, applicants shall pro-
vide an analysis of the physical limitations of existing public library
buildings for the following categories. For co-located joint-use projects,
if there are existing facilities that will be replaced or improved, also pro-
vide an analysis of the physical limitations of the existing school libraries
for the same categories
a. Structural.
b. Energy conservation.
c. Health and safety.
d. Disabled access.
e. Acoustics.
f. Space flexibility/expandability.
g. Functional spatial relationships,
h. Site.
i. Any other considerations.
Applicants shall provide an Executive Summary which will give a nar-
rative overview of the physical Umitations of the existing library facility
based on categories a-i listed above, summarizing how the facility is in-
adequate, hazardous, ineffective, or inefficient. If more than one existing
facility is being replaced or improved, provide a separate summary for
each facility. The summary shall not exceed two, single-spaced typed
pages. Limit type size to no smaller than 1 1 point if using a computer, or
12 pitch (elite) if using a typewriter. For co-located projects, provide a
separate summary of the physical limitations of the school library.
9. Space Needs Assessment
Provide a listing of the assignable square footage allocations needed
for the proposed project and an analysis of how they were determined for
the following categories:
a. Library Collections
(1) Describe the current status of the library collections and capacity
of the proposed building to house the collections in the future.
(2) Discuss collection development and provide justification for the
size and types of proposed collections based on demographics, previous
as well as anticipated purchasing patterns, verifiable library use statistics,
and any standards or guidelines used.
(3) Provide a summary of all projected collections to be housed in the
proposed library, including the size, format, category, and subcategory
of each collection. Include the volumes per linear foot and assumptions
regarding the percentage of collection in circulation.
(4) Provide a chart showing the calculations used to translate each
collection subcategory into space needs. Provide the conversion factors
used in the calculations such as type of shelving or storage unit, the num-
ber of volumes per shelving or storage unit, the number of shelving or
storage units needed to house the collection, the number of assignable
square feet per shelving or storage unit, and the amount of assignable
square footage needed to house the shelving or storage units.
b. Readers' Seats
(1) Describe the number, type, and allocation of all patron seating
needed to meet the requirements of the proposed facility.
(2) Identify standards utilized in determining the amount of seating.
(3) Describe the calculations used to translate the various types of
readers' seating into space needs, providing the conversion factors used
to calculate the required assignable square footage.
c. Technology
(1) Identify and describe the number and types of technology equip-
ment (computers, printers, servers, routers, other computer peripherals,
and telecommunications equipment, etc.) and workstations required to
support the operation of the proposed facility.
(2) Describe the calculations used to translate the technology equip-
ment needs into space needs, providing the conversion factors used to
calculate the assignable square footage needed to accommodate the
equipment and workstations.
d. Staff Offices and Workstations
(1) Describe the projected staff organization and provide any stan-
dards used in determining the size of the projected staff.
(2) Provide the resulting number of staff workstations (public, office,
and workroom) needed to provide the desired service level in the pro-
posed facility, and indicate the proposed allocation of staff workstations.
(3) Describe the calculations used to translate the office and worksta-
tion needs into space needs, providing the conversion factors used to cal-
culate the assignable square footage to house the various types of
workstations.
e. Meeting Room Requirements
( 1 ) Describe the number and capacity of meeting rooms for the pro-
posed library. Indicate how this space supports the library's plan of ser-
vice and provide an allocation of the space.
(2) Describe the calculations used to determine the amount of meeting
room assignable square footage required, providing conversion factors
used to calculate the assignable square footage needed for the various
types of meeting room seats.
f. Special Purpose: Miscellaneous Space Needs
(1 ) Describe any other miscellaneous spaces or equipment that have
been identified, indicating their intended use and how they support the
Ubrary's plan of service and providing an allocation of space.
(2) Describe the calculations used to determine the amount of special
purpose assignable square footage required, providing the conversion
factors used to calculate the assignable square footage needed for each
type of furnishing and equipment or space.
g. Non-Assignable Space
Provide the assumptions made v/ith respect to the percentage of non-
assignable square footage as v/ell as the amount of non-assignable
square footage.
Appendix 4
Library Plan of Service Components
As required in section 20440(d)(3). all applicants shall submit a copy
of a Library Plan of Service that highlights major services to be provided
and how they respond to the needs identified in the Community Library
Needs Assessment. The plan shall include, but is not limited to, the fol-
lowing components:
Page 192.97
Register 2003, No. 12; 3-21-2003
§ 20440
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
1 . Library Plan of Service
Applicants shall submit a Library Plan of Service that describes how
the needs of the residents in the library service area, as identified in the
Community Library Needs Assessment, will be met by the proposed
project.
The Library Plan of Service shall include:
2. Executive Summary
Provide an Executive Summary of the Library Plan of Service, high-
lighting major services to be provided and how they respond to the needs
identified. The Executive Summary shall not exceed two typed pages.
3. Mission statement
a. Describe the mission of the public library.
b. For co-located joint use projects, also include the school's mission
statement for providing library services to their students.
4. Goals and objectives
Describe the goals, objectives, roles, and service indicators for library
services for the library project service area and how they respond to the
information gathered in the Community Library Needs Assessment.
5. Types of services to be offered
a. All applicants
Provide a detailed description of the types of services that will be of-
fered as well as an implementation plan. Describe staffing, program-
ming, hours of service, collections and any special services along with
other relevant community services or partnerships such as adult educa-
tion, senior citizen, literacy and after school programs, etc. Indicate how
the overall plan of service meets the needs of the residents of the library
service area.
b. Co-located joint use projects
Applicants with co-located joint use projects shall describe how the
project' s Library Plan of Service will meet the needs of the K- 1 2 student
population identified for this project. Describe how this service is differ-
ent from what would be provided for the proposed project's clientele if
there were no joint use cooperative agreement.
c. Joint venture projects
Applicants with joint venture projects, describe how the project's Li-
brary Plan of Service will meet the needs of the K-12 student population
identified for this project. Describe why the specific service(s) (home-
work center, career center, family literacy center, computer center, sub-
ject-specialty learning center, shared electronic and telecommunication
library services, or other collaborative library services that directly bene-
fit K-12 students) was selected to meet the student needs.
6. Jurisdiction-wide service
Describe how the proposed project fits into the overall plan of service
for the library jurisdiction.
7. Technology
a. All applicants shall describe how the Library Plan of Service inte-
grates appropriate electronic technologies in response to the service
needs identified in the Community Library Needs Assessment and shall
include a description of how information technologies will be imple-
mented to integrate, support, or extend the delivery of library services to
the residents of the service area.
b. Applicants with joint use projects shall also describe how electronic
technologies will be used to meet the needs of K-12 students as identified
in the Community Library Needs Assessment.
c. The applicant shall provide an Executive Summary which will give
a narrative overview of how the Library Plan of Service integrates ap-
propriate electronic technologies in response to the service needs identi-
fied in the Community Library Needs Assessment. Include a description
of how information technologies will be implemented to integrate, sup-
port, or extend the delivery of library services for the proposed project
now and in the future. Joint use project applicants shall also describe how
electronic technologies will be used to meet the needs of K-12 students
as identified in the Community Library Needs Assessment. The summa-
ry shall not exceed two, single-spaced typed pages. Limit type size to no
smaller than 1 1 point if using a computer, or 12 pitch (elite) if using a
typewriter.
Appendix 5
Library Building Program Components
As required in section 20440(d)(4). all applicants shall submit a copy
of a Library Building Program that demonstrates how the Library Plan
of Service will be implemented in the project. The building program shall
include, but is not limited to. the following components:
1. Table of contents with page numbers for each division
2. Overview and introduction
Applicants shall:
a. Provide a general introduction to the project, including an overview
of the need for the project and a time schedule for the project.
b. Discuss the relationship of the library building program to the archi-
tectural design process.
c. Identify and discuss the roles and interrelationships of the library
building team members.
3. General Requirements of the Library Building
Applicants shall provide a general narrative for the entire library that
addresses the following items, as appropriate:
a. Occupancy by staff and patrons.
b. Type and size of collections.
c. Flexibility and expandability.
d. Staff efficiency.
e. Energy efficiency.
f. Fenestration.
g. Space finishes.
h. Access for the disabled.
i. Acoustics.
j. Environmental condifions (HVAC).
k. Illuminadon.
/. Power and data communication requirements.
m. Security systems.
n. Signs.
o. Audio-visual systems.
p. Visual supervision.
q. Master list of furniture and equipment.
4. Spatial Relationships
Applicants shall describe the relationships of the various spaces in the
proposed library through the use of a narrative, spatial diagram, or ma-
trix.
5. Summary of Facility Space Requirements
Applicants shall provide a summary of the spaces in the proposed li-
brary, showing the name of each space and its respecUve assignable
square footage.
6. Space Descripfions
Applicants shall provide a description of each individual space utiliz-
ing the following items as applicable:
a. Assignable square footage.
b. Occupancy by staff and patrons.
c. Type and size of collections.
d. Funcfional acfivity description.
e. Spafial relationships.
f. Flexibility and expandability.
g. Fenestration,
h. Space finishes.
i. Access for the disabled.
j. Acousdcs.
k. Environmental conditions (HVAC).
/. Illumination.
m. Power, data, and audiovisual communications requirements.
n. Security requirements.
o. Visual supervision.
p. Signs.
q. A listing of required furniture and equipment.
7. Preliminary project budget
•
Page 192.98
Register 2003, No. 12; 3-21-2003
Title 5
California State Library
§ 20444
•
Applicants shall provide a preliminary capital outlay project budget
for the proposed facility.
Appendix 6
Requirements for Site Lease and Lease-Purchase
Agreements
An applicant that is placing a proposed project on a site secured by a
lease or a lease-purchase agreement shall conform to the following re-
quirements:
1. Public Agency Owner
If the lessor is a pubUc agency:
a. The agreement shall provide that the applicant, as lessee, shall have
full and undisturbed access to the site at all times to build and operate a
public library during the length of the lease.
b. The term of the agreement shall be a minimum of 40 years following
Substantial Completion of the project unless ownership shall otherwise
transfer to the lessee before this time period has expired.
c. The title report shall indicate that there are no superior liens (deeds
of trust or other rights) in the leased property.
d. The agreement shall provide that any subsequent encumbrance on
the property (e.g. deed of trust) or sale of the property must be subject to
the lease or lease-purchase agreement.
e. Either full rental shall be paid in a lump sum up front or the lessee
shall covenant to budget for rent each year.
f. The lessor's remedies for any default by the lessee, including failure
to pay rent, cannot include cancellation of the lease, retaking of the prop-
erty, or eviction of the lessee. The only remedy is suit for rent or specific
performance to remedy any specific breach.
g. The lessor shall demonstrate that the agreement is legally authorized
and has been properly approved and executed by the lessor and is en-
forceable against the lessor. Lessor shall provide a legal opinion to this
effect, and the applicant shall submit the legal opinion with the applica-
tion.
h. The applicant, as lessee, shall demonstrate that the agreement is le-
gally authorized and has been properly approved and executed and is en-
forceable against the lessee. The applicant shall submit a legal opinion
to this effect with the application.
2. Private Owner
If the lessor is a private entity, in addition to the items in 1 above, the
applicant shall submit a legal opinion with the application that either:
a. The lessor is an entity which cannot enter bankruptcy proceedings
under the Federal Bankruptcy Code, or
b. The lease or lease purchase agreement cannot be rejected by the les-
sor in the event of bankruptcy.
§ 20442. Submission of Applications and Grant Awards.
(a) Submission of applications; deadlines for application cycles and
grant amounts; late or incomplete application submissions
( 1 ) Application location - Submit applications for each funding cycle
to:
BOND ACT nSCAL OFFICER
OFFICE OF LIBRARY CONSTRUCTION
1029 J STREET. SUITE 400
SACRAMENTO, CA 95814-2825
(2) Funding cycles
(A) First funding cycle
1 . The application deadline for the first funding cycle is 5:00 p.m. on
June 14,2002.
2. In the first funding cycle the Board will award grants totaling no
more than $150,000,000.
(B) Second funding cycle
1. The application deadline for the second funding cycle is 5:00 p.m.
on March 28, 2003.
2. In the second funding cycle the Board will award grants totaling no
more than $110,000,000.
(C) Third funding cycle
1. The application deadline for the third funding cycle is 5:00 p.m. on
January 16,2004.
2. All remaining grant funds will be awarded in the third funding cycle.
(3) Late applications not considered
If an application, or documents required to support the application, are
not received by the Board's deadline for application, the application shall
not be considered by the State Librarian or Board for grant approval dur-
ing the funding cycle.
(4) Incomplete applications not considered
If applications, or documents required to support the application, are
incomplete, the application shall not be considered by the State Librarian
or Board for grant approval during the funding cycle.
(b) Corrections to the project application
If, due to oversight or clerical error, the information provided by the
applicant during the application process proves to be inaccurate, the Slate
Librarian, at his or her discretion, may make minor adjustments to correct
obviously inaccurate information in applications.
(c) One application per project
Applicants may submit only one application for each proposed project
during any single application cycle.
(d) Resubmission of a project application
Applicants may resubmit project applications that were not funded in
one application cycle for a subsequent funding cycle by submiuing a
complete project application.
(e) Changes in projects after grant award
( 1 ) If there are proposed changes to the project after grant award that
significantly modify the project, applicants shall submit the proposed
changes to the State Librarian for review and authorization.
(2) The State Librarian has the sole authority to determine if a change
is significant.
(3) If the State Librarian does not approve the change, the grant recipi-
ent may appeal the State Librarian's decision to the Board.
(4) The decision of the Board regarding a change in the project is final
and binding.
(f) Value determined by mutual agreement
For purposes of Education Code section 1 9999(c) regarding the return
of State grant funds, determining the value of the facility and land by
mutual agreement shall mean by an appraisal prepared by an independent
certified appraiser as specified in section 20436(a).
NOTE: Authority cited: Section 19992, Education Code. Reference: Sections
19988, 19989, 19992, 19993, 19995, 19996, 19997, 19998 and 19999, Education
Code.
History
1. New section filed 1 2-5-2001 ; operative 1-4^2002 (Register 2001, No. 49).
§ 20444. State Payments; Fiscal and Program Compliance
Review.
(a) Frequency of State grant payments; original signatures
(1) The State Librarian shall authorize State grant payments to the
grant recipient on a periodic reimbursement basis. Payments shall be
made no more frequently than on a monthly basis.
(2) Payment requests shall state that the reimbursement request is be-
ing made only for eligible project costs.
(3) Payment requests shall be submitted with an original signature of
the grant recipient's fiscal officer or that officer's designee.
(b) Final State grant payment
The final State payment of 10% will be made when:
(1) All eligible project costs have been paid.
(2) The grant recipient certifies building completion by providing a
compliance letter from the local building official verifying:
(A) The date of Substantial Complefion of the project.
(B) The building was completed in accordance with the approved
plans and specifications.
(C) The building has been approved for occupancy.
(D) Book stack installation has been completed.
Page 192.99
Register 2003, No. 12; 3-21-2003
§ 20444
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(3) The grant recipient shall submit evidence that the State's interest
in the building and the land has been recorded in the title record [see
Education Code section 19999].
(4) Certified Public Accountant (CPA) review and audit submission
(A) CPA review
Following completion of the project, the grant recipient shall submit
a final fiscal and program compliance review performed by an indepen-
dent CPA utilizing standards established by the American Institute of
Certified Public Accountants. To be considered independent, the CPA
shall not be an employee of the grant recipient or the grant recipient's li-
brary service provider. The CPA review shall be submitted to the State
Librarian prior to release of the final 10% of State project funds.
(B) Audit Submission with the CPA review
1 . In addition to (A), grant recipients who are subject to the Single Au-
dit Act, Title 31 United States Code sections 7501 through 7507, shall
submit a copy of their most recent Single Audit report to the State Librari-
an with the CPA review.
2. Recipients who are not subject to the Single Audit Act shall submit
a copy of their most recent jurisdictional audit report with the CPA re-
view.
(5) CPA Review deadline
(A) Grant recipients shall submit the CPA review no later than 18
months following Substantial Completion of the construction contract
for the project.
(B) If a CPA review indicating fiscal and program compliance is not
received within 18 months following Substantial Completion, the State
may hire a CPA to conduct the review. The final 10% of grant funds shall
be reduced by the cost of the CPA review.
NOTE: Authority cited: Section 19992, Education Code. Reference: Sections
19989, 19990 and 19999, Education Code.
History
1. New section filed 12-5-2001; operative 1^^2002 (Register 2001, No. 49).
•
* *
Page 192.100
Register 2003, No. 12; 3-21-2003
.A.
Barclays Official
California
Code of
Regulations
Title 5. Education
Division 3. Teachers' Retirement System
Vol.6
XHOIVISOiSI
*
\A/EST
Barclays Official California Code of Regulations
425 Market Street • Fourth Floor • San Francisco, CA 94105
800-888-3600
Title 5
Teachers' Retirement System
Table of Contents
Division 3. Teachers' Retirement System
Table of Contents
Page
Page
Chapter 1.
Teachers' Retirement System 193
Article 1.
§ 20500.
Article 2.
§ 20510.
§20511.
§20512.
§20512.5.
§20513.
§20514.
Article 3.
§ 20520.
§20521
§ 20522
§ 20523
§ 20524
§ 20525
§ 20526
§ 20527
§ 20528
§ 20529
§ 20530
§ 20531
§ 20532
§ 20533
§ 20534
§ 20535
§ 20536
§ 20537
§ 20538
§ 20539
§ 20540
§ 20541
§ 20542
§ 20543
§ 20543
§ 20544
Article 4.
§ 20547.
§ 20548.
§ 20549.
§ 20550.
Definitions 193
Definitions.
Rules of Procedure 193
Meetings.
Notice of Regular and Special
Meetings.
Emergency Meetings.
Special Meetings.
Quorum; Required Vote.
Secretary; Duties.
General Provisions of
Administration 193
Authority of Chief Executive
Officer.
Time Required for Credit.
Funds Disbursed According to
Claims.
Proof of Death.
Statement of Service and Claims.
Statement of Account.
Required Days of Service for Sick
Leave Credit.
Deductions; Local Retirement
Systems.
Deposit of Contributions.
Remitting Contributions and
Report.
Termination of Employment.
Application for Retirement.
Repayment of Withdrawn
Contributions.
Option to Repay Withdrawn
Contributions.
Deposit of Retirement Annuity Fund
Contribufions.
Election to Pay Contributions.
Election to Redeposit.
Part-Time Employee — Disability
Retirement.
Adjustment of Final Compensation.
Full-Time Employment to Quahfy
for Reduced Workload.
Definitions of "Full-Time Student"
and "Educational Institution."
"Family or Disability Benefits."
Verification of Date of Birth.
Permissive Payments to System to
Obtain Additional Service Credit.
Mandatory Payments to System by
Member, Beneficiary or Retirant.
Determination of Member's Final
Compensation.
Tax Sheltered Annuity
Contributions
Tax Sheltered Annuity.
Tax Sheltered Annuity
Contributions.
Resolution.
Amendment of Employment
Contract.
195
§ 2055 1 . Limit on Tax Sheltered
Contributions.
§ 20552. Transmittal and Report of Tax
Sheltered Annuity Contributions,
§ 20553. Vv'ithdrawal,
§ 20554. Tax Sheltered Annuity Program.
§ 20554. 1 . Discontinuance of Former Tax
Sheltered Annuity Program.
§ 20555. Investment of Tax Sheltered
Annuity Funds.
§ 20556. Resolution by Contracting
Employer.
§ 20557. Transmittal and Report of Tax
Sheltered Annuity Contributions.
§ 20558. Withdrawal for Emergencies.
§ 20558.1. Community Property Interest.
Article 5. Retired Members Employed as
Substitute Teachers 196
§ 20559. Monthly Reports by Governing
Board.
§20560. Amount of Contribution.
Article 6. Nomination of Beneficiaries 196
§ 20570. Nomination of Beneficiaries.
§20571. Beneficiary Under Trust.
Article 7. Election of Options 196
§ 20580. Optional Elections in Advance of
Retirement.
§ 20581 . Eady Retirement Limited Term
PLeduction Program.
Article 8. Rates 197
§ 20600. FLegular Interest Rate.
§20601. Credited Interest Rate.
§ 20602. When Interest Is Not Chargeable.
§ 20603. Present Value Factor.
§ 21000. Penalty Rale on Late Employer and
Employee Contributions.
§ 21001 . Employer Contribufion Rate for
FLeduced Workload Program.
§ 21002. Actuarial Normal Cost Rate for
Additional Service Credit.
Article 10. Dependents 197
§21020. Dependent Husband.
§ 2 1 02 1 . Dependent Parent.
§ 2 1 022. Step-Child— When Qualified for
Benefit.
§ 21023. Providing Information to the
Teachers' Retirement Board.
Article 11. State Teachers' Retirement
System — Conflict of Interest
Code 197
§ 22000. General Provisions.
Appendix A 198
Article 12. Unused Excess Sick Leave 199
§ 23000. Definitions.
§23001. Certification.
§ 23002. Billing.
§ 23003. Payment.
§ 23004. Determination of Excess Sick Leave
Days.
§ 23005. Delegation of Authority of Board to
Chief Executive Officer.
Page i
Table of Contents BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 5
Page
Article 13. Election of Members to the § 24009. Elections for Vacant Elected Seats.
Article 14. Investment Relationships and
Campaign Contributions 200.2
§ 24010. Prohibitions on Campaign
Contributions.
§ 2401 1 . Disclosure and Recusal
Requirement for Campaign
Contributions.
§ 24012. Remedies, Enforcement and Safe
Harbors.
i} 24013. Definitions.
13.
Election of Members to the
Teachers' Retirement Board . . .
. .. 199
§ 24000.
Board Member Elections.
§ 24001.
Notice of Election.
§ 24002.
Nomination of Candidates.
§ 24003.
Candidate Statements.
§ 24004.
Ballot Distribution.
i? 24005.
Ballot Counting.
55 24006.
Notice of Election Results.
§ 24007.
Recount of an Election.
§ 24008.
Protest of an Election.
Page
(1-18-2008)
Title 5
Teachers' Retirement System
§ 20520
Division 3. Teachers' Retirement System
Chapter 1. Teachers' Retirement System
Article 1. Definitions
§ 20500. Definitions.
As used in this chapter:
(a) "Accredited" means official recognition of an educational institu-
tion, by an authorized public authority or other generally recognized au-
thority, that such institution maintains standards which qualify its gradu-
ates for admission to higher or more specialized institutions or for
professional or trade practices.
(b) "Certificated" means the holding by a person of a credential which
is required by the laws of the state to be held as a condition to valid em-
ployment in the position in which such person is employed.
(c) "Chairperson" means Chairperson of the Teachers' Retirement
Board, duly elected in the manner prescribed by Education Code section
22200.
(d) "Credential." "credentials" and "certificate" mean any hfe diplo-
ma, credential, certificate, or other document provided for by, and issued
pursuant to the laws of the state which authorize service in the public
school system of this state.
(e) "Emergency meeting" means a meeting of the Teachers' Retire-
ment Board held because of an unforeseen emergency condition.
(t) "Regular meeting" is a meeting held in accordance to a schedule of
meetings stating the dates and places of the meetings adopted by the
Teachers" Retirement Board.
(g) "Special meeting" is a nonemergency meeting held by the Teach-
ers' Retirement Board at a time other than when a regular meeting is held
for considering and acting upon such matters, and no others, as are in-
cluded in the notice of special meeting.
(h) "Unforeseen emergency condition" means a circumstance or a
combination of circumstances which may result in monetary loss to the
system, or otherwise impair the integrity or operation of the system, or
result in unconscionable hardship or monetary loss of a member, disabili-
tant or retirant unless the Teachers' Retirement Board acts without being
required to provide at least seven days" notice before acting.
(i) "Vice Chairman" means the vice chairman of the Teachers" Retire-
ment Board, duly elected in the manner prescribed by Education Code
section 22200.
NOTE: Authority cited: Sections 22202, 22209 and 2221 0, Chapter 4, Division 10,
Education Code. Reference: Sections 22216 and 22224, Education Code.
History
1 . Amendment filed 10-15-76; effective thirtieth day thereafter (Register 76, No.
42). For prior history, see Register 74, No. 33.
2. Amendment of section and NOTE filed 5-6-77; effective thirtieth day thereaf-
ter (Register 77. No. 19).
Article 2. Rules of Procedure
§20510. Meetings.
The Teachers' Retirement Board shall meet at least once every calen-
dar quarter at such times as it may determine. The meetings shall be pres-
ided over by a chairperson elected by the Teachers' Retirement Board
from among its members. In the event of absence from a meeting of the
chairperson, the vice chairperson, elected by the Teachers' Retirement
Board from among its members, shall act as presiding officer and per-
form ail other duties of the chairperson.
History
1 . Renumbering from Section 20500. 1 filed 8-28-70; effective thirtieth day there-
after (Register 70. No. 35).
2. Ainendment filed 10-15-76; effective thirtieth day thereafter (Resiistcr 76. No.
42).
§ 2051 1 . Notice of Regular and Special Meetings.
Note: Authority cited: Sections 22209 and 22210, Education Code. Reference:
Section 22202. Education Code: and Section 87300, Government Code.
History
1. Amendment and renumbering from Section 20500.4 filed 8-28-70: effective
thirtieth day thereafter (Regis"ter 70. No. 35).
2. Amendment filed 8-14-74; effective thirtieth day thereafter (Register 74. No.
33).
3. Amendment filed 10-15-76; effective thirtieth day thereafter (Register 76. No.
42).
4. Repealer filed 4-19-85; effective upon filing pursuant to Government Code
Section 1 1346.2(d) (Register 85, No. 16).
§20512. Emergency Meetings.
NOTE: Authority cited: Sections 22209 and 22210. Education Code. Reference:
Section 22202, Education Code: and Section 87300, Government Code.
History
1. Amendment and renumbering from .Section 20500.2 filed 8-28-70: effective
thirtieth day thereafter (Register 70. No. 35).
2. Ainendment filed 8-14-74; effective thirtieth day thereafter (Register 74, No.
33).
3. Ainendment filed 10-1 5-76; effective thirtieth day thereafter (Register 76, No.
42).
4. Repealer filed 4-19-85; effective upon filing pursuant to Government Code
Section 11 346.2(d) (Register 85, No. 16).
§20512.5. Special Meetings.
NOTE: Authority cited: Secfions 22209 and 22210. Education Code. Reference:
Secdon 22202, Education Code; and Section 87300, Government Code.
History
1 . Amendment and renumbering from Section 205 1 2 filed 8- 1 4-74: effective thir-
tieth day thereafter (Register 74, No. 33).
2. Amendment filed 10-15-76; effective thirtieth day thereafter (Register 76.No.
42).
3. Repealer filed 4-19-85; effective upon filing pursuant to Government Code
Section 1 1. 346.2(d) (Register 85, No. 16).
§ 20513. Quorum; Required Vote.
The quorum of the Teachers' Retirement Board shall consist of the
majority of the Board members. In determining whether a quorum is
present, vacant positions on the Teachers' Retirement Board shall not be
considered. The concurrence of the majority of the members present shall
be necessary to the validity of any of the Teachers' Retirement Board's
acts.
Note: Authority cited: Secfions 22209 and 22210, Educafion Code. Reference:
Section 22202, Education Code; and Section 87300, Government Code.
History
1 . Renumbering from Section 205(X).5 filed 8-28-70; effective thirtieth day there-
after (Register 70, No. 35).
2. Amendment filed 10-15-76; effecfive thirtieth day thereafter (Register 76. No.
42).
3. Amendment filed 4—1 9-85; effective upon filing pursuant to Government Code
Secfion 11346.2(d) (Register 85, No. 16).
§20514. Secretary; Duties.
The chief executive officer shall act as secretary of the Teachers" Re-
tirement Board. He shall have charge of all of its correspondence and
shall keep a record of its proceedings.
History
1. Amendment and renumbering from Secfion 20500.3 filed 8-28-70; effective
thirtieth day thereafter (Register 70, No. 35).
2. Amendment filed 10-15-76; effecfive thirtieth day thereafter (Register 76. No.
42).
Article 3. General Provisions of
Administration
§ 20520. Authority of Chief Executive Officer.
The chief executive officer of the system is authorized and empowered
to correct a member's record and to approve, disapprove, modify or
otherwise act on the retirement of members of the system for service or
Page 193
Register 2000, No. 43; 10-27-2000
§ 20521
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
for qualifying for and receiving a disabilily allowance, and to fix their re-
tirement allowances or disability allowances; and to approve, disap-
prove, modify or otherwise act on any application for any other benefit
or refund and for granting service credit; and to determine whether per-
sons who have qualified for and are receiving disability allowances have
recovered from the disabilities which qualified them for disability allow-
ances and to determine the eligibility of persons for family allowances.
Payment of retirement allowances, disability allowances, family allow-
ances, refunds or other benefits may be made on the action of the chief
executive officer.
The chief executive officer is authorized to enter into contracts on be-
half of the Teachers" Retirement Board and to perform other acts neces-
sary in the administration of the system. The Teachers' Retirement Board
may by resolution adopted at any meeting and recorded in the minutes
of the meeting, delegate authority to him to perform any act within its
own power to perform.
Any member, former member, disabilitant. retirant, beneficiary or
other person dissatisfied with the action of the chief executive officer,
other than his referral of the matter to hearing, with respect to payment
of allowances, benefits or refunds or with respect to crediting service or
correction of records, has the right to appeal such action to the Teachers'
Retirement Board by filing a written notice of such appeal and the reason
therefor at the office of the system within a reasonable time from the date
of the mailing to him by the chief executive officer at his most recent ad-
dress of record with the system of written notice of the determination or
action taken and right of appeal therefrom. For the purpose of defining
a "reasonable time" ninety (90) days is deemed to be a reasonable time.
If no notice of appeal as herein provided is made within the time pre-
scribed, such determination or action shall be final.
NOTE; Authority cited: Sections 22202, 22203, 22204, 22209. 22210, 22216 and
22224, Education Code.
History
1. Amendment of NOTE filed 5-6-77; effective thirtieth day thereafter (Register
77, No. 19). For prior history, see Register 76, No. 42.
§ 20521 . Time Required for Credit.
The following members who are employed by the day or by the hour
shall have 1 75 days or 1 ,050 hours as the basis for determining their eam-
able compensation for a school year:
(a) Those who are employed as substitutes but who can not be paid for
school holidays;
(b) All others who are normally not employed for more than 175 days
or 1 ,050 hours.
Full-time day service, or full-lime service as performed by members
whose normal tours of duty extend throughout the school term (hereby
defined for purposes of this retirement system as being the period begin-
ning with the day upon which school commences and ending with the day
upon which school closes in the same year) shall be performance of as-
signed duties for six hours per day for five days per week, or the equiva-
lent thereof. Performance of assigned duty for a shorter period than six
hours for five days per week, or the equivalent thereof, such as but not
limited to performance of duUes for four hours per day for five days per
week, but for which such member receives compensation in the same
amount as he would have received if such performance were six hours
per day for five days per week, shall nevertheless be counted as a full-
fime day or full-fime service.
History
1 . Renumbering from Section 20502 filed 8-28-70; effective thirtieth day thereaf-
ter (Register 70, No. 35). For prior history, see Register 68, No. 34.
§ 20522. Funds Disbursed According to Claims.
History
1. Amendment and renumbering of Section 20503 filed 8-28-70; effective thir-
tieth day thereafter (Register 70, No. 35). For prior history, see Register 64, No.
11.
2. Repealer filed 8-14-74; effective thirtieth day thereafter (Register 74, No. 33).
§ 20523. Proof of Death.
History
1 . Repealerofformer Section 20504 and new section filed 8-28-70; effective thir-
tieth day thereafter (Register 70, No. 35). For prior history, see Register 60, No.
13.
2. Repealer filed 1-29-75; effective thirtieth day thereafter (Register 75, No. 5).
§ 20524. Statement of Service and Claims.
History
1 . Amendment and renumbering from Section 20505 filed 8-28-70; effective thir-
tieth day thereafter (Register 70, No. 35).
2. Repealer tiled 1-29-75; effective thirtieth day thereafter (Register 75, No. 5).
§ 20525. Statement of Account.
History
1 . Amendment filed 5-31-60; effective thirtieth day thereafter (Register 60. No.
13).
2. Amendment and renumbering from Section 20506 filed 8-28-70; effective thir-
tieth day thereafter (Register 70, No. 35).
3. Repealer filed 8-14-74; effective thirtieth day thereafter (Register 74, No. 33).
§ 20526. Required Days of Service for Sick Leave Credit.
NOTE; Authority cited: Sections 22202, 22209, 22210, 22216 and 22224, Chapter
4. Division 10, Education Code. Reference: Section 22720, Education Code.
History
1 . New section filed 8-14-74; effective thirtieth day thereafter (Register 74, No.
33). For history of former section see Register 73, No. 27).
2. Amendment of Note filed 5-6-77; effective thirtieth day thereafter (Register
77, No. 19).
3. Change without regulatory effect repealing section filed 10-24-2000 pursuant
to section 100, title 1, California Code of Regulations (Register 2000, No. 43).
§ 20527. Deductions; Local Retirement Systems.
History
1. Repealer filed 7-6-73; effective thirtieth day thereafter (Register 73, No. 27).
For prior history, see Register 70, No. 35.
§ 20528. Deposit of Contributions.
History
1 . Repealer filed 7-6-73; effective thirtieth day thereafter (Register 73, No. 27).
For prior history, see Register 70, No. 35.
§ 20529. Remitting Contributions and Report.
History
1 . Repealer filed 7-6-73; effective thirtieth day thereafter (Register 73, No. 27).
For prior history, see Register 70, No. 35.
§ 20530. Termination of Employment.
History
1 . Repealer of former Section 205 10 and new section filed 8-28-70; effecfive thir-
tieth day thereafter (Register 70, No. 35). For history of former section, see Reg-
ister 26, No. 3.
2. Repealer filed 1-29-75; effective thirtieth day thereafter (Register 75, No. 5).
§ 20531 . Application for Retirement.
NOTE: Authority cited: Sections 13864 and 14304, Education Code.
History
1. New section filed 1 1-20-63 as an emergency; effective upon filing (Register
63, No. 23).
2. Certificate of Compliance — Section 1 1422. 1 , Government Code, filed 2-19-64
(Register 6, No. 4).
3. Renumbering from Secfion 20510.1 filed 8-28-70; effective thirtieth day there-
after (Register 70, No. 35).
4. Repealer filed 1-29-75; effective thirtieth day thereafter (Register 75, No. 5).
§ 20532. Repayment of Withdrawn Contributions.
History
1 . Repealer filed 8-14-74; effective thirtieth day thereafter (Register 74, No. 33).
For prior history, see Register 70, No. 5.
§ 20533. Option to Repay Withdrawn Contributions.
History
1 . Amendment and renumbering from Section 205 12 filed 8-28-70; effecfive thir-
tieth day thereafter (Register 70, No. 35). For prior history, see Register 65, No.
18.
2. Repealer filed 8-14-74; effective thirtieth day thereafter (Register 74, No. 33).
Page 194
liegister 2000, No. 43; 10-27-2000
Title 5
Teachers' Retirement System
§ 20549
•
§ 20534. Deposit of Retirement Annuity Fund
Contributions.
History
1. Amendment and renumbering of Section 20313 filed 8-28-70; effective thir-
tieth day thereafter (Reeister 70. No. 35). For prior history, see Register 59. No.
18.
2. Repealer filed 8-14-74; effective thirtieth day thereafter (Register 74, No. 33).
§ 20535. Election to Pay Contributions.
NOTF.: Authority cited: Sections 13872 and 13879, Chap. 4, Div. 10. Education
Code.
History
1. New section filed 8-28-70; effective thirtieth day thereafter (Register 70, No.
35).
2. Repealer filed 1-29-75: effective thirtieth day thereafter (Register 75. No. 5).
§ 20536. Election to Redeposit.
History
1. New section filed 8-28-70; effective thirtieth day thereafter (Register 70. No.
.\5).
2. Repealer filed 1-29-75; effective thirtieth day thereafter (Register 75, No. 5).
§ 20537. Part-Time Employee — Disability Retirement.
History
1 . New section filed 8-28-70; effective thirtieth day thereafter (Register 70, No.
35).
2. Repealer filed 8-14-74; effective thirtieth day thereafter (Register 74, No. 33).
§ 20538. Adjustment of Final Compensation.
NOTE: Authority cited: Sections 22202, 22204. 22209, 22210, 22216 and 22224,
Education Code. Reference: Section 22127, Education Code.
History
1. New section filed 1-29-75; effective thirtieth day thereafter (Register 75, No.
5). For history of former section, see Register 74, No. 33.
2. Amendment of Note filed 5-6-77; effective thirtieth day thereafter (Register
77, No. 19).
3. Change without regulatory effect repealing section filed 10-24-2000 pursuant
to section 100, title 1, California Code of Regulations (Register 2000, No. 43).
§ 20539. Full-Time Employment to Qualify for Reduced
Workload.
NOTE: Authority cited: Secfions 22209. 22210, 22211 and 22216, Education
Code. Reference: Secfions 22214, 22224. 22724 and 44922, Education Code.
History
l.New section filed 12-19-75; effective thirtieth day thereafter (Register 75, No.
51 ). For history of former section, see Register 74, No. 33.
2. Amendment of secfion and NOTE filed 5-6-77; effective thirtieth day thereaf-
ter (Register 77, No. 19).
3. Repealer filed 4-19-85; effecfive upon filing pursuant to Government Code
Section 1 1346.2(d) (Register 85. No. 16).
§ 20540. Definitions of "Full-Time Student" and
"Educational Institution."
NOTE: Authority cited: Sections 13872, 13879, 13885 and 13896, Educafion
Code.
History
1. New section filed 7-7-72; effecfive thirtieth day thereafter (Register 72, No.
28).
2. Repealer filed 1-29-75; effective thirtieth day thereafter (Register 75, No. 5).
§ 20541 . "Family or Disability Benefits."
NOTE: Authority cited: Secfions 13872, 13879, 13885 and 13896, Educafion
Code.
History
1. New section filed 7-7-72; effecfive thirtieth day thereafter (Register 72. No.
28).
2. Repealer filed 1-29-75; effective thirtieth day thereafter (Register 75, No. 5).
§ 20542. Verification of Date of Birth.
NOTE: Authority cited: Secfions 13872, 13879, 13848 and 13899, Educafion
Code. Reference: Secfions 13899, 13930, 13931, Education Code.
History
1. New section filed 10-5-72; effective thirtieth day thereafter (Register 72,
No.4]).
2. Repealer filed 1-29-75; effecfive thirtieth day thereafter (Register 75, No. 5).
§ 20543. Permissive Payments to System to Obtain
Additional Service Credit.
NOTE: Authority cited: Sections 22145, 22202, 22210 and 22226. Education
Code. Reference: Sections 22716, 22802. 22803, 22900, 22901. 22902. 22903.
22904, 23200, 23201, 23202 and 23203, Educafion Code.
History
1. Amendment of Note filed 5-6-77; effective thirtieth day thereafter (Register
77, No. 19). For prior history, see Register 76, No. 42.
2. Change without regulatory effect repealing section filed 10-24-2000 pursuant
to secfion 100, title 1, California Code of Regulations (Register 2000. No. 43).
§ 20543.5. Mandatory Payments to System by Member,
Beneficiary or Retirant.
NOTE; Authority cited: Sections 222132, 22204. 22209, 22210, 22216 and 22224.
Eiducation Code. Reference: Section 23008, Education Code.
History
1. New secfion filed 1-29-75; effective thiitieth day thereafter (Register 75. No.
5).
2. Amendment filed 10-15-76; effecfive thirtieth day thereafter (Register 76, No.
42).
3. Amendment of Note filed 5-6-77; effective thirtieth day thereafter (Register
77, No. 19).
4. Change without regulatory effect repealing secfion filed 10-24-2000 pursuant
to secfion 100, title 1, California Code of Regulations (Register 2000, No. 43).
§ 20544. Determination of Member's Final Compensation.
NOTE; Authority cited: Sections 22145. 22202, 22209. 22210, 22216. 22224 and
22226, Chapter 4, Division 10, Education Code. Reference: Sections 22127,
22145, 22400 and 22401. Educafion Code.
History
1 . New section filed 1 1-22-72; effecfive thirtieth day thereafter (Register 72. No,
48).
2. Amendment of Note filed 5-6-77; effective thirtieth day thereafter (Register
77, No. 19).
3. Amendment filed 2-10-78; effecfive thirtieth day thereafter (Register 78. No.
6).
4. Repealer and new section filed 3-8-79; designated effective 4- 15-79 (Register
79, No. 10).
5. Change without regulatory effect repealing section filed 10-24-2000 pursuant
to secfion 100, title 1. California Code of Regulations (Register 2000, No. 43).
Article 4. Tax Sheltered Annuity
Contributions
§ 20547. Tax Sheltered Annuity.
NOTE: Authority cited: Sections 22202. 22209, 22210, 22231 and 22310, Educa-
tion Code. Reference: Secfions 22231 and 22310, Educafion Code.
History
1. Amendment filed 5-6-77; effecfive thirtieth day thereafter (Register 77, No.
19). For prior history, see Register 76, No. 42.
2. Repealer and new section filed 6-6-79 as an emergency; designated effective
6-30-79. Certificate of Compliance included (Regi.ster 79, No. 23).
3. Repealer filed 11-6-79; designated effective 12-31-79 (Regi.ster 79, No. 45).
§ 20548. Tax Sheltered Annuity Contributions.
NOTE: Authority cited: Sections 22202, 22209, 22210, 22231 and 223 10, Educa-
fion Code. Reference: Secfions 22231 and 22310, Educafion Code.
History
1. Amendment filed 5-6-77; effecfive thirtieth day thereafter (Register 77, No.
19). For prior history. See Register 76, No. 42.
2. Repealer and new section filed 6-6-79 as an emergency; designated effective
6-30-79. Certificate of Compliance included (Register 79, No. 23).
3. Repealer filed 1 1-6-79; designated effective 12-31-79 (Register 79, No. 45).
§ 20549. Resolution.
NOTE: Authority cited: Sections 22202. 22209, 22210. 22231 and 22310. Educa-
fion Code. Reference: Secfions 22231 and 22310, Educafion Code.
History
1. Amendment and renumbering of Section 20516 filed 8-28-70; effective thir-
tieth day thereafter (Register 70, No. 35). For prior history, see Register 64, No.
4.
2. Amendment filed 10-15-76; effecfive thirtieth day thereafter (Register 76, No.
42).
Page 195
Register 2(X)0, No. 43; 10-27-2000
§ 20550
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
3. Repealer and new section filed 6-6-79 as an emergency; designated effective § 20557. Transmittal and Report of Tax Sheltered Annuity
6-30-79. Certificate of Compliance included (Register 79, No. 23). Contributions
4. Repealer filed 1 1-6-79; designated effective 12-31-79 (Register 79, No. 45). nqtE: Authority cited: Sections 22202. 22209, 22210. 22231 and 22310, Educa-
tion Code. Reference: Sections 22231 and 22310, Education Code.
§ 20550. Amendment of Employment Contract. History
NOTE: Authority cited: Sections 22202, 22209, 22210, 22231 and 22310, Educa- 1 ■ New .section filed 9-21-79; effective thirtieth day thereafter (Register 79, No.
tion Code. Reference: Sections 22231 and 22310, Education Code. -^8).
History 2. Repealer filed 3-2-95; operative 4-3-95 (Register 95, No. 9).
1 . New section filed 8-28-70; effective thirtieth day thereafter (Resister 70, No.
35) ^ § 20558. Withdrawal for Emergencies.
2. Repealer filed 10-5-72; effective thirtieth day thereafter (Register 72, No. 41 ). NOTE: Authority cited: Sections 22202, 22209, 22210, 22231 and 22310, Educa-
3. New section filed 6-6-79 as an emergency; designated effective 6-30-79. Cer- ,_.
tificate of Compliance included (Register 79, No. 23). HISTORY
, „ , r-. J., ^ -,« J J i-r • ■-,',, -„^,r. -rrv k, ,c 1 . Ncw scction filcd 9-2 1-79; cffcctive thirtieth day thereafter (Rcglstcr 79, No.
4. Repealer filed 11-6-79; designated effective 12-31-79 (Register 79, No. 45). ^g. j t
. _ . . 2. Repealer filed 3-2-95; operative 4-3-95 (Register 95, No. 9).
§ 20551 . Limit on Tax Sheltered Contributions.
Note; Authority cited: Sections 22202, 22209, 222^10, 22231 and 22310, Educa- § 20558.1 . Community Property Interest.
NOTE: Authority cited: Sections 22202, 22209, 22210, 22231 and 22310, Educa-
tion Code. Reference: Sections 22231 and 22310, Education Code
History
1 . New section filed 6-6-79 as an emergency; designated effective 6-30-79. Cer-
tificate of Compliance included (Register 79, No. 23).
2. Repealer filed 1 1-6-79; designated effective 12-31-79 (Register 79. No. 45).
§ 20552. Transmittal and Report of Tax Sheltered Annuity
Contributions.
NOTE: Authority cited; Sections 22202, 22209, 22210, 22231 and 22310. Educa-
tion Code. Reference: Sections 22231 and 22310, Education Code.
History
1 . New section filed 6-6-79 as an emergency; designated effective 6-30-79. Cer-
tificate of Compliance included (Register 79, No. 23).
2. Repealer filed 1 1-6-79; designated effecfive 12-31-79 (Register 79, No. 45).
§ 20553. Withdrawal.
tion Code. Reference: Sections 22231 and 22310, Education Code.
History
1. New section filed 9-21-79; effective thirtieth day thereafter (Register 79, No.
38).
2. Repealer filed 3-2-95; operative 4-3-95 (Register 95, No. 9).
Article 5. Retired Members Employed as
Substitute Teachers
§ 20559. Monthly Reports by Governing Board.
History
1 . Repealer of former Sections 20525 and 20527 and amendment and renumbering
of Section 20526 filed 8-28-70; effective thirtieth day thereafter (Register 70,
No. 35). For prior history, see Register 68, No. 34.
NOTE: Authority cited: Sections 22202, 22209, 22210, 22231 and 22310, Educa- 2. Repealer filed 1-29-75; effective thirtieth day thereafter (Register 75, No. 5).
tion Code. Reference: Sections 22231 and 22310, Education Code.
History
1 . New section filed 6-6-79 as an emergency; designated effective 6-30-79. Cer-
fificate of Compliance included (Register 79, No. 23).
2. Repealer filed 1 1-6-79; designated effecfive 12-31-79 (Register 79, No. 45).
§ 20554. Tax Sheltered Annuity Program.
NOTE: Authority cited: Sections 22202, 22209, 22210. 22231 and 22310, Educa-
tion Code. Reference: Sections 22231 and 22310, Education Code.
History
1. New section filed 9-21-79; effective thirtieth day thereafter (Register 79, No.
38.)
2. Repealer filed 3-2-95; operative 4-3-95 (Register 95, No. 9).
§ 20554.1 . Discontinuance of Former Tax Sheltered
Annuity Program.
NOTE: Authority cited: Sections 22202, 22209, 22210, 22231 and 22310, Educa-
tion Code. Reference: Sections 22231 and 22310, Education Code.
History
1 . New section filed 9-21-79; effective thirtieth day thereafter (Register 79, No.
38).
2. Repealer filed 3-2-95; operative 4-3-95 (Register 95, No. 9).
§ 20560. Amount of Contribution.
History
1 . Repealer filed 7-6-73; effective thirtieth day thereafter (Register 73, No. 27).
For prior history, see Register 70, No. 35.
Article 6. Nomination of Beneficiaries
§ 20570. Nomination of Beneficiaries.
History
1 . New Section filed 9-18-57; effective thirtieth day thereafter (Register 57, No.
16.)
2. Amendment and renumbering of Section 20529 filed 8-28-70; effective thir-
tieth day thereafter (Register 70, No. 35).
3. Repealer filed 8-14-74; effective thirtieth day thereafter (Register 74, No. 33).
§ 20571 . Beneficiary Under Trust.
NOTE: Authority cited; Secfions 13872 and 13879, Chap. 4, Div. 10, Education
Code.
History
1. New Section filed 8-28-70; effective thirtieth day thereafter (Register 70, No.
35).
2. Repealer filed 1-29-75; effective thirtieth day thereafter (Register 75, No. 5).
§ 20555. Investment of Tax Sheltered Annuity Funds.
NOTE: Authority cited: Secfions 22202, 22209, 22210, 22231 and 22310, Educa
tion Code. Reference; Secfions 22231 and 22310, Education Code.
History
1. New section filed 9-21-79; effecfive thirtieth day thereafter (Register 79, No. ^ 20580. Optional Elections in Advance of Retirement
Article 7. Election of Options
38).
2. Repealer filed 3-2-95; operative 4-3-95 (Register 95, No. 9).
§ 20556. Resolution by Contracting Employer.
NOTE: Authority cited: Sections 22202, 22209, 22210, 22231 and 22310, Educa-
fion Code. Reference: Secfions 22231 and 22310, Educafion Code.
History
1. New section filed 9-21-79; effecfive thirtieth day thereafter (Register 79, No.
38).
2. Repealer filed 3-2-95; operative 4-3-95 (Register 95, No. 9).
History
1. Amendment and renumbering of SecUon 20531 filed 8-28-70; effective thir-
fieth day thereafter (Register 70, No. 35). For prior history, see Register 60, No.
13.
2. Amendment filed 1 0-1 5-76; effective thirtieth day thereafter (Register 76, No.
42).
3. Amendment filed 5-6-77; effecfive thirtieth day thereafter (Register 77, No.
19).
4. Change without regulatory effect repealing secUon filed 10-24-2000 pursuant
to section 100, title 1, Cahfomia Code of Regulations (Register 2000, No. 43).
Page 196
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Title 5
Teachers' Retirement System
§ 22000
§ 20581. Early Retirement Limited Term Reduction
Program.
NOTE: Authority cited: Sections 22202. 22209, 22210. and 24210 of the Educa-
tion Code. Reference: Section 24210 of the Education Code.
History
1 . New section filed 6-25-79: designated effective 8-1-79 (Register 79, No. 26).
2. Change without regulatory effect repealing section filed 10-24-2000 pursuant
to section 100, title 1. California Code of Regulations (Register 2000, No. 43).
Article 8. Rates
§ 20600. Regular Interest Rate.
NOTE: Authority cited: Sections 22202, 22209, 22210, 22216 and 22224, of the
Education Code. Reference: Section 22145 of the Education Code.
History
1 . Amendment of NOTE filed 5-6-77; effective thirtieth day thereafter (Register
77. No. 19). For prior history, see Register 77, No. 15.
2. Amendment filed 3-31-78 pursuant to Section 1 1385, Government Code; ef-
fective upon filing (Register 78, No. 13).
3. Amendment filed 3-8-79 pursuant to Section 1 1 385. Government Code; effec-
tive upon filing (Register 79. No. 10).
4. Amendment filed 2-27-80; effective thirtieth day thereafter (Register 80. No.
9).
5. Repealer filed 4-2-81 ; effective upon filing (Register 81. No. 14).
§ 20601 . Credited Interest Rate.
NOTE: Authority cited: Sections 22202. 22209, 22210, 22216 and 22224, Educa-
tion Code. Reference: Sections 22146 and 22216, Education Code.
History
1 . Amendment filed 3-9-79 pursuant to Secfion 1 1 385, Government Code; effec-
tive upon filing (Register 79, No. 10). For prior history, see Registers 71, No.
27; 73, No. 27; 76, No. 14; 77. No. 15; and 78, No. 13.
2. Amendment filed 2-27-80; effective thirtieth day thereafter (Register 80, No.
9).
3. Repealer filed 4-2-81 ; effecUve upon filing (Register 81, No. 14).
§ 20602. When Interest Is Not Chargeable.
Note; Authority cited: Secfions 22145, 22202, 222 10 and 22226, Chapter 4, Divi-
sion 10, Education Code.
History
1 . New section filed 9-23-71 ; effective thirtieth dav thereafter (Register 7 1 , No.
39).
2. Amendment filed 10-20-71 ; effective upon filing (Register 71, No. 43).
3. Amendment of Note filed 5-6-77; effective thirtieth day thereafter (Resister
77, No. 19).
4. Change without regulatory effect repealing section filed 10-24-2000 pursuant
to section 100, title 1, California Code of Regulations (Register 2000, No. 43).
§ 20603. Present Value Factor.
Note: Authority cited: Secfions 22202, 22209, 22210, 22216 and 22224, Educa-
tion Code. Reference: Secfion 22720, Education Code.
History
1 . Amendment filed 3-9-79 pursuant to Section 1 1 385, Government Code; effec-
tive upon filing (Register 79, No. 10). For prior history, see Registers 74, No.
33; 75, No. 26; 76, No. 20; 77, No. 15; and 78, No. 13.
2. Amendment filed 2-27-80; effective thirtieth day thereafter (Register 80, No.
9).
3. Repealer filed 4-2-81; effective upon filing (Register 81, No. 14).
§ 21000. Penalty Rate on Late Employer and Employee
Contributions.
Note: Authority cited: Sections 22202, 22209, 22210, 22216 and 22224, Educa-
tion Code. Reference: Section 22003, Educafion Code.
History
1 . New secfion filed 3-31-78 pursuant to section 1 1385, Government Code; effec-
tive upon filing (Register 78, No. 1 3). For history of former secfion, see Register
74, No. 33.
2. Amendment filed 3-9-79 pursuant to section 1 1385, Government Code; effec-
tive upon filing (Register 79, No. 10).
3. Amendment filed 2-27-80; effective thirtieth day thereafter (Register 80, No.
9).
4. Repealer filed 4-2-81; effecfive upon filing (Register 81, No. 14).
5. Editorial correction of prinfine error restoring HISTORY 4. (Register 91, No.
29).
§ 21 001 . Employer Contribution Rate for Reduced
Workload Program.
NOTE: Authority cited: Sections 22202, 22209, 22210, 22231 and 22310. Educa-
tion Code. Reference: Section 22724, Flducation Code.
History
1. New section filed 2-27-80; effective thirtieth day thereafter (RcL'isier 80, No,
9).
2. Repealer filed 4-2-81; effective upon filing (Regi.ster 81, No. 14).
§ 21002. Actuarial Normal Cost Rate for Additional Service
Credit.
NOTE: Authority cited: Sections 22202, 22209, 22210, 22231 and 22310, Educa-
tion Code. Reference: Section 22901, Education Code.
History
1. New secfion filed 2-27-80; effective thirtieth day thereafter (Register 80. No.
9).
2. Repealer filed 4-2-81; effecfive upon filing (Register 81. No. 14).
Article 10. Dependents
§21020. Dependent Husband.
NOTE: Addifional authority cited: Section 14186, Education Code.
History
1. New Article 10 (§§21020-21023) filed 11-21-72; effective thirtieth dav there-
after (Register 72, No. 48).
2. Repealer filed 8-14-74; effective thirtieth day thereafter (Register 74, No. 33).
§ 21 021 . Dependent Parent.
>llST0RY
1. Amendment filed 5-6-77; effecfive thirtieth day thereafter (Register 77. No.
19).
2. Change without regulatory effect repealing section filed 10-24-2000 pursuant
to section 100, title 1, California Code of Regulations (Register 2000, No. 43).
§ 21 022. Step-Child— When Qualified for Benefit.
History
1. Repealer filed 1-29-75; effecfive thirtieth day thereafter (Register 75, No. 5).
§ 21 023. Providing Information to the Teachers'
Retirement Board.
In addition to tax return, state or federal, the claimant or his guardian
shall furnish to the Teachers' Retirement Board such other evidence re-
garding his financial status as the Teachers' Retirement Board may re-
quire.
NOTE: Specific authority: Secfion 1 1385, Government Code.
History
1. Amendment filed 10-15-76; effective thirtieth day thereafter (Register 76, No.
42).
Article 1 1 . State Teachers' Retirement
System — Conflict of Interest Code
§ 22000. General Provisions.
(a) Incorporation by Reference of Standard Code and Appendix. The
Political Reform Act, Government Code Section 81000 et seq., requires
state and local government agencies to adopt and promulgate conllici of
interest regulations. The Fair Political Practices Commission has
adopted a regulation, 2 Cal. 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 Politi-
cal Practices Commission to conform to amendments in the Political Re-
form Act after public notice and hearings. Therefore, the terms of 2 Cal.
Code of Regulations Section 18730 and any amendments to it duly
adopted by the Fair Political Practices Commission, along with the at-
tached Appendix in which officials and employees are designated and
disclosure categories are set forth, are hereby incorporated by reference.
The Standard Code and the Appendix together constitute the Conllict of
Interest Code of the California State Teachers' Retirement System
(CalSTRS), except as provided in subsections (b) and (c) below.
Page 197
Register 2005, No. 28; 7-15-2005
§ 22000
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(b) Filing Requirements. Designated individuals shall file statements
of economic interests with CalSTRS, pursuant to Section 4 of the Stan-
dard Code. CalSTRS shall make such statements available for public in-
spection and reproduction. Corporate entities under contract serving as
consultants to or contractors for CalSTRS need not file statements of eco-
nomic interests; however, the natural person within the entity who pro-
vides the consulting or contractual services must file the statement of
economic interests. With respect to officials who are determined to man-
age public investments, within the meaning of Government Code Section
87200, they shall also be required to file statement of economic interests
(contractors who fall within the meaning of managing public investments
shall also be required to file statements of economic interests). Upon re-
ceipt of the statements of economic interests of Board Members, repre-
sentatives of Ex-Officio Board Members, Chief Executive Officer.
Chief Investment Officer, Directors of all programs of CalSTRS' Invest-
ment Branch, and others falling within the designation of officials who
are determined to manage public investments, CalSTRS shall make and
retain a copy and forward the original of these statements to the Fair Polit-
ical Practices Commission. Statements of all other designated employees
will be retained by CalSTRS.
(c) Exception. As provided in Section 1 of the Standard Code. 2 Cal.
Code of Regulations Section 18730(b)(1). the definitions contained in
the Political Reform Act of 1974 shall apply to the terms used in this
Code.
NOTE; Authority cited: Article XVI, Section 17. California Constitution; Sections
22209 and 22210, Education Code; and Sections 87034 and 87300. Government
Code. Reference: Sections 22205, 22205.2 and 22209, Education Code; Sections
87200 et seq. and 87300 et seq. , Govemnaent Code; and Section 187300, Tit\e 2,
California Code of Regulations.
History
1 . New article 1 1 (sections 22000-22007, Exhibits A and B) filed 6-2-78: effec-
tive thirtieth day thereafter. Approved by Fair Political Practices Commission
2-9-78 (Register 78, No. 22).
2. Repealer of article 1 1 (sections 22000-22007 and Exhibits A and B) and new
article 1 1 (section 22000 and Appendix) filed 2-26-81; effective thirtieth day
thereafter. Approved by Fair Political Practices Commission 1 2-1-80 (Register
81, No. 9).
3. Amendment of section 22000 and repealer and new Appendix filed 2-14-86;
effective thirtieth dav thereafter. Approved by Fair Political Practices Commis-
sion 1-7-86 (Register 86, No. 7).
4. Amendment of section and Appendix filed 1-13-93; operative 1-12-93. Sub-
mitted to OAL for printing only pursuant to California Code of Regulations tide
2, section 18750 (Register 93, No. 3).
5. Amendment of subsections (a) and (b). Note and Appendix filed 5-20-96; op-
erative 6-19-96. Approved by Fair Political Practices Commission 3-29-96
(Register96, No. 21).
6. Amendment of subsection (b) and Appendix filed 3-3 1-98; operative 4-30-98.
Approved by Fair Political PracUces Commission 2-6-98 (Register 98, No. 14).
7. Amendment of Appendix filed 3-20-2000; operative 4-19-2000. Approved by
Fair Political Practices Commission 1-24-2000 (Register 2000, No. 12).
8. Amendment of appendix filed 1 1-26-2001 ; operative 12-26-2001. Approved
by Fair Political Practices Commission 10-2-2001 (Register 2001, No. 48).
9. Amendment of general provisions and Appendix filed 7-12-2005; operative
8-11-2005. Approved by Fair Political Practices Commission 5-16-2005
(Register 2005, No. 28).
Pension Program Managers (All Levels)
Communications Director
Appendix A
Designated Positions
OFHCE OF GENERAL COUNSEL
Chief Counsel
Assistant Chief Counsel
Staff Counsel (All Levels)
Chief Auditor
Management Auditor (All Classes) .
Disclosure
Categories
PLAN DESIGN AND COMMUNICATION BRANCH
Deputy Chief Executive Officer
System Actuary
Staff Services Manager (All Levels)
ADMINISTRATION BRANCH
Deputy Chief Executive Officer 1
Staff Service Manager (All Levels) 5
Accounting Adiriinistrator (All Levels) 5
Director, Facihties Management, Planning and Services 1
Business Services Officer (All Clas.ses & All Levels) 5
Associate Business Management Analyst 5
Analyst, Contract Office (All Classes) 5
Information Security Officer 5
BENEFITS AND SERVICES BRANCH
Deputy Chief Executive Officer 1
Staff Services Manager (All Levels) 5
Pension Program Manager (All Levels) 5
Pension Program Supervisor 5
INVESTMENT BRANCH
Principal Investment Officer
Investment Officer (All Levels)
Associate Investment Officer
Assistant Investment Officer
Fiduciary Counsel
Authorized Personnel of External Investment Managers
(consultant/contractor*) — Equities 2
Authorized Personnel of External Investment Managers
(consultant/contractor*) — Fixed Income 3
Authorized Personnel of External Investment Managers
(consultant/contractor*) — Real Estate 4,5
Authorized Personnel of External Alternative Investment Advisors
(consultant/contractor*) 1
ENTERPRISE INITIATIVES AND TECHNOLOGY BRANCH
Deputy Chief Executive Officer 1
Chief Information Officer 1
Data Processing Manager (All Levels) 5
Senior or Staff Information System Analyst (Supervisor) 5
Consultants
*ConsuItants shall be included in the list of designated employees and shall dis-
close pursuant to the broadest disclosure category in the code subject to the follow-
ing limitation:
The Chief Executive Officer may determine in writing that a particu-
lar 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 de-
termination shall include a description of the consultant's duties and,
based upon that description, a statement of the extent of disclosure re-
quirements. The Chief Executive Officer's determination is a public re-
cord and shall be retained for public inspection in the same manner and
location as this conflict of interest code.
Disclosure Categories
The following disclosure categories shall be subject to the terms, defi-
nitions, and conditions of the standard Conflict of Interest Code and any
amendments thereto incorporated by reference in subparagraph (a) of
Section 22000 above.
1. Designated individuals in Category 1 must report:
All interests in real property, all investments, all sources of income, in-
cluding gifts, loans and travel payments, and all business positions in
business entities.
2. Designated individuals in Category 2 must report:
a. Investments in and income, including gifts, loans and travel pay-
ments, from common and preferred stocks and equity equivalents, and
Page 198
Register 2005, No. 28; 7-15-2005
Title 5
Teachers' Retirement System
§ 24002
b. Income, including gifts, loans and travel payments, from and invest-
ments and business positions in any business entity that provides stock
or other equity brokerage services.
3. Designated individuals in Category 3 must report:
a. Investments in and income, including gifts, loans and travel pay-
ments, from fixed-income securities, and
b. Income, including gifts, loans and travel payments, from and invest-
ments and business positions in any business entity that provides securi-
ties brokerage services.
4. Designated individuals in Category 4 must report:
a. Interests in and income, including gifts, loans and travel payments,
from real property, and
b. Income, including gifts, loans and travel payments, from and invest-
ments and business positions in any business entity that provides real es-
tate brokerage services.
5. Designated individuals in Category 5 must report:
Income, including gifts, loans and travel payments, from and invest-
ments and business positions in any business entity of the type which may
contract with the California State Teachers' Retirement System to pro-
vide services, supplies, materials, machinery or equipment to the System.
OFFICIALS WHO MANAGE PUBLIC INVESTMENTS
It has been determined that individuals in the positions listed below are
officials who manage public investments, within the meaning of Govern-
ment Code Section 87200, and will file a Statement of Economic Inter-
ests under Category 1 :
Board Members
Representatives of Ex-Officio Board Members
Chief Executive Officer
Chief Investment Officer
Directors (All Programs) — Investment Branch
Individuals, including consultants, who, under contract, manage pub-
lic investments, within the meaning of Government Code Section 87200,
shall also file a Statement of Economic Interests under Category 1.
Article 12. Unused Excess Sick Leave
§ 23000. Definitions.
NOTF: Authority cited: sections 22720 and 22210, Education Code. Reference:
sections 22720 (a)(] ) and (a)(2). Education Code.
History
1. New Article 12 (Sections 23000-23005) filed 1-29-87; effective thirtieth day
thereafter (Register 87, No. 5).
2. Editorial conection of Reference cite (Register 95, No. 9).
3. Change without regulatory effect repealing section filed 1 0-24-2000 pursuant
to section 100, title 1, California Code of Regulations (Register 2000, No. 43).
§23001. Certification.
NOTE: Authority cited: Sections 22720 and 22210, Education Code. Reference:
Sections 22209, 22720(a), (a)(1) and (a)(2) and 22719, Education Code.
History
1. New section filed 1-29-87; effective thirtieth day thereafter (Register 87,
No.5).
2. Change without regulatory effect repealing section filed 10-24-2000 pursuant
to section 100, title 1, California Code of Regulations (Register 2000, No. 43).
§ 23002. Billing.
NOTE: Authority cited: Section 22720 and 22210, Education Code. Reference:
Section 22209 and 22720(a), Education Code.
History
1 . New section filed 1-29-87; effective thirtieth day thereafter (Register 87, No.
5).
2. Change without regulatory effect repealing section filed 10-24-2000 pursuant
to section 100, title 1, California Code of Regulations (Register 2000, No. 43).
§ 23003. Payment.
NOTE: Authority cited: Sections 22720 and 22210, Education Code. Reference:
Section 22720, Education Code.
History
1. New section filed 1-29-87; effective thirtieth day thereafter (Register 87,
No.5).
2. Change without regulatory effect repealing section filed 10-24-20()() pursuant
to section 100, title 1, California Code ol Regulations (Register 20(X), No. 43).
§ 23004. Determination of Excess Sick Leave Days.
NOTE: Authority cited: Sections 22720 and 22210. Education Code. Reference:
Sections 22209 and 22720(a), Education Code.
HlSIORY
1. New section filed 1-29-87; effective thirtieth day thereafter (Register 87,
No.5).
2. Change without regulatory effect repealing section filed 10-24-2000 pursuant
to section 100, title 1, California Code of Regulations (Register 2000. No. 43).
§ 23005. Delegation of Authority of Board to Chief
Executive Officer.
The Board, pursuant to Section 22203 of the Education Code, hereby
delegates to the Chief Executive Officer the administration of the pro-
gram, including but not limited to, the power to act finally in accordance
with these regulations and the instructions and supervision of the Board.
The Chief Executive Officer may, in turn, delegate his authority to his
subordinates.
NOTE: Authority cited: Sections 22720 and 22210. Education Code. Referenee:
Sections 22203, 22204, 22209 and 22720, Education Code.
History
1. New section filed 1-29-87; effective thirtieth day thereafter (Register 87,
No.5).
Article 13. Election of Members to the
Teachers' Retirement Board
§ 24000. Board Member Elections.
Teachers' Retirement Board (Board) member elections shall be con-
ducted by the Election Coordinator designated by the Chief Executive
Officer in accordance with this Article.
The Election Coordinator shall conduct the elections in the most cost-
effective manner feasible.
NOTE: Authority cited: Section 222Ci0.5, Education Code. Reference: Sections
22200 and 22200.5, Education Code.
History
1 . New article 1 3 (sections 24000-24009) and section filed 5-1 5-2003; operative
upon adoption hy the Teachers' Retirement Board 3-6-2003. Suhinitted to
OAL for printing only (Register 2003, No. 20).
§24001. Notice of Election.
The Election Coordinator shall distribute a Notice of Election adopted
by the Board in advance of each election containing candidate nomina-
tion and election guidelines, eligibility criteria for candidates and voters,
how to obtain candidate nomination packets from the System, and the
schedule of events.
NOTE: Authority cited: Section 22200.5, Education Code. Reference; Sections
22200 and 22200.5, Education Code.
History
1 , New section filed 5-15-2003; operative upon adoption by the Teachers" Retire-
ment Board 3-6-2003. Submitted to OAL for printing onl v (Register 2003. No.
20).
§ 24002. Nomination of Candidates.
The Election Coordinator shall distribute candidate nomination pack-
ets containing a copy of the Notice of Election, petition form, nomination
certification form, and copies of the rules and regulations governing the
conduct of Board member elections, to members and participants who re-
quest a packet.
Members and participants shall qualify for nomination if they meet the
eligibility criteria specified in the Notice of Election. Nomination shall
be on the petition form provided by the System, signed by members and
participants who would otherwise be eligible to vote in the election being
conducted had the election occurred at the time they signed the petition.
Members and participants may sign more than one petition form. The
minimum number of petition signatures required shall be determined by
the Board and specified in the Notice of Election.
The candidate shall indicate on the petition form the specific Board
member position for which he or she seeks election. An individual candi-
Page 199
Register 2005, No. 28; 7-15-2005
§ 24003
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
date may not be a candidate for more than one Board member position
during any particular election.
The petition form shall include the signature and legible printed name
of each member or participant signing the petition, year of birth, and the
last 4 digits of his or her Social Security Number. Any signature not ac-
companied by all of the required information shall be invalidated.
Each candidate shall certify on the nomination certification form pro-
vided by the System that he or she accepts the nomination, consents to
serve if elected, agrees to comply with the rules and regulations govern-
ing the conduct of Board member elections, and abide by a drawing of
lots by the Election Coordinator in case of a tied vote.
Only those nomination certification forms and petition forms received
in the headquarters office of the System by the deadline specified in the
Notice of Election shall be accepted. The candidate must submit the nom-
ination certification form and petition form containing at least the mini-
mum required number of valid signatures in one packet at one time. Com-
pleted petition forms and nomination certification forms transmitted via
facsimile to the headquarters office of the System by the deadline speci-
fied in the Notice of Election shall be accepted if the original completed
forms are received in the headquarters office of the System within seven
calendar days following the deadline.
The Election Coordinator shall verify the identity and eligibility of in-
dividuals who sign candidates' petition forms through sampling or
another reasonable and cost-effective method, and shall certify qualified
candidates for the Board member election.
The position of candidate names and statements in election materials
distributed by the System to eligible voters shall be chosen by lot con-
ducted by the Election Coordinator at the time he or she certifies valid
nominating petitions.
The Election Coordinator shall notify qualified candidates of their cer-
tification, and the posifion of their names and statements in election ma-
terials distributed by the System. All deadlines and instructions related
to the drafting of candidate statements shall be distributed to all qualified
candidates in the notification letter. Upon distributing notification letters
to qualified candidates, the Election Coordinator shall make public the
names of the qualified candidates for the Board member election.
Where only one candidate has been nominated, the Election Coordina-
tor shall, upon verification of the signatures presented in the nominating
petition and upon the candidate's certification of his or her nomination
acceptance, cancel the remaining election procedures and designate the
single candidate to be certified by the Chief Executive Officer as elected.
If no candidate has been nominated in an election, or if no candidate
has presented a valid petition form and nomination certification form for
an elecfion as required above, the Election Coordinator shall extend the
nomination period for an additional 21 calendar days and publicize his
or her action to active members and participants and other interested par-
ties.
NOTE: Authority cited: Section 22200.5, Education Code. Reference: Section
22200, Education Code.
History
1 . New section filed 5-15-2003; operative upon adoption by the Teachers' Retire-
ment Board 3-6-2003. Submitted to OAL for printing only (Register 2003, No.
20).
§ 24003. Candidate Statements.
(a) As part of a candidate statement, each candidate shall provide the
following information in the format specified by the Election Coordina-
tor:
(1) Name.
(2) Job Title.
(3) Employer.
(4) Status as either an acfive member of the Defined Benefit Program
or a participant of the Cash Balance Benefit Program and years of service
as a member or participant.
(5) A list of no more than 5 previous job positions held.
(6) A list of no more than 5 organizations to which the candidate be-
longs and positions held in those organizations.
(b) As part of a candidate statement, a candidate may provide a list of
no more than 10 endorsements by individuals or entities,
(c) As part of a candidate statement, a candidate may provide answers
to the following questions:
(1 ) What do you think should be the primary role of a member of the
Teachers' Retirement Board?
(2) How do you think you could contribute to CalSTRS as a member
of the Teachers' Retirement Board?
(3) What education and training do you possess that has prepared you
to serve as a member of the Teachers" Retirement Board?
A candidate's answers to the preceding three questions indicating his
or her opinion or positions on issues of general concern to the System's
membership may be included, so long as they are clearly stated as the
candidate's opinion or view and do not exceed the length limits specified
by the Board in the Notice of Election. The answers must be truthful, and
must not include any remarks or questions that are inherently misleading,
including rhetorical remarks and questions that are inherently mislead-
ing. Answers may not refer to individual members of the Board or other
candidates for election to the Board by name or inference.
Any portion of a candidate's answers to the questions above which, in
total, exceeds the length limits specified by the Board in the Notice of
Election will not be distributed.
(d) The candidate statement shall be filed with the Election Coordina-
tor by the deadline indicated in the nofification letter sent to qualified
candidates. Once filed, statements may not be changed or withdrawn ex-
cept by the Election Coordinator. Any candidate statement received after
the deadline will not be distributed.
The Election Coordinator shall distribute candidate statements to the
candidates in each contest following the candidate statement filing dead-
line. The Election Coordinator shall accept written comments concern-
ing a candidate statement from opposing candidates for fourteen calendar
days following the date he or she distributes the submitted candidate
statements. The Election Coordinator shall attempt to resolve a dispute
between candidates over a submitted candidate statement. Only those
written comments that allege a candidate statement violates the provi-
sions of this Section may be considered.
The Election Coordinator shall reject or edit any statement which he
or she determines contains obscene, vulgar, profane, scandalous, untrue,
libelous or defamatory matter or which does not meet the statement li-
mitations stated above. The Election Coordinator may request the candi-
date to verify the truthfulness of any factual statements. The candidate
shall provide timely verification upon such request as specified in the no-
tification letter sent to qualified candidates. The Election Coordinator
shall remove any portion of the candidate's statement a candidate is un-
able to verify. All decisions by the Elecfion Coordinator related to candi-
date statements are final.
Nothing in this section shall be deemed to make candidate statements
or the authors thereof free or exempt from any civil or criminal action or
penalty because of any false, slanderous or Ubelous statements offered
for printing or distributed to voters. Informafion contained in the state-
ment is the responsibility of the candidate and the System shall not be
held responsible for the validity of any candidate statement or the con-
tents thereof.
Following the review of candidate statements by the Election Coordi-
nator, he or she shall distribute to each candidate in the respective contest
all candidate statements as they shall appear in election materials distrib-
uted to eligible voters.
NOTE: Authority cited: Section 22200.5, Education Code. Reference: Section
22200, Education Code.
History
1 . New section filed 5-1 5-2003; operative upon adoption by the Teachers' Retire-
ment Board 3-6-2003. Submitted to OAL for printing only (Register 2003, No.
20).
§ 24004. Ballot Distribution.
The Elecfion Coordinator shall cause ballots and candidate statements
to be distributed in advance of each election to each eligible acfive mem-
ber and participant for whom the System has a valid mailing address re-
Page 200
Register 2005, No. 28; 7-15-2005
Title 5
Teachers' Retirement System
§ 24008
corded. The Election Coordinator shall provide a means for eligible ac-
tive members and participants for whom the System does not have a valid
mailing address recorded lo request ballots and candidate statements.
The Election Coordinator shall provide for the return of the voted ballots
to the Board without cost to the eligible active member or participant. For
purposes of this Article, "eligible active member" or "eligible active par-
ticipant" means a member of the Defined Benefit Program or a partici-
pant of the Cash Balance Benefit Program, respectively, who is
employed, on the date, or during the period specified in the Notice of
Election's criteria for voter eligibility, by an employer.
NOTE: Authorily cited: Section 22200.5, Education Code. Reference: Section
22200, Education Code.
History
1 . New section filed 5-i 5-2003; operative upon adoption by the Teachers' Retire-
ment Board 3-6-2003. Submitted to OAL for printina only (Register 2003, No.
20).
§ 24005. Ballot Counting.
The Election Coordinator shall create reasonable procedures to ensure
ballots are secured and canvassed in a manner consistent with commonly
accepted election practices.
Valid ballots shall be canvassed publicly by an independent, neutral
agent appointed by the System for that purpose on the date specified in
the Notice of Election at a location to be designated by the System.
Depending upon the method of balloting selected by the Election
Coordinator, the following are declared to be invalid ballots and shall not
be counted in the election:
a. Votes cast for individuals not listed as candidates on the official bal-
lot.
b. Ballots submitted by a person who is not an eligible voter.
c. A duplicate ballot is received from the same voter.
d. Votes cast in excess of that allowed on the ballot.
e. Ballots not forwarded or received within the time period prescribed
by the Notice of Election.
f. If a paper ballot is not forwarded through the United States Postal
Service in the valid pre-addressed and stamped return envelope that is
furnished.
g. If a paper ballot is not signed by the eligible voter.
h. Electronic ballots not cast in the manner prescribed by the System.
The candidate receiving the highest number of votes, or the winning
lot as drawn by the Election Coordinator in case of a tie vote, or the single
candidate, shall be certified by the Chief Executive Officer as having
been elected.
NOTE: Authority cited: Section 22200.5, Education Code. Reference: Section
22200. Education Code.
History
1 . New section filed 5-15-2003; operative upon adoption by the Teachers' Retire-
ment Board 3-6-2003. Submitted to OAL tor printing only (Register 2003, No.
20).
§ 24006. Notice of Election Results.
(a) Within three business days after the public ballot canvassing, or af-
ter verification of the nominating signatures pursuant to Section 24002
where the Election Coordinator certifies only one qualified candidate in
an election for a position on the Board, the Election Coordinator shall
transmit the election results to the Chief Executive Officer for his or her
certification.
(b) Following certification by the Chief Executive Officer, the Elec-
tion Coordinator shall notify candidates. Board members and other inter-
ested parties of the certified results. Nofification to the newly elected
Board member shall include an Oath of Office form. This form is to be
signed by the Board member-elect in the presence of a notary public and
returned to the System. The Election Coordinator shall file the Oath with
the Secretary of State.
(c) Upon the Chief Executive Officer' s certificafion and proper execu-
tion of the Oath of Office form, the Board member elected through this
process shall take his or her office on either the day provided for by stat-
ute or immediately, if elected to fill a vacancy.
NOTE: Authority cited: Section 22200.5. Education Code. Reference: .Section
22200, Education Code.
History
I . New section filed 5- 1 5-2003; operative upon adoption by the Teachers' Retire-
ment Board .3-6-2003. Submitted to OAL for printing only (Register 2003. No.
20).
§ 24007. Recount of an Election.
(a) A candidate in the affected Board member election may file a writ-
ten request with the Election Coordinator at the headquarters office of the
System for recount within ten business days following the distribution of
the certified election results; otherwise, there shall be no opportunity for
requesting a recount and the certified election results stand as the final
results.
(b) A request for a recount shall not delay the seating of an elected
Board member. Such elected Bo;ird member shall take office on either
the day provided for by statute or immediately, if elected to fill a vacancy,
subject to the potential terminafion of such Board membership as a result
of the recount.
(c) A candidate in the affected Board member election may request a
recount of the valid ballots only if the difference in the number of voles
cast between the candidate requesfing the recount and the unofficial win-
ner is less than 3 percent of the total number of valid ballots cast. A writ-
ten request for a recount shall specify the election to be recounted, shall
be signed by the candidate requesting the recount, and may specify any
other relevant material to be examined.
(d) The Election Coordinator shall set a date for the recount upon re-
ceipt of the written request, and shall confirm this date upon receipt of the
estimated cost to conduct the recount. The esfimated cost of conducting
a recount will include the System's administrative cost and the costs of
the independent, neutral agent appointed by the System to canvass the
valid ballots. Legal tender of the amount of the esfimated cost of conduct-
ing the recount shall be submitted by the candidate requesfing the recount
to the Elecfion Coordinator within three business days following notifi-
cation of the esfimated cost to conduct the recount; otherwise, the recount
shall be terminated.
(e) If the results of the recount do not change the ranking of the candi-
dates then the certified results shall stand as the final election results. In
this case, if the actual cost of the recount is less than the estimated cost
deposited by the requester, the System shall refund the amount which ex-
ceeds the actual cost; if the actual cost of the recount is more than the esti-
mated cost, the System shall invoice the requester for the difference.
(f) If the results of the recount do change the ranking of the candidates,
then the recount results shall be cerfified by the Chief Executive Officer
and shall stand as the final elecfion results. In this case, the System shall
refund the amount of the estimated cost deposited by the requester.
NOTE: Authority cited: Section 22200.5, Education Code. Reference: Section
22200. Education Code.
History
1 . New section filed 5-15-2003; operative upon adoption by the Teachers" Retire-
ment Board 3-6-2003. Submitted to OAL for printing only (Register 2003, No.
20).
§ 24008. Protest of an Election.
A candidate in the affected Board member election may protest an
elecfion by filing a written protest with the Election Coordinator at the
headquarters office of the System within ten business days following the
mailing of the certified elecfion results for an election or a recount, other-
wise, there shall be no opportunity for filing a protest and the certified
elecfion results shall stand as the final election results. The written protest
shall be idenfified using the word "protest", shall specify the election, and
shall state the grounds of the protest and suggested remedy.
Upon receipt of a valid and firnely protest, the Election Coordinator
shall mail a copy of the request to all candidates in the election and notify
the Board and other interested parties that a protest has been filed.
An ad-hoc committee of the Board consisfing of an odd number of
members no fewer than three shall determine, what remedy, if any, shall
be granted to the candidate filing the protest. No Board member who is
a candidate in the election under protest, or has endorsed a candidate in
Page 200.1
Register 2007, No. 44; 11-2-2007
§ 24009
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
the election under protest may become a member of the committee or par-
ticipate in its selection.
The Board ctiairperson shall appoint Board members to the commit-
tee. If the Board chairperson is a candidate or has endorsed a candidate
in the election under protest, the Board vice chairperson shall appoint
Board members to the commiliee. It' the Board vice chairperson is a can-
didate or has endorsed a candidate in the election under protest, the Board
shall appoint from its number, members to the committee at its next regu-
larly scheduled meeting.
If a minimum of three Board members are not eligible to participate
on the ad-hoc committee, or if a majority of the full Board, excluding
candidates but including endorsers of candidates so directs, the protest
shall instead be determined by a panel of three arbitrators in accordance
with the provisions below, the laws of the State of California, and the La-
bor Arbitration rules of the American Arbitration Association (AAA) in
effect at the time, to the extent the AAA rules are not in conflict with these
regulations. One member of the panel shall be selected by the protesting
candidate, one member of the panel shall be selected by the successful
candidate, and the third member, who shall serve as chair, shall be se-
lected by the first two panel members.
The committee may consider written and/or oral arguments submitted
by the candidate filing the protest and any other interested party, in mak-
ing its determination. Any oral proceedings by the committee shall be
held in the Board's meeting room and be open to the public. Other proce-
dures, including those for receiving and considering arguments and fac-
tual allegations, shall be determined by the committee or arbitration pan-
el in its sole discretion.
The determination of the committee or arbitration panel shall be ren-
dered within 30 calendar days of its appointment and shall be final and
binding on the System and candidates for office. The committee or ar-
bitration panel shall declare the election under protest void, and the posi-
tion vacant, only upon a finding that Board-adopted election procedures
were not substantially followed and that, without this lack of substantial
compliance, the election outcome would likely have been different.
The filing of a protest shall not delay the seating of an elected Board
member. Such elected Board member shall take office on either the day
provided for by statute or immediately, if elected to fill a vacancy, subject
to the potential termination of such Board membership as a result of the
protest. Any newly elected member, as the result of a protest, shall hold
office for a period equal to the remainder of the term of the vacated office.
NOTE: Authority cited: Section 22200.5, Education Code. Reference: Section
22200, Education Code.
History
1 . New section filed 5-15-2003; operative upon adoption by the Teachers' Retire-
ment Board 3-6-2003. Submitted to OAL for printing only (Register 2003, No.
20).
§ 24009. Elections for Vacant Elected Seats.
The Board shall provide pubhc noUce that an elected seat on the Board
has been vacated at or before its next regularly scheduled meeting.
The Board shall hold special elections to fill vacancies that occur dur-
ing the term of the elected members of the Board by distributing a Notice
of Elecfion for a vacated seat within 90 calendar days of the vacancy. An
election shall be held within 180 calendar days of the distribution of the
Notice of Elecfion.
Note: Authority cited: Section 22200.5, Education Code. Reference: Sections
22200 and 22200.5, Education Code.
History
1 . New section filed 5-15-2003; operative upon adoption by the Teachers' Retire-
ment Board 3-6-2003. Submitted to OAL for printing only (Register 2003, No.
20).
Article 14. Investment Relationships and
Campaign Contributions
§ 24010. Prohibitions on Campaign Contributions.
(a) No party engaging or seeking to engage in an Investment Relafion-
ship with CalSTRS may make any campaign contribufions, as defined in
The Political Reform Act (Gov. Code, § 81000 et seq.), valued in excess
of $ 1 ,000, individually, or $5000 in the aggregate from the party engaged
in the Investment Relafionship and the individuals idenfified in subdivi-
sion (d) collectively, in any twelve month period beginning on the dates
identified in subdivision (e). to any person designated in subdivision (c)
below.
(b) For purposes of this ArUcle 14, "Investment Relationship" means
a relationship between a non-governmental party and CalSTRS for the
purpose of providing investment services such as money management or
fund management services, investment advice or consulting (including
making recommendafions for the placement or allocadon of investment
funds), and investment support services (including market research, fund
accounting, custodial services, and fiduciary advice) for investments
placed in the Teachers' Retirement Fund.
(c) This prohibifion applies to campaign contribufions made to or on
behalf of CalSTRS officers and employees, any exisfing Teachers' Re-
tirement Board member, the Governor, Controller, Treasurer, and Super-
intendent of Public Instruction, candidates for Teachers' Refirement
Board member, and candidates for the offices of Governor, Controller,
Treasurer, and Superintendent of Public Instruction.
(d) This prohibition applies to those parties currently engaging in or
seeking to engage in an Investment Relafionship with CalSTRS which is
expected to generate at least $100,000 annually in income, fees, or other
revenue to the party, and specifically includes:
(1) Those individuals employed by or associated with the parties de-
scribed in this Secfion 24010(b), above, who are required to file a Form
700 Statement of Economic Interest pursuant to Government Code Sec-
fion 81000 et seq., the Fair Political Pracfices Commission Regulations
contained in Tide 2, Division 6, California Code of Regulafions Secfion
18109 e/ seq., and the Teachers' Refirement System Regulafions con-
tained in Title 5, Division 3, California Code of Regulations Secfion
22(X)0,etseq.;ox
(2) "Authorized Personnel/Key Personnel" as defined and identified
by the contracting party in the "Authorized Personnel/Key Personnel ex-
hibit" incorporated in or attached to the contract between the contracting
party entering into the Investment Relafionship and CalSTRS; or
(3) Those individuals who expect to and/or do experience a material
financial effect on their economic interests including salary, bonuses, op-
tions, or other financial incentives direcfiy deriving from an Investment
Relafionship with CalSTRS.
This prohibifion also applies to contributions from any other entities
or individuals made at the direcfion of such parties identified above in
this subdivision (d).
(e) For parties defined in subdivision (d) above, the prohibition set
forth in this secfion shall apply to the time period which begins
( 1 ) On the date CalSTRS first announces a procurement or search pro-
cess that could lead to an Investment Relationship which is likely to gen-
erate at least $100,000 annually in income, fees, or other revenue to the
party; or
(2) On the date a party idenfified in subdivision (d) above approaches
CalSTRS with a proposal to enter into an Investment Relationship with
CalSTRS by discussing the specific facts and financial terms of a particu-
lar investment transacfion or strategy, whichever is earlier, and ends
Page 200.2
Register 2007, No. 44; 11-2-2007
Title 5
Teachers' Retirement System
§ 24013
when the Investment Relationship is terminated by any party for any rea-
son, or when CalSTRS communicates its decision not to pursue the In-
vestment Relationship.
NOTE; Authority cited: California Constitution, Anicie XVI, Section 17; and Sec-
lions 22202. 22207, 22208, 22214, 22250, 22253 and 22305, Education Code.
Reference: California Constitution, Article XVI, Section 17; and Sections 22250
and 22253, Education Code.
History
i. New article 14 (sections 24010-24013) and section filed 10-29-2007; opera-
tive 1 1-28-2007 (Register 2007, No. 44).
§ 2401 1 . Disclosure and Recusal Requirement for
Campaign Contributions.
(a) No CalSTRS officer, employee or current Teachers' Retirement
Board member, including the Controller. Treasurer, and Superintendent
of Public Instruction shall make, participate in making or in any way at-
tempt to use his or her official position to influence a decision involving
an Investment Relationship with CalSTRS if the officer, employee or
member has received, solicited or directed a campaign contribution, as
defined in The Political Reform Act (Gov. Code. § 8 1000 etseq.), valued
in excess of $ 1 ,000, individually or $5000 in the aggregate, in any twelve
month period prior to the dates identified in Section 24010. subdivision
(e) from any person designated in Section 24010. subdivision (d). For
purposes of this section, a member appointed by the Governor and the Di-
rector of Finance shall also be deemed to have received a contribution if
the Governor who appointed the member or Director of Finance has re-
ceived a contribution within the twelve month period prior to the dates
identified in Section 24010, subdivision (e) from any person designated
in Section 24010, subdivision (d).
(b) If the disqualification provision of subdivision (a) results in the
lack of a quomm for the purposes of taking action on any item before the
Board or any of its committees, a sufficient number of Board members
to constitute a quorum shall be drawn by lot from the otherwise disquah-
fied Board members for the purpose of establishing a quorum and taking
action on items before the Board or any of its committees. Board mem-
bers who have been drawn by lot to constitute a quorum shall have their
participation deemed as necessary and shall be exempt from the restric-
tions of subdivision (a) for the purpose of establishing a quorum and par-
ticipating in the deliberations and voting on an item for which a quomm
could not be established absent this waiver of the restrictions of subdivi-
sion (a).
NOTE: Authority cited: California Constitution, Article XVI, Section 1 7; and Sec-
tions 22202, 22207, 22208, 22214, 22250, 22253 and 22305, Education Code.
Reference: California Constitution, Article XVI, Section 17; and Sections 22250
and 22253, Education Code.
History
1 . New section filed 10-29-2007; operative 1 1-28-2007 (Regi.sler2(K)7. No. 44).
§ 24012. Remedies, Enforcement and Safe Harbors.
(a) CalSTRS' General Counsel shall cause an independent investiga-
tion to be performed for any reported violation of Sections 24010 and
2401 1, and report any documented violation to the Board for action.
(b) If any party seeking an Investment Relationship with CalSTRS is
found to be in violation of Section 24010, that party shall be disqualified
from engaging in an Investment Relationship with CalSTRS for a period
of two years.
(c) Any party who has an existing Investment Relationship with
CalSTRS and who is found to be in violation of the provisions of Section
24010 shall be subject to disqualification from doing future or additional
business with CalSTRS for a period of two years.
(d) If a party voluntarily reports a violation of Section 24010 to the
CalSTRS General Counsel within ninety days of the contribution being
made and it is established pursuant to an independent investigation that
the violation was inadvertent, the disqualification provision of subdivi-
sion (c) will not be applied. This safe harbor provision does not apply to
a knowing or intentional violation of Section 24010.
(e) CalSTRS staff shall maintain a current list of parties engaged in an
Investment Relationship subject to Section 24010, subdivision (d). The
disclosure and recusal requirements of Section 2401 1, subdivision (a)
shall not apply to any CalSTRS officer, employee or current Teachers'
Retirement Board member, including the Controller, Treasurer, and Su-
perintendent of Public Instruction if the Investment Relationship has not
been published on the list maintained by CalSTRS staff.
NOTE: Authority cited: California Constitution, Article XVI, Section 17; and Sec-
tions 22202, 22207. 22208. 22214. 22250, 22253 and 22305, Education Code.
Reference: California Constitution, Article XVI, Section 1 7; and Sections 22250
and 22253. Education Code.
History
1. New section filed 10-29-2007; operative 1 1-28-2007 (Register 2007, No. 44).
§24013. Definitions.
Thins not specifically defined herein are defined in the Government
Code, the Education Code, the Political Reform Act. the Fair Political
Practices Commission Regulations, and the Teachers' Retirement Sys-
tem Regulations.
NOTE: Authority cited: California Constitution, Article XVI, Section 17; and Sec-
tions 22202, 22207, 22208, 22214, 22250, 22253 and 22305, Education Code.
Reference: California Constitution, .Article XVI, Section 17; and Sections 22250
and 22253, Education Code.
History
1. New section filed 10-29-2007; operative 1 1-28-2007 (Register 2007, No. 44).
* * *
Page 200.3
Register 2(X)7, No. 44; 11-2-2007
^^BL
Barclays Official
California
Code of
Regulations
Title 5. Education
Division 4. California Student Aid Commission
Vol.6
XMOIVISOIM
*
\A/EST
Barclays Official California Code of Regulations
425 Market Street • Fourth Floor • San Francisco, CA 94105
800-888-3600
Title 5
California Student Aid Commission
Table of Contents
Division 4. California Student Aid Commission
Table of Contents
Page
Page
Chapter 1. California Student Aid
Commission
Article 8.
Article 1.
S 30000.
§30001,
§ 30002.
§ 30003.
§ 30004.
§ 30005.
§ 30006.
§ 30007.
Definition of Certain Terms ..
Academic Year.
Grant Recipient.
Eligible Applicant.
Full-Time Student.
Part-Time Student.
Eligibility Limitations.
Standards for Ability to Pay for
Postsecondary Education.
College Grade Point Average;
Community College Grade Point
Average.
201
201
§ 30080.
§ 30081.
§ 30082.
Article 9.
5j 30008.
High School Grade Point Average.
§ 30009.
Qualifying Institution.
Article 2.
Applicant Qualifications
. . 202
§ 30020.
Acadenaic Record.
§ 30021.
Choice of School or College.
§ 30022.
Change in School or College
Choice.
§ 30023.
In Lieu Test Scores; Grace Period.
§ 30024.
Cal Grant B Entitlement Criteria.
§ 30025.
Cal Grant A and B Competitive
Award Selection Criteria.
§ 30026.
Reestablishing Grade Point
Average.
§ 30027.
Occupational Talents Criteria.
Article 3.
Use of Cal Grants
. . 204
§ 30030.
Application of Cal Grants.
§30031.
Tuition and Necessary Fees.
§ 30032.
Refund of Grant Payments.
§ 30033.
Withdrawal of a Cal Grant.
Article 4.
State Guaranteed Loans
. . 204
Article 5.
State Student Incentive
Grant Program
. . 204
§ 30050.
Statement of Non-interference.
§30051.
Ehgible Students.
§ 30052.
Substantial Financial Need.
§ 30053.
Full-Time Student.
§ 30054.
Part-Time Student.
§ 30055.
Size of Grant.
§ 30056.
Independent Students.
§ 30057.
Academic Year.
§ 30058.
Eligible Institutions.
Article 6.
Conflict of Interest Code
Student Aid Commission
. . 205
§ 30060.
Conflict of Interest Code.
Appendix .
. . 205
Article 7.
Statement of Purpose and
§ 30100
§ 30101
§ 30102
§ 30103
§30104
§ 30105
§ 30106
§ 30107
§ 30108
§ 30109
§30110
§30111
§30112
§30113
§30114
§30115
§30116
§30117
§30118
§30119
§ 30120
§30121
§ 30122
§ 30123
§ 30124
§ 30125.
§ 30126.
§ 30127.
Article 10.
§ 30075.
§ 30076.
Criteria for Approval as
Processor for the Student
Aid Application for
California for Student Aid
Commission Programs
Statement of Purpose.
Criteria for Approval as Processor.
206
§ 30200.
§30201.
§ 30202.
§ 30203.
§ 30204.
§ 30205.
§ 30206.
^ 30207.
§ 30208.
§ 30209.
§30210.
§30211.
§ 30212.
§ 30213.
§ 30214.
§30215.
§ 30216.
§30217.
§ 30218.
Approval or Disapproval for
Processing 206
Approval as a Sole Processor
Withdrawal as a Sole Processor
During Period of Service.
Withdrawal as a Sole Processor
upon Expiration of Period of
Service.
The California Guaranteed
Student Loan Program 206. i
Federal Regulations.
Student Eligibility.
Delivery of Loan Checks.
Prior Grant or Loan Obligations.
Social Security Numbers.
Previous Loan Liability.
Insurance Premium.
Insurance Premium Refunds.
Insurance Premium Revenues.
Student Records.
Enrollment Confirmation.
Full Guarantee.
Payment of Claims.
Preclaims Collection Assistance.
Interest on Claims.
Lender Agreement.
Lender and School Reviews.
Sallie Mae.
Procedural Changes.
Earnings from the Reserve Fund.
Contracting for Services.
Loan Proceed Delivery.
California Student Loan Authority.
Earnings from the Reserve Fund.
Lender Transmittal of Manifest and
Fees, and Cancellation of
Non-Disbursed Loan Guarantees by
the Commission.
Loan Proceed Delivery.
Refunding Unused Loan Funds.
Contracting for Services.
The California Loans to
Assist Students Program
Federal Regulations.
Parent Borrower Eligibility.
Student Borrower Eligibihty.
Prior Grant or Loan Obligations.
Social Security Number.
Application Fraud.
Insurance Premium.
Insurance Premium Refunds.
Insurance Premium Revenues.
Student Records.
Full Guarantee.
Payment of Claims.
Preclaims Collection Assistance.
Interest on Claims.
Lender Agreement.
Lender and School Reviews.
Sallie Mae.
Procedural Changes.
Eiarnings from the Reserve Fund.
208
Page i
(7-ll-2IKm)
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Page
Page
§30219.
§ 30220
§30221
§ 30225
§ 30226
§ 30227
Article 1
Lender Transmittal ot" Manifest and
Fees, and Cancellation of
Non-Disbursed Loan Guarantees by
the Commission.
Loan Proceed Delivery.
California Student Loan Authority.
Co-Signers and Co-Makers.
Credit Analysis.
Loan Disbursement Instructions.
Imposition of Civil
Penalties, and Limitation,
Suspension and Termination
of Eligibility, Under the
California Guaranteed
Student Loan Program
(CGSLP) and the California
Loans to Assist Students
(CLAS) Program 208.1
§ 30300.
Purpose and Scope.
§30301.
Definition of Certain Terms.
§ 30302.
Causes of Action.
§ 30303.
Initiation of Action.
§ 30304.
Effect of Emergency Action.
§ 30305.
Effect of Suspension.
§ 30306.
Effect of Limitation.
§ 30307.
Effect of Termination.
§ 30308.
Civil Penalties.
§ 30309.
Prehearing Conference.
§30310.
Authority and Responsibilities of
the Hearing Officer.
§30311.
Hearing on the Record and
Decision.
§30312.
Other Hearing-Related Conditions.
§30313.
Appeal.
§ 30314.
Removal of Limitations.
§30315.
Reinstatement After Termination.
Article 12.
The Paul Douglas Teacher
Scholarship Program
212
§ 30500.
General Provisions.
§30501.
New Applicant Eligibility Criteria.
§ 30502.
Renewal Applicant Eligibihty
Criteria.
§ 30503.
Appointment of Institutional Paul
Douglas Teacher Scholarship
Program Coordinator
§ 30504.
New Applicant Application Process.
§ 30505.
New Applicant Nomination
Process.
§ 30506.
New Applicant Scoring Process
Used by the California Student Aid
Commission.
§ 30507.
New Applicant Ranking Process
Used by the California Student Aid
Commission.
§ 30508.
New Applicant Selection Process
Used by the California Student Aid
Commission.
§ 30509.
Renewal Applicant Application
Process and Selection Process.
§30510.
Preferential Treatment for New
Applicants Who Agree to Pursue
Teaching Careers in the Areas of
Math, Science, or Bilingual
Education.
§30511.
Financial Awards Limited to Four
Academic Years.
§30512.
Equivalency of GED Test Scores.
§30513.
Appeal Procedures for Applicants
and Scholars.
§30514.
Prorating Repayment According to
Fraction of Teaching Obligation Not
Completed.
§30515.
Collection Costs.
§30516.
Alteration of Repayment Schedule
When Scholai's Financial Condition
Warrants.
§30517.
Documentation Required for Claim
That Repayment Obhgation Is
Temporarily Suspended.
Artie
le 13.
The California Teacher
Shortage Loan Assumption
Program 215
§ 30600.
Participant Eligibility.
§ 30601 .
Terms of Loan Assumption.
§ 30602.
Cancellation of NDSL Loans for
Teaching Service.
§ 30603.
Verification of Qualifying Teaching
Service.
§ 30604.
Disqualifying Loan Status.
§ 30605.
Disability Deferral of Loan
Liability.
§ 30606.
Assumption Allocation.
§ 30607.
Participant Selection.
Artie
Iel4.
Assumption Program of Loans
for Education 216
§30701. Loan Programs Approved by the
California Student Aid
Commission.
§ 30702. Applications by Individuals Who
Agree to Participate in a Teacher
Trainee Program.
§ 30703. Reallocation of Unused Wartants
and Cancellation of Invalid
Warrants.
§ 30704. Commencement and End of School
Year.
§ 30705. Federal Perkins Loan Program Loan
Held by an Individual Eligible for
Cancellation of That Loan.
§ 30706. Payment.
§ 30707. Achieving the Required Minimum
Number of Warrants to be Issued to
Applicants Who Agree to Obtain a
Teaching Credential in Mathematics
Or Science.
§ 30708. Out-of-State Teacher Recruitment
Warrants.
§ 30709. Reallocation of Unused
Out-of-State Teacher Recruitment
Warrants and Cancellation of
Invalid Out-of-State Teacher
Recruitment Warrants.
Article 14.5.
National Guard Assumption
Program of Loans for
Education 218
§ 30710.
Definitions.
§30711.
Application to Participate in the
Program.
§30712.
Nominations by the Office of the
Adjutant General.
§ 30713.
Award Process.
§ 30714.
Applicant Priority.
§ 30715.
Loan Assumption Agreements.
§ 30716.
Loan Payments.
§30717.
Failure to Comply with the Loan
Assumption Agreement.
§30718.
Development of Projections for
Funding Purposes.
Article 15.
Process for Selecting an
Organization to Provide
Financial Need Analysis and
Related Services and to Act
as the Sole Processor of
the SAAC 218.3
Page ii
Title 5
California Student Aid Commission
Table of Contents
•
§30801.
Definitions.
§ 30802,
Competitive Means: Exeeptions.
§ 30803.
Basis lor Selection.
S 30804.
Use of Consultant Services by
CSAC.
J; 30805.
Solicitation of Prospective
Competitors.
ij 30X06.
Exclusion of Prospective
Competitors.
§ 30807.
Required Steps in the Selection
Process.
i? 30808.
Keqiiesl for Proposal (RFP).
§ 30809.
Confidentiality.
Jj 30810.
Questions and Answers.
i^ 308 1 1 .
Role of the Evaluation Team.
S 30812.
Submission of Proposals: Time.
Manner, and Handling.
S 30813.
Final Proposal.
{5 30814.
Issuance of Notice of Intent to
Award.
Jj 30815.
Timing of Award.
Jj 30816.
Protests.
J? 30817.
Options.
S 30818.
Actions on Contracts: Limitations.
§30819.
Contract to Enable Acquisition of
Additional Items.
§ 30820.
Contractual Terms and Conditions.
§30821.
Confidentiality of Data.
icle 16.
Federal Family Education
Loan Program 2 1 8.4
§30901.
Insurance Premium Rate and the
Fiscal Soundness of the Reserve
Fund.
§ 30902.
Lender Agreement.
§ 30903.
Lender and School Reviews.
§ 30904.
Transmittal of Manifest and Fees,
and Cancellation of Non-Disbursed
Loan Guarantees by the
Commission.
Article 17. Slate Nursing Assumption
Program of Loans for
Education for Nursing
Faculty (SNAPLE-NF) 218.4
§30910. Definitions.
§ 3091 1. Application to Participate in the
Program.
§ 30912. Nominations by a Participating
Institution.
§30913. Award Process.
§ 30914. Loan Assumption Agreements.
§ 30915. Loan Payments.
§ 30916. Failure to Comply with the Loan
Assimiption Agreement.
§ 30917. Development of Projections for
Funding Purposes.
Article 18. State Nursing Assumption
Program of Loans for
Education for Nurses in
State Facilities (SNAPLE-
NSF) 218.8
§ 30920. Definitions.
§ 30921. Application to Participate in the
Program.
§ 30922. Certification from Eligible
Institution.
§ 30923. Award Process.
§ 30924. Loan Assumption Agreements.
§ 30925. Loan Payments.
§ 30926. Failure to Comply with the Loan
Assumption Agreeinent.
§ 30927. Development of Projections for
Funding Purposes.
•
Page iii
Title 5
California Student Aid Commission
ij 30007
Division 4. California Student Aid
Commission
Chapter 1. California Student Aid
Commission
Article 1. Definition of Certain Terms
§ 30000. Academic Year.
For Cal Grant A and B an academic year means two semesters or three
quarters or their equivalent within a 1 2-month period. An academic year
may include a summer quarter in those colleges which maintain a sum-
mer quarter comparable to either the fall, winter or spring quarters. For
Cal Grant C an academic year means a period of time usually eight or nine
months during which a full-time student would normally be expected to
complete the equivalent of two semesters, two trimesters, or three quar-
ters o\' instruction.
Notf;: Authority cited: Section 69544, Education Code. Reference: Sections
69500-69515 and 695.'^0-69.547, Education Code.
History
1. Repealer of Article 1 (Sections 30000-^0006) and new Article 1 (Sections
.3()000-.10006) filed 6-10-77; effective thirtieth day thereafter (Register 77,
No. 24). For prior history, see Register 69, No. 5 1 and Register 59, No. 7.
2. Amendment tiled 6-18-82; effective thirtieth day thereafter (Resrister 82. No.
25).
§30001. Grant Recipient.
A grant recipient is a person who has successfully met all of the re-
quirements set forth in Education Code Sections 69530 to 69547, who
has been selected for a grant by the California Student Aid Commission,
and who has accepted the grant in terms of attending a school or college
to which he has been admitted.
A Cal Grant A recipient, as defined in Education Code Section 69532.
may utilize a grant for tuition and fees as in Education Code Section
69536; a Cal Grant B Recipient, as defined in Education Code Section
69532, may utilize a grant for tuition, fees and subsistence as in Educa-
tion Code Section 69538; a Cal Grant C recipient, as defined in Education
code Section 69532, may utilize a grant for occupational or technical
training for tuition and training-related costs as in Education Code Sec-
tion 69539.
§ 30002. Eligible Applicant.
An eligible applicant is any person who has successfully met the re-
quirements set forth in Sections 69530 to 69547, Education Code, and
has submitted in proper form and prior to established deadlines such
applications, supplements and transcripts of academic record, and finan-
cial and other information as the California Student Aid Commission
may direct.
NOTli: Authority cited: Section 69544, Education Code. Reference: Sections
69534-695.%. 69538, 69539 and 69541, Education Code.
History
1. Amendment tiled 6-18-82; effective thirtieth day thereafter (Register 82, No.
25).
§ 30003. Full-Time Student.
A full-time, regularly enrolled undergraduate student is one who is
regularly enrolled for a semester or quarter program of not less than 12
(twelve) credit hours or units or their equivalent.
§ 30004. Part-Time Student.
A part-time student is one who is taking 6- 1 1 units or their equivalent.
A student enrolled for 9-11 units or their equivalent is considered
3/4-time and a student enrolled for 6-8 units or their equivalent is consid-
ered 1/2-time.
§ 30005. Eligibility Limitations.
Undergraduate course means the first eight semesters or twelve quar-
ters or their equivalent of full-tiine college attendance beyond the high
school graduation and prior to a baccalaureate degree. Eligibility may be
extended for two semesters or three quarters or their equivalent for stu-
dents enrolled in a five-year undergraduate program.
NOTE: Authority cited: Section 69544, Education Code. Reference: .Sections
69536 and 69538, Education Code.
History
1. Amendment filed 6-18-82: effective thirtieth dav thereafter (Register 82. No.
25).
§ 30006. Standards for Ability to Pay for Postsecondary
Education.
The CoiniTiission shall adopt standards of measuring parental and stu-
dent ability to pay for postsecondary education and such standards shall
be applicable to Cal Grant A, B. and C.
§ 30007. College Grade Point Average; Community
College Grade Point Average.
(a) General.
(1) "College grade point average" and "cominunity college grade
point average" mean a grade point average calculated on the basis of all
college work completed, except for nontransferable units and courses not
counted in the computation for adinission to a California public institu-
tion of higher education that grants a baccalaureate degree. A college
grade point average or a community college grade point average must be
computed for a minimum of 24 semester units or its equivalent regardless
of the grade received.
(2) "All college work completed" includes all coursework for which
grades are known to the official reporting the grade point average and ac-
cepted for credit at the school reporting the grade point average regard-
less of the grade received.
(3) It is the responsibility of the student applicant to have his or her col-
lege or community college report a grade point average.
(b) College Grade Point Average.
(1) For purposes of computing a college grade point average by an
institution that grants a baccalaureate degree, "nontransferable units"
and "courses not counted in the computation for admission to a Call fomia
public institution of higher education that grants a baccalaureate degree"
are those courses which do not earn credit for a baccalaureate degree
from the reporting institution.
(2) For purposes of computing a college grade point average by a post-
secondary institution that grants an associate degree, "nontransferable
units" and "courses not counted in the computation for admission to a
California public institution of higher education that grants a baccalau-
reate degree" are those courses which do not earn credit for an associate
degree at the reporting institution.
(3) For purposes of computing a college grade point average by a post-
secondary institution that does not grant a baccalaureate or an associate
degree:
(A) "nontransferable units" are those units which are not used in satis-
fying requirements for earning a baccalaureate degree from a California
public institution of higher education that grants such a degree.
(B) "courses not counted in the computation for admission to a
California public institution of higher education that grants a baccalau-
reate degree" are any courses for which the earned grade is not used in
the computation of a grade point average in determining admission eligi-
bility, whether or not units earned for the course are transferable to such
an institution.
(c) Community College Grade Point Average.
For purposes of computing a community college grade point average
for a Cal Grant Award pursuant to the Ortiz-Pacheco-Poochigian-Vas-
concellos Cal Grant Act, "nontransferable units" and "courses not
counted in the computation for admission to a California public institu-
tion of higher education that grants a baccalaureate degree" mean all
courses except "Associate Degree Credit Courses" as defined by Title 5,
Page 201
Register 2001, No. 33; 8-17-2001
§ 30008
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Chapler 6. Article I . Section 55()02(a) of the Calitbrnia Code of Regula-
tions.
(d) Certification.
Every college grade point average and community college grade point
average reported to the Commission shall include a certification under
penalty of perjury to the best of his or her knowledge from the school offi-
cial filing the report that the grade point average is accurately reported.
The certification shall include a statement that it is subject to review by
the Commission or its designee.
NOTti: Authority cited: Section 69433.7. Education Code. Reference: Section
69432.7(d), Education Code.
History
1. New section filed 1-16-2001 as an emergency; operative 1-16-2001 (Register
2001. No. 3). A Certificate of Compliance must be transmitted to OAL by
3-16-2001 or emergency language will be repealed by operation of law on the
following day.
2. Editorial correction of History 1 (Register 2001, No. 20).
3. New section refiled 5-15-2001 as an emergency; operative 5-16-2001 (Regis-
ter 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-13-2001 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 5-15-2001 order, including redesignation and
amendment of former subsection (a) as subsections (a)-(a)(3) transmitted to
OAL 7-25-2001 and filed 8-13-2001 (Register 2001, No. 33).
§ 30008. High School Grade Point Average.
(a) "High school grade point average" means a grade point average
calculated on a 4.0 scale, using all academic coursework. for the sopho-
more year, the summer following the sophomore year, the junior year,
and the summer following the junior year, excluding physical education,
reserve officer training corps (ROTC). and remedial courses. However,
for high school graduates who apply after their senior year, "high school
grade point average" includes senior year coursework, excluding physi-
cal education, reserve officer training corps (ROTC). and remedial
courses. Grade point averages shall only include the most recent grade
for any course repeated by a student.
(b) "High School" means a secondary school accredited by Western
Association of Schools and Colleges (WASC). or another regional ac-
credifing association if the secondary school is not in the WASC region,
or which has a University of California approved course list. Applicants
who do not have a grade point average from a high school shall provide
a test score from the General Educational Development test (GED), the
American College Test (ACT) or the Scholastic Aptitude Test (SAT).
(c) Every high school grade point average reported to the Commission
shall include a certification under penalty of perjury from the school offi-
cial filing the report that the grade point average is accurately reported
to the best of his or her knowledge. The certification shall include a state-
ment that it is subject to review by the Commission or its designee. It is
the responsibility of the applicant to have his or her high school grade
point average reported.
NOTE: Authority cited: Section 69433.7, Education Code. Reference: Section
69432.7(h). Education Code.
History
1 . New section filed 1-16-2001 as an emergency; operafive 1-16-2001 (Register
2001. No. 3). A Certificate of Compliance must be transmitted to OAL by
5-16-2001 or emergency language will be repealed by operation of law on the
following day.
2. Editorial correction of History 1 (Register 2001, No. 20).
3. New section refiled 5-15-2001 as an emergency; operative 5-16-2001 (Regis-
ter 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-13-2001 or emergency language will be repealed by operafion of law on the
following day.
4. Certificate of Compliance as to 5-15-2001 order, including the addition of a
subsection designator for each paragraph, transmitted to OAL 7-25-2001 and
filed 8-13-2001 (Register 2001, No. 33).
§ 30009. Qualifying Institution.
(a) A "Qualifying Institution" means an institution as defined by
Education Code section 69432.7(/).
(b) An institution qualifying pursuant to section 69432. 7(/)( 1 ) must be
participating in the Federal Pell Grant program and in at least two of the
three federal campus-based programs specifically listed in subdivisions
(A). (B) and (C) of that section. "Participating in federal campus-based
programs" means the school has been allocated funds and is spending
those funds at each California site which Cal Grant recipients attend.
(c)( I ) An institution qualifying pursuant to section 69432. 7(/)(2)
ineans a postsecondary nonprofit institution headquartered and operating
in California which:
(A)certifies to the Commission that 10 percent of the institution's op-
erating budget is expended for institutionally funded student financial aid
in the form of grants; and
(B) demonstrates to the Commission that it has the administrative ca-
pacity to adininister the funds; and
(C) is accredited by the Western Association of Schools and Colleges;
and
(D) meets such other standards adopted by regulation by the Commis-
sion in consultafion with the Department of Finance.
(2) A regionally accredited instituUon that was deemed qualified by
the Commission to participate in the Cal Grant Program for the 2000-01
academic year shall retain its eligibility as long as it maintains its existing
accreditation status.
(d) A qualifying institution or a specific site of an otherwise qualifying
instituUon shall be deemed disqualified if it no longer possesses all of the
requirements for a qualifying institution.
(e) An institufion that becomes disqualified pursuant to Part 600 of
Title 34 Code of Federal Regulations shall not be a "qualified insfitution"
pursuant to this section.
(0 An institution disqualified pursuant to this section may become a
"qualifying institution" by complying with Education Code section
69432.7(/) and this section.
NOTE; Authority cited: Section 69433.7. Education Code. Reference: Section
69432.7(/), Educafion Code.
History
1 . New section filed 1-16-2001 as an emergency; operative 1-16-2001 (Register
2001, No. 3). A Certificate of Compliance must be transmitted to OAL by
5-16-2001 or emergency language will be repealed by operation of law on the
following day.
2. Editorial correction of History 1 (Register 2001. No. 20).
3. New secfion refiled 5-15-2001 as an emergency; operative 5-16-2001 (Regis-
ter 2001. No. 20). A Certificate of Compliance must be transmitted to OAL by
9-13-2001 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 5-15-2001 order, including amendment of sub-
section (d). transmitted to OAL 7-25-2001 and filed 8-13-2001 (Register
2001. No. 33).
Article 2. Applicant Qualifications
§ 30020. Academic Record.
The Commission may establish minimum standards of academic
achievement and potential and may adopt criteria for selecting recipients
of grants from among applicants to qualify for a Cal Grant and may re-
quire applicants to submit transcripts of high school and college academ-
ic records or other evidence of potential.
NOTE: Authority cited: Section 69544. Education Code. Reference: Sections
69500-69515 and 69530-69547. Education Code.
History
1 . Repealer of Article 2 (Sections 30020-30022) and new Article 2 (Sections
30020-30022) filed 6-10-77; effective thirtieth day thereafter (Register 77.
No. 24). For prior history, see Register 61. No. 22 and Register 70, No. 20.
§ 30021 . Choice of School or College.
A Cal Grant shall be granted in terms of the applicant's selection of
school or college at the time he is selected for a grant.
§ 30022. Change in School or College Choice.
Whenever a grant recipient changes his choice of school, college or
program, the Commission must redetermine his financial need eligibil-
ity. Subject to such redetermination, a grant recipient may change his
choice of college (a) prior to the time of actual enrollment, (b) at the con-
clusion of a quarter or semester, provided that any loss of tuiUon and fee
payments shall be borne by the student.
•
Page 202
Register 2(X)1, No. 33; 8-17-2001
Title 5
California Student Aid Commission
§ 30025
§ 30023. In Lieu Test Scores; Grace Period.
(a) All Cal Grant A and B applicants shall submit a grade point average
piirsLianl to section 30007. 30008 or 30026.
( 1 ) For a Competitive Cal Grant award pursuant to Article 5 (begin-
ning with Education Code section 69437) of the Ortiz-Pacheco-Poochi-
gian-Vasconcellos Cal Grant Act. a student who does not have a grade
point average pursuant to section 30007 or 30008 or whose grade point
average is more than 5 years old may submit a test score from the General
Educational Development test (GED). the American College Test (ACT)
or the Scholastic Aptitude Test (SAT).
(2) It is the responsibility of the applicant to have a grade point average
or test score reported.
(b) A standardized test score for each approved test shall be converted
to an equivalent grade point average by the Commission using the nation-
al distribution of test .scores as compared to the distribution of grade point
averages on a 0.00 to 4.00 scale. The grade point equivalencies shall be
calculated based upon research from the testing agency for each ap-
proved test.
(c) The Commission may, on a case-by-case basis, accept the submis-
sion of grade point average(s) from an applicant or reporting institution
after the March 2 or September 2 deadline if. in the opinion of the Execu-
tive Director, circumstances beyond the control of the applicant delayed
or prevented the timely submission of the grade point average(s) by the
applicant or reporting institulion(s) by the March 2 or September 2 dead-
line.
( 1 ) Such circumstances must be shown by a certification: (i) from the
reporting institution of the circumstances beyond the control of the appli-
cant that delayed or prevented the timely submission of the grade point
average by the reporting institution by the March 2 or September 2 dead-
line; (ii) from the applicant or reporting institution with proof that the
grade point average was originally mailed by the applicant or reporting
institution before the deadline; or (iii) from the apphcanl with a written
description, under penalty of perjury, of the facts showing that circum-
stances beyond the control of the applicant delayed or prevented the
timely submission of the grade point average.
(2) In the case of an application for an entitlement award under Educa-
tion Code sections 69434, 69435, 69435.3. or 69436. any request to ac-
cept grade point average(s) after the March 2 deadline shall be received
by the Commission no later than May 16 (seventy-five (75) days after
the March 2 deadline) and the computed grade point average(s) and certi-
fication specified in subsection ( 1 ) shall be included with the request. No
later than April 16 (forty-five (45) days after the March 2 deadline), the
Commission shall inform students who are potentially eligible for en-
titlement awards based on application information the Commission has
received, that their grade point average(s) had not been received by the
Commission by the March 2 deadline, and shall not notify them that they
have until May 16 (75 days from the March 2 deadline) to request the
Commission to accept their late grade point average(s) on the conditions
specified above, including the submission of the certification specified
in sub.section (1 ).
(3) In the case of an application for a competitive grant award under
Education Code sections 69437, 69437.3, or 69437.6, any request to the
Executive Director to accept grade point average(s) after the March 2 or
September 2 deadline shall be received by the Commission no later than
March 22 or September 22 (twenty (20) days after the March 2 or Sep-
tember 2 deadline) and the computed grade point average(s) and the cer-
tification specified in subsection ( 1 ) shall be included with the request.
(4) Pursuant to Government Code section 6707, in such cases where
the March 22 or September 22 deadline to request late submittal of grade
point average(s) on behalfofcompetitive applicants or the May 16 dead-
line to request late submittal of grade point average(s) on behalf of en-
fitlement applicants falls upon a Saturday, Sunday, or state holiday, the
request for late submittal must be postmarked or received by the Com-
mission by the following business day.
(d) Applicants or officials who submit a timely but incomplete or in-
correct grade point average shall have a grace period often (10) days afier
the mailing of notice by the Commission to file a corrected or completed
grade point average. A corrected or completed submission postmarked
within the 10 day period shall be deemed to comply with this require-
ment.
NOTE: Authority cited: Sections 6y4:i2. 9(c) and 694.^3.7. Hducaiion Code. Reler-
cnce: Sections 694.^2. 9(c). 69434. 69435. 6943.5.3. 69436. 69437. 694.^7.3 and
69437.6. Education Code.
History
1. New section tiled 1-16-2001 as an emergency: operative 1-16-2001 (Register
2001. No. 3). A Certificate of Compliance must he transmitted lo OAL by
.5-16-2001 or emergency language will be repealed by operation oMaw on the
following day.
2. Editorial correction of History 1 (Register 2001. No. 20).
3. New section refiled 5-15-2001 as an emergency: operative 5-16-2001 (Regis-
ter 2001. No. 20). A Certificate of Compliance must be transmitted to OAL by
9-1.V2001 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 5-15-2001 order, including the addition of a
subsection designator for each paragraph and amendment of ncwlv designated
subsection (c). transmitted to OAL 7-25-2001 and filed 8-L^-20()l (Register
2001. No. 33).
5. New subsection (c)(1) filed 10-26-2006 as an emergency: operative
10-26-2006 (Register 2006. No. 43). A Certificate of Compliance must be
transmitted to OAL by 2-23-2007 or emergency language will be repealed by
operation of law on the following day.
6. Rein.statement of section as it existed prior to 10-26-2006 emergency amend-
ment by operation of Government Code section 1 1346. fif) (Reizister 2007. No.
12).
7. Amendment of subsection (c). new subsections (c)(l )-(4) and amendment of
Note filed 5-1 1-2007: operative 5-1 1-2007 pursuant to Government Code
section 11343.4 (Register 2007, No. 19).
§ 30024. Cal Grant B Entitlement Criteria.
A Cal Grant B Entitlement award for first year tuition and fees plus the
access grant as defined and limited by Education Code section
69435(a)(3) shall be given to applicants based upon consideration of the
following factors:
(a) AppUcants with the lowest expected family contribution deter-
mined pursuant to Education Code Section 69432.7; and applicants with
the highest level of academic merit as indicated by their high school
grade point average and/or submitted test scores;
(b) Addifional factors to be considered may include any of the follow-
ing:
(1 ) Whether the applicant is an orphan or ward of the court or was a
ward of the court at the age of eighteen;
(2) The level of educafion attainment of the applicant's parents:
(3) The number of family members in the applicant's hou.sehold in
relation to the household income; and
(4) Whether the applicant comes from a single parent household or is
a single parent.
NOTE: Authority cited: Sections 69435(a)(3) and 69433.7. Education Code. Ref-
erence: Section 69435(a)(3), Education Code.
History
1 . New section filed 1-16-2001 as an emergency: operative 1-16-2001 (Register
2001, No. 3). A Certificate of Compliance must be transmitted to OAL by
5-16-2001 or emergency language will be repealed by operation of law on the
following day.
2. Editorial correction of Histoky 1 (Register 2001, No. 20).
3. New section refiled 5-1 5-2001 as an emergency, including amendment of first
paragraph: operative 5-16-2001 (Register2001,No. 20). A Certificate of Com-
pliance must be transmitted to OAL by 9-13-2001 or emergency language will
be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-L5 -200) order, including amendment of sub-
section (b), transmitted to OAL 7-25-2001 and filed 8-13-2001 (Register
2001, No. 33).
§ 30025. Cal Grant A and B Competitive Award Selection
Criteria.
(a) A Cal Grant A or B CompefiUve Award shall give special consider-
ation to applicants who are disadvantaged students taking into consider-
Page 203
Itegister 2(X)7, No. 1 9; 5 - 1 1 - 2(X)7
§ 30026
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
aiion those financial, educational, cultural, language, home, comniuniiy,
environmental, and other conditions that hamper access to. and ability to
persist in. postsecondary education programs. The extent to which an ap-
plicant is considered disadvantaged shall be determined based on the fol-
lowing:
( 1 ) Whether the applicant is an orphan or ward of the court or was a
ward of the court at the age of eighteen;
(2) The level of education attainment of the applicant's parents;
(3) The number of family members in the applicant's household in
relation to the household income; and
(4) Whether the applicant comes from a single parent household or is
a single parent.
NOTE; Authority cited: Section 69433.7, Education Code. Reference: Section
69437. Education Code.
History
1 . New section filed 1-16-2001 as an emergency; operative 1-16-2001 (Register
2001. No. 3). A Certificate of Compliance must be transmitted to OAL by
5-16-2001 or emergency language will be repealed by operation of law on the
following day.
2. Editorial correction of History 1 (Register 2001. No. 20).
3. New section refiled 5-15-2001 as an emergency; operative 5-16-2001 (Regis-
ter 2001 , No. 20). A Certificate of Compliance must be transmitted to OAL by
9-13-2001 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 5-15-2001 order, including the designation of
the first paragraph as subsection (a), transmitted to OAL 7-25-2001 and filed
8-13-2001 (Register 2001, No. 33).
§ 30026. Reestablishing Grade Point Average.
An applicant seeking to reestablish his or her grade point average pur-
suant to Education Code section 69437.6(c) may do so by providing a
grade point average computed pursuant to Section 30007(c) for at least
16 academic semester units or its equivalent from an accredited Califor-
nia community college. It is the responsibility of the applicant to have his
or her community college report a grade point average.
NOTE; Authority cited: Sections 69433.7 and 69437.6(c), Education Code. Refer-
ence: Section 69437.6(c), Education Code.
History
1 . New section filed 1-16-2001 as an emergency; operative 1-16-2001 (Register
2001, No. 3). A Certificate of Compliance must be transmitted to OAL by
5-16-2001 or emergency language will be repealed by operation of law on the
following day.
2. Editorial correction of History 1 (Register 2001. No. 20).
3. New section refiled 5-15-2001 as an emergency; operative 5-16-2001 (Regis-
ter 2001 , No. 20). A Certificate of Compliance must be transmitted to OAL by
9-13-2001 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 5-15-2001 order transmitted to OAL
7-25-2001 and filed 8-13-2001 (Register 2001, No. 33).
§ 30027. Occupational Talents Criteria.
An applicant seeking to establish "occupational talents" pursuant to
Education Code section 69439 may do so by submitting any of the fol-
lowing supplemental information:
(a) applicant's work history (including unpaid internships) in the field;
and/or
(b) recommendations from teachers or persons working in the appli-
cant's occupational or technical field.
NOTE: Authority cited: Section 69433.7, Education Code. Reference: Section
69439(c), Education Code.
History
1 . New section filed 1-16-2001 as an emergency; operafive 1-16-2001 (Register
2001, No. 3). A Certificate of Compliance must be transmitted to OAL by
5-16-2001 or emergency language will be repealed by operation of law on the
following day.
2. Editorial correction of History 1 (Register 2001, No. 20).
3. New section refiled .5-15-2001 as an emergency; operative 5-16-2001 (Regis-
ter 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-13-2001 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 5-15-2001 order, including amendment of first
paragraph, transmitted to OAL 7-25-2001 and filed 8-13-2001 (Register
2001, No. 33).
Article 3. Use of Cal Grants
§ 30030. Application of Cal Grants.
All Cal Grants are awarded for use during a specified academic year,
and shall be put into effect in September of such academic year. Excep-
tions may be made for students in Cal Grant C or when a student has been
granted a leave or in such other instances as the Commission may other-
wise provide.
NOTE: Authority cited: Section 69544, Education Code. Reference: Sections
69500-69515 and 69530-69547, Education Code.
History
1. Repealer of Article 3 (Sections 300.30-30033) and new Article 3 (Sections
30030-30033) filed 6-10-77; effective thirtieth day thereafter (Register 77,
No. 24). For prior history, see Register 64, No. 14).
§ 30031 . Tuition and Necessary Fees.
Only the tuition and fee charges which may be classified under the fol-
lowing two categories are acceptable for payment in the Cal Grant Pro-
gram.
(a) The minimum customary tuition and/or fee charges at the per unit,
per quarter, per semester, or per term rate charged all undergraduate stu-
dents.
(b) Student body fees made mandatory through student action (Educa-
tion Code Section 23801).
§ 30032. Refund of Grant Payments.
Refund of unused award funds previously paid to a school or college
shall be based on the published regulations of the school or college con-
cerned, as certified to the Commission by such school or college.
§ 30033. Withdrawal of a Cal Grant.
The Commission may withdraw a Cal Grant if the recipient:
(a) Fails to enroll in school or college and attend classes.
(b) Withdraws from school or college without making a request for a
leave of absence.
(c) Fails to maintain a full-time or part-time program in accordance
with the regulations of the school or college he is attending and the Cali-
fornia Student Aid Commission.
(d) Loses his status as a resident in California.
(e) Fails to continue to demonstrate financial need according to Cali-
fornia Student Aid Commission criteria.
(0 Is in violation of California Student Aid Commission regulations.
Article 4. State Guaranteed Loans
NOTE: Authority cited: Section 69544, Education Code. Reference: Sections
69500-69515 and 69530-69547, Education Code.
History
1 . New Article 4 (Sections 30040 through 30046) filed 10-17-66 as an emergen-
cy: effective upon filing (Register 66, No. 36).
2. Amendment filed 6-10-77; effective thirtieth day thereafter (Register 77, No.
24).
3. Repealer of Article 4 (Sections 30040-30046) filed 6-14-78; effective thirtieth
day thereafter (Register 78, No. 24).
Article 5. State Student Incentive Grant
Program
§ 30050. Statement of Non-interference.
The Student Aid Commission finds that the State Student Incentive
Grant Program as authorized by Title IV, Part A. Subpart 3. of the Higher
Education Act of 1965 as amended (20 U.S.C, 1070c-107c-3), wilFnot
interfere with or jeopardize the continuation of the Cal Grant Program es-
tablished under Sections 69530 through 69547 of the State Education
Code.
NOTE: Authority cited for Article 5: Section 69544, Education Code. Reference:
Sections 69500-69515 and 69530-69547, Educafion Code.
History
1 . New Article 5 (Sections 30050-30057) filed 8-2-74 as an emergency; effective
upon filing (Register 74, No. 31).
•
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Title 5
California Student Aid Commission
§ 3()()60
2. Certificate of Compliance filed 1 1-22-74 (Register 74. No. 47).
?!. Amendment filed 6-10-77: effective thiilielh day thereafter (Register 77, No.
24).
§ 30051 . Eligible Students.
Eligible stiident.s are undergraduate students witii substantial financial
need who are applicants for a Cal Gram A, Cal Grant B. or Cal Grant C
who meet all requirements otherwise established by the California Stu-
dent Aid Commission for receipt of such awards.
History
I . Amendment filed 6-10-77; effective thirtieth day (hereafter (Register 77. No.
24).
§ 30052. Substantial Financial Need.
Substantial financial need shall be financial need using standards of
financial need assessment established by the Commission for receipt of
slate funds including standards of family contributions, self-help expec-
tations, and unmet need.
§ 30053. Full-Time Student.
A full-time, regularly enrolled undergraduate student is one who is
regularly enrolled for a semester or quarter program of not less than 1 2
(twelve) credit hours or their equivalent.
HlS'lORY
I. Amendment tiled 6-10-77; effective thirtieth day thereafter (Register 77, No.
24).
§ 30054. Part-Time Student.
A part-time student is one who is taking 6-1 1 units or their equivalent.
A student enrolled for 9-11 units or their equivalent is considered
.^/4-iime and a student enrolled for 6-8 units or their equivalent is consid-
ered l/2-time.
History
I . Repealer and new section filed 6-10-77; effective thirtieth day thereafter (Reg-
ister 77, No. 24).
§ 30055. Size of Grant.
The size of the grant shall never be more than one-half of the maxi-
mum authorized by the Education Code in the State Scholarship (Cal
Grant A), College Opportunity Grant (Cal Grant B), or Occupational
Education and Training Grant (Cal Grant C) programs.
Hi. STORY
I . Renumbering of former Section 3(X).S4 and amendment filed 6- 1 0-77; effective
thirtieth day thereafter (Register 77. No. 24).
§ 30056. Independent Students.
The criteria for determining independence from parental income shall
be the same as established by the Commission for establishing indepen-
dence from parental income for the Cal Grant A, Cal Grant B, and Cal
Grant C prograiTis.
History
1 . Renumbering of former Section .^OO.'S.'^ and amendment filed 6-1 0-77; effective
thirtieth day thereafter (Register 77, No. 24).
§ 30057. Academic Year.
An academic year means a period of time usually eight or nine months
during which a full-time student would normally be expected to com-
plete the equivalent of two semesters, two trimesters, or three quarters of
instruction.
History
1. Renumbering of former Section 300.'i6 filed 6-10-77; effective thirtieth day
thereafter (Register 77, No. 24).
§ 30058. Eligible Institutions.
Eligible institutions are institutions which are located in California
which meet the requirements for participation in the Cal Grant A, Cal
Grant B, and Cal Grant C programs as established in the State Education
Code.
History
1. Renumbering of former Section 300.'i7 and amendment filed 6- 10-77; effective
thirtieth day thereafter (Register 77, No. 24).
Article 6.
Conflict of Interest Code Student
Aid Commission
§ 30060. Conflict of Interest Code.
The Political Reform Act, Government Code sections 81()(K), et seq..
requires state and local government agencies to adopt and promulgate
Conflict of Interest Codes. The Fair Political Practices Commission has
adopted a regulation. 2 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 Politi-
cal Reform Act after public notice and hearings. Therefore, the terms of
2 California Code of Regulations section 1 8730 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 Student Aid Commis-
sion.
Pursuant to section 4(a) of the Standard Code, designated employees
shall file statements of economic interests with their agencies. Upon re-
ceipt of the statements of the California Student Aid Commissioners, the
Executive Director, members of the EDFUND Board of Directors, and
the President of EDFUND. the agency shall make and retain a copy and
forward the original of these statements to the Fair Political Practices
Commission.
NotE: Authority cited: Section 69544, Education Code. Reference: Sections
87100, et seq.. Government Code.
History
1. New article 6 (sections 30060-30069) filed 7-8-77; effective thirtieth day
thereafter. Approved by Fair Political Practices Commission 6-H-77 (Register
• 77, No. 28).
2. Repealer of article 6 (sections 30060-30069 and Exhibits A and B) and new ar-
ticle 6 (section 30060 and Appendix) filed 6-12-81; effective thirtieth day
thereafter. Approved by Fair Political Practices Commission 6-30-80 ( Register
81, No. 24).
3. Amendment of Appendix (Exhibits A and B) filed 1-4-85: effective thirtieth
day thereafter. Approved bv Fair Political Practices Commission 1 1-13-84
(Register 85. No. 1 ).
4. Amendment of Appendix filed 3-27-89; operative 4-26-89. Approved by Fair
Political Practices Commission 1-2.5-89 (Register 89, No. 13).
5. Amendment of Conflict of Interest Code filed 1-17-91; operative 2-16-91
(Register 91, No. 11).
6. Amendment of section and Appendix filed 4-30-2001 ; operative ,5-.30-2001 .
Approved by Fair Political Practices Commission 2-26-2001 (Register 2001.
No. 18).
7. Amendment of Appendix Exhibit A filed 3-8-2004; operative 4-7-2004. Ap-
proved by Fair Political Practices Commission 12-9-2003 (Register 2004. No.
11).
8. Amendment of Appendix A filed 5-26-2005; operative 6-25-2005. Approved
by Fair Political Practices Coinmission 3- 1 7-2005 (Register 2005. No. 2 1 ).
Appendix
Exhibit "A"
Designated Positions
I. Persons occupying the following positions are designated em-
ployees and must report those financial interests listed in the disclosure
categories under Exhibit "B" to which they have been assigned. (No em-
ployee who performs purely ministerial, clerical, or service functions
shall be a designated employee.) California Student Aid Commission
(CSAC) employees assigned to EDFUND will be considered EDFUND
employees for purposes of determining whether their position is a desig-
nated position.
Page 205
Register 2(X)7, No. 19; 5-11 -2007
§ 30075
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Assigned
Disclosure
Designated Position Categories
California Student Aid Comniissiun Employees
California Student Aid Commissioner 1 . 2, 3
Executive Director 1.2,3
Chief Deputy Director 2. 3
Division Chief 2. 3
Accounting Officer 2, 3
Auditor 2. 3
Contract Officer 2. 3
Financial Aid Manager 2, 3
Procurement Officer 2, 3
Staff Counsel 2.3
Staff Services Manager 2. 3
Consultants* 2. 3
EDFUND Employees
EDFUND Board Member 1,2.3
President 1,2.3
Vice President 2, 3
Assistant Vice President 2. 3
Auditor 2. 3
Claims Prevention and Resolution Manager 2, 3
Finance and Administration Manager 2, 3
Ombudsman 2. 3
Procurement Staff 2. 3
Staff Counsel 2.3
*Consultants 2. 3
Exhibit "B"
Disclosure Categories
Designated employees assigned to Category 1 shall disclose:
Interests in real property located in the jurisdiction.
Designated employees assigned to Category 2 shall disclose:
Investments and business positions in, and income from, business en-
tities of the type which provide services, supplies, materials, or equip-
ment to the Commission.
Designated employees assigned to Category 3 shall disclose:
Investments and business positions in, and income from, business en-
tities of the type that either provide financial aid or related services to the
Commission or participate in and benefit from the Commission's pro-
grams. This includes, but is not limited to, affiliations with and income
from public, private or vocational schools, colleges and universities, edu-
cational associations or entities, state or federal agencies, financial aid
processors, collection agencies, lending institutions, lender services.
school services, secondary markets and contracted servicers.
Exhibit "C"
Consultants
* Consultants shall be included in the list of designated employees and
shall disclose pursuant to the broadest disclosure category in the code
subject to the following limitation:
The Executive Director or the President of EDFUND 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 described
in this section. Such written determinafion shall include a descripfion of
the consultant's duties and, based upon that description, a statement of
the extent of disclosure requirements. The Executive Director's or Presi-
dent of EDFUND' 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.
Article 7. Statement of Purpose and
Criteria for Approval as Processor for the
Student Aid Application for California for
Student Aid Commission Programs
§ 30075. Statement of Purpose.
NOTE: Authority and reference cited: Section 69544 and Sections 69334 through
69534.7 of the Education Code.
Hlstory
1 . New Article 7 (Sections 30075 and 30076) filed 8-4-78 as an emergency; effec-
tive upon filing (Register 78, No. 31).
2. Certificate of Compliance filed 1 1-9-78 (Register 78. No. 45).
3. Amendment filed 8-1-79 as an emergency; effective upon filing (Register 79.
No. 31).
4. Certificate of Compliance filed 10-1-79 (Register 79. No. 40).
5. Repealer filed 3-14-88; operative 4-13-88 (Register 88, No.l3).
§ 30076. Criteria for Approval as Processor.
NOTE: Authority cited: Section 69544, Education Code. Reference: Sections
69534-695.34.7, Education Code.
History
1. Editorial correction to delete former history note (Register 78, No. 48).
2. Amendment filed 8-1-79 as an emergency; effective upon filing (Register 79,
No. 31).
3. Certificate of Compliance filed 10-1-79 (Register 79, No. 40).
4. Amendment of subsections (1), (2) and (15) filed 6-18-82; effective thirtieth
day thereafter (Register 82, No. 25).
5. Amendment filed 6-19-85; effective thirtieth day thereafter (Register 85, No.
25).
6. Repealer filed 3-14-88; operative 4-13-88 (Register 88, No.l3).
Article 8. Approval or Disapproval for
Processing
§ 30080. Approval as a Sole Processor.
NOTE: Authority and reference cited: Section 69544 and Sections 69534 through
69534.7 of the Education Code.
History
1. New Article 8 (Section 30080) filed 8-4-78 as an emergency; effective upon
filing (Register 78, No. 31).
2. Certificate of Compliance filed 1 1-9-78 (Register 78, No. 45).
3. Amendment filed 8-1-79 as an emergency; effective upon filing (Register 79,
No. 31).
4. Certificate of Compliance filed 10-1-79 (Register 79, No. 40).
5. Repealer filed 3-14-88; operative 4-13-88 (Register 88, No.l3).
§ 30081 . Withdrawal as a Sole Processor During Period of
Service.
NOTE: Authority and reference cited: Section 69544 and Sections 69534 through
69534.7 of the Education Code.
History
1 . New section filed 8-1-79 as an emergency; effective upon filing (Register 79,
No. 31).
2. Certificate of Compliance filed 10-1-79 (Register 79, No. 40).
3. Repealer filed 3-14-88; operative 4-13-88 (Register 88, No. 13).
§ 30082. Withdrawal as a Sole Processor upon Expiration
of Period of Service.
NOTE: Authority and reference cited: Section 69544 and Sections 69534 through
69534.7 of the Education Code.
History
1. New section filed 8-1-79 as an emergency; effecfive upon filing (Register 79,
No. 31).
2. Certificate of Compliance filed 10-1-79 (Register 79, No. 40).
3. Repealer filed 3-14-88;operaUve 4-13-88 (Register 88, No. 13).
•
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Title 5
California Student Aid Commission
$30113
Article 9. The California Guaranteed
Student Loan Program*
Established by Chapter 1201, Statutes of 1977.
§ 30107. Insurance Premium Refunds.
NOTE: Authority eited: Sections 6y.'S44 and 69763, hdueation Code. Retereiice:
Sections 69761.5 and 69763, Hducation Code.
His I OK Y
1 . Amendment filed 10-20-78; elTeclive thirtieth day thereafter (ReLMsler7X, No.
42).
2. Repealer and new section filed 6- 1 8-S i ; et't'ecti ve thirtieth dav therealter ( Reg-
ister 81, No. 25).
3. Amendment filed 6-21-81 ; effective thirtieth day thereafter (Register 82. No,
26).
4. Repealer filed 6-24-97: operative 6-24-97 pursuant to Govemmeni Code sec-
tion 11 343.4(d) (Register 97. No. 26).
§30100. Federal Regulations.
NOTE: Authority cited: Section 69544, Education Code. Reference: Sections
69760-69779. Education Code.
History
1 . New Article 9 (Sections 30100-30127) filed 6-14-78; effective thirtieth day § 30108. Insurance Premium Revenues.
thereafler(Regi.ster78,No,24).ArticlewasestablishedbyChapter 1201, Stat- no^j:. Authority cited: Section 69544, Education Code. Reference: Sections
utesotl977. , ^. . ^ ^ ^ ^ ,^ . ^„ ^, 69760-69779, Education Code.
2. Amendment filed 10-20-78; el lective thirtieth day thereafter (Register 78, No. Hit rrADv
3. A~mcndment filed 6-18-81; effective thirtieth day thereafter (Register 81, No. 1. Amendment filed 10-20-78; effective thirtieth day thereafter (Register 78. No.
25). ■ 42).
4. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec- -• Repealer and new .section filed 6-18-8 1 ; effective thirtieth day therealter (Reg-
tion 1 1.343.4(d) (Register 97. No. 26).
ister8l,No. 25).
5. Repealerofanicle9 (sections .30100-30127) filed 7-17-97;operative 7-17-97 3. Repealer fjled 7-17-97; operative 7-17-97 pursuant to Government Code sec -
pursuant to Government Code section 1 1343.4(d) (Register 97, No. 29). """ 11 343.4(d) (Register 97, No. .29).
pursuant
§ 301 01 . Student Eligibility.
NOTE: Authority cited: Sections 69.544 and 69763, Education Code. Reference:
Sections 69761 and 69761 .5, Education Code.
History
1. Amendment filed 12-14-83;effective thirtieth day thereafter (Register 83, No.
51).
2. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1.343.4(d) (Register 97, No. 26).
§ 301 02. Delivery of Loan Checks.
NotE: Authority cited: Sections 69544 and 69763, Education Code. Reference:
,Sections 69761 and 69761.5, Education Code.
Hestory
1. Amendment filed 10-20-78; effective thirtieth day thereafter (Register 78. No.
42).
2. Amendment filed 12-14-83; effective thirtieth day thereafter (Register 83. No.
51).
3. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97. No. 26).
§ 301 03. Prior Grant or Loan Obligations.
NOTE: Authority cited: Section 69544, Education Code. Reference: Section 69760-69779, Education Code.
69761.5, Education Code; 34 CFR Section 682.201 (a)(4), (5), (6), and (c).
History
1 . Amendment filed 6-18-82; effective thirtieth day thereafter (Register 82, No
25).
2. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§30109. Student Records.
NOTE; Authority cited: Section 69544, Education Code. Reference: Sections
69760-69779, Education Code.
History
1 . Amendment filed 10-20-78; effective thirtieth day thereafter (Register 78, No.
42).
2. Repealer and new section filed 6-1 8-8 1 ; effective thirtieth day thereafter (Reg-
ister 81, No. 25).
3. Repealer filed 6-24-97; operative 6-24-97 pursuant to Govemment Code sec-
tion 1 1 343.4(d) (Register 97, No. 26).
§ 301 1 0. Enrollment Confirmation.
NOTE: Authority cited: Section 69.544, Education Code. Reference: .Sections
69760-69779, Education Code.
History
1 . Repealer and new section filed 6-1 8-8 1 ; effective thirtieth day thereafter (Reg-
ister 81, No. 25).
2. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§30111. Full Guarantee.
Note: Authority cited: Section 69544, Education Code. Reference: Sections
History
1 . Repealer and new secUon filed 6-1 8-81 ; effective thirtieth day thereafier (Reg-
ister 81, No. 25).
2. Repealer filed 6-24-97; operative 6-24-97 pursuant to Govemment Code sec-
tion 11 343.4(d) (Register 97. No. 26).
§ 301 1 2. Payment of Claims.
Note: Authority cited: Sections 69544 and 69763, Education Code. Reference:
Mo-rn. A .h •. ■• ^ c . ^o^^i cA ,■ n A I, f e • Sections 69760-69779, Education Codc; 20 USC 1078(c)( 1 )( A); and .34 CKR
INOTE: Authority cited: Section 69544, Education Code. Reference: Sections ^qt ^iiA/n^nui^
69760-69779, Education Code. 68_.516(a)(l)(,).
History
1 . Repealer filed 6-24-97; operative 6-24-97 pursuant to Govemment Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§ 30104. Social Security Numbers.
History
1. Amendment filed 10-21-78; effective thirtieth day thereafter (Register 78, No.
42).
2. Repealer and new section filed 6-18-81 ; effective thirtieth day thereafter (Reg-
ister 81, No. 25).
3. Amendment filed 9-24-86 as an emergency; effective upon filing (Register 86,
No. 39). A Certificate of Compliance must be transmitted to OAL within 120
days or emergency language will be repealed on 1-22-87.
4. Request for extension of 9-24-86 emergency order transmitted to OAL on
1-22-87; amendment refiled 1-27-87 as an emergency, operative 1-22-87
(Register 87, No. 5). A Certificate of Compliance must be transmitted to OAL
no later than 5-22-87 or emergency language will be repealed by operation of
law(Gov. C. § 11346.1).
5. Certificate of Compliance filed 5-21-87 (Register 87, No. 22).
Note: Authority cited: Section 69.544, Education Code. Reference: Sections 6. Repealer filed 6-24-97; operative 6-24-97 pursuant to Govemment Code sec-
69760-69779, Education Code. tion 1 1 343.4(d) (Register 97, No. 26).
, ,f-iHc.7Q History §30113. Proclaims Collection Assistance.
1. Amendment tiled 8-1-79 as an emergency; effective upon tiling (Register 79, ., ....
No. 31) r c c NOTE: Authonty cited: Sections 69544 and 69763, Education Code. Reference:
2. Certificate of Comphance filed 10-1-79 (Register 79, No. 40). Sections 69760-69779, Education Code; 20 USC 1080(e)(2); and 34 CFR
3. Repealer and new section filed 6-18-8 1 ; effective thirtieth day thereafter (Reg- 682.5 1 1 (d).
ister81,No. 25). HISTORY
4. Repealer filed 7-17-97: operative 7-17-97 pursuant to Government Code sec- 1 . Amendment filed 10-20-78; effective thirtieth day thereafter (Register 78 No
tion 1 1 343.4(d) (Register 97, No. 29). 42).
§30105. Previous Loan Liability.
NoTE: Authority cited: Secfion 69.544, Education Code. Reference: Sections
69760-69779, Education Code.
History
1 . Repealer filed 6-24-97; operative 6-24-97 pursuant to Govemment Code sec-
fion 1 1343.4(d) (Register 97, No. 26).
§ 30106. Insurance Premium.
[The next page is 207.]
Page 206.1
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Title 5
California Student Aid Commission
§ 30125
•
•
2. Rcpciiler and new section Hied 6-18-8 1 ; effective thirtieth day thereafter ( Rec-
ister81. No. 25).
3. Amendment filed 9-24-86 as an emergency; effective upon tiling (Register 86.
No. 39). A Certificate of Compliance must be transmitted to OAL within 120
days or emergency language will be repealed on 1-22-87.
4. Request for extension of 9-24-86 emergency order transmitted to OAL on
1-22-87; amendment refiled 1-27-87 as an emergency, operative 1-22-87
(Register 87. No. .S). A Certificate of Compliance must be transmitted to OAL
no later than .'i-22-87 or emeruency language will be repealed by operation of
law (Gov. C. § 11.346.1).
.S. Certificate of Compliance filed .S-21-87 (Register 87. No. 22).
6. Repealer filed 6-24-97: operative 6-24-97 pursuant to Government Code sec-
tion 11 343.4(d) (Register 97. No. 26).
§ 3011 4. Interest on Claims.
Non:: Authority cited: Section 69344. Hducation Code. Reference: Sections
69760-69779, Education Code.
History
1 . Amendment filed 10-20-78: eftective thirtieth day thereafter (Register 78, No.
42).
2. Repealer and new section filed 6-18-8 1 ; effective thirtieth day thereafter (Reg-
ister 81. No. 25).
3. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§ 301 1 5. Lender Agreement.
NOTt;: Authority cited: Section 69544, Education Code. Reference: Sections
69760-69779, Education Code.
HtSTORY
1. Amendment filed 10-2O-78;effectivethirtiethday thereafter (Register 78, No.
42).
2. Repealer and new .section filed 6-1 8-8 1 ; effective thirtieth day thereafter (Reg-
ister 81. No. 25).
3. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§ 301 16. Lender and School Reviews.
NOTE: Authority cited: SecUon 69544. Education Code. Reference: Sections
69760-69779. Education Code.
History
1 . Amendment filed 10-20-78; effective thirtieth day thereafter (Register 78. No.
42).
2. Repealer and new section filed 6-1 8-8 1 ; effective thirtieth day thereafter (Reg-
ister 81. No. 25).
3. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§30117. SallieMae.
NOTE: Authority cited: Section 69544, Education Code. Reference: Sections
69760-69779. Education Code.
History
1. Renumbering from Section 30120 and amendment filed 10-20-78; effective
thirtieth day thereafter (Register 78, No. 42).
2. Repealer and new section filed 6-1 8-8 1 ; effective thirtieth day thereafter (Reg-
ister 81, No. 25).
3. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§ 301 1 8. Procedural Changes.
NOTE; Authority cited: Section 69544. Education Code. Reference: Sections
69760-69779, Education Code.
History
1. Renumbering from Section 30121 and amendment filed 10-20-78; effective
thirtieth day thereafter (Register 78, No. 42).
2. Amendment filed 12-13-78 as an emergency; effective upon filing (Register
78, No. 50).
3. Certificate of Compliance filed 3-7-79 (Register 79, No. 10).
4. Repealer and new section filed6-18-81;effective thirtieth day thereafter (Reg-
ister 81, No. 25).
5. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 11343.4(d) (Register 97, No. 26).
§ 301 19. Earnings from the Reserve Fund.
NOTE: Authority cited: Section 69544. Education Code. Reference: Sections
69760-69779. Education Code.
History
1. Renumbering from Section 30122 filed 10-20-78; effective thirtieth dav there-
after (Register 78. No. 42).
2. Repealer and new section filed 6-18-8 1 ; effective thirtieth day thereafter ( Reg-
ister 81, No. 25).
3. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97. No. 26).
§30120. Contracting for Services.
NOTE: Authority cited: Section 69.544. Education Code. Reference: Sections
69760-69779, Education Code.
History
1. Renumbering from Section 30123 and amendment filed 10-20-78: effective
thirtieth day Thereafter (Register 78, No. 42).
2. Repealer and new section filed 6-18-81; effective thirtieth day thereaner( Reg-
ister 81, No. 25).
3. Repealer filed 6-24-97; operative '^24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§ 301 21 . Loan Proceed Delivery.
NOTE: Authority cited: Sections 69544 and 69763, Education Code. Reference:
Section 69763, Education Code.
History
1. Renumbering from section 30124 and amendment filed 10-20-78; effective
thirtieth day thereafter (Register 78. No. 42).
2. Repealer and new section filed 6-18-81; effective thirtieth day thereafier (Reg-
ister 81, No. 25).
3. Amendment filed 6-21-82; effective thirtieth day thereafter (Register 82. No.
26).
4. Repealer filed 4-1 1-94; operative 5-1 1-94 (Register 94, No. 15).
5. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§ 30122. California Student Loan Authority.
NOTE: Authority cited: Section 69544, Education Code. Reference: Sections
69760-69779, Education Code.
History
1. Renumbering from Section 30125 and amendment filed 10-20-78; effective
thirtieth day thereafter (Register 78. No. 42).
2. Repealer and new section filed 6-1 8-81 ; effective thirtieth day thereafter (Reg-
ister 81, No. 25).
3. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§ 30123. Earnings from the Reserve Fund.
NOTE: Authority cited: Section 69544, Education Code. Reference: Sections
69760-69779, Education Code.
History
1. Renumbering from Section 30126 and amendment filed 10-20-78; effective
thirtieth day thereafter (Register 78, No. 42).
2. Repealer filed 6-1 8-81; effective thirtieth day thereafter (Register 81, No. 25).
3. Repealer filed 6-24—97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§ 30124. Lender Transmittal of Manifest and Fees, and
Cancellation of Non-Disbursed Loan
Guarantees by the Commission.
NOTE; Authority cited: Sections 69544 and 69763, Edueafion Code. Reference:
20 U.S.C. 1078(b)(2), 1078-2(a); 34 C.F.R. 682.410 (a)(IV) and Sections 69761.
69761 .5 and 69763, Education Code.
History
1. New section filed 6-21-82; effective thirtieth day thereafter ( Register 82. No.
26). For history of former section, see Registers 81 . No. 25 and 78. No. 42.
2. Amendment filed 12-17-91 ; operative 3-1-92. (Register 92, No. 10).
3. Editorial correcfion (Register 97, No. 24).
4. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 11343.4(d) (Register 97, No. 26).
§ 30125. Loan Proceed Delivery.
NOTE: Authority cited: Section 69544, Education Code. Reference: Sections
69760-69779, Education Code.
History
1. New section filed 10-20-78; effective thirtieth day thereafter (Register 78, No.
42).
2. Repealer filed 6-1 8-81 ; effective thirtieth day thereafter (Register 8 1 , No. 25 ).
3. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
Page 207
Register 2001, No. 3; 1-19-2001
§ 30126
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 30126. Refunding Unused Loan Funds.
NOTE; Authority cited: Section 69544. Education Code. Reference: Sections
69760-69779, Education Code.
History
1. Renumbering from Section 301 14 and amendment filed 10-20-78: effective
thirtieth day Ihereafter (Register 78. No. 42).
2. Amendment tiled 12-13-78 as an emeiijency; effective upon filinii (Reaister
78. No. 30).
3. Certificate of Compliance filed 3-7-79 (Register 79. No. 10).
4. Repealer filed 6-18-81;effective thirtieth day thereafter (Register81, No. 25).
5. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code .sec-
tion 1 1343.4(d) (Register 97, No. 26).
§ 301 27. Contracting for Services.
History
1 . Repealer filed 1 0-20-78; effective thirtieth day thereafter (Register 78. No. 42 ).
2. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Ct^de sec-
tion 1 1343.4(d) (Register 97. No. 26).
Article 10. The California Loans to Assist
Students Program
§ 30200. Federal Regulations.
NotE: Authority cited: Section 69.544. Education Code. Reference: Sections
69760, 69761.5, 69763 and 69770, Education Code.
History
1 . New Article 10 (Sections 30200-30221, not consecutive) filed 6-21-82; effec-
tive thirtieth day thereafter (Register 82. No. 26).
2. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
fion 1 1343.4(d) (Register 97, No. 26).
3. Repealer of article 10 (sections 30200-30227) filed 7-17-97; operative
7-17-97 pursuant to Government Code section 1 1343.4(d) (Register 97, No.
29).
§ 30201 . Parent Borrower Eligibility.
History
1 . Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§ 30202. Student Borrower Eligibility.
NOTE: Authority cited: Section 69544, Educafion Code. Reference: Section
69763, Education Code.
History
1 . Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
fion 1 1343.4(d) (Register 97, No. 26).
§ 30203. Prior Grant or Loan Obligations.
NOTE: Authority cited: Section 69544, Education Code. Reference: Section
69763, Education Code.
History
1 . Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§ 30204. Social Security Number.
NOTE; Authority cited: Section 69544, Education Code. Reference: Section
69763, Education Code.
History
1 . Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 11 343.4(d) (Register 97, No. 26).
§ 30205. Application Fraud.
NOTE: Authority cited: Section 69544, Educafion Code. Reference: Section
69763, Education Code.
History
1 . Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§ 30206. Insurance Premium.
NOTE: Authority cited: Section 69544, Education Code. Reference: Sections
69761.5. 69763 and 69770, Education Code.
History
1 . Repealer filed 7-17-97; operative 7-17-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 29).
§ 30207. Insurance Premium Refunds.
NOTE: Authority cited: Section 69544, Education Code. Reference: Section
69763. Education Code.
History
1 . Repealer filed 6-24-97; operative f)-24-97 pursuant to Government Code sec-
fion 1 1.343.4(d) (Register 97, No. 26).
§ 30208. Insurance Premium Revenues.
NOTE: Authority cited: Section 69544, Education Code. Reference: Sections
69763 and 69770, Education Code.
History
1 . Repealer filed 7-1 7-97; operative 7- 1 7-97 pursuant to Government Code sec-
fion 1 1343.4(d) (Register 97, No. 29).
§ 30209. Student Records.
NOTE: Authority cited: Section 69544, Education Code. Reference: Section
69763. Education Code.
History
1 . Repealer filed 6-24-97: operative 6-24-97 pursuant to Govemment Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§30210. Full Guarantee.
NOTE: Authority cited: Section 69544, Education Code. Reference: Section
69763. Education Code.
History
1 . Repealer filed 6-24-97; operative 6-24-97 pursuant to Govemment Code sec-
fion 1 1343.4(d) (Register 97, No. 26).
§ 3021 1 . Payment of Claims.
NOTE: Authority cited: Sections 69544 and 69763. Education Code. Reference:
Secfions 69760-69779, Educafion Code; 20 USC 1078(c)(1)(A); and 34 CFR
682.5 16(a)(l )(i)
History
1 . Amendment filed 9-24-86 as an emergency; effective upon filing (Register 86,
No. 39). A Certificate of Compliance must be transmitted to OAL within 120
days or emergency language will be repealed on 1-22-87.
2. Request for extension of 9-24-86 emergency order transmitted to OAL on
1-22-87; amendment refiled 1-27-87 as an emergency, operative 1-22-87
(Register 87, No. 5). A Certificate of Compliance must be transmitted to OAL
no later than 5-22-87 or emergency language will be repealed by operation of
law(Gov.C.§ 11346.1).
3. Certificate of Compliance filed 5-21-87 (Register 87. No. 22).
4. Repealer filed 6-24-97; operative 6-24-97 pursuant to Govemment Code sec-
tion 1 1.343.4(d) (Register 97, No. 26).
§ 3021 2. Preclaims Collection Assistance.
NOTE: Authority cited: Sections 69544 and 69763, Education Code. Reference:
Sections 69760-69779, Educafion Code; 20 USC 1080(e)(2); and 34 CFR
682.511(d).
History
1 . Amendment filed 9-24-86 as an emergency; effective upon filing (Register 86,
No. 39). A Certificate of Compliance must be transmitted to OAL within 120
days or emergency language will be repealed on 1-22-87.
2. Request for extension of 9-24-86 emergency order transmitted to OAL on
1-22-87; amendment refiled 1-27-87 as an emergency, operative 1-22-87
(Register 87, No. 5). A Certificate of Compliance must be transmitted to OAL
no later than 5-22-87 or emergency language will be repealed by operation of
law (Gov. C. § 11346.1).
3. Certificate of Compliance filed 5-21-87 (Register 87, No. 22).
4. Repealer filed 6-24-97; operative 6-24-97 pursuant to Govemment Code sec-
tion 1 1 343.4(d) (Register 97, No. 26).
§ 3021 3. Interest on Claims.
NOTE: Authority cited: Section 69544, Education Code. Reference: Section
69763, Education Code.
History
1 . Repealer filed 6-24-97; operative 6-24-97 pursuant to Govemment Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§ 30214. Lender Agreement.
NOTE; Authority cited: Section 69544, Education Code. Reference: Section
69763, Education Code.
History
1 . Repealer filed 6-24-97; operative 6-24-97 pursuant to Govemment Code sec-
fion 1 1343.4(d) (Register 97, No. 26).
§ 30215. Lender and School Reviews.
NOTE: Authority cited: Section 69544, Educafion Code. Reference: Section
69763, Education Code.
•
•
Page 208
Register 2001, No. 3; 1-19-2001
Title 5
California Student Aid Commission
§ 30301
•
•
History
I . Repealer Hied 6-24-97; operative 6-24-97 pursuant to Government Code see-
tion 1 134.14(d) (Register 97. No. 26).
§30216. SallieMae.
Noiri: Authority cited: Section 69.S44. Education Code. Reference: Section
6976.^. Education Code.
Hlstory
I . Repealer tiled 6-24-97: operative 6-24-97 pursuant to Goveminent Code sec-
tion ll,34.'^.4(d) (Register 97. No. 26).
§ 30217. Procedural Changes.
NO'IH: Authority cited: Section 69544. Education Code. Reference: Sections
6976.^ and 69770. Education Code.
History
I . Repealer filed 6-24-97; operative (>-24-97 pursuant to Government Code sec-
tion I 1.34.3.4(d) (Register 97. No. 26).
§ 30218. Earnings from the Reserve Fund.
NOTi;: Authority cited: Section 69544. Education Code. Reference: Section
69763. Education Code.
History
1 . Repealer Hied 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§ 30219. Lender Transmittal of Manifest and Fees, and
Cancellation of Non-Disbursed Loan
Guarantees by the Commission.
NOTI:: Authority cited: Sections 69763 and 69544. Education Code. Reference:
20 U.S.C. 1078(b)(2); 34 CFR 682.410(a)( 1 Miv): and Sections 69763, 69761 and
69761.5. Education Code.
History
1 . New section filed 4-21-94; operative 5-23-94 (Register 94, No. 16).
2. Repealer filed 6-24-97; operative 6-2-1-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97. No. 26).
§ 30220. Loan Proceed Delivery.
NOTF:: Authority cited: Section 69544. Education Code. Reference: Section
69763, Education Code.
Hlstory
1 . Repealer filed 4-1 1-94; operative 5-1 1-94 (Register 94, No. 15).
2. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97. No. 26).
§ 30221 . California Student Loan Authority.
NOTE; Authority cited: Section 69544, Education Code. Reference: Section
69763. Education Code.
History
I . Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1.343.4(d) (Register 97, No. 26).
§ 30225. Co-Signers and Co-Makers.
NOTE: Authority cited: Sections 69544 and 69763, Education Code. Reference:
Sections 69760 and 69763, Education Code.
History
1 . Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 L'^43.4(d) (Register 97. No. 26).
§ 30226. Credit Analysis.
History
1 . New section filed 10-4-84; effective thirtieth dav thereafter (Register 84. No.
40).
2. Corrected order deleting text previously filed in error on 10-4-84, filed
10-9-84; effective upon filing pursuant to Government Code Section
1 1.346.2(d) (Register 84. No. 40).
3. Repealer filed 6-24-97; operative 6-24-97 pursuant to Government Code sec-
tion 1 1343.4(d) (Register 97, No. 26).
§ 30227. Loan Disbursement Instructions.
NOTE: Authority cited: Sections 69544 and 69763. Education Code. Reference:
Sections 69760 and 69763. Education Code.
Hisiory
1 . New section filed 10-4-84; effective thirtieth dav thereafter (Register 84. No.
40).
2. Amendment filed 7-29-85; effective thirtieth dav thereafter (Resisier 85. No.
31).
3. Repealer filed 6-24-97; operative 6-24-97 pursuant to Goveminent Code sec-
fion 11343.4(d) (Re2ister97. No. 26i.
Article 1 1 . Imposition of Civil Penalties,
and Limitation, Suspension and Termination
of Eligibility, Under the California
Guaranteed Student Loan Program (CGSLP)
and the California Loans to Assist Students
(CLAS) Program
§ 30300. Purpose and Scope.
Any action taken under this subpart or any other provision of those
rules will not affect an institution's responsibility to fulfill the require-
ments of the Act. regulations orCELP policies and procedures applicable
to outstanding CELP loans or the institution's rights, if any. to benefits
or payments that are based on the institution's prior participation in the
CELP.
This subpart does not apply to:
(a) a determination that an institution fails to meet the definition of ei-
ther an "institution of higher education" as defined in section 1085(b) of
20 U.S.C or a "vocational school" as defined in section 1085(c) of 20
U.S.C;
(b) an institution fails to meet the definition of "lender" in sections
682.200 and 683. 10 of 34 C.F.R. or;
(c) of a school's loss of lender eligibility by the Secretary of the U.S.
Department of Education (USED) due to its default experience under
sections 682.61 1 and 683.90 of 34 C.F.R.
In any such case, the CLP Official terminates the participation of the
institufion immediately by sending notice of such termination.
NOTE: Authority cited: Section 69763, Education Code. Reference: 20 U.S.C.
1078(b)(2). 1078-2(a); .34 C.F.R. 682.401(c)(2)(ii), 683. 31(c)(2)(ii); and Section
69763, Education Code.
History
1. New article 11 (sections 30300-30314) filed 11-8-84; effective upon filing
pursuant to Government Code section 1 1346.2(d) (Register 84. No. 45).
2. Editorial correefion of printing error correctine article 1 1 heading (Register 91.
No. 29).
§ 30301 . Definition of Certain Terms.
(a) Act. Title IV Higher Education Act of 1 965. as amended, 20 U.S.C.
1070 ff, and 42 U.S.C. 2751 -2756(b).
(b) Action. Any proceeding or notification which limits, suspends or
terminates the participation of an institution in the CELP, including those
taken without the need of conforming to the procedures of this subpart
such as a limitation, suspension, termination or other similar action taken
as a result of a violation of a Consent Agreement or termination as pro-
vided in Section 30300.
(c) Applicable Laws. Applicable laws include, but are not limited to:
The Higher Education Act of 1965, as amended; Section 69760-69779
of the California Education Code; California Fair Debt Collection Prac-
tices Act (California Civil Code, Section 1788 ff); Truth in Lending Act
(L5 U.S.C. 1602 fO.
(d) Binding Arbitration. The presentation of issues to a disinterested
person chosen by the parties to hear their contention and render a judg-
[The next page is 209.
Page 208.1
Register 2001, No. 3; 1-19-2001
Title 5
California Student Aid Commission
§ 30304
•
•
meni which the institution and the California Student Aid Commission
agree to honor.
(e) California Educational Loan Programs (CELP), CaHfornia Guar-
anteed Student Loan Program and California Loans to Assist Students.
(0 CELP Official. An official of the CELP who has been delegated by
the Director. California Student Aid Commission, the responsibility for
initiating and pursuing action under this subpart.
(g) Consent Agreement. A voluntary agreement reached between the
institution and the CELP Official which fully or partially settles the dis-
pute(s) between the parties.
(h) Delivery. The release of CELP check to a borrower.
(i) Funds. Any money (including checks, drafts, or other instruments),
any commitment to provide money, or any commitment of insurance
which has been (or may be) provided under the CELP to a borrower or
an institution.
(j) Hearing. The orderly presentation of arguments and evidence be-
fore a Hearing Officer.
(k) Hearing Officer. An impartial person, appointed by the Director,
California Student Aid Commission, with no prior involvement with the
facts giving rise to action under this subpart, who is either;
( 1 ) an attorney who has been admitted to the practice of law in Califor-
nia for at least five (5) years preceding his appointment and possesses any
additional qualifications established by the California State Personnel
Board for the particular class involved;
(2) a person who is an arbitrator qualified by the American Arbitration
Association; or
(3) any other person who meets the qualifications (other than merely
testing) for the position of Administrative Law Judge for the Federal
Government.
(1) Institution. An institution of higher education as defined in 20
U.S.C. 1 085(b). a vocational school as defined in 20 U.S.C. 1 085(c), and
a lender as defined in 34 C.F.R. 682.200 and 683.10.
(m) Limitation. Imposition of conditions including remedies for past
violations by the CELP Official or Hearing Officer which an institution
must meet in order to continue to participate in the CELP.
(n) Notice. Written information which is intended to advise the person
responsible for the administration, in a participating institution, of the
CELP of a proposed action by the California Student Aid Commission
in which the institution's interests are involved.
(0) Reinstatement. Allows an institution, after termination of its eligi-
bility, to participate again in the CELP upon meeting specific conditions.
(p) Suspension. The removal of an institution's eligibility to partici-
pate in the CELP for a specified period of time or until the institution
meets certain requirements.
(q) Termination. The removal of an institution's eligibility in the
CELP for an indefinite period of time, but not less than 24 months.
(r) Title IV. Title IV of the Higher Education Act of 1 965, as amended.
NOTt£: Authority cited: Section 69763, Education Code. Reference: 20 U.S.C.
1078(b)(2), 1078-2(a); .14 C.F.R. 682.401(c)(2)(ii),683.31(c)(2Kii); and Section
69763. Education Code.
§ 30302. Causes of Action.
(a) Limitation, suspension, or termination action may be instituted
when there is any violation by an institution of applicable law. regulation,
or of its school or lender agreement; any violation by an institution of lim-
itations or of a Consent Agreement; or any form or degree of misrepre-
sentation or fraud perpetrated by an institution or its employees in con-
nection with the CELP or other State student financial aid programs.
(b) If the CELP official:
( 1 ) receives information, determined by the CELP Official to be reli-
able, that an institution is violating any provision of applicable laws, reg-
ulations, or any applicable special arrangement, agreement, or limitation:
(2) determines that immediate action is necessary to prevent misuse of
Federal or State funds; and
(3) determines that the likelihood of loss outweighs the importance of
following the limitation, suspension, or termination procedures autho-
rized in this article; the CELP Official shall, effective on the date on
which a notice and statement of the basis of the action is mailed to the
institution (by registered mail, return receipt requested), take emergency
action consistent with section 30304 of this article. If the institution has
a telecopier number which the CELP Official is able to obtain after a dili-
gent search, the CELP Official shall, at the time of inailing, telecopy the
notice and statement, without attachments, to the institution.
(c) An emergency action under this section may not exceed 30 days
unless a limitation, suspension, or termination proceeding is initiated
against the institution under this article before the expiration of that peri-
od, in which case the CELP Official inay extend the emergency action
to a point in time no later than the effective date of the limitation, suspen-
sion, or termination if the liinitation, suspension, or termination is not
contested, or the effective date of the decision of the CELP Official or the
Hearing Officer if the limitation, suspension, or termination is contested.
(d) The CELP official shall provide the institution, if it so requests, an
opportunity to show cause that the emergency action is unwarranted.
NOTE: Authority cited: Section 69763(a). Education Code. Reference: 20 U.S.C.
l()78(b)(l)(T)&(U), 1082(h) &(i) and 1094(c); and .34 C.F.R. 668.81 -668.97.
History
i . Amendment filed 2-9-90 as an emergency; operative 2-9-90 ( Register 90. No.
7). A Certificate of Compliance must be transmitted loOAL within 120 days or
emergency language will be repealed on 6-1 1-90.
2. Certificate of Compliance as to 2-9-90 order transmitted to OAL 6-8-90 and
filed 7-9-90 (Register 90, No. .34).
§ 30303. Initiation of Action.
The CELP Official begins a limitation, suspension, or termination ac-
tion by sending by certified mail, (with return receipt requested) a notice
advising the institution of the consequences of the action, the alleged vio-
lations on which the action is based, the effective dale of the action, and
of the institution's right to request a hearing (if the request is in writing
and received by the CELP Official at least five (5) days before the date
the action is to be effective) and of the right to present written material
showing why an action should not take place.
If a hearing is requested, the CELP Official shall set the date and place
of the hearing which must be at least twenty (20) days after receipt of the
request. No action, other than by Consent Agreement, emergency action,
or as otherwise provided in these regulations can take place until after a
hearing is held and a decision reached and written notice thereof given.
If the institution does not request a hearing, but submits written materi-
al, the CELP Official shall postpone the effective date of the action until
after such material is evaluated. All material must be received by the
CELP Official within twenty (20) days from the date the institution noti-
fies the California Student Aid Commission of its intention to submit data
for consideration. Within thirty (30) days after the material is reviewed,
the CELP Official shall notify the institution by certified mail (return re-
ceipt requested) that the action is dismissed or will be effective as of the
date originally specified.
A limitation, suspension, or termination may not be effective eariier
than twenty (20) days after the date on which the notice is mailed unless
otherwise provided in these regulations.
NOTE: Authoritv cited: Section 69763(a), Education Code. Reference: 20 U.S.C.
l078(b)(l)(T)&(U), 1082(h)and l()94(c): and 34 C.F.R. 668.81 -668.97.
History
1 . Amendment filed 2-9-90 as an emergency; operative 2-9-90 ( Register 90, No.
7). A Certificate of Compliance must be transmitted to OAL within 120 days or
emergency language will be repealed on 6-1 1-90.
2. Certificate of Compliance as to 2-9-90 order transmitted to OAL 6-8-90 and
filed 7-9-90 (Register 90, No. 34).
§ 30304. Effect of Emergency Action.
Emergency action by the CELP Official may include,
(a) barring any further CELP processing or guarantee of loans to be
made to borrowers to cover the cost of attendance at a school which is the
subject of an emergency action or to be made by a lender or a school lend-
er which is the subject of emergency action and,
(b) barring delivery, by a school which is subject of emergency action,
of any checks representing CELP loans.
Page 209
Register 90, Nos. 32 - 37; 9 - 1 4 - 90
§ 30305
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Emergency action does not bar disbursement or delivery of loans guar-
anteed, prior to the initiation of emergency action, by
( 1 ) lender; or by
(2) a school lender subject to emergency action; or
( 3 ) to a borrower attending a school subject to emergency action unless
specific notification is made by the CELP Official to the affected party.
The failure of an institution to conform with the requirements of an
emergency action may result in a limitation or termination action being
taken and the automatic withdrawal of the loan guarantee on loans dis-
bursed by a lender or school lender after the effective date of the emer-
gency action. All applications held by any party (which are applications
for CELP loans for attendance at a school against which emergency ac-
tion has been taken or for a loan from a lender against which emergency
action has been taken) shall be returned directly by the holder thereof to
the borrower with an explanation of the action. The notice of emergency
action may include a notice of commencement of a limitation, suspen-
sion, or termination proceeding under this subpart.
If emergency action ends by being converted into a limitation or termi-
nation, then the regulation applicable to Hmitation or termination shall
apply. In any case to which an emergency action does not apply, loans
not yet disbursed or delivered shall be treated in accordance with the
terms of a Consent Agreement or shall be disbursed or delivered.
NOTE: Authority cited: Section 69763(a), Education Code. Reference: 20 U.S.C.
1078(b)(1)(T)&(U), 1082(h) and 1094(c): and 34 C.F.R. 668.81 -668.97.
History
1 . Amendment filed 2-9-90 as an emergency; operative 2-9-90 (Register 90, No.
7 ). A Certificate of Compliance must be transmitted to OAL within 1 20 days or
emergency language will be repealed on 6-1 1-90.
2. Certificate of Compliance as to 2-9-90 order transmitted to OAL 6-8-90 and
filed 7-9-90 (Register 90, No. 34).
§ 30305. Effect of Suspension.
A suspension removes an institution's eligibility to participate in the
CELP for a period of not longer than sixty (60) days. The suspension may
be extended beyond sixty (60) days if the CELP Official and the institu-
tion agree to an extension or the CELP Official begins a limitation or ter-
mination proceeding; in which case, the suspension shall continue until
the completion of the limitation or termination hearing, including the no-
tification period and resolution of an appeal.
A suspension bars any further CELP processing or guarantee of loans
to be made to borrowers to cover the cost of attending a suspended school
or to be made by a suspended lender or school lender and bars delivery
by a suspended school of any CELP checks.
Suspension does not bar disbursement or delivery of loans guaranteed
prior to the suspension by a suspended lender or school lender or by a sus-
pended school, unless specifically so provided in the order of suspension.
NOTE: Authority cited: Section 69763, Education Code. Reference: 20 U.S.C.
1078(b)(2), 1078-2(a); 34 C.F.R. 682.401 (c)(2)(ii), 683.3 l(c)(2)(ii); and Section
69763, Education Code.
§ 30306. Effect of Limitation.
A limitation limits, in a specified manner, the participation of an insti-
tution in the CELP by setting special conditions for continued participa-
tion in those programs. A limitation imposed by the Hearing Officer or
the CELP Official may contain an expiration date, after which the limita-
tion shall cease. The limitation may include an order directing the institu-
tion, which is subject to the Hmitation, to make restitution or repayment
of funds. If emergency action has preceded the limitation, then the terms
of the emergency action shall be converted to the terms of the limitation,
as set forth in this subpart.
A limitation of a school may include a limit on the number or percent-
age of students enrolled in that institution who may receive CELP loans,
a requirement that the school obtain a bond in a specified amount to as-
sure its ability to meet its financial obligations to borrowers who receive
CELP loans, and other reasonable limits on its participation in the pro-
grams.
A limitation of a lender, or of a school lender, may include a limit on
the number or total dollar amount of CELP loans that such lender may
make, purchase, or hold or lend to cover the cost of attending a particular
school, and other reasonable limits on its participation in the programs.
NOTE: Authorily cited: Section 69763. Education Code. Reference: 20 U.S.C.
1078(b)(2), 1078-2(a); 34 C.F.R. 682.401(c)(2)(ii).683.31(c)(2)(ii): and Section
69763. Education Code.
§ 30307. Effect of Termination.
A termination ends the eligibility of an institution to participate in the
CELP. bars the delivery by a terminated school of CELP loan proceeds,
which shall be immediately returned to the lender, bars CGSL and CLAS
Program CELP disbursements by a lender (or by a school lender) whether
or not a guarantee was issued, and bars the guarantee of any CELP appli-
cation submitted by a terminated lender or school lender.
If the emergency action has preceded the termination, then the terms
of the emergency action shall be converted to a termination as set forth
in this subpart.
NOTE: Authority cited: Section 69763, Education Code. Reference: 20 U.S.C.
1078(b)(2), 1078-2(a); 34 C.F.R. 682.401 (c)(2)(ii), 683.3 i(c)(2)(ii); and Section
69763, Education Code.
§ 30308. Civil Penalties.
(a) The CELP Official shall determine whether to impose a civil penal-
ty of up to $25,000 per violation on an institution against which a cause
of action has been commenced pursuant to the provisions of this article.
(b) The CELP Official shall begin a civil penalty proceeding by send-
ing the institution a notice by certified mail with return receipt requested.
Tliis notice shall:
(1) Inform the institution of the intent to impose civil penalties against
the in.stitution and the amount of the civil penalties, and identify the al-
leged violations for which the civil penalties are being imposed;
(2) Specify the proposed effective date of the civil penalties, which
shall be the same date as the effective date of the limitation, suspension,
or termination; and
(3) Inform the institution that the civil penalties shall not be effective
on the date specified in the notice if the CELP official receives, at least
five days prior to that date, a written request for a hearing or written mate-
rial indicating why the civil penalties should not be imposed.
(c) If the institution does not request a hearing but submits written ma-
terial, the CELP Official, after considering that material, shall notify the
institution that:
(1) The civil penalties shall not be imposed; or
(2) The civil penalties shall be imposed as of a specified date, and in
a specified amount.
(d) If the insutution submits a timely request for a hearing, the proce-
dure for the hearing shall be governed by the provisions of this article re-
lating to hearings in limitafion, suspension, and termination proceedings.
(e) In any event, if the institution contests the alleged violations which
form the bases for the civil penalties, the imposition of the civil penalties
shall be stayed until final adjudication of those alleged violations or until
settlement by the parties reladng to those alleged violations.
(f) In determining the amount of a civil penalty the CELP Official shall
consider the appropriateness of the penalty to the gravity of the violation;
the frequency and persistence of the violation; and the amount of any
losses resulting from the violation.
(g) Notwithstanding any other provision of this article, the total
amount of civil penalties, when finally determined after the exhaustion
of appeals, if any, shall be subject to deduction by the California Student
Aid Commission from any sums owed to the insutution by the California
Student Aid Commission.
(h) For the purposes of civil penally imposition, a "violation" shall be
a single violation, regardless of the number of instances of that violation.
NOTE: Authority cited: Section 69763(a) and (b). Education Code. Reference:
Section 69763(b), Education Code.
Page 210
Register 90, Nos. 32-37; 9-14-90
Title 5
California Student Aid Commission
§30312
History
1. Rciuinibciiim of fornicr Section 30308 to Section 30309, and new Section
30308 niecl 8-23-88; operative 9-22-88 ([Register 88. No. 33),
§ 30309. Prehearing Conference.
The purpose of a prehearing conference i.s to allow the parties to settle
or narrow the dispute. A prehearing conference may be convened at the
request of the CELP Official, the institution, or the Hearing Officer. The
scope of a prehearing conference is to discuss matters relating to the pro-
posed action, including settlement without a hearing, or narrowing of le-
gal or factual issues to be resolved at the hearing. A prehearing confer-
ence is not subject to any procedural requirements except as may be
mutually agreed upon by the CELP Official and the institution. A pre-
hearing conference may be held in any manner, including telephone calls
or subinission of written material, by the institution and the CELP Offi-
cial. The Hearing Officer shall not participate in any prehearing confer-
ence.
As a result of the prehearing conference, the CELP Official and the in-
stitution may enter into a Prehearing Agreement which is a written stipu-
lation whereby both the CELP Official and the institution stipulate, in
writing and signed by both parties, to certain facts, procedures or points
oi' law. regulation or policy and procedures. The CELP Official and the
institution may enter into a written Consent Agreement which fully or
partially settles the dispute between the parties. If the CELP Official and
the institution enter into a written Consent Agreement which fully settles
the dispute and the Consent Agreement so specifies, any pending hearing
shall be cancelled, if the institution violates any of the provisions of the
Consent Agreement the CELP Official may institute termination action.
NOTt: Authority cited: Seetion 69763, Education Code. Reference: 20 U.S.C.
1078(b)(2). 1078-2(a): 34 C.F.R.682.401(cK2)(ii), 683. 31(c)(2)(ii); and Section
69763, Education Code.
History
1 . Renumbering of former Section 30309 to Section 30310, and renumbering of
Section 30.308 to Section 30309 filed 8-2.3-88; operative 9-22-88 (Register 88,
No. 35).
§ 30310. Authority and Responsibilities of the Hearing
Officer.
The Hearing Officer regulates the course of the proceedings, the con-
duct of the parties, and takes al I steps necessary to ensure a fair and impar-
tial hearing. The Hearing Officer shall take whatever measures are appro-
priate to expedite the proceeding. These measures may include, but are
not limited to. setting a schedule for the submission of written documents
and legal memoranda and setting page limitations on the filing of any
memoranda. The Hearing Officer has the authority to treat a party to the
hearing, who fails to abide by the orders of the Hearing Officer, as being
in non-compliance and may issue a decision without a hearing against
the non-complying party. If the Hearing Officer terminates a hearing
pursuant to non-compliance he/she shall cause to be delivered a written
decision by certified mail (return receipt requested) within thirty (30)
days after such termination.
All decisions of the Hearing Officer shall be based on findings of fact
and conclusions of law. The Hearing Officer shall base the findings of
fact only on evidence considered at the hearing, sUpulations of the par-
ties, and matters given official notice.
The Hearing Officer does not have the authority to issue subpoenas.
However, if requested by the Hearing Officer, the Director, California
Student Aid Commission shall provide available personnel from the Cal-
ifornia Student Aid Commission who have knowledge about the matters
under review, and the insfitution shall provide available personnel who
have knowledge of the matters under review for oral examination.
NOTE: Authority cited: Section 69763, Education Code. Reference: 20 U.S.C.
1078(b)(2), 1078-2(a); 34 C.F.R.682.401(c)(2)(ii),683.31(c)(2)(ii); and Section
69763, Education Code.
History
1. Renumbering of former Section 30310 to Section 3031 1, and renumbering of
Section 30309 to Section 30310 tiled 8-23-88; operative 9-22-88 (Register 88,
No. 35).
§ 3031 1 . Hearing on the Record and Decision.
The hearing shall take place in Sacramento, California at a place se-
lected by the CELP Official, shall be attended by the CELP OITicial and
the authorized representative of the institution, shall be limited to legal
issues and those matters of fact to which the CELP Official and the insti-
tution have been unable to stipulate. The hearing process may be limited
as agreed upon by the CELP Official, the institution, and the Hearing Of-
ficer in areas such as a restriction on the number of submissions, a hearing
by telephone conference call, a review limited to the written records, or
a certificafion by the parUes to facts and issues not in dispute. The parlies
may enter into stipulations during the course of the hearing. Any stipula-
tions agreed to shall be submitted to the Hearing Officer as soon as possi-
ble after the sUpulation is executed. The institution may be represented
by legal counsel at the hearing, but the CELP Official is under no obliga-
tion to provide such counsel. Forinal rules of evidence and procedures
applicable to proceedings in courts of law are not required.
There shall be no discovery proceedings under this subpart, but the
parties are encouraged to exchange relevant documents or information,
and the Hearing Officer shall only accept evidence that is relevant and
material to the hearing. Parties may object to any evidence which they
consider to be irrelevant, immaterial, or unduly repetitious.
A record shall be made of the hearing. The record of the hearing shall
not be transcribed except upon request of a party. The party requesting
the transcription, or seeking a copy of a transcription previously made,
shall pay a reasonable fee not to exceed the actual cost thereof.
The Hearing Officer shall issue a written decision within thirty (.30)
days following the conclusion of the hearing except as otherwise pro-
vided in these regulafions. A limitation, suspension, or termination, after
the hearing, is effective on the second day following the date that a copy
of the decision is mailed by certified mail (return receipt requested) to the
insfitution or on the effective date slated in the decision, whichever is lat-
er.
The party not prevailing at the hearing shall pay the cost incurred for
the employment of the Hearing Officer. If the insfitution must make pay-
ment of hearing expenses, said payment shall be made to the CELP Offi-
cial within twenty (20) days of the decision. The CELP Official may take
whatever action he/she deems appropriate, including offset and legal ac-
tion, to collect the funds due from the insfitution. The CELP official may
also collect interest on funds due, up to twelve (12) percent per annum,
beginning with the date following the expiration of the twenty (20) days
referred to above.
NOTE: Authority cited: Section 69763(a), Education Code, Reference: 20 U.S.C.
1078(b)(])(T)&(U), 1082(h) and l()94(c); and 34 C.FR. 668.81 - 668,97.
History
1. Renumbering of former section 3031 1 to section 30312. and renumbering of
Section 303 1 0 to Section 303 1 1 filed 8-23-88; operative 9-22-88 ( Reei-sier 88,
No. 35).
2. Amendment filed 2-9-90 as an emergency; operative 2-9-90 (Register 90. No,
7). A Certificate of Compliance must be transmitted to OAL within 1 20 days or
emergency language will be repealed on 6-1 1-90.
3. Certificate of Compliance as to 2-9-90 order transmitted to OAL 6 8-90 and
filed 7-9-90 (Register 90, No. 34).
§ 30312. Other Hearing-Related Conditions.
If an insfitufion. to which a nofice is addressed, refuses to accept such
nofice, the nofice shall be deemed to be received by the institution on the
date that the insfitution refuses to accept delivery of the notice from the
United States Postal Service.
Action to resolve liability may include an order requiring payment by
the insfitufion to the CELP Official, or to designated recipients, of any
funds that the insfitufion improperly received, withheld, disbursed, or
caused to be disbursed under the CELP.
Nothing in this subpart shall preclude or prohibit the CELP Official
and the insfitufion from entering into an agreement to submit to binding
arbitration in lieu of the hearing procedures contained herein.
With the approval and the consent of the CELP Official and the institu-
fion, any fime schedule specified in this subpart may be shortened or ex-
Page 211
Register 90,Nos.32-37;9-14-90
§ 30313
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
tended unless the hearing has begun. After the hearing has begun, any
such changes shall be solely at the Hearing Officer's discretion.
If a decision, based upon a Consent Agreement or upon a hearing or
after appeal of a hearing, requires an institution to reimburse or make any
other payment to the CELP Official, the CELP Official may offset these
sums against any benefits or claim due to the institution.
The California Student Aid Commission's mailings and receipts shall
be evidenced by original documents received from the United States
Postal Service by the Commission.
NOTE: Authority cited: Section 69763. Education Code. Reference: 20 U.S.C.
l()78(b)(2), 1078-2(a); 34 C.F.R.682.401(c)(2)(ii).683.31(c)(2)(ii): and Section
69763. Education Code.
History
I. Renumbering of former Section 30312 to Section 30313, and renuniberinc of
Section 303 1 1 to Section 3031 2 filed 8-23-88: operative 9-22-88 ( Reeistei^88,
No. 35).
§30313. Appeal.
A respondent party not prevailing at a hearing may seek final adminis-
trative remedy by appealing the Hearing Officer's decision to the eleven
member California Student Aid Commission. The decision of the Hear-
ing Officer will remain in effect pending the conclusion of this final ad-
ministrative review. Request for. and necessity of. appeal shall be pres-
ented in writing to the CELP Official within twenty (20) days of the
respondent's receipt of the Hearing Officer's decision. The appeal may
be scheduled for review by the California Student Aid Commission and
the time and place for the appeal, if granted, shall be given to the appellant
within sixty (60) days of receipt of the request for appeal by certified mail
(return receipt requested). Effective dates of these time restrictions are
established by the postmarked dates of requests for appeal.
The respondent party seeking review by appeal shall limit its presenta-
tion solely to evidence introduced into the record at the hearing, stipula-
tions of the parties, and matters that may be judicially noticed and shall
make a reasonable showing that a prejudicial procedural error was com-
mitted in the conduct of the hearing or that the Hearing Officer's decision
embodies a finding or conclusion of material fact which is clearly erro-
neous or embodies a legal conclusion which is erroneous.
In reaching its final administrative decision, the Commission shall
consider only evidence introduced into the record at the hearing, stipula-
tions of the parties, and matters that may be judicially noticed.
The Commission's decision may affirm, modify, or reverse the Hear-
ing Officer's decision. The appellant shall be notified of the Commis-
sion's decision by mailing a notice by certified mail (return receipt re-
quested) to the appellant within thirty (30) days of the date the appeal was
heard by the Commission.
The California Student Aid Commission's decision to grant or not
grant final administrative remedy by hearing an appeal, is not subject to
judicial review. If. however, the Hearing Officer's decision is upheld by
the Commission, or the request for an appeal is denied, such decisions
shall be subject to review in accordance with the standards for judicial
review established by law.
NOTE: Authority cited: Section 69763, Education Code. Reference: 20 U.S.C.
1078(b)(2), 1078-2(a); 34 C.F.R. 682.401(c)(2)(ii), 683.31(c)(2)(ii); and Section
69763, Education Code.
History
1. Renumbering of former Section 30313 to Section 30314, and renumbering of
Section 303 12 to Section 3031 3 filed 8-23-88; operative 9-22-88 (Register 88,
No. 35).
§30314. Removal of Limitations.
The Hearing Officer or CELP Official may set time limits for the expi-
ration of limitations. An insfitufion may request removal of limitations
imposed under these regulafions twelve (12) months after the effective
date of the acfion to limit. Notwithstanding the foregoing, removal of
limitations can only be requested in those cases in which a time limit was
not set by the Hearing Officer or CELP Official. The request for removal
of limitafions must be in wriUng and state and substantiate the institution
has corrected the violation(s) on which the limitations were based.
The CELP Ofiicial. within sixty (60) days of receiving the request
shall grant the request, deny the request, or grant the request subject to
other limitations. If a request for removal of limitaUon is denied or causes
imposition of other limitations, the institution may again request such re-
moval six (6) tnonths after the date of the most recent request.
NOTE: Authority cited: Section 69763, Education Code. Reference: 20 U.S.C.
1078(b)(2), 1 078-2(0); 34 C.F.R. 682.401 (c)(2)(ii), 683.3 l(c)(2)(ii); and Section
69763, Education Code.
History
1 . Renumberinsi of former Section 30314 to Section 30315, and renumbering of
Section 303 H to Section 303 14 filed 8-23-88; operative 9-22-88 (Register 88.
No. 35).
§ 3031 5. Reinstatement After Termination.
An institution whose participation has been terminated may file a re-
quest for reinstatement as an eligible institution. However, this request
may not be made before the end of the twenty-fourth (24th) month after
the effective date of the termination. The reinstatement request shall be
in writing and shall state and substantiate that the institution has corrected
the violation(s) on which its termination was based including payment in
full to the CELP Official of all funds due the California Student Aid Com-
mission, or to designated recipients, that the institution improperly re-
ceived, withheld, disbursed, or caused to be disbursed, subject to inde-
pendent review by the CELP Official.
The institution must meet all eligibility requirements for participaUon
in the CELP, upon reinstatement after termination. An instituUon's appli-
cation for reinstatement shall include an acceptable plan which indicates
that its participation in the CELP will not result in further violations by
it or the requirements of the programs. If a school, which is also a lender,
was terminated as both a participating school and a lender, the school
cannot be reinstated as a lender until it is reinstated as a participating
school for a period of at least twelve (12) months.
The CELP Official will not grant reinstatement to an insUtution if it is
owned, in whole or in part, directly or indirectly, by any person who has
been convicted of a crime related to the abuse of any State or Federal Title
IV financial aid program or if it conunues to employ any individual who
was shown to be an incompetent administrator during the termination
proceeding or who was convicted of a crime related to the abuse of any
State or Federal Title IV financial aid programs.
Within sixty (60) days of receiving a reinstatement request, the CELP
Official will notify the institution in writing by certified mail (return re-
ceipt requested) of the decision to grant the request, deny the request, or
grant the request subject to limitation. If a request for reinstatement is de-
nied, the institufion may again request reinstatement twelve (12) months
after the date of the most recent request.
NOTE; Authority cited: Section 69763, Education Code. Reference: 20 U.S.C.
1078(b)(2), 1078-2(a); 34 C.F.R. 682.401(c)(2)(ii),683.31(c)(2)(ii); and Section
69763, Education Code.
Article 12. The Paul Douglas Teacher
Scholarship Program
§ 30500. General Provisions.
The Paul Douglas Teacher Scholarship Program is a federal program
designed to encourage individuals to become teachers. It is administered
at the federal level by the United States Department of Education. The
federal laws relating to this program are found in Title 20 of the United
States Code, Secfions 1111 through 1 1 1 1 h. The federal regulations relat-
ing to this program are found in Title 34 of the Code of Federal Regula-
fions, Part 653. The California Student Aid Commission has received ap-
proval from the United States Department of Education to administer this
program in California. There are no California statutes directly relating
to this program. The regulations in this article supplement the federal
laws and regulafions menfioned above.
NOTE; Authority cited: Sections 69741 and 69742, Education Code. Reference:
20 U.S.C. 11 1 1-11 lib and Part 653, Title 34, Code of Federal Regulations.
History
1. New section filed 12-14-88; operative 1-13-89 (Register 88, No. 53).
Page 212
Register 90, Nos. 32-37; 9- 14-90
Title 5 California Student Aid Commission § 30501
§ 30501. New Applicant Eligibility Criteria. as specified in Sections 68000 through 68 1 34 ofihe California Education
The following eligibility criteria shall be used by the California Stu- Code.
dent Aid Commission for new applicants: (2) Applicants shall agree to enroll in and attend schools with teacher
(a) For applicants who have completed fewer than 30 semester units preparation programs approved by the California Commission on Teach-
or 45 quarter units of college: er Credentialing.
( I ) Applicants shall meet the California State residency requirements
[The next page is 2 13. J
Page 212.1 Register 90, Nos. 32-37; 9-14-90
Title 5
California Student Aid Commission
S 30504
•
(3) An applicant who receives preferential treatment because he or she
intends to teach either Math or Science shall agree to pursue an under-
graduate degree in that subject area and to pursue a single subject teach-
ing credential in that subject area unless a written waiver to change to
another subject area has been granted by the California Student Aid Com-
mission.
(4) An applicant who receives preferential treatment because he or she
intends to be a bilingual teacher shall agree to pursue a single subject or
multiple subject teaching credential with a bilingual emphasis unless a
written waiver of that requirement has been granted by the California
Student Aid Commission.
(5 ) Applicants shall be free of any obligation to repay any state or fed-
eral educational grant and shall not be in default on any state or federal
educational loan or any state or federally insured educational loan unless
they have made arrangements satisfactory to the California Student Aid
Commission for repaying the grant or loan and have made twelve consec-
utive monthly payments pursuant to those arrangements.
(b) For applicants who have completed 30 or more semester units or
45 or more quarter units of college:
( 1 ) Applicants shall meet the California State residency requirements
as specified in Sections 68000 through 68 1 34 of the California Education
Code.
(2) Applicants shall be enrolled in and attending schools with teacher
preparation programs approved by the California Commission on Teach-
er Credentialing.
(3) An applicant who receives preferential treatment because he or she
intends to teach either Math or Science shall agree to pursue an under-
graduate degree in that subject area and to pursue a single subject teach-
ing credential in that subject area unless a written waiver to change to
another subject area has been granted by the California Student Aid Com-
mission.
(4) An applicant who receives preferential treatment because he or she
intends to be a bilingual teacher shall agree to pursue a single subject or
multiple subject teaching credential with a bilingual emphasis unless a
written waiver of that requirement has been granted by the California
Student Aid Commission.
(5) Applicants shall be free of any obligation to repay any state or fed-
eral educational grant and shall not be in default on any state or federal
educational loan or any state or federally insured educational loan unless
they have made arrangements satisfactory to the California Student Aid
Commission for repaying the grant or loan and have made twelve consec-
utive monthly payments pursuant to those arrangements.
(6) Applicants shall have achieved a minimum grade point average of
3.0 (based on a 4.0 scale).
(A) If the applicant is enrolled in a postsecondary institution at the time
of application, the grade point average shall be based on the cumulative
work attempted at that institution, unless the student has not completed
at least 30 semester (45 quarter) units at that institution, in which case the
grade point average shall be based on cumulative work attempted at all
postsecondary institutions.
(B) If the applicant is not enrolled in a postsecondary institution at the
time of application, the grade point average shall be based on the cumula-
tive work attempted at all postsecondary institutions.
(7) Applicants who have completed all baccalaureate degree require-
ments shall be formally accepted into a fifth-year teacher preparation
program beginning with the Fall term of the award year or. if formally
attending a fifth-year teacher preparation program, shall be planning to
continue formally in attendance during the fall term of the award year.
NOTE; Authoritv cited: Sections 69741 and 69742, Education Code. Reference:
20 U.S.C. 1 1 1 1(a). 1 1 llb(c), and J 1 1 ld(b), and 34 CFR 653.2(b) and 653.32(a).
History
1. New section filed 12-14-88; operative 1-13-89 (Register 88, No. 53).
§ 30502. Renewal Applicant Eligibility Criteria.
The following eligibility criteria shall be used by the California Stu-
dent Aid Commission for the selection of renewal scholarship applicants:
(a) Applicants shall meet the California State residency requirements
as specified in Sections 68000 through 681 34 of the California Education
Code.
(b) Applicants shall be enrolled in and attending .schools with teacher
preparation programs approved by the California Commission on Teach-
er Credentialing.
(c) An applicant who received preferential treatment becau.se he or she
intends to teach either Math or Science shall agree to pursue an under-
graduate degree in that subject area and to pursue a single subject leach-
ing credential in that subject area unless a written waiver to change to
another subject area has been granted by the California Student Aid Com-
mission.
(d) An applicant who received preferential treatment because he or she
intends to be a bilingual teacher shall agree to pursue a single subject or
multiple subject teaching credential with a bilingual emphasis unless a
written waiver of that requirement has been granted by the California
Student Aid Commission.
(e) Applicants shall be free of any obligation to repay any state or fed-
eral educational grant and shall not be in default on any state or federal
educational loan or any state or federally insured educational loan unless
they have made arrangements satisfactory to the California Student Aid
Commission for repaying the grant or loan and have made twelve consec-
utive monthly payments pursuant to those arrangements.
(f) An applicant shall have achieved a grade point average that is equal
to or greater than that required for entry into the appropriate teacher cre-
dential program at the campus that he or she is attending, provided that
an applicant who has not achieved the required grade point average may
nevertheless be deemed eligible for one academic year by the California
Student Aid Commission if the applicant submits a written request and
submits documentation showing that he or she did not achieve the re-
quired grade point average because of:
(1) Severe injury to the applicant, and/or
(2) Severe illness of the applicant.
NOTE: Authority cited: Sections 69741 and 69742, Education Code. Reference:
20 U.S.C. 1111(a), ll]lb(c), lllld(b)and lllle(2and 34 CFR 653.2(b) and
653.32(a).
History
1. New section filed 12-14-88; operative 1-13-89 (Register 88, No. 53).
§ 30503. Appointment of Institutional Paul Douglas
Teacher Scholarship Program Coordinator.
California secondary schools and postsecondary institutions with
teacher preparation programs approved by the Commission on Teacher
Credentialing wishing to nominate students shall designate an Institu-
tional Paul Douglas Teacher Scholarship Program Coordinator.
NOTE: Authority cited: Sections 69741 and 69742. Education Code. Relerence:
20 U.S.C. 1 1 1 ld(b) and 34 CFR 653.32(a).
History
1. New section filed 12-14-88; operative 1-13-89 (Register 88, No. 53).
§ 30504. New Applicant Application Process.
All new applicants shall apply for a scholarship using the following
procedures:
(a) For students who will graduate from high school at the end of the
current academic year:
( 1 ) Complete an application designated by the California Student Aid
Commission for the Paul Douglas Teacher Scholarship Program.
(2) File the completed application with the designated Paul Douglas
Teacher Scholarship Coordinator at the applicant's California secondary
school.
(b) For students who have graduated from high school:
(1 ) Complete an application designated by the California Student Aid
Commission for the Paul Douglas Teacher Scholarship Program.
(2) File the completed application with the designated Paul Douglas
Teacher Scholarship Coordinator at a college or university with a teacher
preparation program approved by the Commission on Teacher Creden-
tialing, which college or university they will attend commencing with the
Page 213
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§ 30505
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
fall term, and which college or university has a designated coordinator.
NOTE: Authority cited: Sections 69741 and 69742. Education Code. Reference:
20 U.S.C. 1 1 1 ld(b) and .'^4 CFR 6.^3. .^2(a).
History
1. New section filed 12-14-88: operative 1-13-89 (Register 88, No. 53).
§ 30505. New Applicant Nomination Process.
The Institutional Paul Douglas Teacher Scholarship Coordinator
shall:
(a) Review each application submitted for completeness and accuracy.
(b) Review each application submitted to insure that the student meets
the new applicant eligibility criteria.
(c) Select two nominees through a process established by the institu-
tion which shall take into account the following criteria:
(1) High school grade point average. General Educational Develop-
ment (GED) test score, college cumulative grade point average, or any
combination of these;
(2) Combined Math and Verbal scores received on the Scholastic Apti-
tude Test (SAT) or composite scores received on the American College
Test (ACT),
(3) High School class standing, and
(4) Demonstrated or expressed commitment to the teaching profes-
sion.
(d) Submit the application of the two nominees to the California Stu-
dent Aid Commission.
NOTE: Authority cited: Sections 69741 and 69742, Education Code. Reference:
20 U.S.C. 1 1 1 ld(b) and 34 CFR 653.32(a).
History
1. New section filed 12-14-88; operative 1-13-89 (Register 88, No. 53).
§ 30506. New Applicant Scoring Process Used by the
California Student Aid Commission.
Applications of nominees received by the California Student Aid
Commission shall be scored in the following manner:
(a) For an applicant who has completed fewer than 30 semester units
or 45 quarter units of college the score shall be computed using one of
the following formulas:
{^ / Combined Math & Verbal N
Overall high school \ j. J ^^^^'^ o" Scholastic I
grade point average X 1 oof "•■ | Aptitude Test (SAT) f
or
„ J Overall high school |^
J>core -< grade point average X ]00J +
10,000
Composite
score on the American
College Test converted
to an equivalent
SAT score
10,000
(b) For an applicant who has completed 30 or more semester units or
45 or more quarter units of college, the score shall be computed using one
of the following formulas:
/ Combined Math & Verbal
_ (^Overall actual or "^ j. I s'^ore on Scholastic
^^0K-\ imputed college X 100 L "*" < Aptitude Test (SAT)
] Overall high school [ 1 to an equivalent
^grade point average /» ^
Overall actual or
Score =^ imputed college X 100
grade point average
+
Composite
score on the American
College Test converted
to an equivalent
SAT score
10,000
In subsection (B) of this section, "imputed college grade point aver-
age" means a number provided by an institution when that institution
does not calculate actual grade point averages. The institution shall sub-
mit documentation showing that the imputed college grade point average
is statistically valid. An imputed college grade point average shall be
used only when there is no actual college grade point average.
In this section "equivalent SAT score" means composite ACT score
multiplied by 44.4444. An equivalent SAT score shall be computed only
when there is no actual SAT score.
Grade point average shall be computed based on 4.0 as the maximum.
NOTE: Authority cited: Sections 69741 and 69742, Education Code. References:
20 U.S.C, 1 1 1 ld(b) and 34 CFR 653.32(a),
History
1. New section filed 12-14-88; operative 1-13-89 (Register 88, No. 53).
§ 30507. New Applicant Ranking Process Used by the
California Student Aid Commission.
(a) Nominees shall be placed into one of the two following categories:
( 1 ) Applicants who have completed fewer than 30 semester units or 45
quarter units of college; or
(2) Applicants who have completed 30 or more semester units or 45
or more quarter units of college.
(b) Within each category, nominees shall be ranked in descending or-
der by score (highest first).
NotE: Authority cited: Sections 69741 and 69742, Education Code. Reference:
20 U.S.C. 1 1 1 ld(b) and 34 CFR 653.32(a).
History
1. New section filed 12-14-88; operative 1-13-89 (Register 88, No. 53).
§ 30508. New Applicant Selection Process Used by the
California Student Aid Commission.
From the two ranking lists nominees shall be selected in order by rank,
highest first, in a manner designed to use all currently available funds and
to insure that there are funds for each selected individual during that indi-
vidual's entire projected period of renewal eligibility.
NOTE: Authority cited: Sections 69741 and 69742, Education Code. Reference:
20 U.S.C. 1 1 ] ld(b) and 34 CFR 653.32(a).
History
1. New section filed 12-14-88; operative 1-13-89 (Register 88, No. 53).
§ 30509. Renewal Applicant Application Process and
Selection Process.
Each renewal applicant shall submit a completed application to the
California Student Aid Commission.
All eligible renewal applicants shall be selected for the next year.
NOTE: Authority cited: Sections 69741 and 69742, Education Code. Reference:
20 U.S.C. 1 1 1 ld(b) and 34 CFR 653.32(a).
History
1. New section filed 12-14-88; operative 1-13-89 (Register 88, No. 53).
§ 3051 0. Preferential Treatment for New Applicants Who
Agree to Pursue Teaching Careers In the Areas
of Math, Science, or Bilingual Education.
If applications received by the California Student Aid Commission
from new applicants (nominees) exceed the number of available scholar-
ships for new applicants, the names of individual applicants (nominees)
who agree to pursue teaching careers in the areas of Math, Science, or Bi-
lingual Education shall be moved to the tops of the two selection lists,
shall be ranked there by score, and shall be selected first, provided that
no more than 75% of the scholarships awarded for that year shall be
awarded to applicants (nominees) who receive preference. If 75% of the
scholarships awarded are awarded to applicants (nominees) who receive
preference, then the two ranking lists shall be re-sorted by score, and the
remaining 25% of the scholarships shall be awarded without regard to
preference.
NOTE: Authority cited: Sections 69741 and 69742, Education Code. Reference:
20 U.S.C. 1 1 1 lb(c) and 34 CFR 653.32(b).
History
1. New secuon filed 12-14-88; operanve 1-13-89 (Register 88, No. 53).
§ 3051 1 . Financial Awards Limited to Four Academic
Years.
A selected scholar shall receive financial awards only during his or her
sophomore, junior, senior, and/or fifth year of study. A student entering
Page 214
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Title 5
California Student Aid Commission
§ 30602
•
•
the program as a freshman shall start receiving financial awards during
his or her renewal year if renewal eligibility is maintained and if funds
are available.
No'l'L; Authority cited: Sections 69741 and 69742. Kducalion Code. Reference:
20 U.S.C. 1 1 1 lc(a) and M CFR 6.^.^. 21(a)(2).
History
I. New section filed 12-14-88; operative 1-1.V89 (Register 88, No. 53).
§ 3051 2. Equivalency of GED Test Scores.
A General Educational Development (GED) average standard test
score of 62 or higher shall be deemed to be equivalent to ranking in the
lop 10% of the high school graduates of the nation.
Note. Authoritv cited: Sections 69741 and 69742. Education Code. Reference:
.^4CFR6.'S.\30(c)(2).
History
I. New section Hied 12-14-88; operative 1-1.3-89 (Register 88. No. 53).
§ 30513. Appeal Procedures for Applicants and Scholars.
A scholar or an applicant may appeal any adverse determination by the
California Student Aid Commission in the following manner:
(a) Provide a written notice of appeal which includes a concise state-
ment of the action which is being challenged;
(b) Mail the notice of appeal postmarked within 20 calendar days fol-
lowing the date appearing on the letter being appealed; and
(c) Pursue appeals before the following individuals or entities, in the
order presented:
( 1 ) Program Coordinator, California Student Aid Commission.
(2) Deputy Director of Grants. California Student Aid Commission,
(3) Executive Director, California Student Aid Commission; and
(4) The California Student Aid Commission.
NOTE: Authoritv cited: Sections 69741 and 69742, Education Code. Reference:
.34 CFR 653.40(c)(2).
History
1. New section filed 12-14-88; operative 1-13-89 (Register 88. No. 53).
§ 30514. Prorating Repayment According to Fraction of
Teaching Obligation Not Completed.
(a) The principal amount a scholar shall repay for failure to fulfill the
teaching obligation for a particular award year is determined by the fol-
lowing formula;
Years of teaching
obligation for that
award year not
completed x Scholarship amount = Scholarship amount
Total years of for that award year to be repaid
teaching obligation for that award year
for that award year
(b) The definition of a teaching year shall be the same as that used by
the school or school district in which the scholar teaches.
Note. Authoritv cited: Sections 69741 and 69742. Education Code. Reference:
20 U.S.C. 1 1 II f and 34 CFR 653.42(a)( 1 ).
History
1. New section filed 12-14-88; operafive 1-1.3-89 (Register 88, No. 53).
§30515. Collection Costs.
Collection costs shall include attorney fees, court filing fees, fees for
service of process, and telephone and mail costs directly incurred in the
collection effort.
NOTE; Authority cited: Sections 69741 and 69742, Education Code. Reference:
20 U.S.C. 1 1 1 If and 34 CFR 652.42(a)(3).
History
1. New section filed 12-14-88; operafive 1-13-89 (Register 88. No. 53).
§ 30516. Alteration of Repayment Schedule When
Scholar's Financial Condition Warrants.
The California Student Aid Commission shall determine whether to
reduce the amount of the required periodic payments for a scholar who
does the following, in writing, at any time during the repayment process:
(a) Asks for a reduction of the periodic payment to a specified amount:
and
(b) Asks for the payment reduction for a specified period of time, indi-
cating the date of the commencement of the payment of the reduced
aiTiount and the date when it will return to its set amount; and
(c) Explains the reason for and provides appropriate documentation of
a financial hardship; and
(d) Agrees to make supplemental payments after the lower payment
period to complete repayment within the time specified by law.
NOTE: Authority cited: Sections 69741 and 69742, Education Code. Reference:
34CFR653.42(dX2)(ii).
History
1. New section filed 12-14-88; operative 1-1.3-89 (Register 88. No. 53).
§ 30517. Documentation Required for Claim That
Repayment Obligation Is Temporarily
Suspended.
A recipient who is required to repay a scholarship shall not be consid-
ered in violation of the repayment provisions as long as the recipient:
(a) Is engaging in a full-time course of study at an institution of higher
education and provides the California Student Aid Commission (CSAC)
with verification of full-time enrollment from the institution;
(b) Is serving, not in excess of three years, on active duty as a member
of the armed services of the United States and provides the California
Student Aid ComiTiission with a letter from the commanding officer cer-
tifying the date of entry and expiration of active obligated service;
(c) Is temporarily totally disabled, for a period not to exceed three
years, as established by sworn affidavit of a qualified physician;
(d) Is unable to secure employment for a period not to exceed twelve
months by reason of the care required by a spouse who is disabled as es-
tablished by sworn affidavit of a qualified physician;
(e) Is seeking and unable to find full-time employment for a single pe-
riod not to exceed twelve months as established by sworn affidavit o\' the
scholar; or,
(f) Is unable to satisfy the terms of the repayment schedule established
by the California Student Aid Commission and is also seeking and unable
to find full-time employment as a teacher in a public or private non-pro-
fit pre-school, elementary school, or secondary school, or in a public or
private nonprofit pre-school, elementary, or secondary education pro-
gram for a single period not to exceed 27 months as established by the
sworn affidavit of the scholar.
NOTE: Authority cited: Sections 69741 and 69742, Education Code. Reference:
34 CFR 653.42(h).
History
1. New section filed 12-14-88; operative 1-13-89 (Register 88. No. 53).
Article 13. The California Teacher Shortage
Loan Assumption Program
§ 30600. Participant Eligibility.
NotE: Authority cited: Section 69602, Education Code. Reference: Sections
69600, 69601 and 69601.5, Education Code.
History
1. New Article 13 (Secfions 30600-30607) filed 3-7-85: effective thirtieth day
thereafter (Register 85, No. 10).
2. Change without regulatory effect repealing section filed 2-16-88: operative
2-16-88 (Register 88, No. 9).
§ 30601 . Terms of Loan Assumption.
NotE: Authoritv cited: Section 69602, Education Code. Reference: .Sections
69606(b) and 69607, Education Code.
History
1. Change without regulatory effect repealing Section filed 2-16-88; operative
2-16-88 (Register 88, No. 9).
§ 30602. Cancellation of NDSL Loans for Teaching
Service.
Note: Authority cited: Section 69602, Education Code. Reference: Section
69601(b)(2), Education Code.
History
1. Change without regulatory effect repealing Section filed 2-16-88; operative
2-16-88 (Register 88, No.9).
Page 215
Register 99, No. 24; 6- 1 1 -99
§ 30603
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 30603. Verification of Qualifying Teaching Service.
NOTE: Authority cited: Section 69602, Education Code. Reference: Section
6%02. Education Code.
History
1. Change without regulatory effect repealing Section filed 2-16-88; operative
2-16-88(Register88. No. 9).
§ 30604. Disqualifying Loan Status.
NOTE: Authority cited: Section 69602, Education Code. Reference: Sections
69601 and 69602, Education Code.
History
1. Change without reculatory effect repealing Section filed 2-16-88: operative
2- 1 6-88 ( Register 88. No. 9).
§ 30605. Disability Deferral of Loan Liability.
NOTt^: Authority cited: Section 69602, Education Code. Reference: Sections
69602 and 69608(b), Education Code.
History
1. Change without regulatory effect repealing Section filed 2-16-88; operative
2-16-88(Register88, No. 9).
§ 30606. Assumption Allocation.
NOTE: Authority cited: Section 69602, Education Code. Reference: Section
69606, Education Code.
History
1. Change without regulatory effect repealina Section filed 2-16-88; operative
2-16-88 (Register 88, No.9).
§ 30607. Participant Selection.
NOTE: Authority cited: Section 69602, Education Code. Reference: Sections
69601, 69601.5 and 69602, Education Code.
History
1. Change without regulatory effect repealing Section filed 2-16-88; operative
2-16-88 (Register 88, No.9).
Article 14.
Assumption Program of Loans
for Education
§ 30701 . Loan Programs Approved by the California
Student Aid Commission.
The Califoniia Student Aid Commission approves for loan assump-
tion any loan which falls into one of the following categories:
(a) Loans to students made pursuant to the United States Code, Title
20, Chapter 28, Subchapter IV, which is incorporated into this section by
reference, and
(b) Privately funded educational loans to students issued through insti-
tutions of higher education for the purpose of defraying the costs asso-
ciated with obtaining a baccalaureate degree or an initial California
teaching credential.
NotE: Authority cited: Section 69615, Education Code. Reference: Section
69613(b)(4)(B), Education Code.
History
1. New section filed 10-13-88; operative 1 1-12-88 (Register 88, No. 43).
2. Amendment of subsection (a) and amendment of Note filed 6-7-99; operative
7-7-99 (Register 99, No. 24).
§ 30702. Applications by Individuals Who Agree to
Participate in a Teacher Trainee Program.
(a) Any person who agrees to participate in a teacher trainee program
may send to any participating institution a written request for an applica-
tion to participate in the Assumption Program of Loans for Education.
(b) Each participating institution shall consider and respond to each re-
quest for an application submitted by a person who agrees to participate
in a teacher trainee program.
(c) Each participating institution shall consider and respond to each
application submitted by a person who agrees to participate in a teacher
trainee program.
NOTE: Authority cited: Section 69615. Education Code. Reference: Sections
69613 and 69614(a), Education Code.
History
1 . New section filed 10-13-88; operative 1 1-12-88 (Register 88, No. 43).
§ 30703. Reallocation of Unused Warrants and
Cancellation of Invalid Warrants.
(a) In this section, an "unused warrant" is a warrant allocated to a par-
ticipating institution which that institution does not or cannot use.
(b) In this section, an "invalid warrant" is:
(DA warrant held by a person not yet eligible to receive a full Califor-
nia Teaching Credential who has become ineligible to continue participa-
tion in the Assumption Program of Loans for Education, or
(2) A warrant held by a person eligible to receive a full California
Teaching Credential who did not redeem that warrant within 36 months
of the date when that person became eligible for that credential.
(c) Each participating institution which does not use all of its allocated
warrants shall provide to the California Student Aid Commission a num-
ber representing the total number of warrants which will be issued to ap-
plicants who agree to obtain a teaching credential in mathematics or sci-
ence, and each participating institution which does use all of its allocated
warrants shall provide to the California Student Aid Commission, in
writing.
( 1 ) A number representing the total number of warrants which will be
issued to applicants who agree to obtain a teaching credential in mathe-
matics or science, and
(2) A number representing the number of additional warrants it could
use, and, from among that number, the number which would be used for
applicants who agree to obtain a teaching credential in mathematics or
science, if additional warrants were available.
(d) Having received the information provided by participating institu-
tions, the California Student Aid Cominission shall determine whether
the required minimum number of applicants who agree to obtain a teach-
ing credential in mathematics or science has been achieved, and,
( 1 ) If so. during the school year for which the warrants were allocated,
reallocate all unused warrants to participating institutions, giving to each
institution a number of warrants which bears the same ratio to the total
number of unused warrants as the number of warrants which that institu-
tion could use if additional warrants were available bears to the total
number of warrants which all institutions could use if additional warrants
were available, and
(2) If not,
(A) During the school year for which the warrants were allocated, real-
locate unused warrants, up to the minimum required number of warrants
for math and science applicants, to participating institutions which did
use all their allocated warrants, giving to each institution a number of
warrants to be issued only to math and science applicants which bears the
same ratio to the total number of unused math and science warrants as the
number of math and science warrants which that institution could use if
additional warrants were available bears to the total number of math and
science warrants which all institutions could use if additional warrants
were available, and
(B) During the school year for which the warrants were allocated, real-
locate all remaining unused warrants to participating institutions, giving
to each institution a number of warrants which bears the same ratio to the
total number of unused non-math-and-science warrants as the number
of non-math-and-science warrants which that institution could use if
additional warrants were available bears to the total number of non-
math-and-science warrants which all institutions use if additional war-
rants were available.
(e) All invalid warrants shall be cancelled. No invalid warrant shall be
reallocated.
NOTE: Authority cited: Sections 69613(g), 69613.2(b), 69613.55 (Stats. 1998, c.
330 (S.B. 1564).) and 69615, Education Code. Reference: Sections 69613,
69613.2, 69613.55 (Stats. 1998, c. 330 (S.B. 1564).) and 69614(a), Education
Code.
History
1. New secuon filed 10-13-88; operative 11-12-88 (Register 88, No. 43).
•
Page 216
Register 99, No. 24; 6-11-99
Title 5
California Student Aid Commission
§ 30709
2. Amondinent olscction and NoTi I'ilcd 6-7-99; operative 7-7-99 (Register 99.
No. 24).
§ 30704. Commencement and End of School Year.
A '"school year" commences on July 1 and ends on June 30 of the fol-
lowing year.
NOTl:: Aiiihority cited: Section 69615. Education Code. Reference: Sections
.^7200 and 69613.4. Education Code.
HiSlORY
1. New section tiled 10-1.1-88: operative 1 1-12-88 (Register 88, No. 43).
§ 30705. Federal Perkins Loan Program Loan Held by an
Individual Eligible for Cancellation of That
Loan.
A Federal Perkins Loan Program loan becomes non-assumable in its
entirety upon the teacher's becoming eligible for cancellation of any part
of that loan pursuant to the provisions of the Code of Federal Regulations,
Title 34, Subtitle B, Chapter VI. Part 674. Subpart D, which is incorpo-
rated into this section by reference.
NOTI- Authority cited: Section 6961.5. Education Code. Reference: Sections
69613(b)(4) and 69613.4. Education Code.
History
1. New section fded 10-13-88: operative 1 1-12-88 (Regi.ster 88, No. 43).
2. Aniendnieni of .section heading and section filed 6-7-99; operative 7-7-99
(Register99. No. 24).
§ 30706. Payment.
(a) Each year, for each assumable loan, the teacher shall do all of the
following with a form provided by the California Student Aid Commis-
sion:
( 1 ) Obtain on the form a statement by the lender of the balance owed
by the teacher as of June 30.
(2) Obtain on the form the written verification of that balance by the
lender, and
(3) Return the form to the California Student Aid Commission.
(b) Each year, for each assumable loan, the California Student Aid
Commission shall pay to the lender either the maximum assumable
amount or the loan balance as of June 30, whichever is smaller, in the fol-
lowing order of priority:
(1) All assumable loans guaranteed by the California Student Aid
Commission, ranked in descending order by rate of interest (highest in-
terest rate first, lowest last), and
(2) All other assumable loans ranked in descending order by rate of in-
terest (highest interest rate first, lowest last).
NOTi::: Authority cited: Section 69615, Education Code. Reference; Section
69613.4. Education Code.
History
1. New section filed 10-13-88: operative 1 1-12-88 (Register 88, No. 43).
2. Amendment of subsection (b)(1), repealer of subsection (b)(2) and subsection
renumbering filed 6-7-99; operative 7-7-99 (Register 99, No. 24).
§ 30707. Achieving the Required Minimum Number of
Warrants to be Issued to Applicants Who
Agree to Obtain a Teaching Credential in
Mathematics Or Science.
(a) When distributing applications to participating institutions, the
California Student Aid Commission shall notify each institution of the
minimum number of awards which must be made to applicants who agree
to obtain a teaching credential in mathematics or science, within the
group of awards made to applicants who agree to obtain a teaching cre-
dential in subject areas that are designated as current or projected short-
age areas by the Superintendent of Public Instruction.
(b) Each participating institution, upon receiving notice from the
California Student Aid Commission, shall make at least the minimum
number of awards to applicants who agree to obtain a teaching credential
in mathematics or science, within the group of awards made to applicants
who agree to obtain a teaching credential in subject areas that are desig-
nated as current or projected shortage areas by the Superintendent of Pub-
lic Instruction.
NOTF-: Authoritv cited: Section 69615, Education Code. Rererencc: Sections
69613(d). 69613.55 (Stats. 1998. c. 330 (S.B. 1564).) and 69614(a). Education
Code.
History
1. New section filed 6-7-99; operative 7-7-99 (Register 99, No. 24).
§ 30708. Out-of-state Teacher Recruitment Warrants.
(a) Each year the California Student Aid Commission shall allocate
warrants to each county, for the purpose of recruiting out-of-state teach-
ers, using the following formula:
(1 ) Each county shall get one warrant from those warrants authorized
for out-of-state recruitment, and
(2) From the remaining warrants authorized for out-of-state recruit-
ment, each county shall get that number of warrants which bears the saine
ratio to the total number of such warrants as the number of teachers in that
county who received either One Year Non-Renewable Credentials or
Two Year Preliminary Credentials during the previous year bears to the
total number of One Year Non-Renewable Credentials and Two Year
Preliminary Credentials issued during the previous year.
(b) Each year the California Student Aid Commission shall notify each
County Office oi' Education of the number of warrants allocated to that
county that year.
(c) Each year each County Office of Education shall:
( 1 ) Solicit, from every School District in that county, nominations of
individuals to receive warrants;
(2) From those nominated by the School Districts select individuals to
receive warrants on the basis of criteria that may include, but need not be
limited to, any of the following:
(A) Grade point average,
(B) Test scores,
(C) Faculty evaluations,
(D) Interviews, and
(E) Other recommendations; and
(3) Forward to the California Student Aid Commission the names of
the selected individuals.
(d) Upon receipt from a County Office of Education of names of se-
lected individuals, the California Student Aid Commission shall issue a
warrant to each selected individual provided that:
(1 ) The individual does not currently live in California and is not cur-
rently employed as a teacher in California,
(2) The individual has received one or more loans in the Federal Fami-
ly Education Loan Program (20 U.S.C. Sec. 1071 et seq.) or any other
loan program described in Section 30701 above,
(3) The individual has agreed to teach in a public school in California
for at least four consecutive academic years, and
(4) The individual has not previously received a warrant.
Note: Authority cited: Sections 69613.5(b) and 69615. Education Code. Refer-
ence; Section 69613.5(a). Education Code.
History
1. New section filed 6-7-99; operative 7-7-99 (Register 99, No. 24).
§ 30709. Reallocation of Unused Out-of-State Teacher
Recruitment Warrants and Cancellation of
Invalid Out-of-State Teacher Recruitment
Warrants.
(a) In this section, an "unused warrant" is an out-of-state teacher re-
cruitment warrant allocated to a county which that county does not or
cannot use.
(b) In this section, an "invalid warrant" is an out-of-state teacher re-
cruitment warrant held by an individual who did not complete a full year
of eligible teaching service by the end of the school year in which the war-
rant was issued.
(c) Each county which uses all of its allocated out-of-state teacher re-
cruitment warrants shall provide to the California Student Aid Commis-
sion, in writing, a number representing the number of additional such
warrants it could use if additional warrants were available.
(d) During the school year for which the warrants were allocated, the
California Student Aid Commission shall reallocate all unused warrants
to counties, giving to each county a number of warrants which bears the
Page 217
Register 2007, No. 17; 4-27-2007
§ 30710
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
same ratio to the total number of unused warrants as the number of war-
rants which that county could use if additional warrants were available
bears to the total number of warrants which all counties could use if addi-
tional warrants were available.
(e) All invalid warrants shall be cancelled. No invalid warrant shall be
reallocated.
NOTE: Authority cited: Sections 6961.1.5(b) and 69615. Education Code. Refer-
ence: Section 69613.5(a), Education Code.
History
1 . New section filed 6-7-99: operative 7-7-99 (Register 99, No. 24).
Article 14.5. National Guard Assumption
Program of Loans for Education
§30710. Definitions.
(a) "Contingency operation" means the current Iraq or Afghanistan
operations, the Gulf War; or other operations or national emergencies, as
declared by the President or Congress.
(b) "Half-time basis" means half-time enrollment at an institution of
higher education.
(c) "Institution of higher education" means a post-secondary educa-
tional institution that has a location in California.
(d) "Program" means the National Guard Assumption Program of
Loans for Education established in Article 12.5 (commencing with Sec-
tion 69750) of Chapter 2 of Part 42 of Division 5 of Title 3 of the Educa-
tion Code and as set forth in this Article.
(e) "Program participant" means a person who has a loan assumption
agreement signed by both the person and the Commission.
(f) "Qualified vocational diploma program" means an educational
program as defined in Section 94746 of the Education Code, with a loca-
tion in California, having all of the following characteristics:
( 1 ) The educational program consists of a job-training program or oth-
er instruction, training, or education that the institution represents will
lead to, fit, or prepare students for employment in any occupaUon.
(2) The program is offered to students who do not possess a bachelor's
or graduate degree in the field of training.
(3) Students who complete all or a portion of the program are awarded
a diploma, certificate, or occupational associate degree.
(g) "Qualifying member" means a person, as defined in Section
66025.6(a) of the Education Code, who:
(1) has residence, pursuant to Article 5 (commencing with Section
68060) of Chapter 1 , part 41 , Division 5, Title 3 of the Education Code,
in this state for at least one year immediately preceding the date of ap-
plication to the program or any loan assumption payment;
(2) is currently an active member of, and has satisfactorily served for
at least one year in the California National Guard, the State Military Re-
serve or the Naval Militia, and maintains satisfactory service throughout
the period that his or her student loan payments are assumed through the
program; and
(3) has completed a baccalaureate degree, or is currently enrolled and
in good standing in a program of undergraduate instruction, on at least
a half-time basis, at an instituUon of higher education, or is enrolled in
or has completed a program of instruction in a qualified vocational diplo-
ma program where enrollment qualifies a student for participation in the
Federal Family Education Loan Program or any loan program approved
by the Commission, or is on an academic leave of absence from such un-
dergraduate or vocational diploma program pursuant to Section
66025.6(b).
(h) "Satisfactory service" means satisfactory performance as defined
by the statewide Office of the Adjutant General.
(i) "Academic year" means a period of time as defined by institutions
of higher education or qualified vocational diploma programs attended
by the participant.
NoTE: Authority cited: Section 6975 L Education Code. Reference: Sections
66025.6, 69750, 69750.5, 69750.7, 69751.2 and 94746, Education Code.
History
New article 14.5 (sections 30710-30718) and section filed 4-23-2007; opera-
tive 4-23-2007 pursuant to Government Code section 1 1 .^^43.4 (Register 2007,
No. 17).
§ 3071 1 . Application to Participate in the Program.
(a) Applications to participate in the program shall be submitted to the
Office of the Adjutant General. The application shall include the follow-
ing information regarding the applicant:
(1) Last naine, first name and middle initial;
(2) Social Security nuinber;
(3) Address and telephone number;
(4) Date of birth;
(5) Ethnicity;
(6) Gender;
(7) E-mail address, if available;
(8) a copy of the federal Student Aid Report (SAR) generated by the
United States Department of Education based upon the applicant's Free
Application for Federal Student Aid (FAFSA) with an Expected Family
Contribution (EEC) for the academic year in which the applicant applies
to the program. Verification of information provided in the FAFSA and
used to calculate the EEC may be requested by the Commission as neces-
sary. Failure to provide verificafion in a fimely manner, if requested, may
result in disqualification from consideration for the program;
(9) identificafion of membership in specific eligible military unit un-
der the California National Guard;
(10) name of institution of higher education or qualified vocational di-
ploma program in which applicant is or was enrolled within California,
or from which the applicant is on academic leave of absence, and the
institution's six-digit Federal school code;
( 1 1 ) a copy of active duty orders, if any;
(12) written verification from an institution of higher education that
the applicant is enrolled on at least a half-time basis or is on academic
leave of absence, or proof of completion of a baccalaureate degree, or
written verification from a qualified vocational diploma program that the
applicant is enrolled or on academic leave of absence, or proof that the
applicant has completed the program;
( 1 3) certificafion from the Office of the Adjutant General that the ap-
plicant has agreed to enlist, reenlist, or in the case of officers has com-
mitted to serve in the National Guard, the State Military Reserve, or the
Naval Milifia; and
(14) The name of lender(s). loan identification number(s), and current
balance(s) of a loan or loans the applicant has received, or has been ap-
proved to receive, in order to meet the costs of obtaining an undergradu-
ate degree at an institution of higher education or to complete a qualified
vocational diploma program, under one or more of the following desig-
nated loan programs;
(i) the Federal Family Education Loan Program (20 U.S.C. Sec. 1071
et seq.y,
(ii) the Federal Direct Loan Program (20 U.S.C. Sec. 1087b et seq.)\
(iii) any loan program approved by the Commission on a case by case
basis but not including lines of credit, home equity loans, credit card debt,
and other general consumer loans, business loans, personal loans, or
mortgages.
(b) The application shall state that by signing, the applicant agrees that,
if requested, the applicant will provide information or documentation to
verify the accuracy of the information included in the application, and the
applicant understands that failure to provide accurate and complete in-
formation as requested may result in disqualificafion from the program
and loss of program benefits. The application shall be dated and signed
by the student under penalty of perjury under the laws of the State of
California.
NOTE: Authority cited: Section 69751, Education Code. Reference: Sections
66025.6, 69750, 69750.3, 69751.2 and 69751.3, Education Code.
History
1. New section filed 4-23-2007; operative 4-23-2007 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 17).
Page 218
Register 2007, No. 17; 4-27-2007
Title 5
California Student Aid Commission
§30715
§ 30712. Nominations by the Office of the Adjutant
General.
The Office of ihe Adjutant General may nominate any applicant who
has submitted an application to participate in the program that meets the
requirements of Section 307 1 1 hy submitting all of the following in-
formation to the Commission:
(a) the applicant's complete application, including the applicant's
SAR;
(b) the Office of the Adjutant General's certification that the applicant
has agreed to enlist, reenlisl, or in the case of officers, has committed to
serve in the National Guard, the state Military Reserve, or the Naval Mili-
tia; and
(c) the Office of the Adjutant General's certification of the applicant's
active duty status corresponding to the scoring categories established in
Section 30714(b).
NOTt:: Authoritv cited: Section 69751. Education Code. Reference: Sections
66025.6(c), 697.50.3 and 69751.2, Education Code.
History
1. New section filed 4-23-2007: operative 4-23-2007 pursuant to Government
Code section 1 1.M3.4 (Register 2007, No. 17).
§ 30713. Award Process.
The Commission shall select program participants from among the ap-
plicants who are notninaled pursuant to Section 30712. If the maximum
allocation of warrants authorized for that year is not exhausted after the
selection process is completed, the Commission may continue to accept
nominations and select program participants based on the date the nomi-
nations are received by the Commission. The Commission may continue
to select participants until the maximum allocation is reached.
NOTE; Authority cited: Section 69751. Education Code. Reference: Section
69751.8. Education Code.
History
1. New section filed 4-23-2007; operative 4-23-2007 pursuant to Government
Code .section 11. ^^43.4 (Register 2007, No. 17).
§ 30714. Applicant Priority.
(a) If the Commission determines in any fiscal year that the funding
for the program is insufficient to allow the Commission to enter into loan
assuinption agreements with all eligible applicants who are nominated,
the Commission shall select applicants for participation in the program
by giving priority to:
( 1 ) Individuals who are financially needy, as indicated by a household
income and asset level that is at or below the maximum established in
Education Code Section 69432.7 for participants in the Cal Grant A pro-
gram; and
(2) Individuals who have been called to full-time active military duty.
(b) In implementing the priority established in subsection (a), the
Commission shall award points to individuals determined by the Com-
mission to be financially needy and who have been called to active duty,
based on the highest point category that the applicant qualifies under, as
follows:
ACTIVE DUTY SERVICE
POINTS
A CTI VEDUTY SER VICE
POINTS
An enlisted California National Guard member
who has served or is currently serving on federal
active duty under Title 10 or Title 32. U.S.C.
for a period of not less than 1 1 consecutive
months under a contingency operation
76
A commissioned officer or warrant officer
of the California National Guard who has
served or is serving on federal active duty
under Title 10 or Title 32. U.S.C. for
a period of not less than 1 1 consecutive
months under a contingency operation.
70
An enlisted California National Guard
member who has served or is currently
serving on federal active duty under Title 10
or Title 32, U.S.C. for a period of not less
than 5 consecutive months under a
contingency operation.
66
A commissioned officer or warrant officer
of the California National Guard who has
served or is serving on federal active duty
under Title 10 or Title 32, U.S.C. for a period
of not less than 5 consecutive months
under a contingency operation.
60
Any California National Guard. State
Military Reserve or Naval Militia member,
enlisted or officer, who has served on Stale
Active Duty pursuant to Militar>' and
Veterans Code §143 or §146 for no less
than 30 consecutive davs.
56
Any cuiTent member of the California
National Guard. State Military Reserve
or Naval Militia who is satisfactorily
attending unit drill and training assemblies.
.50
(c) The Cominission will select nominees with the highest nuinber of
points until the authorized funding is exhausted. In the case of a lie in the
number of points, the Commission will select nominees based on the ear-
liest date of receipt of the nomination by the Commission.
NOTE: Authority cited: Section 69751. Education Code. Reference: .Sections
69432.7 and 69751.2. Education Code.
History
1. New section filed 4-23-2007; operative 4-23-2007 pursuant to Government
Code section 11 343.4 (Register 2007, No. 17).
§ 30715. Loan Assumption Agreements.
(a) The Commission shall provide a loan assumption agreement to
each nominated applicant .selected by the Commission to be a program
participant. The loan assumption agreement shall be effective when both
the program participant and the Commission have signed the agreement.
(b) The loan assumption agreement shall include the following:
(1) The program participant shall agree to:
(i) maintain satisfactory service in the California National Guard,
State Military Reserve or the Naval Militia throughout the period that he
or she participates in the program;
(ii) be enrolled in an institution of higher education, on at least a half-
time basis each academic term, or in a qualified vocational diploma pro-
gram, and in good standing in such institution or program, through
completion of academic requirements for a baccalaureate degree or
completion of the vocational diploma program. If participant has com-
pleted a baccalaureate degree or vocational diploma program or com-
pletes a baccalaureate degree or vocational diploma program during the
term of the agreement, he or she is not required to maintain enrollment
for the remaining qualifying year(s)ofservice to receive loan assumption
benefits. Participants called to active duty who are on academic leave of
absence are not required to be enrolled during the term of such leave;
(iii) provide four consecutive years of satisfactory service in the Na-
tional Guard, the State Military Reserve, or the Naval Militia;
(iv) authorize the institution of higher education or qualified vocation-
al diploma program in which the applicant is enrolled or on academic
leave of absence, or where the applicant completed a baccalaureate de-
gree or vocational diploma program, the Office of the Adjutant General,
and lenders to provide information requested by the Commission for the
purposes of administering the loan assumption agreement;
(v) provide information required by the Commission for the purposes
of administering the loan assumption agreement; and
(vi) comply with all applicable laws and regulations applicable to the
program.
(2) The Commission shall agree that:
(i) upon receipt of information required by Section 30716, including
the certification of the Office of the Adjutant General that the program
parficipant has completed one year of service or in the case of a partici-
pant who is eligible because he or she has agreed to reenlist or an officer
who has committed to serve one year of additional service, as a qualifying
member within the meaning of Section 6602.5.6 of the Education Code,
the Commission shall assume, subject to the requirements of Section
Page 218.1
Register 2007, No. 17; 4-27-2007
§ 30716
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
69750.7 of the Education Code, up to two thousand dollars ($2,000) of
the outstanding loan liability related to undergraduate or qualifying voca-
tional training of the participant under one or more of the designated loan
programs;
(ii) upon receipt of the information required by Section 307 16, includ-
ing certification by the Office of the Adjutant General that the program
participant has completed two consecutive years of service or in the case
of a participant who is eligible because he or she has agreed to reenlist
or an officer who has committed to serve two consecutive years of addi-
tional service, as a qualifying member within the meaning of Section
66025.6 of the Education Code, the Commission shall assume, subject
to the terms of Section 69750.7 of the Education Code, up to an additional
three thousand dollars ($3,000) of the outstanding loan liability related
to undergraduate or qualifying vocational training of the participant un-
der one or more of the designated loan programs, for a total loan assump-
tion of up to five thousand dollars ($5,000); and
(iii ) upon receipt of the information required by Section 307 1 6, includ-
ing certification by the Office of the Adjutant General that the program
participant has completed three consecutive years of service or in the case
of a participant who is eligible because he or she has agreed to reenlist
or an officer who has committed to serve three consecutive years of addi-
tional service, as a qualifying member within the meaning of Section
66025.6 of the Education Code, the Commission shall assume, subject
to the terms of Secfion 69750.7 of the Educafion Code, up to an additional
three thousand dollars ($3,000) of the loan outstanding liability related
to undergraduate or qualifying vocational training of the participant un-
der one or more of the designated loan programs, for a total loan assump-
tion of up to eight thousand dollars ($8,000).
(iv) upon receipt of the information required by Section 307 16, includ-
ing certification by the Office of the Adjutant General that the program
participant has completed four consecufive years of service or in the case
of a participant who is eligible because he or she has agreed to reenlist
or an officer who has committed to serve four consecufive years of addi-
tional service, as a qualifying member within the meaning of Section
66025.6 of the Education Code, the Commission shall assume, subject
to the terms of Section 69750.7 of the Education Code, up to an additional
three thousand dollars ($3,000) of the loan outstanding liability related
to undergraduate or qualifying vocafional training of the participant un-
der one or more of the designated loan programs, for a total loan assump-
tion of up to eleven thousand dollars ($1 1,000).
(c) The term of the loan assumption agreement shall be no more than
ten (10) years from the date signed by the program participant and the
Commission.
(d) The loan assumption agreement shall constitute a conditional war-
rant that may be redeemed with the Commission as specified in Section
30716.
NOTE: Authority cited: Section 69751, Education Code. Reference: Sections
66025.6, 69750.3, 69750.5 and 69750.7, Education Code.
History
1. New section filed 4-23-2007; operative 4-23-2007 pursuant to Government
Code section 11 343.4 (Register 2007, No. 17).
§30716. Loan Payments.
(a) A program participant may redeem the condifional warrant and the
Commission shall make loan payments, pursuant to the loan assumpfion
agreement and as provided in subsecfion (b), when the Commission has
received the following information for each qualifying year of service for
which payment is to be made:
(1) from each lending insfitution, for each loan that qualifies for the
assumption under the program and the loan assumption agreement:
(i) program participant's name and social security number;
(ii) account number;
(iii) interest rate;
(iv) disbursement date;
(v) payoff amount as of June 30;
(vi) lending institution/servicer name;
(vii) lending institution/servicer eight-digit idenfification code;
(viii) address to which payment is to be sent;
(ix) a signature of the lending institution official under penalty of per-
jury of the laws of the state of California certifying that this loan informa-
tion is correct;
(x) printed name, telephone number and email address of the lending
institution official;
(2) certification from the Office of the Adjutant General that the pro-
gram participant completed the year of safisfactory service required for
a loan assumption payment to be made;
(3) verification from the insfitution of higher educafion or qualified
vocafional diploma program, of enrollment status or of academic leave
of absence for the academic year corresponding with the year of military
service or verification that parficipant has completed the vocational di-
ploma program or a baccalaureate degree. Such verification is not re-
quired of parficipants who had completed their baccalaureate degree or
vocafional diploma program prior to acceptance as a participant in the
program and submitted verification of completion with their applicafion
to the program pursuant to Secfion 3071 1.
(b) Loan payments made by the Commission shall be made by lump-
sum payment to the lender, to be applied directly to the principal balance,
if not otherwise prohibited by applicable law or by the terms of the loan
agreement between the program participant and the lender. Payments
shall first be made toward qualifying loans with the highest interest rates.
The program participant shall continue to make payments as required un-
der the terms of the loans to avoid defaulting on those loans, unfil notified
by the lenders or loan servicers that the loans are paid in full.
NOTE: Authority cited: Section 69751, Education Code. Reference: Sections
69750.5 and 69750.7, Education Code.
History
1. New section tiled 4-23-2007; operative 4-23-2007 pursuant to Government
Code section 11 343.4 (Register 2007, No. 17).
§ 30717. Failure to Comply with the Loan Assumption
Agreement.
(a) A program participant who fails to comply with the terms of the
loan assumpfion agreement shall be withdrawn from the program. Fail-
ure to comply includes but is not limited to failing to complete one of the
four consecutive years of military service, or to maintain the required en-
rollment in an insfitution of higher educafion or vocational diploma pro-
gram, unless the participant was on academic leave of absence for acfive
duty or completed a baccalaureate degree or the vocational diploma pro-
gram. The program parficipant shall retain responsibility to confinue to
make any payments required under the terms of any outstanding loans to
avoid defaulfing on those loans.
(b) A program participant who is entitled to an academic leave of ab-
sence because he or she is on acfive duty, pursuant to Secfion 66025.6 of
the Education Code, shall retain responsibility to continue to make any
payments required under the terms of any outstanding loans to avoid de-
faulting on these loans.
NOTE: Authority cited: Section 69751, Education Code. Reference: Sections
66025.6, 69750.3, 69750.7 and 69751, Education Code.
History
1. New section filed 4-23-2(X)7; operative 4-23-2007 pursuant to Government
Code section 1 1 343.4 (Register 2007, No. 17).
§ 3071 8. Development of Projections for Funding
Purposes.
The Commission shall use the number of acfive program participants
at the end of each year and their applicafion dates and number of years
in the program to project the funding level required to provide loan pay-
ments under the program.
NOTE: Authority cited: Section 69751, Education Code. Reference: Section
69751(a), Education Code.
History
1. New section filed 4-23-2007; operative 4-23-2007 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 17).
Page 218.2
Register 2007, No. 17; 4-27-2007
Title 5
California Student Aid Commission
§ 30818
Article 15. Process for Selecting an
Organization to Provide Financial Need
Analysis and Related Services and to Act as
the Sole Processor of the SAAC
§30801. Definitions.
Noif-: Authoritv cited: Section 69534.1. Education Code. Reference: Sections
69.S1(). (,95.34. 695.34.1, and 695.34.3(a). Education Code; and Sections 12101(a)
and (b). Public Contract Code.
History
1 . New section filed 3-14-88; operative 4-13-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100. Title 1, California
Code of Regulations repealing section nied3-2-89 (Register 89, No. 1 i ).
§ 30802. Competitive Means; Exceptions.
NOTE: Authority cited: Section 69534.1, Education Code. Reference: Section
695.34.1, Education Code: and Sections 12102(a), Public Contract Code.
History
1. New section filed 3-14-88: operative 4-1.3-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100, Title 1, California
Code of Regulations repealing section filed 3-2-89 (Register 89, No. 1 1).
§ 30803. Basis for Selection.
NOTE: Authority cited: Section 69534.1, Education Code. Reference: Section
695.34.1, Education Code; and Section 12102(b), Public Contract Code.
History
1. New section filed 3-14-88; operative 4-13-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100, Title 1. California
Code of Regulations repealing .secfion filed 3-2-89 (Register 89, No. 1 1).
§ 30804. Use of Consultant Services by CSAC.
NOTE: Authority cited: Section 69534.1, Education Code. Reference: Section
695.34.1. Education Code; and Section 12101(b), Public Contract Code.
History
1. New section filed 3-14-88; operative 4-13-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100, Title 1. California
Code of Regulations repealing section filed .3-2-89 (Register 89, No. 1 1).
§ 30805. Solicitation of Prospective Competitors.
NOTE: Authority cited: Section 69534.1. Education Code. Reference: Secfion
69534.1, Education Code; and Section 12101(b), Public Contract Code.
History
1. New section filed 3-14-88; operafive 4-13-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100, Title 1, California
Code of Regulations repealing section filed .3-2-89 (Register 89, No. 11).
§ 30806. Exclusion of Prospective Competitors.
NoTE: Authority cited: Section 695.34.1, Education Code. Reference: Secfion
69534.1. Education Code; and Section 12102(h). Public Contract Code.
History
1. New section filed 3-14-88; operative 4-13-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100, Title 1, California
Code of Regulations repealing section fded .3-2-89 (Register 89, No. 11).
§ 30807. Required Steps in the Selection Process.
NotE: Authority cited: Section 69534.1, Education Code. Reference: Section
695.34.1. Education Code; and Sections 12101(a) and (b). Public Contract Code.
History
1. New section filed 3-14-88; operafive 4-13-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Secfion 100, Title 1, California
Code of Regulafions repealing section filed 3-2-89 (Register 89, No. 1 1 ).
§ 30808. Request for Proposal (RFP).
NOTE; Authority cited: Section 69534.1, Education Code. Reference: Secfion
695.34.1, Education Code; and Sections 12101(a) and (b). Public Contract Code.
History
1. New section filed 3-14-88; operative 4-13-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100, Title 1, California
Code of Regulations repealing section filed 3-2-89 (Register 89, No. 1 1 ).
§ 30809. Confidentiality.
NOTE: Authority cited: Section 69534.1, Education Code. Reference: Section
695.34.1, Education Code; and Sections 12101(a) and (b). Public Contract Code.
History
1. New section filed .3-14-88; operative 4-1.3-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100. Title I, California
Code of Regulations repealing section filed 3-2-89 (Register 89. No. 1 1 ).
§ 30810. Questions and Answers.
NOTE; Authority cited: Section 695.34.1. Education Code. Reference: Section
695.34.1, Education Code; and Sections 12101(a) and (b). Public Contract Code.
History
1. New section filed 3-14-88; operative 4-1.3-88 (Register 88. No. 13).
2. Change without regulatory effect pursuant to Section 100. Title 1. Calift)rnia
Code of Regulations repealing section filed 3-2-89 (Register 89, No. I I ).
§30811. Role of the Evaluation Team.
NOTE: Authority cited: Section 695.34.1. Education Code. Reference: Section
69534.1. Education Code; and Sections 12101(a) and (b). Public Contract Code.
History
1. New section filed .3-14-88; operative 4-1.3-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100. Title I, California
Code of Regulations repealing section filed 3-2-89 (Register 89. No. 1 1 ).
§ 30812. Submission of Proposals: Time, Manner, and
Handling.
NOTE: Authority cited: Section 695.34.1, Education Code. Reference: .Section
695.34.1, Education Code; and Sections 12101(a) and (b). Public Contract Code.
History
1. New section filed 3-14-88; operative 4-1.3-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100. Title 1. California
Code of Regulations repealing section filed 3-2-89 (Register 89, No. 1 1 ).
§30813. Final Proposal.
NOTE: Authority cited: Section 695.34.1. Education Code. Reference: Section
695.34.1, Education Code; and Sections 12 101(a) and (b). Public Contract Code.
History
1. New section filed .3-14-88; operative 4-13-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100. Title I. California
Code of Regulations repealing .section filed 3-2-89 (Register 89. No. I I ).
§ 30814. Issuance of Notice of Intent to Award.
NOTE: Authority cited: Section 69534.1, Educafion Code. Reference: Section
69534.1, Education Code; and Sections 12101(a) and (b). Public Contract Code.
History
1. New secfion filed 3-14-88; operafive 4-1.3-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100, Title 1, California
Code of Regulations repealing section filed 3-2-89 (Register 89, No. 1 1 ).
§ 3081 5. Timing of Award.
NOTE: Authority cited: Secfion 695.34.1, Education Code. Reference: Section
69534.1, Education Code; and Section 12102(0. Public Contract Code.
History
1. New section filed 3-14-88; operafive 4- 1 .3-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100, Title 1, California
Code of Regulations repealing section filed 3-2-89 (Register 89, No. 1 1 ).
§30816. Protests.
NOTE: Authority cited: Section 69534.1, Education Code. Reference: Section
695.34.1, Education Code; and Section 12102(0- Public Contract Code.
History
1. New section filed 3-14-88; operafive 4-1.3-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100, Title 1, California
Code of Regulations repealing section filed 3-2-89 (Register 89, No. 1 1 ).
§30817. Options.
NOTE: Authority cited: Section 69534.1, Education Code. Reference: Section
69534.1, Education Code; and Section 12103, Public Contract Code.
History
1. New section filed 3-14-88; operative 4-13-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100, Title 1, California
Code of Regulations repealing section filed 3-2-89 (Register 89, No. 1 1 ).
§ 30818. Actions on Contracts; Limitations.
NOTE: Authority cited: Secfion 695.34.1, Education Code. Reference: Section
69534.1, Educafion Code; and Section 19100. Public Contract Code.
History
1. New secfion filed 3-14-88; operative 4-13-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Secfion 100, Title 1, California
Code of Regulations repealing section filed 3-2-89 (Register 89, No. 1 1 ).
Page 218.3
Register 2008, No. 24; 6-13-2008
§ 30819
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
§ 30819. Contract to Enable Acquisition of Additional
Items.
NOTE: Authority cited: Section 69534.1, Education Code. Reference: Section
69534.1. Education Code; and Section 12102(e). Public Contract Code.
History
1 , New section filed 3-14-88; operative 4-13-88 (Register 88. No. 13).
2. Change without regulatory effect pursuant to Section 100. Title 1, California
Code of Regulations repealing section filed 3-2-89 (Register 89,No. 1 1 ).
§ 30820. Contractual Terms and Conditions.
NOTE: Authority cited: Section 69534.1, Education Code. Reference: Section
69534.1, Education Code; and Sections 12101(a) and (b). Public Contract Code.
History
1. New section filed 3-14-88; operative 4-13-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100, Title I, California
Code of Regulations repealing section filed 3-2-89 (Register 89, No. 1 1 ).
§ 30821 . Confidentiality of Data.
NOTE: Authority cited: Section 69534.1, Education Code. Reference: Section
69534.1, Education Code; and Section 12101(a), Public Contract Code.
History
1. New section filed 3-14-88; operative 4-13-88 (Register 88, No. 13).
2. Change without regulatory effect pursuant to Section 100, Title I, California
Code of Regulations repealing section filed 3-2-89 (Register 89, No. 1 1 ).
Article 16.
Federal Family Education Loan
Program
§ 30901. Insurance Premium Rate and the Fiscal
Soundness of the Reserve Fund.
The insurance premium rate shall be reviewed annually by the Loan
Study Council, or its successor, and a recommendation shall be made to
the California Student Aid Commission for consideration in resetting the
insurance premium rate. The Loan Study Council, or its successor, shall
review the revenue and expenditure forecasts of the Federal Family Edu-
cation Loan program administered by the California Student Aid Com-
mission and make recommendations to the Commission related to the fis-
cal soundness of the reserve fund.
NOTE: Authority cited: Section 69763, Education Code. Reference: Sections
69761.5 and 69769.5, Education Code.
History
1 . New section filed 7-17-97; operative 7-17-97 pursuant to Government Code
section 1 1343.4(d) (Register 97, No. 29).
§ 30902. Lender Agreement.
Any eligible lending institution must complete a signed agreement
with the California Student Aid Commission, or its agent, before any
Federal Family Education Loan made by the lender shall be guaranteed.
NOTE: Authority cited: Section 69763, Education Code. Reference: 34 CFR
682.401(b)(7).
History
1. New article 16 (sections 30902-30904) and section filed 6-24-97; operative
6-24-97 pursuant to Government Code section 11343.4(d) (Register 97, No.
26).
§ 30903. Lender and School Reviews.
Every school and lender participating in the Federal Family Education
Loan program administered by the California Student Aid Commission
shall be reviewed on a regular basis as provided in 34 CFR Part 682 by
the California Student Aid Commission or its designee. In addition, the
California Student Aid Commission may require self-certified audits of
both schools and lenders participating in the program.
NOTE: Authority cited: Section 69763, Education Code. Reference: 34 CFR
682.410(c).
History
1 . New section filed 6-24-97; operative 6-24-97 pursuant to Government Code
section 1 1343.4(d) (Register 97, No. 26).
§ 30904. Transmittal of Manifest and Fees, and
Cancellation of Non-Disbursed Loan
Guarantees by the Commission.
Lenders shall submit to the California Student Aid Commission, or its
designee, a manifest of loan transactions (i.e. disbursements, cancella-
tions and any other transactions) within 45 calendar days of the date a
loan transaction occurs or the lender learns of the transaction. Insurance
premium fees shall be submitted to the Commission along with the mani-
fest for all loans recorded as disbursements on the manifest or shall be
submitted to the Commission within 30 calendar days of the date an in-
surance premium fee billing is sent to the lender. A loan which remains
in a guaranteed, but non-disbursed status on the Commission's data base
for more than 1 50 calendar days after the anticipated disburseirtent date
shall have its guarantee canceled by the Commission. If such a loan had
actually been disbursed, the lender may request reinstatement of the
guarantee by providing the Commission with a written request for rein-
statement including an explanation of the reason for the loan's non-dis-
bursed status, a manifest and the appropriate insurance premium fee.
This request shall be postmarked or received within 60 days of the date
of the cancellation notification.
NOTE: Authority cited: Section 69763, Education Code. Reference: Section
428(b)( 1 )(H), Higher Education Act of 1965, as amended.
History
1 . New section filed 6-24-97; operative 6-24-97 pursuant to Government Code
section 1 1343.4(d) (Register 97, No. 26).
Article 17. State Nursing Assumption
Program of Loans for Education for Nursing
Faculty (SNAPLE-NF)
§30910. Definitions.
"Academic year" means a period as determined by the employing re-
gionally accredited California college or university.
"Accredited college or university" means a college or university that
has been accredited by a national or regional accrediting body, including,
but not limited to. Middle States Association of Colleges and Schools,
The Northwest Commission on Colleges and Universities, North Central
Association of Colleges and Schools, New England Association of
Schools and Colleges, Inc./Commission on Institutions of Higher Educa-
tion, Southern Association of Colleges and Schools/Commission on Col-
leges, and Western Association of Schools and Colleges/Accrediting
Commission for Senior Colleges and Universities.
"Cost of Attendance" means the student budget at the participating
institution for the nominated student that includes tuition, fees, housing,
food, books, transportation and personal expenses for the year. It may
also include an allowance for the rental or purchase of a computer, child
care or other dependent care costs and additional expenses for students
with disabilities not already covered.
"Demonstrated academic ability" means academic standing consis-
tent with or superior to the requirements established by the accredited
college or university for satisfactory progress toward graduation or the
award of the graduate or undergraduate degree.
"Demonstrated financial need" means financial need as determined
under Article 1 .5 (commencing with Section 69503) of Chapter 2 of Part
42 of Division 5 of Title 3 of the Education Code.
"Eligible applicant" means:
( 1 ) a student who has been admitted to or is enrolled in a baccalaureate
level or graduate level degree program in nursing or a field related to
nursing and who submits an apphcation pursuant to Section 3091 1 and
agrees to teach nursing at a regionally-accredited college or university
within 12 months of obtaining degree, and has received or is approved
to receive, a loan under one or more of the designated loan programs, or
any loan program approved by the Student Aid Commission, or
(2) an individual who has completed a baccalaureate level or graduate
level degree program in nursing or a field related to nursing within the
award year he or she applies for the program and who submits an applica-
Page 218.4
Register 2008, No. 24; 6-13-2008
Title 5
California Student Aid Commission
§30911
lion pursuant lo section 309 1 1 and agrees to teach nursing at a regional-
ly-accrediied college or university within 1 2 months ofobtaining the de-
gree, and has received or is approved to receive, a loan under one or more
of the designated loan programs, or any loan program approved by the
Student Aid Commission.
"Eligible noncitizen" means a United States resident as defined for fi-
nancial aid purposes under Title IV of the federal Higher Education Act
of 196.^. 20 U.S.C. Section 1091(a)(5).
"Full-lime" and "full-time basis" means full-time employment, as
determined by the employing regionally accredited California college or
university.
"Half-time basis" means half-time enrollment as determined by the
participating institution.
"Natural disaster" means a fire, flood, storm, tidal wave, earthquake,
terrorism, epidemic, or other similar public calamity that the Governor
determines presents a threat to public safety. (California Government
Code. Section H680.3)
"Other natural causes" means a disease, or physical or mental condi-
tion involving inpatient care in a hospital or residential health care facil-
ity, or continuing treatment or continuing supervision by a health care
provider, or family care and medical leave under Government Code sec-
tion 12945.2 or the federal Family and Medical Leave Act of 1993.
"Participating institution" and "eligible institution" and "eligible
school or college" means an accredited college or university that has
elected to participate in the program by submitting nominations of stu-
dents to the Commission under the provisions of this Article.
"Part-time" and "part-time basis" means part-time employment, as
determined by the employing regionally accredited California college or
university.
"Program" means the State Nursing Assumption Program of Loans for
Education for nursing faculty established in Article 1 (commencing with
.section 70100) of Chapter 3 of Part 42 of Division 5 of Title 3 of the
Education Code and as set forth in this Article.
"Program participant" means an individual who has a loan assumption
agreement signed by both the individual and the Commission.
"Regionally accredited California college or university" means a col-
lege or university that has been accredited by a regional accreditation
body and is located in California.
"Satisfactory academic progress" means academic standing consis-
tent with the requirements of the accredited college or university for sat-
isfactory progress toward the award of the graduate or undergraduate de-
gree.
"Serious illness" means an illness involving inpatient care in a hospital
or residential health care facility, or continuing treatment or continuing
supervision by a health care provider, or family care and medical leave
under Government Code section 1 2945.2 or the federal Family and Med-
ical Leave Act of 1993.
NOTE: Authority cited: Section 70106. Education Code. Reference: Sections
70101, 70102. 70103, 70104 and 70105. Education Code.
History
1 . New article 17 (sections 30910-30917) and section filed 5-7-2007; operative
5-7-2007 pursuant to Government Code section 1 1343.4 (Register 2007, No.
19).
2. Amendment of article heading, repeal of subsection designators and new defini-
tion of "Eligible applicant" filed 6-10-2008; operative 6-10-2008 pursuant to
Government Code section 1 1343.4 (Register 2008, No. 24).
§ 3091 1 . Application to Participate In the Program.
Applications to participate in the program shall be submitted by the el-
igible applicant to his or her participating institution. The application
shall be submitted to the Commission by the June 30th deadline and shall
include the following information regarding the eligible applicant:
(a) Applicant's personal information, including:
(1) Last name, first name and middle initial;
(2) Social Security number:
(3) Address and telephone number;
(4) Date of birth;
(5) E-mail address, if available;
(6) California registered nurse license number, if available;
(7) for an applicant in an undergraduate degree program, a copy of the
federal Student Aid Report (S AR) generated by the United Stales Depart-
ment of Education based upon the applicant's Free Application for Fed-
eral Student Aid (FAFSA) with an Expected Family Contribution (EEC)
for the academic year in which the applicant applies to the program. Veri-
fication of information provided in the FAFSA and used to calculate the
EEC may be requested by the Commission as necessary. Failure to pro-
vide verification in a timely manner, if requested, may result in disquali-
fication from consideration for an award;
(8) the name of the regionally-accredited college or university that the
eligible applicant is teaching nursing and the date the eligible applicant
commenced employment, if applicable;
(9) the date the applicant has or is expected to receive his or her under-
graduate or graduate degree in nursing or a field related to nursing.
(b) The applicant's representations that he or she:
(1) is a United States citizen or eligible noncitizen;
(2) is a resident of California;
(3) is in compliance with Selective Service requirements;
(4) does not owe a refund on any state or federal educational grant;
(5) does not currently have a delinquent or defaulted student loan.
(6) has not received a grant as an instructor in a California community
college registered nursing program pursuant to Article 3.5 i commencing
with Secfion 78260 of the Education Code;
(c) The name of the accredited college(s) or uni versity(ies), as applica-
ble, at which the applicant:
(1) is enrolled on at least a half-time basis in an academic program
leading to a baccalaureate or graduate degree in nursing or a field related
to nursing;
(2) has obtained a baccalaureate or graduate level degree within the
award year he or she applies for the program; or
(3) is accepted on at least a half-time basis to a program leading to a
baccalaureate or graduate degree in nursing or a field related to nursing;
(d) Statement that the applicant agrees to:
(1) maintain satisfactory academic progress through completion of
baccalaureate or graduate degree program; and
(2) teach in a nursing program on a full-fime basis at one or more re-
gionally accredited California colleges or universities for at least three
consecutive academic years, or on a part-time basis for the equivalent of
three full-time academic years, starting within twelve (12) months after
obtaining a degree in nursing or a field related to nursing unless, within
twelve (12) months after obtaining such a degree, the participant enrolls
in a program leading to a more advanced academic degree in nursing or
a field related to nursing;
(e) The name of lender, type of loan, loan identification numberts),
and current balance(s) of a loan or loans the applicant has received, or has
been approved to receive, under one or more of the following designated
loan programs:
(1 ) the Federal Family Education Loan Program (20 U.S.C. Sec. 1 07 1
et seq.);
(2) the Federal Direct Loan Program (20 U.S.C. Sec. 1087b et seq.);
(3) any loan program approved by the Commission on a case by case
basis but not including lines of credit, home equity loans, credit card debt,
and other general consumer loans, business loans, personal loans, or
mortgages;
(0 For applicants who are enrolled in an undergraduate program, the
student's cost of attendance at the participating insfitution for the aca-
demic year of application to the program.
(g) The application shall state that by signing, the applicant agrees that,
if requested, the applicant will provide information or documentation to
verify the accuracy of the information included in the application, and the
applicant understands that failure to provide accurate and complete in-
formation as requested may result in disqualification from the program
and loss of program benefits. The application shall be dated and signed
by the applicant under penalty of perjury under the laws of the State of
California.
Page 218.5
Register 2008, No. 24; 6-13-2008
§ 30912
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
NOTE: Authority cited: Section 70106, Education Code. Reference: Sections
70101, 70102. 70103, 70105 and 70107, Education Code.
History
1. New section filed 5-7-2007; operative 5-7-2007 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 19).
2. Amendment of first paragraph and subsection (b)(7), new subsections
(b)(8)-(9) and amendment of subsections (c)(2)-(3), (d)(1) and (e) filed
6-10-2008; operative 6-10-2008 pursuant to Government Code section
1 1343.4 (Register 2008, No. 24).
§ 30912. Nominations by a Participating Institution.
(a) A participating institution may nominate one or more eligible ap-
plicants who have submitted applications to participate in the prograin
meeting the requirements of Section 3091 1 by submitting to the Com-
mission by the June 30th deadline all of the following information re-
garding each eligible applicant:
(1) the applicant's complete application, including applicant's name,
social security number, and the SAR for an undergraduate applicant:
(2) the participating institution's certifications of the following in-
formation:
(i) the applicant:
A. is enrolled in a baccalaureate or graduate degree program in nursing
or a field related to nursing in which the applicant is, enrolled on at least
a half-time basis;
B. has been admitted to a baccalaureate or graduate degree program
in nursing or a field related to nursing in which the applicant will be en-
rolled on at least a half-time basis, or
C. has successfully completed a baccalaureate or graduate degree pro-
gram within the award year he or she applies for the program in nursing
or a field related to nursing in which the applicant was enrolled on at least
a half-time basis;
(ii) the applicant's grade point average;
(iii) the applicant:
A. is making satisfactory academic progress; or
B. was making satisfactory academic progress at the time of gradua-
tion;
(iv) the applicant has demonstrated academic ability;
(v) it is an accredited college or university; and
( vi) the date the applicant has or is expected to receive his or her under-
graduate or graduate degree in nursing or a field related to nursing;
(vii) the type of degree the applicant is pursuing or has completed
(viii) the applicant's field of study
(3) the participating institution's determination that the applicant has
demonstrated outstanding ability to become a nursing faculty member,
on the basis of the following criteria:
(i) grade point average; and
(ii) faculty evaluation of the applicant's ability to become a nursing
faculty member based on the factors used by the participating institution
to hire nursing faculty;
(4) for applicants who are undergraduates, the applicant's cost of
attendance for the academic year of application to the program.
(b) Each nomination, including the certifications required by this sec-
tion, submitted by a participating institution shall be signed by the direc-
tor of the participating institution's nursing program or designee under
penalty of perjury under the laws of the State of California.
NOTE; Authority cited: Section 70106, Education Code. Reference: Sections
70101, 70102, 70103, 70107 and 70108, Education Code.
History
1. New section filed 5-7-2007; operative 5-7-2007 pursuant to Government
Code section 11343.4 (Register 2007, No. 19).
2. Amendment of section and Note filed 6-10-2008; operative 6-10-2008 pur-
suant to Government Code section 11343.4 (Register 2008, No. 24).
§ 30913. Award Process.
(a) The Commission shall select program participants from among the
eligible applicants whose applications and nominations are complete and
are received by the Commission by the June 30th deadline date each aca-
demic year and who are determined by the Commission to meet all re-
quirements for participation established in the Education Code. If the
maximum authorized allocation of awards is not exhausted after this
selection process is completed, the Commission may continue to accept
nominations and select program participants based on the date the nomi-
nations are received by the Commission. The Commission may continue
to make awards until the maximum authorized allocation is exhausted.
(b) The Commission shall only consider and select from among nomi-
nated applicants with demonstrated academic ability. In addition, under-
graduate applicants may only be considered if they have demonstrated
financial need. The Commission shall determine that such financial need
exists if the applicant's cost of attendance at the participating institution
for the academic year exceeds the applicant's EFC for that year.
(c) Nominated applicants enrolled in or who have completed graduate
degree programs will be scored and awarded points using the following
selection criteria:
(1 ) Points will be awarded according to the length of time remaining
until the applicant is expected to receive the graduate degree in nursing
or a field related to nursing, as follows:
GRADUATE DEGREE POINTS
Completion Within Four Years or Less 20
Completion Within Three Years or Less 30
Completion Within Two Years or Less 40
Completion Within One Year or Less 50
Completed Program within award year 60
applicant applies for the program
(2) Points will be awarded based on the applicant's grade point aver-
age in the graduate program in nursing or a field related to nursing as fol-
lows:
(i)
GRADUA TE GPA POINTS
2.99 OT Less 0
3.00-3.24 10
3.25-3.49 15
3.50-3.74 20
3.75-3.99 25
4.00 30
; or
(ii) Nominated applicants enrolled in graduate degree programs who
do not have a grade point average established in the graduate program at
the time of application may submit the grade point average from their
baccalaureate degree program.
(A) Points will be awarded based on the applicant's grade point aver-
age in the baccalaureate degree program in nursing or a field related to
nursing as follows:
BACCALA UREA TE GPA
2.99 or Less
3.00-3.24
3.25-3.49
3.50-3.74
3.75-3.99
4.00
POINTS
0
05
7.5
10
12.5
15
(d) Nominated applicants enrolled in or who have completed under-
graduate degree programs and who have been determined to have dem-
onstrated financial need pursuant to subsection (b) will be scored and
awarded points using the following selection criteria:
(1) Points will be awarded according to the length of time remaining
until the applicant is expected to receive the baccalaureate degree in nurs-
ing or a field related to nursing, as follows:
BACCALAUREATE DEGREE POINTS
Completion Within Four Years or Less 10
Completion Within Three Years or Less 15
Completion Within Two Years or Less 20
Completion Within One Year or Less 25
Completed Degree within award year 30
applicant applies for the program
(2) Points will be awarded based on the applicant's grade point aver-
age in the baccalaureate degree program in nursing or a field related to
nursing as follows:
BA CCALA UREA TE GPA
2.99 or Less
3.00-3.24
3.25-3.49
3.50-3.74
3.75-3.99
4.00
POINTS
0
05
7.5
10
12.5
15
Page 218.6
Register 2008, No. 24; 6-13-2008
Title 5
California Student Aid Commission
ij 30915
(e) In addition lo the points based on expected date of degree award
and GPA. 20 points will be awarded to any nominated applicant witli an
active registered nurse license issued by the California Board of Regis-
tered Nursing.
(f) The Commission will select nominees with the highest point totals
until the authorized award allocation is exhausted. In the case of a tie in
the total number of points, the Commission will select nominees based
on the earliest date of expected graduation and in the case of a secondary
tie. by the highest grade point average.
Nort; Authoritv cited: Section 70106. Education Code. Reference: Sections
70105. 70107 and 70109, Education Code.
History
1. New section filed 5-7-2007; operative 5-7-2007 pursuant to Government
Code section 1 1343.4 (Register 2007. No. 19).
2. Amendment of subsections (a) and (c)-(c)(2), new subsections
(c)(2)(i)-{c)(2)(ii)(A) and amendment of subsections (d)-(d)(l) filed
6-10-2008; operative 6-10-2008 pursuant to Government Code section
1 1343.4 (Register 2008, No. 24).
§ 30914. Loan Assumption Agreements.
(a) The Commission shall provide a loan assumption agreement to
each nominated eligible applicant selected by the Commission to be a
program participant. The loan assumption agreement shall be effective
when both the program participant and the Commission have signed the
agreement.
(b) The loan assumption agreement shall include the following:
( 1 ) For a program participant who is enrolled in or admitted to a nurs-
ing degree program, the program participant's agreement to:
(i) maintain satisfactory academic progress;
(ii) maintain enrollment on at least a half-time basis each academic
term at an accredited college or university;
(iii) continue to satisfy the eligibility requirements in section
30911(b)(lH6);
(iv) teach nursing on a full-time basis at one or more regionally ac-
credited California colleges or universities for at least three consecutive
academic years, or part-time for the equivalent of three full time academ-
ic years, starting within twelve (12) months after obtaining a baccalau-
reate or graduate degree in nursing or a field related to nursing, unless,
within twelve (12) months after obtaining such a degree, the participant
enrolls in a program leading to a more advanced academic degree in nurs-
ing or a field related to nursing;
(v) authorize the accredited college or university attended by the appli-
cant, employers, and lenders to provide information requested by the
Commission for the purposes of administering the loan assumption
agreement; and
(vi) comply with all laws and regulations applicable to the program.
(vii) notify the Commission of starting date of employment within 2
weeks of obtaining eligible employment.
(2) For a program participant who has successfully completed a bacca-
laureate or graduate level degree in nursing or a field related to nursing
at the time of application, the-program participant's agreement to:
(i) continue to satisfy the ehgibility requirements in section
30911(b)(l)-(6);
(ii) teach nursing on a full-time basis at one or more regionally-ac-
credited California colleges or universities for at least three consecutive
academic years, or part-time for the equivalent of three full time academ-
ic years, within twelve (12) months of receiving the degree;
(iii) authorize the accredited college or university attended by the ap-
plicant, employers, and lenders to provide information requested by the
Commission for the purposes of administering the loan assumption
agreement; and
(iv) comply with all laws and regulations applicable to the program.
(v) authorize the accredited college oruniversity attended by the appli-
cant, employers, and lenders to provide information requested by the
Commission for the purposes of administering the loan assumption
agreement; and
(vi) comply with all laws and regulations applicable to the program.
(vii) notify the Coinmission of starting date of employment within 2
weeks of obtaining eligible employment.
(3) The Commission shall agree that:
(i) after the program participant has completed one academic year of
teaching nursing studies on a full-time basis, or the equivalent on a part-
time basis, at one or more regionally accredited California colleges or
universities, the Commission shall assume, subject to the requirements
of section 309 1 5, up to eight thousand three hundred thirty-three dollars
($8,333) of the outstanding liability of the participant under one or more
of the designated loan programs;
(ii) after the program participant has completed two consecutive aca-
demic years of teaching nursing studies on a full-time basis, or the equiv-
alent on a part-lime basis, at one or more regionally accredited California
colleges or universities, the Commission shall assume, subject to the
terms of section 309 1 5, up to an additional eight thousand three hundred
thirty-three dollars ($8,333) of the outstanding liability of the participant
under one or more of the designated loan programs, for a total loan as-
sumption of up to sixteen thousand six hundred sixty-six dollars
($16,666); and
(iii) after the program participant has completed three consecutive
academic years teaching nursing studies on a full-time basis, or the
equivalent on a part-time basis, ait one or more regionally accredited
California colleges or universities, the Commission shall assume, subject
to the terms of section 30915, up to an additional eight thousand three
hundred thirty-four dollars ($8,334) of the outstanding liability of the
participant under one or more of the designated loan programs, for a total
loan assumption of up to twenty-five thousand dollars ($25,000).
(c) The term of the loan assumption agreement shall be no more than
10 years from the date signed by the program participant and the Com-
mission unless extended pursuant to Section 30916.
(d) The loan assumption agreement shall constitute a conditional war-
rant that may be redeemed with the Commission as specified in section
30915. A participant in this program shall not receive more than one loan
assumption agreement.
(e) The loan assumption agreement shall include the participant's cer-
tification that he or she understands:
(1) The consequences of failing to comply with the loan assumption
agreement as specified in section 30916
(2) The requirements to redeem the conditional warrant as specified
in section 30915
(3) he or she must respond to all communications and request from the
Commission within ten business days
(4) he or she must report any change in status that may affect his or her
SNAPLE-NF eligibility
(5) If it is determined that a loan assumption payment was authorized
based on misleading or incorrect information, he or she will be required
to reimburse the Commission
(6) he or she must comply with all laws and regulations applicable to
the program
Note. Authority cited: Section 70106, Education Code. Reference; Sections
70101, 70102, 70103 and 70106, Education Code.
History
1. New section filed 5-7-2007; operative 5-7-2007 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 19).
2. Amendment of subsections (a) and (b)(1), new subsections
(b)(l )(vii)-(b)(2)(vii), subsection renumbering and new subsections (e)-(e)(6)
filed 6-10-2008; operative 6-10-2008 pursuant to Government Code section
n 343.4 (Register 2008, No. 24).
§ 3091 5. Loan Payments.
(a) A program participant may redeem the conditional warrant and the
Commission shall make loan payments, pursuant to the loan assumption
agreement and as provided in Section 309 1 4 and subsection (c), when the
Commission has received the following information for each qualifying
year of teaching:
( 1 ) documentation certifying that the program participant has received
a baccalaureate or graduate degree in nursing or a field related to nursing
from an accredited, participating institution;
Page 218.7
Register 2008, No. 24; 6- 13-2008
§ 30916
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(2) the following employment information for each applicable year of
employment subject to the loan assumption agreement:
(i) program participant's name and social security number;
(ii) names and addresses of the program participant's employers;
(iii) program participant's signature under penalty of perjury under the
laws of the State of California.
(3) the following employment information from the participant's em-
ployer(s) for each applicable year of employment subject to the loan par-
ticipation agreement:
(i) statement that the program participant completed an academic year
of teaching nursing on a full-time basis, or. if the program participant is
employed on a part-time basis, the percentage of employment as related
to a full-time academic year.
(ii) statement that the employer is a regionally accredited California
college or university;
(iii) employer representative's printed or typed name, title, and tele-
phone number;
(iv) employer representative's signature under penalty of perjury un-
der the laws of the State of California;
(v) certification that the participant has not received a grant pursuant
to Article 3.51 commencing with Section 78260 of the Education Code.
(4) the following information from each lending institution for each
loan that qualifies for payment under the program and the loan assump-
tion agreement:
(i) program participant's name and social security number;
(ii) account number for each loan;
(iii) interest rate for each loan;
(iv) disbursement dale for each loan;
(v) payoff amount for each loan as of June 30;
(vi) indication for each loan whether the loan is delinquent or in de-
fault;
(vii) lending institution/servicer name;
(viii) lending institution/servicer eight-digit servicer identification
code;
(ix) address for where payment is to be sent;
(x) a signature of the lending institution official under penalty of perju-
ry under the laws of the State of California
(xi) printed name of the lending institution official;
(xii) e-mail address of the lending institution official;
(xiii) telephone number of the lending institution official;
(5) the Commission has determined that the program participant has
satisfied the requirements for payment to be made under the loan assump-
tion agreement.
(b) A program participant who teaches on less than a full-time basis
is not eligible for a loan payment until he or she teaches for the equivalent
of a full-time academic year.
(c) Loan payments shall be made by lump-sum payment to the lender,
to be applied directly to the principal balance, if not otherwise prohibited
by applicable law or by the terms of the loan agreement between the pro-
gram participant and the lender. Payments shall first be made toward
loans with the highest interest rates. The program participant shall con-
tinue to make payments as required under the terms of the loans to avoid
defaulting on those loans, until notified by the lenders or loan servicers
that the loans are paid in full.
NOTE: Authority cited: Section 70106, Education Code. Reference: Sections
70101, 70102 and 70103, Education Code.
History
1. New section filed 5-7-2007; operative 5-7-2007 pursuant to Government
Code section 11343.4 (Register 2007, No. 19).
§ 30916. Failure to Comply with the Loan Assumption
Agreement.
(a) Except as otherwise specified in subsections (b) and (c), a program
participant who fails to meet the requirements for payment pursuant to
the terms of the loan assumption agreement, including failure to maintain
half-time enrollment or satisfactory academic progress while attending
an accredited college or university or failure to complete a minimum of
three consecutive academic years of teaching in nursing at one or more
regionally accredited California colleges or universities on a full-time
basis, or the equivalent on a part-time basis, will not qualify for loan pay-
ment. The loan assumption agreement shall be deemed terminated, and
the Commission shall not make any further payments. The participant
shall retain responsibility to continue to make any payments required for
any remaining loan obligations under the terms of any outstanding loans
to avoid defaulting on those loans but shall not be required to repay any
loan payments previously made through the program.
(b) If a program participant is unable to complete one of the three con-
secutive academic years of teaching nursing at one or more regionally ac-
credited California colleges or universities on a full-time basis, or the
equivalent on a part-lime basis, due to serious illness, pregnancy, or oth-
er natural causes, the term of the loan assumption agreement shall be ex-
tended for a period not to exceed one academic year. The Commission
shall make no further payments under the loan assumption agreement un-
til the applicable teaching requirements specified have been satisfied.
The program participant shall retain responsibility to continue to make
any payments required under the terms of any outstanding loans lo avoid
defaulting on those loans.
(c) If a natural disaster prevents a program participant from complet-
ing one of the required academic years of teaching service due to the in-
terruption of instruction at the employing regionally accredited Califor-
nia college or university, the term of the loan assumption agreement shall
be extended for the period of time equal to the period from the interrup-
tion of instruction at the employing regionally accredited California col-
lege or university to the resumption of instruction. The Commission shall
make no further payments under the loan assumption agreement until the
applicable teaching requirements have been satisfied. The program par-
ticipant shall retain responsibility to continue to make any payments re-
quired under the terms of any outstanding loans to avoid defaulting on
those loans.
NOTE: Authority cited: Section 70106, Education Code. Reference: Sections
70101, 70102, 70103 and 70104, Education Code.
History
1. New section filed 5-7-2007; operative 5-7-2007 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 19).
2. Amendment of subsection (a) filed 6-10-2008; operative 6-10-2008 pursuant
to Government Code section 11343.4 (Register 2008, No. 24).
§ 3091 7. Development of Projections for Funding
Purposes.
The Commission shall use program participants' expected dates of
graduation and employment dates to project the funding level required
to provide loan payments under the program.
NOTE: Authority cited: Section 70106, Education Code. Reference: Section
70106, Education Code.
History
1. New section filed 5-7-2007; operative 5-7-2007 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 19).
Article 18. State Nursing Assumption
Program of Loans for Education for Nurses
in State Facilities (SNAPLE-NSF)
§ 30920. Definitions.
(a) "Accelerated program" means an approved pre-licensure nursing
program that enables a student to complete the instructional program in
less time than a tradifional program, as determined by the institution.
(b) "Accredited program" means a pre-licensure nursing program ap-
proved by the California Board of Registered Nursing pursuant to Busi-
ness and Professions Code Sections 2785 through 2789.
(c) "Eligible applicant" means:
(1) a student, who has completed a minimum of 60 semester units or
the equivalent, and has been admitted to or is enrolled in an approved
pre-licensure nursing program, and who submits an application pursuant
to Section 30921 and agrees to work in a state-operated facility in an eli-
gible position, and has received or is approved to receive, a loan under
Page 218.8
Register 2008, No. 24; 6-13-2008
Title 5
California Student Aid Commission
{} 30921
Olio or more of the designated loan programs, or any loan program ap-
proved by the Student Aid Commission, or
(2) an individual who has completed an approved pre-licensure nurs-
ing program within the award year that he or she applies for the program,
and who has applied or is applying for licensure as a registered nurse in
California, and who submits an application pursuant to section 3092 1 and
agrees to work in a slate-operated facility in an eligible position, and has
received or is approved to receive, a loan under one or more of the desig-
nated loan programs, or any loan program approved by the Student Aid
Commission. However, a person who is currently employed as a regis-
tered nurse in a state-operated 24-hour facility is not eligible to enter into
an agreement for loan assumption.
(d) "Eligible institution" means a postsecondary institution that is de-
termined by the Commission to meet both of the following requirements:
the institution is eligible to participate in state and federal financial aid
programs, and the institution maintains an accredited program of profes-
sional preparation for licensing as a registered nurse in California.
(e) "Eligible position" means a position in a state-operated facility that
appears on the list of Approved Positions for the State Nursing Assump-
tion Program of Loans for Education for Nurses in State Facilities pro-
vided by the Student Aid Commission (see Attachment A).
(0 "Employed on a full-time basis" means employed in an eligible
position as a registered nurse, in a full-time capacity as defined by the
employing, slate-operated facility.
(g) "Enrolled on a full-lime basis" means enrolled as a pre-licensure
registered nurse student, in a full-lime capacity as defined by the eligible
institution.
(h) "Natural disaster" means a fire. Hood, storm, tidal wave, earth-
quake, terrorism, epidemic, or other similar public calamity that the Gov-
ernor determines presents a threat to public safety. (California Govern-
ment Code, Section 8680.3)
(i) "Need-based student loans" means federally subsidized student
loans or other student loans awarded based on the student' s demonstrated
financial need.
(j) "Other natural causes" means a disease, or a physical or mental
condition involving in-patient care in a hospital or residential health care
facility, or continuing treatment or continuing supervision by a health
care provider, or family care and medical leave under Government Code
Section 12945.2 of the federal Family and Medical Leave Act of 1993.
(k) "One year" means twelve calendar months.
(/) "Program" means the State Nursing Assumption Program of Loans
for Education for Nurses in State Facilities established in Article 2 (com-
mencing with Section 70120 of Chapter 2 of Part 42 of the Education
Code) and as set forth in this Article.
(m) "Program participant" means an individual who has a loan as-
sumption agreement signed by both the individual and the Commission.
(n) "Registered nurse" means a person who possesses a valid license
to practice as a professional registered nurse in California and provides
patient care services in an eligible position as identified in the list of Ap-
proved Positions for the State Nursing Assumption Program of Loans for
Education for Nurses in State Facilities (see Attachment A).
(0) "Satisfactory academic progress" means academic standing con-
sistent with the requirements of the eligible institution for satisfactory
progress toward the completion of the pre-licensure nursing program.
(p) "Serious illness" means an illness involving in-patient care in a
hospital or residential health care facility, or continuing treatment or con-
tinuing supervision by a health care provider, or family care and medical
leave under Government Code Section 1 2945.2 or the federal Family and
Medical Leave Act of 1993.
(q) "State-operated facility" means a state-operated facility in
California that:
( 1 ) provides health care 24 hours per day, 7 days per week, including
but not limited to prisons, psychiatric hospitals and veterans' homes;
(2) employs registered nurses;
(3) has a vacancy rate greater than 10 percent of its registered nurse
positions as determined by the Department of Personnel Administration;
and,
(4) is included on the list of state-operated facilities provided annually
to the Commission by the Department of Personnel Administration pur-
suant to Education Code Section 70121.
NOTE: Authority cited: Section 70 12.^, Education Code. Reference: Sections
70120. 70121, 70124, 70125 and 70128, Education Code.
History
1 . New article 1 8 (sections .^0920-30927) and .section tiled 5-30-2007; operative
,S-30-2007 pursuant lo Government Code section 1 1. "^43. 4 (Register 2007, No.
22).
2. Amendment of article heading and subsection (c) filed 6-10-2008; operative
6-10-2008 pursuant to Government Code section 1 134.3.4 (Register 2008. No.
24).
§ 30921. Application to Participate in the Program.
(a) CSAC applications to participate in the program shall be submitted
to the Commission by the June 30 deadline and shall include the follow-
ing information regarding the applicant:
(1 ) Last name, first name and middle initial;
(2) Social Security number;
(3) Address and telephone number;
(4) Date of birth;
(5) E-mail address, if available;
(6) The name of the lender, loan identification number(s). type of loan
or loans (need-based or non-need-based), and current balance(s) of a
loan or loans the applicant has received, or has been approved to receive,
in order to meet the costs of the applicant's education under one or more
of the following designated loan programs (to be eligible for assumption
benefits, loan(s) must be disbursed prior to the date of registered nurse
license of applicant):
(A) the Federal Family Education Loan Program (20 U.S.C. Sec. 1 07 1
et seq.);
(B) the Federal Direct Loan Program (20 U.S.C. Sec. 1087b et seq.);
(C) any educational loan program approved by the Commission on a
case by case basis, but not including lines of credit, home equity loans,
credit card debt, and other general consumer loans, business loans, per-
sonal loans, or mortgages;
and.
(7) proof that the applicant possesses a baccalaureate degree, if appli-
cable.
(8) Ethnicity;
(9) Gender;
(10) Type of program of professional preparation applicant is attend-
ing or has attended
(11) the name of the state-operated facility the eligible applicant is
employed at and the date the eligible applicant commenced employment,
if applicable;
(12) the name of the college the eligible applicant is attending or has
attended;
(13) the college's federal school code.
(b) Applications to participate in the program from applicants who are
admitted to. or are enrolled in an accredited program shall include the fol-
lowing information regarding the applicant:
(1) Certification from an eligible institution of the applicant's current
admission or enrollment as specified in Section 30922(a);
(2) Certification from an eligible institution that the applicant has com-
pleted a minimum of 60 post-secondary semester units or the equivalent;
(3) Statement that the applicant agrees to:
(A) maintain satisfactory academic progress and full-time enroll-
ment;
(B) obtain and maintain a California registered nurse license within 1 2
months of completing the pre-licensure nursing program; and,
(C) obtain and maintain employment, within 6 months of obtaining a
California registered nurse license, as a registered nurse in an eligible
Page 218.9
Register 2008, No. 24; 6-13-2008
§ 30922
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
position in a state-operated facility, as defined in Section 30920(q), on
a full-time basis for four consecutive years.
(c) Applications to participate in the program from applicants who
have completed a pre-licensure nursing program within the award year
that he or she applies for the program, but have not obtained a California
registered nursing license shall include the following information re-
garding the applicant:
( 1 ) Certification from an eligible institution that the applicant has com-
pleted a pre-licensure nursing program and the date completed as speci-
fied in Section 30922(a);
(2) Statement that the applicant agrees to:
(A) obtain and maintain a California registered nurse license within 1 2
months of completing the pre-licensure nursing program
(B) obtain and maintain employment, within 6 months of obtaining a
California registered nurse license, as a registered nurse in an eligible
posiUon in a state-operated facility, as defined in Section 30920(q). on
a full-time basis for four consecutive years.
(d) Applications to participate in the program from applicants who
have completed a pre-licensure nursing program within the award year
that they apply for the program and who possess a current California reg-
istered nursing license, shall include the following information regarding
the applicant:
( 1 ) Certification from an eligible institution that the applicant has com-
pleted a pre-licensure nursing program and the date completed as speci-
fied in Section 30922(a);
(2) California Registered Nurse License number and expiration date;
(3) Statement that the applicant agrees to:
(A) obtain and maintain employment, within 6 months of being ac-
cepted into the program, as a registered nurse in an eligible position in
a state-operated facility, as defined in Section 30920(q), on a full-time
basis for four consecutive years.
(e) The application shall state that by signing, the applicant agrees that,
if requested, the applicant will provide informafion or documentation to
verify the accuracy of the information included in the application, and the
applicant understands that failure to provide accurate and complete in-
formation as requested may result in disqualification from the program
and loss of program benefits. The applicafion shall be dated and signed
by the applicant under penalty of perjury under the laws of the State of
California.
NOTE: Authority cited: Section 70125, Education Code. Reference: Sections
70120, 70122, 70125 and 70128, Education Code.
History
1. New section filed 5-30-2007; operative 5-30-2007 pursuant to Government
Code section 11 343.4 (Register 2007, No. 22).
2. Amendment of subsections (a) and (a)(7) and new subsections (a)(8)-(a)(13)
filed 6-10-2008; operative 6-10-2008 pursuant to Government Code section
1 1343.4 (Register 2008, No. 24).
§ 30922. Certification from Eligible Institution.
(a) All applicants shall submit certificaUon from an eligible institution
to the Commission by the June 30 deadline, including:
(1) the type of program, whether accelerated or traditional;
(2) that the applicant is, or if admitted will be, enrolled on a full-ume
basis, or that the applicant completed the pre-licensure nursing program
and the that completion date;
(3) that the applicant, if enrolled, is maintaining safisfactory academic
progress; and,
(4) that the eligible institution has determined that the applicant has
demonstrated outstanding ability on the basis of criteria that may include,
but need not be limited to, any of the following:
(A) grade point average;
(B) test scores;
(C) faculty evaluations;
(D) interviews; and
(E) other recommendations.
(5) the applicant's grade point average for the pre-licensure nursing
program;
(6) the number of remaining semesters or quarters the applicant is ex-
pected to take to complete the pre-licensure program and the projected
completion date;
(7) certification that the institution is eligible to participant in state and
federal financial aid programs;
(8 ) certification that the institution maintains an accredited program of
professional preparation for licensing as a registered nurse in California;
(9) the applicant's last name, first name and middle initial;
(10) the applicant's Social Security Number;
(11) each certification submitted by an eligible institution shall be
signed by thedirectorof the institution's nursingprogram or designee un-
der penalty of perjury under the laws of the State of California.
NOTE: Authority cited: Section 70125, Education Code. Reference: Section
70120. 70125. 70126 and 70128. Education Code.
History
1. New section filed 5-30-2007; operative 5-30-2007 pursuant to Government
Code section 11 343.4 (Register 2007. No. 22).
2. Amendment of subsections (a) and (a)(6). new subsections (a)(7)-(a)(10) and
subsection renumbering filed 6-10-2008; operative 6-10-2008 pursuant to
Government Code section 1 1343.4 (Register 2008, No. 24).
§ 30923. Award Process.
(a) The Commission shall select program participants from among
those applicants whose applications are complete and are received by the
Commission by the June 30 deadline, and who are determined by the
Commission to meet all requirements for participation established in the
Education Code. If the authorized allocation of awards is not exhausted
after this selection process is completed, the Commission may continue
to accept applications and select program participants based on the date
the applications are received by the Commission. The Commission may
continue to make awards until the authorized allocation is exhausted.
(b) In the event that the number of applications from eligible appli-
cants exceeds the maximum allocation of awards, the Commission shall
score and award points to eligible applicants using the following selec-
tion criteria:
(1) Applicants who have completed a baccalaureate degree at time of
application shall receive 25 points.
(2) Applicants who are currently enrolled in or who completed an ac-
celerated program within the award year he or she applies for the program
shall receive 25 points.
(3) Applicants who have an outstanding balance on a federally subsi-
dized student loan(s) or other need-based student loan(s) disbursed prior
to the date of registered nurse license of applicant shall receive 25 points.
(4) Nominated applicants in pre-licensure nursing programs or appli-
cants who have completed a pre-licensure program within the award
year that he or she applies for the program will be scored and awarded
points using the following selection criteria;
(A) Points will awarded according to the length of time remaining until
the applicant is expected to complete the pre-licensure nursing program,
as follows:
Completion of Pre-licensure
Nursing Program POINTS
Completion Within/Longer Than Six 0
Quarters or Four Semesters
Completion Within Five Quarters 2.5
Completion Within Three Semesters 3.75
Completion Within Four Quarters 5
Completion Within Three Quarters or Two Semesters 7.5
Completion Within Two Quarters 10.0
Completion Within One Semester 1 1 .25
Completion Within One Quarter 12.5
Completed Pre-Licensure Nursing Program 15
(B) Points will be awarded based on the applicant's grade point aver-
age in the pre-licensure nursing program in nursing as follows:
Pre-licensure Nursing GPA POINTS
2.99 or Less 0
3.00-3.24 2
3.25-3.49 4
3.50-3.74 6
3.75-3.99 8
4.00 10
•
Page 218.10
Register 2008, No. 24; 6-13-2008
Title 5
California Student Aid Commission
§ 30925
•
(c) After assignment ofthe scores specified in subsection (b), the Com-
mission will select nominees with the highest point totals until the autho-
rized award allocation is exhausted, in the case of a tie in the total number
of points, the Commission will select nominees based on the dale the ap-
plication is received by the Commission.
NOTt;: Authority cited; Section 70125, Bducalion Code. Reference: Sections
70 1 2.^ and 70128, Education Code.
HlSIORY
1. New section filed .'i-.^0-2007: operative .5-30-2007 pursuant to Government
Code section 1 1343.4 (Register 2007. No. 22).
2. Ainendnient of subsection (a) filed 6-10-2008: operative 6-10-2008 pursuant
to Government Code section 1 1.343.4 (Register 2008. No. 24).
§ 30924. Loan Assumption Agreements.
(a) The Commission shall provide a loan assumption agreement to
each applicant who has been chosen by the Commission to be a program
participant. The loan assumption agreement shall be effective when both
the program participant and the Commission have signed the agreement.
(b) The loan assumption agreement shall include for participants who
are enrolled in or admitted to an approved program, the program partici-
pant's agreements to:
( 1 ) maintain satisfactory academic progress;
(2) maintain enrollment on a full-time basis each academic term;
{?) apply for and obtain a license to practice as a registered nurse in
Calilomia within 12 months of completing the pre-licensure nursing
program;
(4) obtain and maintain full-time employment, within 6 months of ob-
taining a California registered nurse license, for four consecutive years
in an eligible position as a registered nurse in a state-operated facility,
as defined in Section 30920(q); and
(5) authorize the eligible institution that the applicant is attending, fu-
ture employers from state operated facilities, and student loan lenders to
provide information requested by the Commission for the purposes of ad-
ministering the loan assumption agreement;
(6) notify the Commission of starling date of employment within 2
weeks of obtaining eligible employment.
(c) The loan assumption agreement shall include for participants who
have completed a pre-licensure nursing program within the award year
that he or she applies for the program the program participant's agree-
ments to:
(1 ) apply for and obtain a license to practice as a registered nurse in
California within 12 months of completing the pre-licensure nursing
program, if the participant has not already obtained his or her license;
(2) obtain and maintain full time employment, within 6 months of ob-
taining a California registered nurse license, or within 6 months of enter-
ing the program if the participant holds a registered nurse license prior
to entering into the program, for four consecutive years in an eligible
position as a registered nurse in a state-operated facility, as defined in
Section 30920(q); and
(3) authorize the eligible institution that the applicant attended, future
employers from state-operated facilities, and student loan lenders to pro-
vide information requested by the Commission for the purposes of ad-
ministering the loan assumption agreement.
(4) notify the Commission of starting date of employment within 2
weeks of obtaining eligible employment.
(d) The Commission shall agree that:
( 1 ) after the program participant has completed one year of full time
employment in an eligible position as a registered nurse in a state-oper-
ated facility, the Commission shall assume, subject to the requirements
of Section 30925, up to five thousand dollars ($5,000) ofthe outstanding
liability under one or more ofthe designated loan programs (to be eligible
for assumption benefits, loan(s) must be disbursed prior to the date of reg-
istered nurse license of participant);
(2) after the program participant has completed two consecutive years
of full time employment in an eligible position as a registered nurse in a
state-operated facility, the Commission shall assume, subject to the
terms of Section 30925, up to an additional five thousand dollars
($5,000) ofthe participant's outstanding liability under one or more of
the designated loan programs, for a total loan assumption of up to ten
thousand dollars ($10,000) (to be eligible for assumption benefits,
loan(s) must be disbursed prior to the date of registered nurse license of
participant); and,
(3) after the program participant has completed three consecutive
years of full time employment in an eligible position as a registered nurse
in a state-operated facility, the Commission shall assume, subject lo the
terms of Section 30925, up to an additional five thousand dollars
($5,000) of the participant's outstanding liability under one or more of
the designated loan programs, for a total loan assumption of up to fifteen
thousand dollars ($15,000) (to be eligible for assumption benelils.
loan(s) must be disbursed prior to the date of registered nurse license of
participant); and,
(4) after the program participant has completed four consecutive years
of full time employment in an eligible position as a registered nurse in a
state-operated facility, the Commission shall assume, subject to the
terms of Section 30925, up to an additional five thou.sand dollars
($5,000) of the participant's outstanding liability under one or more of
the designated loan programs, for a total loan assumption of up to twenty
thousand dollars ($20,000) (to be eligible for assumption benefits.
loan(s) must be disbursed prior to the date of registered nunse license of
participant).
(e) The term ofthe loan assumption agreement shall be no more than
10 years from the date signed by the program participant and the Com-
mission unless extended by the Commission in the case of serious illness,
pregnancy, other natural causes or a natural disaster.
(0 The loan assumption agreement shall constitute a conditional war-
rant that may be redeemed with the Commission as specified in Section
30925. A participant in this program shall not receive more than one loan
assumption agreement.
(g) The loan assumption agreement shall include the participant's cer-
tification that he or she understands:
(1) The consequences of failing to comply with the loan assumption
Agreement as specified in section 30926;
(2) The requirements to redeem the conditional warrant as specified
in section 30925;
(3) The institution that the participant attends must be eligible for state
and federal financial aid;
(4) he or she must respond to all communications and requests from
the Commission within ten business days;
(5) he or she must report any change in status that may affect his or her
SNAPLE NSF ehgibihty;
(6) he or she must comply with all laws and regulations applicable to
the program; and
(7) If it is determined that a loan assumption payment was authorized
based on misleading or incorrect information, he or she will be required
to reimburse the Commission.
NOTE: Authority cited: Section 70125, Education Code. Reference: Sections
70120, 70121, 70122. 70123 and 70125, Education Code.
History
1. New section filed 5-30-2007; operative 5-30-2007 pursuant to Government
Code section 11343.4 (Register 2007, No. 22).
2. Amendment redesignating former subsections (b)(A)-(F) as subsections
(b)(l)-(6), (c)(AHD) as (c)(l )-(4) and (dKA)-(D) as (d)( i )-(4) and adopting
new subsections (g)-(g)(7) filed 6-1Q-2008; operative 6-l(>-2(X)8 pursuant to
Government Code section 1 1343.4 (Register 2008, No. 24).
§ 30925. Loan Payments.
(a) A program participant may redeem the conditional warrant and the
Commission shall make loan payments, as provided in Section 30924(d)
and Section 30925(c), when:
(1) the program participant has provided documentation certifying li-
censure as a registered nurse in California.
(2) the program participant has provided the following employment
information for each applicable year of employment subject to the loan
assumption agreement:
(A) program participant's name and social security number;
Page 218.11
Register 2008, No. 24; 6- 13-2008
§ 30926
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(B) name of eligible registered nurse position;
(C) names and addresses of the program participant's employer(s):
(D) program participant's signature under penalty of perjury under the
laws of the State of California.
(3) the program participant has provided the following employment
information from his or her employers for each applicable year of em-
ployment subject to the loan participation agreement:
(A) statement that the program participant completed a year of work
in an ehgible position as a registered nurse on a full-time basis in a state-
operated facility.
(B) statement that the employer is a state-operated facility,
(C) employer representative's printed or typed name, title, and tele-
phone number;
(D) employer representative's signature under penalty of perjury un-
der the laws of the State of California;
(4) the program participant has provided the following information
from each lending institution on the loans subject to the loan assumption
agreement (to be eligible for assumption benefits, loan(s) must be dis-
bursed prior to the date of registered nurse license of participant):
(A) program participant's name and social security number;
(B) account number for each loan;
(C) interest rate for each loan;
(D) disbursement date for each loan;
(E) payoff amount for each loan as of June 30;
(F) indication for each loan whether the loan is delinquent or in default;
(G) lending institution/servicer name;
(H) lending institution/servicer eight-digit servicer identification
code;
(I) address where payment is to be sent;
(J) a signature of the lending institution official under penalty of perju-
ry under the laws of the State of California;
(K) printed name of the lending institution official;
(L) e-mail address of the lending institution official;
(M) telephone number of the lending institution official;
(5) the Commission has determined that the program participant has
satisfied all requirements for payment to be made pursuant to the loan as-
sumption agreement.
(b) Loan payments shall be made by lump-sum payment to the lender,
to be applied directly to the principal balance, if not otherwise prohibited
by applicable law or by the terms of the loan agreement between the pro-
gram participant and the lender. Payments shall first be made toward
loans with the highest interest rates. The program participant shall con-
tinue to make payments as required under the terms of the loans to avoid
defaulting on those loans, until notified by the lenders or loan servicers
that the loans are paid in full.
(c) The state-operated facility at which the participant is employed
must be included on the current list provided to the Commission by the
Department of Personnel AdministraUon of facilities with a greater than
10 percent vacancy rate for registered nursing positions as of the date that
the participant commences employment at the facility. If the facility is
removed from the list after the date the participant commenced employ-
ment, the agreement remains valid.
NOTE: Authority cited: Section 70125. Education Code. Reference: Sections
70122, 70123 and 70125, Education Code.
History
1. New section filed 5-30-2007; operative 5-30-2007 pursuant to Government
Code section 11 343.4 (Register 2007, No. 22).
2. Amendment of subsection (a), new subsection (a)(2)(B) and subsection reletter-
ing filed 6-10-2008; operative 6-10-2008 pursuant to Government Code sec-
tion 11 343.4 (Register 2008, No. 24).
§ 30926. Failure to Comply with the Loan Assumption
Agreement.
(a) Except as otherwise specified in subsections (b) and (c), a program
participant who fails to comply with all requirements for payment under
the loan assumption agreement, including failure to complete a minimum
of four consecutive years of full fime employment in an eligible position
as a registered nurse in a state-operated facility or failure to maintain
full-time enrollment or satisfactory academic progress while attending
a pre-licensure nursing program, shall be withdrawn from the program
and assume full liability for all student loan obligations remaining after
the Commission's payment of any loan liability for any year of qualifying
registered nursing service.
(b) If a program participant is unable to complete one of the four con-
secutive years of work as a registered nurse in a state-operated facility,
due to serious illness, pregnancy, or other natural causes, the term of the
loan assumption agreement shall be extended for a period not to exceed
one year. The Commission shall make no further payments under the
loan assumption agreement until the applicable work requirements spe-
cified have been satisfied. The program participant shall retain responsi-
bility to continue to make any payments required under the terms of any
outstanding loans to avoid defaulting on those loans.
(c) If a natural disaster prevents a program participant from complet-
ing one of the four consecutive years of employment at the state-oper-
ated facility, the term of the loan assumpfion agreement shall be extended
for the period of time equal to the period from the date that the partici-
pant's employment at the facility temporarily ceased to the date on which
the parUcipant resumed employment at the facility. The Commission
shall make no further payments under the loan assumpfion agreement un-
til the applicable work requirements have been satisfied. The program
participant, however, shall retain responsibility to confinue to make any
payments required under the terms of any outstanding loans to avoid de-
faulting on those loans.
(d) If a program participant self-withdraws or is withdrawn from the
program within the award year he or she applies for the program, the
Commission will reallocate the award to the next eligible applicant.
NOTE; Authority cited: Section 70125, Education Code. Reference: Sections
70124 and 70125, Education Code.
History
1. New section filed 5-30-2007; operative 5-30-2007 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 22).
§ 30927. Development of Projections for Funding
Purposes.
The Commission shall use program participants' expected dates of
graduation and employment start dates to project the funding level re-
quired to provide loan payments under the program.
NOTE; Authority cited: Section 70125, Education Code. Reference: Section
70125, Education Code.
History
1 . New section and Attachment A filed 5-30-2007; operative 5-30-2007 pursuant
to Government Code section 1 1343.4 (Register 2007, No. 22).
2. Amendment filed 6-10-2008; operative 6-10-2008 pursuant to Government
Code section 1 1343.4 (Register 2008, No. 24).
ATTACHMENT A
List of Approved Positions for the State Nursing Assumption Program
of Loans for Education for Nurses in State Facilities
Nurse-Anesthetist, Correcfional Facility
Nurse Practitioner
Nurse-Pracfifioner, Correctional Facility
Nurse Practitioner, Departments of Mental Health & Developmental
Services
Nurse Practitioner, Safety
Registered Nurse
Registered Nurse. Correctional Facility
Registered Nurse, Safety
Surgical Nurse I
Surgical Nurse I, Correcfional Facility
Surgical Nurse II, Correcfional Facility
Surgical Nurse I, Departments of Mental Health & Developmental
Services
•
•
* * *
Page 218.12
Register 2008, No. 24; 6- 13-2008
•
J&.
Barclays Official
California
Code of
Regulations
Title 5. Education
Division 4.5. ScholarShare Investment Board
Vol.6
THOIVISOISI
^
WEST
Barclays Official California Code of Regulations
425 Market Street • Fourth Floor • San Francisco, CA 94105
800-888-3600
Title 5 ScholarShare Investment Board Table of Contents
Division 4.5. ScholarShare Investment Board
Table of Contents
Page
Chapter 1 . Golden State Scholarshare Trust § 30958. Rollover Distributions.
D ^rr,-or^ Tin §30959. Qualificd ScHolarship AccouPts.
r rogram i 1 9
§ 30950. Scholarshare Trust Detinitions. Chapter 2. Governor's Scholarship Programs .... 220.5
§30951. Opening Accounts. §31000. Definitions Applicable to
§ 30951 .1 . Custodial Account Registration. Governor's Scholarship Programs.
§ 30952, Change of Designated Beneficiary. § 31001. Claiming A Scholarship Award.
§ 30953. Application of Cancellation Penalty § 31002. Ownership of Scholarship Award.
and Limitation of Contributions. § 31003. Accuracy of Information Assumed.
§30954. Distributions. §31004. Distribution of Award.
§30955. Change of Account Ownership. §31005. Forfeiture of Scholarship Award.
§30956. Account Information. §31006. Refunds.
§ 30957. Dispute Resolution. § 31007. The Appeals Process.
Page i (1-16-2004)
Title 5
ScholarShare Investment Board
§ 30950
Division 4.5.
ScholarShare Investment
Board
•
Chapter 1 . Golden State Scholarshare
Trust Program
§ 30950. Scholarshare Trust Definitions.
(a) Existing Definitions. The following terms, as used in these regula-
tions, are defined in Section 69980 of the Education Code: Act; adminis-
trative fund: benefits; Board; Golden State Scholarshare Trust; Scholar-
share trust; participant; participation agreement; program administrator;
program fund; tuition and fees.
The following terms, as used in these regulations, are defined in the
Internal Revenue Code Section 529 of 1 986, as amended. (26 U.S.C. Sec.
529): designated beneficiary; eligible educational institution; member of
the family; qualified higher education expenses; qualified tuition pro-
gram; scholarship.
(b) Additional Definitions. The following definitions shall also apply
to the Golden State Scholarshare Trust Program:
Account — means an account established under the Act.
Account owner — means the "participant" as defined in Section 69980
of the Education Code. An account owner who is an individual (other
than an individual who is a custodian under the California Uniform
Transfers to Minors Act) is specifically referred to in these regulations
as an "individual account owner." An account owner who is a custodian
under the California Uniform Transfers to Minors Act is specifically re-
ferred to in these regulafions as a "custodial account owner." An account
owner that is a trust, estate, partnership, association, company or corpo-
ration, or a state or local government agency, is specifically referred to
in these regulations as an "enfity account owner." Account owner in-
cludes the legal representafive of an account owner.
Annual Report — means a statement meeting the requirements of Sec-
tion 69990 of the Education Code.
Business day — means any day that the New York Stock Exchange
(NYSE) is open. The close of a business day is the fime that the NYSE
closes for that day.
California Uniform Transfers to Minors Act — means the act by that
name that is contained in Part 9 (commencing with Section 3900) of Divi-
sion 4 of the California Probate Code.
Cash — shall include but not be limited to checks (except for travelers
checks, third-party checks exceeding $10,000, money orders, or ca-
shier's checks), rollover distributions, payroll deduction, automafic con-
tribufion plan, and electronic funds transfers. Cash does not include prop-
erty.
Contribufion — means cash deposited into an account.
Distributee — means the designated beneficiary or the account owner
who receives or is treated as receiving a distribution from the Scholar-
share trust.
Distribution — means any disbursement from an account.
Earnings — means the total account balance on a parficular date minus
the contributions in the account as of that date.
Internal Revenue Code — means the Internal Revenue Code of 1986,
as amended.
Legal representative of an account owner — means an individual, trust,
estate, partnership, association, company or corporation, a custodian un-
der the California Uniform Transfers to Minors Act or a state or local
government agency empowered by law to act for or on behalf of an ac-
count owner who has entered into a participafion agreement pursuant to
the Act. A legal representative of an account owner shall provide to the
program administrator's designee a document establishing the authority
of the legal representafive to so act that is signed by the account owner,
or a court order establishing the authority of the legal representative to
so act. The document or court order must be dated within sixty (60) days
of receipt by the Scholarshare trust. The program administrator's desig-
nee shall rely conclusively upon the document or court order until the ear-
lier of its stated expiration date or the date of receipt by the program ad-
ministrator's designee of a document or court order terminating the
authority evidenced thereby. The legal representative of an account own-
er shall be deemed to be acting for or on behalf of the account owner in
the account owner's legal capacity.
Non-qualified distribution — means any distribution from an account
other than 1 ) a qualified distribution; or 2) a withdrawal by reason of the
death or disability of the designated beneficiary of the account or a schol-
arship received by the designated beneficiary to the extent that the
amount distributed does not exceed the amount of the scholarship, all as
provided in Secfion 30954(d); or 3) a rollover distribution.
Qualified distribution — means a distribufion from an account to pay
qualified higher education expenses of the designated beneficiary.
Qualified Scholarship Account — means an account opened by an enti-
ty account owner to which amounts contributed, and any earnings there-
on, are intended to be excluded from the gross income of the scholarship
recipient under Secfion 1 17 of the Internal Revenue Code.
Qualified Scholarship Account Distribution — means a distribution
from a Qualified Scholarship Account to pay for qualified tuition and re-
lated expenses within the meaning of Section 1 17 of the Internal Revenue
Code.
Rollover distribution— means a distribution or transfer from an ac-
count for a current designated beneficiary that is transferred or deposited
within sixty (60) days of the distribution into an account for another des-
ignated beneficiary who is a member of the family of the current desig-
nated beneficiary. A distribufion is not a rollover distribution unless there
is a change of designated beneficiary except that a change of designated
beneficiary is not required for a distribution or transfer that occurs be-
tween qualified tuifion programs, provided that such a distribufion or
transfer cannot occur more than once within a twelve-month period from
the date of a previous distribution or transfer by the account owner for the
same designated beneficiary. For rollover distribufions that involve a
change of designated beneficiary, the newly designated beneficiary's ac-
count may be an account established under the Act or established within
another qualified tuition program and the account owner must certify in
the written request for the rollover distribution that the new beneficiary
is a member of the family of the current beneficiary. If the rollover dis-
tribufion is by a state or local government agency or an entity described
in Secfion 501(c)(3) of the Internal Revenue Code and idenfified in Sec-
tion 30959(a)(2), the newly designated beneficiary can not be a member
of the family of the current designated beneficiary and the account owner
must so certify in the written request.
State or local government agency — means a state or local government
(or an agency or instrumentality thereof) as those terms are used in Sec-
fion 529(e) of the Internal Revenue Code.
Substanfiation — means a document submitted by an entity account
owner to the Scholarshare trust in one of the following forms and dated
no more than sixty (60) days prior to its receipt by the Scholarshare trust:
(1) a corporate by-law extract or corporate resolution certified by an
officer of the corporation (other than an individual authorized thereby to
act as signer for the corporafion's account), with raised seal if in use by
the corporation;
(2) a certificate signed by the owner of a sole proprietorship;
(3) a cerfificate signed by a general partner of a partnership (other than
an individual authorized by the certificate to act as signer for the partner-
ship's account);
(4) a certificate signed by an officer of a limited liability company, oth-
er company or association (other than an individual authorized by the
certificate to act as signer for the account of the limited liability company,
other company or associafion);
(5) a certificate signed by the chief executive officer of a state or local
government agency;
Page 219
Register 2003, No. 49; 12-5-2003
§ 30951
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(6) a certified copy of a court order establishing an estate and naming
a legal representative of the estate that is authorized to act as a signer for
the account of the estate;
( 7) a certificate signed by the trustee of a trust, a court order, or a certi-
fied copy of the portions of a trust instrument, that confirms the creation
of the laist and the identity of the trustee, and provides authorization for
the taistee to act as a signer for the account of the trust:
(8) a letter or memorandum from the Internal Revenue Service indicat-
ing that the entity is an organization described in Section 501(c)(3) of the
Internal Revenue code;
(9) an original memorandum exhibiting the appropriate letterhead and
containing the holographic signature of (a) the chief executive officer of
a corporation or limited liability company; (b) the general partner of a
partnership; (c) the owner of a sole proprietorship; or (d) the chief execu-
tive officer of a state or local government agency; or
( 10) if the entity account owner is unable to provide substantiation in
any of the foregoing forms, the entity account owner may propose an al-
ternate form of substantiation to the program administrator's designee
for consideration. The program administrator's designee must review the
alternate form of substantiation for authenticity and completeness and
must accept or reject it. If judged authentic and complete, the program
administrator's designee must act on the alternate form of substantiation
within thirty (30) business days of so determining. If judged inauthentic
or incomplete, the program administrator's designee must notify the ac-
count owner of the rejection of the alternate form of substantiation and
set forth the reason for such determination in writing within thirty (30)
business days of so determining.
(c) Electronic Communications.
( 1) A "written notification", a "written request", or "written" as used
in this Chapter 1 may include an electronic communication containing
an electronic signature that is acceptable under California or federal elec-
tronic signature laws.
(2) A "dated original signature", or "signed" as used in this Chapter
1, shall include signatures acceptable under California or federal elec-
tronic signature laws.
NOTE: Authority cited: Sections 69981(d) and 69982(h), Education Code. Refer-
ence: Sections 69980, 69983(a), (e) and (h), Education Code; Section
24306(c)(A), Revenue and Taxation Code; Sections 39(X)-3925, Probate Code;
and Sections 1 1 7(b), 1 52(a), 501 (c)(3) and 529(b) and (c). Internal Revenue Code.
History
1 . New article 17 (sections 30950-30957) and section filed 6-3-99 as an emergen-
cy pursuant to Education Code 69993.5; operative 6-28-99 (Register 99, No.
23). A Certificate of Compliance must be transmitted to OAL by 2-23-2000 or
emergency language will be repealed by operation of law on the following day.
2. New article 17 (sections 30950-30958) and section refiled 12-30-99 as an
emergency pursuant to Education Code section 69993.5, including amendment
of section and Note; operative 12-26-99 (Register 99, No. 53). A Certificate
of Compliance must be transmitted to OAL by 4-24-2000 or emergency lan-
guage will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-30-99 order, including new division 4.5
heading, redesignation of former division 4, chapter 1 , article 1 7 to division 4.5.
chapter 1 , and amendment of section and Note, transmitted to OAL 4-2 1 -2000
and filed 6-1-2000 (Register 2000, No. 22).
4. Amendment filed 6-26-2000 as an emergency pursuant to Education Code sec-
tion 69993.5; operative 7-1-2000 (Register 2000, No. 26). A Certificate of
Compliance must be transmitted to OAL by 12-28-2000 or emergency lan-
guage will be repealed by operation of law on the following day.
5. Amendment of secdon and Note filed 12-26-2000 as an emergency; operative
1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be trans-
mitted to OAL by 7-2-2001 pursuant to Education Code section 6993.5 or
emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-26-2000 order, including further amend-
ment of subsection (b) — definition of "substantiation" part (10), transmitted
to OAL 5-22-2001 and filed 7-5-2001 (Register 2001, No. 27).
7. Amendment of section and Note filed 12-1 8-2001 as an emergency; operative
1-1-2002 (Register 2001, No. 51). Pursuant to Education Code section
69993.5, a Certificate of Compliance must be transmitted to OAL by 7-1-2002
or emergency language will be repealed by operation of law on the following
day.
8. Editorial correction of History 7 (Register 2002, No. 21).
9. Editorial correction of History 7 (Register 2002, No. 31).
10. Reinstatement of section as il existed prior to 12-18-2001 emergency amend-
ment by operation of Government Code secfion 1 1 346. 1 (f) (Register 2002, No.
31).
1 1. Amendment of section and Note filed 7-31-2002 as an emergency; operative
7-3 1-2002 (Register 2002, No. 3 1 ). A Certificate of Compliance must be trans-
mitted to OAL by 1 2-2-2002 or emergency language will be repealed by opera-
tion of law on the following day.
12. Certificate of Compliance as to 7-31-2002 order transmitted to OAL
1 1-13-2002 and filed 12-5-2002 (Register 2002, No. 49).
13. Amendment of subsection (b) filed 12-1-2003; operative 1-1-2004 (Reeister
2003, No. 49).
§ 30951 . Opening Accounts.
(a) Individual Account Owner. Any individual who has either reached
the age of majority or who is an emancipated minor and who has provided
the program administrator's designee with a certified court decree of
emancipation and who meets other federal and state legal requirements
governing the program, shall be eligible to establish an account.
(b) Other Account Owners. A trust, estate, partnership, association,
company or corporation, a custodian under the California Uniform
Transfers to Minors Act, or a state or local government agency which
meets the federal and state legal requirements governing the program
shall be eligible to establish an account.
(c) Participation Agreement. An eligible account owner must submit
a completed and signed participation agreement with either an initial
contribution or a selection of electronic funds transfer, automatic con-
tribution plan, payroll deduction (if available), or rollover distribution (if
available) as the method of initial contribution to the program adminis-
trator's designee.
(d) Participation Agreement Submitted By Entity Account Owner. In
satisfying the requirements of paragraph (c) of this Section, an entity ac-
count owner must attach to the completed application portion of the par-
ticipation agreement substantiation as to: ( 1 ) the legal status of the entity;
(2) authorization by the entity to open the account; and (3) the authority
of the signer to open the account and conduct transactions in the account.
(e) Number of Account Owners and Beneficiaries Per Account. Only
one account owner and one designated beneficiary is permitted per ac-
count, except that state and local government agencies and entities de-
scribed in Section 501(c)(3) of the Internal Revenue Code that are open-
ing the account as part of a scholarship program can open a qualified
scholarship account for the benefit of designated beneficiaries to be
named when the scholarships are awarded. An account owner may be an
account owner for more than one account provided the designated bene-
ficiary of each account is different. An individual may be the designated
beneficiary on more than one account provided the account owner of
each account is different.
(0 Cancelling Participation Agreements. Any account owner may
cancel a participation agreement at will by submitting written notifica-
tion to the program administrator's designee. A participation agreement
is deemed cancelled when the account owner requests a non-qualified
distribution to remove all funds from the account so that the balance in
the account is reduced to zero.
NOTE: Authority cited: Sections 69981(c)(7) and (d) and 69982(h), EducaUon
Code. Reference: Sections 69985, 69986 and 69990(a), Education Code; and Sec-
tions 501(c)(3) and 529(b)(4), Internal Revenue Code.
History
1. New section filed 6-3-99 as an emergency pursuant to Education Code
69993.5: operative 6-28-99 (Register 99, No. 23). A Certificate of Compliance
must be transmitted to OAL by 2-23-2000 or emergency language will be re-
pealed by operation of law on the following day.
2. New section refiled 1 2-30-99 as an emergency pursuant to Education Code sec-
tion 69993.5, including amendment of subsecfion (b); operative 12-26-99
(Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL
by 4-24-2000 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 12-30-99 order transmitted to OAL 4-21-2000
and filed 6-1-2000 (Register 2000, No. 22).
4. Amendment of section heading, section and Note filed 12-26-2000 as an emer-
gency: operative 1-1-2001 (Register 2000, No. 52). A Certificate of Com-
pliance must be transmitted to OAL by 7-2-2001 pursuant to Education Code
section 6993.5 or emergency language will be repealed by operation of law on
the following day.
Page 220
Register 2003, No. 49; 12-5-2003
Title 5
ScholarShare Investment Board
§ 30953
•
5. Certificate of Compliance as to 12-26-2000 order transmitted to OAL
5-22-200! and filed 7-5-2001 (Register 2001, No. 27).
6. Ainendment of section and Notk filed 12-18-2001 as an emergency; operative
1-1-2002 (Register 2001, No. 51). Pursuant to Education Code section
69993.5, a Certificate of Compliance must be transmitted to OAL by 7-1-2002
or emergency language will be repealed by operation of law on the following
day.
7. Editorial correction of History 6 (Register 2002, No. 21 ).
8. Editorial correction of Hlstory 6 (Register 2002. No. 31).
9. Reinstatement of section as it existed prior to 12-18-2001 emergency amend-
ment by operation of Government Code section 1 1346. 1(f) (Reeister2002, No.
31).
10. Amendment of section and Notl filed 7-3 1 -2002 as an emergency; operative
7-3 1-2002 (Register 2002, No. 31 ). A Certificate of Compliance must be trans-
mitted to OAL by 1 2-2-2002 or emergency language will be repealed by opera-
lion of law on the following day.
I 1. Certificate of Compliance as to 7-31-2002 order transmitted to OAL
1 1-13-2002 and filed 12-5-2002 (Register 2002, No. 49).
§ 30951 .1 . Custodial Account Registration.
(a) Notice of Change in Custodial Account Regi.stration. The program
administrator's designee shall change the registration of a custodial ac-
count upon receipt of written notification from the custodial account
owner that the designated beneficiary has reached the age of majority or
is otherwise legally authorized to assume ownership. The change in ac-
count registration shall not be effective until the designated beneficiary
has submitted a completed participation agreement to the program ad-
ministrator's designee.
(b) Extension of Custodianship Past Designated Beneficiary's Reach-
ing Age of Majority. If the custodianship of the custodial account is ex-
tended pursuant to Section 3920.5 of the California Uniform Transfers
to Minors Act to a time past the designated beneficiary's reaching the age
of majority, the change in account registration will only be effective if:
( I ) the custodian provides written notification to the program administra-
tor's designee of the termination of the custodianship at such later time;
and (2) the designated beneficiary submits a completed participation
agreement to the program administrator's designee.
NOTE: Authority cited: Sections 69981(c)(7), 69981(d) and 69982(h), Education
Code. Reference: Sections 69986 and 69990(a), Education Code; Sections 3920
and 3920.5, Probate Code; and Section 529(b)(4), Internal Revenue Code.
History
1 . New section filed 1 2-26-2000 as an emergency; operative 1-1-2001 (Register
2000, No. 52). A Cenificate of Compliance must be transmitted to OAL by
7-2-2001 pursuant to Education Code section 6993.5 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-26-2000 order transmitted to OAL
5-22-2001 and filed 7-5-2001 (Register 2001, No. 27).
3. Amendment filed 12-18-2001 as an emergency; operative 1-1-2002 (Register
2001, No. 51). Pursuant to Education Code section 69993.5, a Certificate of
Compliance must be transmitted to OAL by 7-1-2002 or emergency language
will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 2002, No. 21 ).
5. Editorial correction of History 3 (Register 2002, No. 31).
6. Reinstatement of section as it existed prior to 12-1 8-2001 emergency amend-
ment by operation of Government Code section 1 1346.1(f) (Resister 2002, No.
31).
7. Amendment filed 7-31-2002 as an emergency; operative 7-31-2002 (Register
2002, No. 31). A Certificate of Compliance must be transmitted to OAL by
12-2-2002 or emergency language will be repealed by operation of law on the
following day.
8. Certificate of Compliance as to 7-31-2002 order transmitted to OAL
1 1-13-2002 and filed 12-5-2002 (Register 2002, No. 49).
§ 30952. Change of Designated Beneficiary.
(a) Change of Designated Beneficiary. An account owner (other than
a custodial account owner) may change the designated beneficiary desig-
nated for the account at any time by submitting a written request to the
program administrator's designee. The written request shall contain a
certification by the account owner that the newly designated beneficiary
is a member of the family of the current designated beneficiary (unless
the account owner is a state or local government agency or an entity de-
scribed in Section 501(c)(3) of the Internal Revenue Code and identified
in Section 30959(a)(2) in which case the account owner must certify that
the newly designated beneficiary is not a tnember of the family of the cur-
rent designated beneficiary). The written request shall also contain a
dated original signature of an individual account owner or the dated origi-
nal signature of the authorized signer for an entity account owner. An en-
tity account owner shall also attach to the written request substantiation
that the entity account owner authorizes the change of beneficiary and
that the signer of the written request is authorized to conduct the transac-
tion.
(b) Change of Designated Beneficiary Through Rollover Distribution.
A change of designated beneficiary inay also be accomplished by means
of a rollover distribution by an account owner (other than a custodial ac-
count owner).
NOTC: Authority cited: Sections 69981 (d) and 69982(h), Education Code. Refer-
ence: Sections 69980, 69983(e) and (0, Education Code; and Sections 529(b)(7).
(c)(3)(C) and (e)(2). Internal Revenue Code.
History
1. New secfion filed 6-3-99 as an emergency pursuant to Education Code
69993.5; operative 6-28-99 (Register 99, No. 23). A Certificate of Compliance
must be transmitted to OAL by 2-23-2000 or emergency language will be re-
pealed by operation of law on the following day.
2. New section refiled 1 2-30-99 as an emergency pursuant to Education Code sec-
tion 69993.5; operative 12-26-99 (Register 99, No. 53). A Certificate of Com-
pliance must be transmitted to OAL by 4-24-2000 or emergency language will
be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-30-99 order transmitted to OAL 4-2 1 -2000
and filed 6-1-2000 (Register 2000, No. 22).
4. Amendment filed 12-26-2000 as an emergency; operative 1-1-2001 (Register
2000, No. 52). A Certificate of Compliance must be transmitted to OAL by
7-2-2001 pursuant to Education Code section 6993.5 or emergency language
will be repealed by operation of law on the following day.
5. Cernficate of Compliance as to 12-26-2000 order transmitted to OAL
5-22-2001 and filed 7-5-2001 (Register 2001. No. 27).
6. Amendment of section heading, section and Note filed 12-1 8-2001 as an emer-
gency; operative 1-1-2002 (Register 2001, No. 51). Pursuant to Education
Code section 69993.5, a Certificate of Compliance must be transmitted to OAL
by 7-1-2002 or emergency language will be repealed by operation of law on
the following day.
7. Editorial correction of History 6 (Register 2002. No. 21).
8. Editorial correction of History 6 (Register 2002, No. 31).
9. Reinstatement of section as it existed prior to 12-18-2001 emergency amend-
ment by operation of Government Code section 1 1 346. 1(0 (Register 2002, No.
31).
1 0. Amendment of section heading, section and NoTt filed 7-3 1-2002 as an emer-
gency; operative 7-31-2002 (Register 2002, No. 31). A Certificate of Com-
pliance must be transmitted to OAL, by 1 2-2-2002 or emergency language will
be repealed by operation of law on the following day.
1 1. Certificate of Compliance as to 7-31-2002 order transmitted to OAL
11-13-2002 and filed 12-5-2002 (Register 2002, No. 49).
§ 30953. Application of Cancellation Penalty and
Limitation of Contributions.
(a) Excess Contribution. The program administrator or his or her de-
signee shall warn account owners against excess contributions.
(b) Return of Excess Contributions. Contributions for any designated
beneficiary shall be rejected and returned to the extent that the amount
of the contribution would cause the aggregate amount held for that bene-
ficiary to exceed the applicable maximum account balance limit, as de-
termined in accordance with Section 529 of the Internal Revenue Code.
Accounts that have reached the maximum account balance limit may
confinue to accrue earnings.
NOTE: Authority cited: Sections 69981(d) and 69982(h), Education Code. Refer-
ence: Sections 69981(d), 69982(j), 69983(g), 69985 and 69986(b), (d) and (e).
Education Code; Sections 3900-3925, Probate Code; and Sections 529(b)(3) and
(7), Internal Revenue Code.
History
1. New section filed 6-3-99 as an emergency pursuant to Education Code
69993.5; operative 6-28-99 (Register 99, No. 23). A Certificate of Compliance
must be transmitted to OAL by 2-23-2000 or emergency language will be re-
pealed by operation of law on the following day.
2. New section refiled 1 2-30-99 as an emergency pursuant to Education Code sec-
tion 69993.5, including amendment of subsection (b); operative 12-26-99
(Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL
by 4-24-2000 or emergency language will be repealed by operation of law on
the following day.
Page 220.1
Register 2003, No. 49; 12-5-2003
§ 30954
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
3. Certificate of Compliance as to 12-30-99 order, including amendment of sub-
sections (a) and (c), transmitted to OAL 4-2 1-2000 and filed 6-1 -2000 (Resis-
ter 2000, No. 22).
4. Amendment of section and Note filed 12-26-2000 as an emergency; operative
1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be trans-
mitted to OAL by 7-2-2001 pursuant to Education Code section 6993. .5 or
emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-26-2000 order transmitted to OAL
5-22-2001 and filed 7-5-2001 (Register 2001, No. 27).
6. Amendment of section heading, section and Note filed 12-1 8-2001 as an emer-
gency; operative 1-1-2002 (Register 2001, No. 51). Pursuant to Education
Code section 69993.5, a Certificate of Compliance must be transmitted to OAL
by 7-1-2002 or emergency language will be repealed by operation of law on
the following day.
7. Editorial correction of History 6 (Register 2002, No. 21 ).
8. Editorial correction of History 6 (Register 2002, No. 31).
9. Reinstatement of section as it existed prior to 12-18-2001 emergency amend-
ment by operation of Government Code section 1 1 346. 1(f) (Reeister 2002, No.
31).
1 0. Amendment of section heading, section and Note filed 7-3 1-2002 as an emer-
gency; operative 7-31-2002 (Register 2002, No. 31). A Certificate of Com-
pliance must be transmitted to OAL by 12-2-2002 or emergency language will
be repealed by operation of law on the following day.
1 1. Certificate of Compliance as to 7-31-2002 order transmitted to OAL
1 1-13-2002 and filed 12-5-2002 (Register 2002, No. 49).
12. Repealer of subsection (a), subsection relettering and amendment of newly
designated subsection (b) filed 12-1-2003; operative 1-1-2004 (Register
2003, No. 49).
§ 30954. Distributions.
(a) Generally. An account owner may request a distribution by submit-
ting a written request to the program administrator's designee.
(b) Distributions Requested By Custodial Account Owners. A custo-
dial account owner must provide with the written request for any distribu-
tion under this Section a certification that the account owner is the custo-
dian of the account and (except with respect to a qualified distribution or
a distribution due to the death of the designated beneficiary) that the dis-
tribution is authorized under the California Uniform Transfers to Minors
Act and is necessary for the welfare of the designated beneficiary.
(c) Distributions Requested By Entity Account Owners. An entity ac-
count owner must provide with the written request for any distributions
under this Section substantiation that the distribution is authorized by the
entity account owner and that the signer of the request is authorized to
conduct the transaction.
(d) Non-qualified Distribution. An account owner may request a non-
qualified distribution by submitting a written request to the program ad-
ministrator's designee. The program administrator or his or her designee
shall pay the amount of the requested non-qualified distribution to the
account owner.
(e) Distributions Due to Death, Disability or Scholarship of Desig-
nated Beneficiary. An account owner may request a distribution due to
the death or disability of, or scholarship awarded to the designated bene-
ficiary by submitting a written request to the program administrator's de-
signee.
(f) Thirty (30) Day Waiting Period. No distributions can be made with-
in thirty (30) days of receipt by the program administrator's designee of
a written request to change the account owner or a request to change the
mailing address of the account owner, unless the current account owner's
signature is signature guaranteed on the request.
NOTE; Authority cited: Sections 69981(d) and 69982(h), Education Code. Refer-
ence: Sections 69983(a), 69985(b) and (c) and 69986(b), Education Code; Section
3914, Probate Code; and Section 529(e)(2)(B), Internal Revenue Code.
History
1. New section filed 6-3-99 as an emergency pursuant to Education Code
69993.5; operative 6^28-99 (Register 99, No. 23). A Certificate of Compliance
must be transmitted to OAL by 2-23-2000 or emergency language will be re-
pealed by operation of law on the following day.
2. New section refiled 1 2-30-99 as an emergency pursuant to Education Code sec-
tion 69993.5, including amendment of subsecfions (c)(2)(B)-(C); operative
12-26-99 (Register 99, No. 53). A Certificate of Compliance must be trans-
mitted to OAL by 4-24-2000 or emergency language will be repealed by opera-
tion of law on the following day.
3. Certificate of Compliance as to 12-30-99 order, including amendment of sub-
sections (b), (c)(2)(B) and (d). transmitted to OAL 4-21-2000 and filed
6-1-2000 (Register 2000, No. 22).
4. Amendment of section and Note filed 1 2-26-2000 as an emergency; operative
1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be trans-
mitted to OAL by 7-2-2001 pursuant to Education Code section 6993.5 or
emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-26-2000 order transmitted to OAL
5-22-2001 and filed 7-5-2001 (Register 2001, No. 27).
6. Amendment of subsections (d) and (e) and repealer of subsections
(e)( l)-(e)(2)(C) filed 12-18-2001 as an emergency; operative 1-1-2002 (Reg-
ister 2001, No. 51 ). Pursuant to Education Code section 69993.5, a Certificate
of Compliance must be transmitted to OAL by 7-1-2002 or emergency lan-
guage will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 2002, No. 21).
8. Editorial correction of Hestory 6 (Register 2002, No. 31 ),
9. Reinstatement of section as it existed prior to 12-18-2001 emergency amend-
ment by operation of Government Code section 1 1 346. 1 (f) (Register 2002, No.
31).
10. Amendment of subsections (d) and (e) and repealer of subsections
(e)(l)-(e)(2)(C) filed 7-3 1-2002 as an emergency; operative 7-3 1-2002 (Reg-
ister 2002, No. 31). A Certificate of Compliance must be transmitted to OAL
by 12-2-2002 or emergency language will be repealed by operation of law on
the following day.
1 1. Certificate of Compliance as to 7-31-2002 order transmitted to OAL
1 1-13-2002 and filed 12-5-2002 (Register 2002, No. 49).
12. Amendment ofsubsection(d) filed 12-1-2003; operative 1-1-2004 (Register
2003, No. 49).
§ 30955. Change of Account Ownership.
(a) Change of Account Ownership by Individual Account Owner. An
individual account owner may transfer ownership of an account to anoth-
er eligible account owner at any time. The change of ownership shall be
effective if the transfer is (1) irrevocable; (2) transfers all ownership, re-
versionary rights, and powers of appointments (i.e.. power to change des-
ignated beneficiaries and to direct distributions from the account); and
(3) is submitted to the program administrator's designee in writing.
(b) Change of Account Ownership by Entity Account Owner. An enti-
ty account owner may transfer ownership of an account to another eligi-
ble account owner at any time by submitting a written request to the pro-
gram administrator's designee with substantiation that the change of
ownership is authorized by the entity and that the signer of the request is
authorized to conduct the transacfion. The change of ownership shall not
be effective until the successor account owner has submitted a completed
and signed participafion agreement to the program administrator's desig-
nee.
(c) Change of Account Ownership by Custodial Account Owner Pro-
hibited. A custodial account owner is not permitted to transfer ownership
of a custodial account.
(d) Contingent Account Owner. An individual account owner (but not
an entity or custodial account owner) may designate another individual
as a contingent account owner to become the owner of the account auto-
matically upon the death of the individual account owner by submitting
a written request to the program administrator's designee. The contin-
gent account owner designation may be revoked by the individual ac-
count owner at any time by submitting to the program administrator
another written request that either designates a new contingent account
owner or revokes all previous designation(s) of a contingent account
owner. Upon the death of the individual account owner who has in effect
a designation of a contingent account owner, the assets of the account
shall not be deemed assets of the estate of such deceased account owner
for any purpose. The change of ownership shall not be effective until the
successor account owner has submitted to the program administrator's
designee a certified copy of a death certificate sufficiently identifying the
deceased by name and Social Security number, or such other proof of
death as is recognized under applicable law and is acceptable to the pro-
gram administrator, and a completed participation agreement signed by
the successor account owner.
(e) Court Order. A change in owner of an account may be effected by
submitting to the program administrator's designee a written request that
is not signed by the account owner of record if the change of account
ownership is accompanied by a court order directing the change of own-
Page 220.2
Register 2003, No. 49; 12-5-2003
Title 5
SchoIarShare Investment Board
§ 30957
crship or by an alTidavit or declaraiion lliat is recognized under applicable
law to require the transfer of ownership upon death without a court order.
The program administrator's designee shall not implement a change in
ownership (other than a change in ownership described in paragraph (d)
of this Section) without first receiving a written request signed by the ac-
count owner of record, a court order, or an affidavit or declaration as
herein described. The successor account owner must submit a completed
and signed participation agreement to the program administrator's desig-
nee.
Note. Authority citetl: Sections 69981(d), 699X2(h) and 69993.5. Education
Code. Reference: Section 69986(h), Education Code.
History
1. New section filed 6-.3-99 as an eniereeney pursuant to Education Code
6999.3..'S: operative 6-28-99 (Register 99. No. 2.3). A Certificate of Compliance
must be transmitted to OAL by 2-23-2000 or emergency language will be re-
pealed by operation of law on the following day.
2. New .section refiled 1 2-30-99 as an emergency pursuant to Education Code sec-
tion 69993.-5, including new subsections (b) and (c) and amendment of NoTi:;
operative 12-26-99 (Register 99. No. 53). A Certificate of Compliance must be
transmitted to OAL by 4-24-2000 or emergency language will be repealed by
operation of law on the following day.
3. Ceilificate of Compliance as to 12-30-99 order, includine amendment of sec-
tion, transmitted to OAL 4-21-2000 and filed 6-l-2000^(Register 2000, No.
22).
4. AiTiendment filed 12-26-2000 as an emergency; operative 1-1-2001 (Register
2000, No. 52). A Certificate of Compliance must be transmitted to OAL by
7-2-2001 pursuant to Education Code section 6993.5 or emergency language
will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-26-2000 order, including further amend-
ment of sub.seciion (d), transmitted to OAL .5-22-2001 and filed 7-5-2001
(Register 2001, No. 27).
6. Amendment of subsection (a) filed 12-18-2001 as an emergency; operative
1-1-2002 (Register 2001, No. 51). Pursuant to Education Code section
69993.5, a Certificate of Compliance must be transmitted to OAL by 7-1-2002
or emergency language will be repealed by operation of law on the following
day.
7. Editorial correction of History 6 (Register 2002, No. 21 ).
8. Editorial correction of History 6 (Register 2002, No. 3 1 ).
9. Reinstatement of section as it existed prior to 12-18-2001 emergency amend-
ment by operation of Government Code .secfion 1 1346. 1(f) (Register 2(X)2, No.
31).
10. Amendment of subsection (a) filed 7-31-2002 as an emergency; operative
7-3 1 -2002 ( Register 2002, No. 3 1 ). A Certificate of Compliance must be trans-
mitted to OAL by 12-2-2(X)2 oremergency language will be repealed by opera-
tion of law on the following day.
1 1. Certificate of Compliance as to 7-31-2002 order transmitted to OAL
1 1-13-2002 and filed 12-5-2002 (Register 2002, No. 49).
§ 30956. Account Information.
(a) Annual Report. The account owner shall be mailed an annual report
on or before March 1st of each year following the calendar year in which
the account was initially opened.
(b) Account Information for Distributee. A distributee shall be mailed
a statement of earnings, on or before January 3 1 st of the year following
the calendar year in which the distribution was made.
(c) Demographic Information. The program administrator or his or her
designee may request, gather, and maintain demographic information re-
garding account owners and designated beneficiaries in the Scholarshare
program, such as gender, ethnicity, geographic location, language, and
general income level, in order to improve the administration of, and ser-
vices provided by. the Scholarshare trust program. Such information may
be voluntarily provided by the account owner in a manner approved by
the program administrator.
(d) Information Security. Any information compiled pursuant to this
Section shall be inaintained by the Board and protected consistent with
the requirements of the Information Practices Act of 1977. (Civil Code
Section 1798, et seq.)
NOTE: Authority cited: Sections 69981(d) and 69982(h), Education Code. Refer-
ence: Sections 69982(a)-0), 69990(c)(1) and 69994, Education Code.
History
I. New section filed 6-3-99 as an emergency pursuant to Education Code
69993.5; operative 6-28-99 (Register 99, No. 23). A Certificate of Compliance
must be transmitted to OAL by 2-23-2000 or emergency language will be re-
pealed by operation of law on the following day.
2. New section refiled 1 2-30-99 as an emergency pursuant to Education Code sec-
tion 69993.5, including amendment of subsections (c) and (d); operative
12-26-99 (Register 99, No. 53). A Certificate of Compliance must be trans-
mitted to OAL by 4-24-2000 oremergency language will be repealed by opera-
tion of law on the following day.
3. Certificate of Compliance as to 12-30-99 order, including amendment of sub-
sections (c)(1) and (e), transmitted to OAL 4-2 1 -20()()"and filed 6-l~2(X)0
(Regisler200(), No. 22).
4. Amendment of subsections (c), (d) and (e) filed 12-26-2000 as an emergency;
operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must
be transmitted to OAL by 7-2-2001 pursuant to Education Code section 6993.5
or emergency language will be repealed by operation of law on the tbllowing
day.
5. Certificate of Compliance as to 12-26-2000 order transinitted to OAL
5-22-2001 and filed 7-5-2001 (Register 2001. No. 27).
6. Repealer of subsections (c)-(c)(3). subsection relettering and amendment of
newly designated subsection (d) filed 12-18-2001 as an emergency; operative
1-1-2002 (Register 2001. No. 51 1. Pursuant to Education Code section
69993.5. a Certificate of Compliance must be transmitted to OAL by 7-1-2002
or emergency language will be repealed by operation of law on the following
day.
7. Editorial correction of History 6 (Register 2002. No. 21).
8. Editorial coiTection of History 6 (Register 2002, No. 31).
9. Reinstatement of section as it existed prior to 12-18-2001 emergency amend-
ment by operation of Government Code section 1 1346.1(f) (Register 2002. No.
31).
10. Repealer of subsections (c)-(c)(3), subsection relettering and amendment of
newly designated subsecfion (d) filed 7-31-2002 as an emergency; operative
7-31-2002 (Register 2002, No. 31 ). A Certificate of Compliance must be trans-
mitted to OAL by 1 2-2-2002 or emergency language will be repealed by opera-
tion of law on the following day.
11. Certificate of Compliance as to 7-31-2002 order transmitted to OAL
1 1-13-2002 and filed 12-5-2002 (Register 2002, No. 49).
§ 30957. Dispute Resolution.
(a) Optional Pre-Arbitration Procedure. In the event a controversy or
claim arises out of or relates to a participation agreement, the account
owner or designated beneficiary tray elect to di.scuss the matter informal-
ly with the program administrator or his or her designee. If the dispute is
not resolved to the satisfaction of the account owner or designated benefi-
ciary, the account owner or designated beneficiary may send a letter ex-
plaining the dispute to the Executive Director of the SchoIarShare Invest-
ment Board. The Executive Director or his or her designee shall meet in
person or by telephone with the account owner or designated beneficiary
within ten (10) working days of receipt of the letter from the account
owner or designated beneficiary or such longer period as may be mutual-
ly acceptable, and the ExecuU ve Director or his or her designee shall mail
a written decision, and the reasons therefor, to the account owner or des-
ignated beneficiary within twenty (20) working days of the meeting. The
procedure set forth in this paragraph is not a substitute for mandatory ar-
bitration, which is required by paragraph (b) below. The procedure set
forth in this paragraph is an informal process that may resolve controver-
sies and claims and make arbitration unnecessary.
(b) Arbitration Mandatory. Any controversy or claim arising out of or
relafing to any participation agreement, or the breach, termination or va-
lidity thereof, shall be settled by arbitration administered by the Ameri-
can Arbitration Association, and judgement on the award rendered by the
arbitrator(s) may be entered in any court having jurisdiction thereof.
(c) Arbitrafion Clause and Disclosure. Every participation agreement
shall include the following arbitration clause and disclosure language.
The arbitrafion clause and the di.sclosure language shall be underlined or
printed in bold face type.
Any controversy or claim arising out of or relating to this participation
agreement, or the breach, termination or validity thereof, shall be .settled
by arbitration administered by the American Arbitration Association in
accordance with its Commercial Arbitrafion Rules, and judgment on the
award rendered by the arbitrator(s) may be entered in any court having
jurisdiction thereof.
The foregoing is a predispute arbitrafion clause. By signing an arbitra-
tion agreement, the parties agree as follows:
( 1 ) All parties to this agreement are giving up the right to sue each other
in court, including the right to a trial by jury, except as provided by the
rules of the American Arbitration Association.
Page 220.3
Register 2003, No. 49; 12-5-2003
§ 30958
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
(2) Arbilralion awards are generally final and binding: a party's ability
to have a court reverse or modify an arbitration award is limited.
(3) The ability of the parties to obtain documents, witness statements
and other discovery is generally more limited in arbitration than in court
proceedings.
(4) The arbitrators do not have to explain the reason(s) for their award.
(5) The rules of the American Arbitration Association may impose
time limits for bringing a claim in arbitration.
(d) Predispute Arbitration Clause Disclosure. Immediately preceding
the signature line on the participation agreement there shall be a state-
ment, which shall be highlighted, that the agreement contains a predis-
pute arbitration clause. The statement shall also indicate at what page and
paragraph the arbitration clause is located.
(e) Copy of Agreement to Account Owner. Upon request by an ac-
count owner, the program administrator or his or her designee shall pro-
vide the account owner with a copy of the participation agreement
executed by the account owner, within ten (10) business days of receipt
of the account owner's request.
(0 Information Upon Request. Upon request by an account owner, the
program administrator or his or her designee shall provide the account
owner with information on how to contact or obtain the rules of the Amer-
ican Arbitration Association.
NOTE; Authority cited: Sections 69981(d) and 69982(h), Education Code. Refer-
ence: Sections 69981(c) and 69990(d), Education Code.
History
1. New section filed 6-3-99 as an emergency pursuant to Education Code
69993.5; operative 6-28-99 (Register 99. No. 23). A Certificate of Compliance
must be transmitted to OAL by 2-23-2000 or emergency language will be re-
pealed by operation of law on the following day.
2. New section refiled 12-30-99 as an emergency pursuant to Education Code sec-
tion 69993.5, including amendment of subsection (c)(2); operative 12-26-99
(Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL
by 4-24-2000 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 12-30-99 order, including amendment of sub-
section (a), transmitted to OAL 4-2 1-2000 and filed 6-1-2000 (Register 2000,
No. 22).
4. Amendment of subsection (a) filed 12-18-2001 as an emergency; operative
1-1-2002 (Register 2001, No. 51). Pursuant to Education Code section
69993.5, a Certificate of Compliance must be transmitted to OAL by 7-1-2002
or emergency language will be repealed by operation of law on the following
day.
5. Editorial correction of History 4 (Register 2002, No. 21).
6. Editorial correction of History 4 (Register 2002, No. 31).
7. Reinstatement of section as it existed prior to 12-18-2001 emergency amend-
ment by operation of Government Code section 1 1 346. 1 (f) (Register 2002, No.
31).
8. Amendment of subsection (a) filed 7-31-2002 as an emergency; operative
7-31-2002 (Register 2002, No. 31). A Certificate of Compliance must be trans-
mitted to OAL by 1 2-2-2002 or emergency language will be repealed by opera-
tion of law on the following day.
9. Certificate of Compliance as to 7-31-2002 order transmitted to OAL
1 1-13-2002 and filed 12-5-2002 (Register 2002, No. 49).
§ 30958. Rollover Distributions.
(a) Rollover Distribution From Another Qualified Tuition Program.
An account owner (other than a custodial account owner) may make a
rollover distribution at any time from another qualified tuition program
to an account, either owned by the same or a different account owner, by
submitting a written request to the program administrator's designee and
by complying with applicable federal and state law governing this trans-
action. The rollover distribution shall be effective provided that the trans-
fer of funds does not cause the aggregate amount of contributions held
for the new designated beneficiary to exceed the maximum account bal-
ance limit applicable to that beneficiary.
(b) Rollover of Account Funds Methods. A rollover of account funds
from another qualified tuition program shall be effective through a direct
transfer of funds from the other qualified tuition program to an account,
or as a deposit of the funds by the account owner into an account within
60 days of withdrawal of the funds from the other qualified tuition pro-
gram. Both the direct transfer of funds and the deposit of funds by the ac-
count owner must be accompanied by a written statement from the other
qualified tuition program that identifies the portion of the amount direct-
ly transferred, or deposited, that represents contributions and the portion
of the amount that represents earnings.
(c) Limitation of Rollover of Account Funds to Savings Program. A
rollover distribution from another qualified tuition program shall not be
accepted unless the funds are transferred from a tuition savings account
as defined in Section 529(b)( 1 )( A)(ii) of the Internal Revenue Code.
(d) Transfer of Account Funds as Rollover Distribution. An account
owner (other than a custodial account owner) may transfer funds from an
account to another account either owned by the same or a different ac-
count owner at any time by submitting a written request to the program
administrator's designee. The transfer of account funds shall be effective
provided that: ( 1 ) the funds are transferred to an account for a new desig-
nated beneficiary who is a member of the family of the designated benefi-
ciary of the account from which the funds are being transferred and the
account owner so certifies in the written request (unless the entity making
the rollover distribution is a state or local government agency or an entity
described in Section 501(c)(3) of the Internal Revenue Code and idenfi-
fied in Section 30959(a)(2) in which case the account owner must cerufy
that the newly designated beneficiary is not a member of the family of the
current beneficiary); and (2) the transfer of funds does not cause the ag-
gregate amount of contributions held for the new designated beneficiary
to exceed the maximum account balance limit applicable to that benefi-
ciary.
(e) Execution of New Participation Agreement. Any rollover distribu-
tion that is intended to transfer funds to a new account not yet established
under the Act shall not be effective until the account owner who is to re-
ceive the transferred funds has submitted to the program administrator's
designee a completed and signed participation agreement for the new ac-
count and the account has been established.
(f) Rollover Distribution to Another Qualified State Tuition Program.
An account owner (other than a custodial account owner) may make a
rollover distribution at any time from an account to another qualified tu-
ition program by submitting a written request to the program administra-
tor's designee and by complying with applicable federal and state law
governing this transaction.
(1) The program administrator's designee shall treat the rollover dis-
tribution as a non-qualified distribution unless the program administra-
tor's designee receives confirmation that the amount of the distribufion
has been deposited in another qualified tuition program within sixty (60)
days of distribution from the account.
(g) Rollover Distributions Requested By Entity Account Owners. An
entity account owner must provide with the written request for a rollover
distribution substantiation that the rollover distribufion is authorized by
the endty and that the signer of the written request is authorized to con-
duct the transaction.
NOTE; Authority cited: Sections 69981(d) and 69982(h), Education Code. Refer-
ence: Sections 699820)(1), 69983(0 and 69986(h), Education Code; Section
24306(c)(4)(A) and (B) Revenue and Taxation Code; and Sections 152(a),
529(b)( I )(A)(ii) and (c)(3)(C), Internal Revenue Code.
History
1 . New section filed 12-30-99 as an emergency pursuant to Education Code sec-
tion 69993.5; operative 12-26-99 (Register 99, No. 53). A Certificate of Com-
pliance must be transmitted to OAL by 4-24-2000 or emergency language will
be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-30-99 order, including amendment of sub-
sections (a) and (d), transmitted to OAL 4-2 1 -2000 and filed 6-1-2000 (Regis-
ter 2000, No. 22).
3. Amendment of section and Note filed 12-26-2000 as an emergency; operative
1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be trans-
mitted to OAL by 7-2-2001 pursuant to Education Code section 6993.5 or
emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-26-2000 order transmitted to OAL
5-22-2001 and filed 7-5-2001 (Register 2001, No. 27).
5. Amendment filed 12-18-2001 as an emergency; operative 1-1-2002 (Register
2001, No. 51). Pursuant to Education Code section 69993.5, a Certificate of
Compliance must be transmitted to OAL by 7-1-2002 or emergency language
will be repealed by operation of law on the following day.
6. Editorial correction of History 5 (Register 2002, No. 21).
7. Editorial correction of History 5 (Register 2002, No. 31).
Page 220.4
Register 2003, No. 49; 12-5-2003
Title 5
ScholarShare Investment Board
§ 31000
•
•
8. Keinstatoinent of section as it existed prior lo 12-18-2001 emergency aniencl-
nient bv operation orGovemment Code section 1 1 346. 1 (f) (Register 2002. No.
31).
9. Amendment filed 7-3 1-2002 as an emergency: operative 7-3 1-2002 (Register
2002, No. 31). A Ceiiificate of Compliance must be transmitted to OAL by
12-2-2002 or emergency language will be repealed by operation of law on the
following day.
10. Certificate of Compliance as to 7-31-2002 order transmitted lo OAL
1 1-13-2002 and filed 12-5-2002 (Register 2002, No. 49).
! 1. Amendment of subsections (a) and (d) filed 12-1-2003: operative 1-1-2004
(Rei!ister2003, No. 49).
§ 30959. Qualified Scholarship Accounts.
(a) Opening Qualified Scholarship Accounts. A qualilled scholarship
account may be opened by any of the following entities:
(1 ) a slate or local government agency or an entity described in Section
50 1 (c)(3) of the Internal Revenue Code that has opened the qualified
scholarship account as part of a scholarship program for the benefit of
beneficiaries to be named when the scholarships are awarded; or
(2) any entity identified in Section 3095 1 (b) that has opened the quali-
fied scholarship account for the benefit of a named beneficiary.
(b) Participation Agreement. To open a qualified scholarship account,
an entity account owner must submit a completed and signed participa-
tion agreement with either an initial contribution or a selection of elec-
tronic funds transfer, automatic contribution plan, or rollover distribu-
tion as the method of initial contribution to the program administrator's
designee.
(c) Change of Beneficiary for Qualified Scholarship Account. An enti-
ty identified in paragraph (a)(2) of this Section, except a state or local
government agency or an entity described in Section 501 (c)(3) of the In-
ternal Revenue Code, is not permitted to change the beneficiary of the
qualified scholarship account. A state or local government agency or an
entity described in Section 501(c)(3) of the Internal Revenue Code and
identified in Section 30959(a)(2) may change the beneficiary of a quah-
fied scholarship account at any time by submitting a written request to the
program administrator's designee.
(d) Rollover Distributions for Qualified Scholarship Account. An enti-
ty identified in paragraph (a)(2) of this Section, except for a state or local
government agency or an entity described in Section 501(c)(3) of the In-
ternal Revenue Code, is not permitted to make a rollover distribution. A
slate or local government agency or an entity described in Section
501(c)(3) of the Internal Revenue Code and identified in Section
30959(a)(2) may make any rollover distribution set forth in Section
30958 at any time by submitting a written request lo the program admin-
istrator's designee with substantiation that the rollover distribution is au-
thorized by the entity account owner and that the signer of the request is
authorized to conduct the transaction, and by complying with applicable
federal and state law. The written request for a rollover distribution must
contain a certification that the newly designated beneficiary is not a
member of the family of the previous beneficiary.
(e) Qualified Scholarship Account Distribution. A qualified scholar-
ship account distribution may be taken at any fime by an entity identified
in paragraph (a) of this Section by submitting a written request to the pro-
gram administrator's designee with substantiation that the qualified
scholarship account distribution is authorized by the entity account own-
er and that the signer of the request is authorized to conduct the transac-
tion. A qualified scholarship account distribution must be paid directly
to an eligible educational institution.
NOTE: Authority cited: Sections 69981(d) and 69982(h), Education Code. Refer-
ence: Sections 69982(j)( 1), 69983(0, 69986(h); and Sections 1 17(b) and 529. In-
ternal Revenue Code.
History
1 . New section filed 12-26-2000 as an emergency; operative 1-1-2(X)1 (Register
2000. No. 52). A Certificate of Compliance must be transmitted to OAL by
7-2-2001 pursuant to Education Code section 6993.5 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-26-2000 order, including amendment of
subsection (d), transmitted to OAL 5-22-2001 and filed 7-5-2001 (Register
2001. No. 27).
3. Amendment of subsections (b)-(c) filed 12-18-2001 as an emergency; opera-
tive 1-1-2002 (Register 2001. No. 51). Pursuant to Education Code section
69993.5, a Certificate of Compliance must be transmitted to OAL by 7-1 -2(X)2
or emergency language will be repealed by operation of law on the following
day.
4. Editorial correction of History 3 (Register 2002, No. 21 ).
5. Editorial correction of History 3 (Register 2002, No. 31).
6. Reinstatement of section as it existed prior to 12- 1 8-2001 emergency amend-
ment by operation of Government Code section 1 1 346. 1(f) (Register 2002, No.
31).
7. Amendment of subsections (b)-(c) filed 7-3 1-2(X)2 as an emergency; operative
7-31-2002 (Register 2002. No. 31 ). A Certificate of Compliance must be trans-
mitted to OAL by 1 2-2-2002 or emergency language will be repealed by opera-
tion of law on the following day.
8. Certificate of Compliance as to 7-31-2002 order transmitted to OAL
1 1-13-2002 and filed 12-5-2002 (Register 2002, No. 49).
9. Repealer of subsection (d) and subsection relettering filed I2-1-2(X)3: opera-
tive 1-1-2004 (Register 2003. No. 49).
Chapter 2.
Governor's Scholarship
Programs
§ 31 000. Definitions Applicable to Governor's Scholarship
Programs.
(a) Definitions. The following definitions shall apply within this
Chapter:
(1 ) Account means the formal record of transactions consistent with
Section 529 of the Internal Revenue Code.
(2) Account owner means the Stale of CalifoiTiia acting pursuant to
Education Code Section 69995. et seq. as owner of qualified scholarship
accounts for award recipients.
(3) Award notification letter means the letter delivered to a pupil
through his or her school which provides: (1) notice of and instructions
for claiming a Governor's Scholars Award; (2) identification of an Inter-
net site lo use to claim the award; and (3) a unique identifying number
to the pupil.
{A) Award recipient means a pupil who has been identified as the recip-
ient of a scholarship award defined in Education Code Section 69997 or
69998 and who has successfully claimed at least one scholarship award.
(5) Claim means the submission of information by a pupil or award re-
cipient in accordance with Section 31001 of this Chapter, to establish his
or her identity as the recipient of a scholarship award.
(6) Pupil means a student who has been identified as the recipient of
a scholarship award defined in Education Code Section 69997 who has
not yet successfully claimed at least one such award.
(7) Qualified scholarship account means an account opened by the ac-
count owner for the benefit of award recipients in accordance with Sec-
tions 117 and 529 of the Internal Revenue Code.
(8) Qualified scholarship account distribution means a withdrawal
from the qualified scholarship account in accordance with Sections 1 17
and 529 of the Internal Revenue Code and is referred to herein as a dis-
tribution.
(9) Scholarship award means either a Governor's Scholars award de-
fined in Education Code Section 69997 or a Governor's Distinguished
Mathematics and Science Scholars award defined in Education Code
Section 69998.
(10) Scholarshare Investment Board's designee means the entity des-
ignated by the Scholarshare Investment Board to invest and manage
funds on behalf of the account owner.
(b) A "written notification, " "written request" or "written confirma-
tion" may include an electronic notification, electronic request or elec-
tronic confirmation containing an electronic signature that is acceptable
under California or federal electronic signature laws.
NOTE: Authority cited: Sections 69981(d), 69996(d) and 69999, Education Code.
Reference: Section 69995(c), Education Code; and Sections 529 and 1 1 7(b), Inter-
nal Revenue Code.
History
I . New chapter 2 (sections 3 1 000-3 1 007) and section filed 1 2- 1 -2000 as an emer-
gency; operative 12-1-2000 (Register 2000. No. 48). A Certificate of Com-
pliance must be transmitted to OAL by 1 1-30-2001 pursuant to Education
Page 220.5
Register 2003, No. 49; 12-5-2003
§ 31001
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
Code section 69999 or emergency language will be repealed by operation oflaw
on the following day.
2. Certificate of Compliance as to 12-1-2000 order transmitted to OAL
] 1-30-2001 and filed 12-21-2001 (Register 2001, No. 51).
3. New subsection (b) filed 12-27-2001 as an emergency; operative 1-1-2002
(Register 2001 , No. 52). Pursuant to Education Code section 69999, a Cenifi-
cate of Compliance must be transmitted to OAL by 1 -1-2(X)3 or emergency lan-
guage will be repealed by operation oflaw on the following day.
4. Editorial correction of History 3 (Register 2002, No. 21).
5. Certificate of Compliance as to 12-27-2001 order, including amendment of
section, transmitted to OAL 12- 1 8-2002 and filed 1-29-2003 (Register 2003.
No. 5).
§ 31 001 . Claiming A Scholarsliip Award.
(a) Each time a pupil is notified by an award notification letter of that
pupiTs eligibility for a Governor's Scholars award, or at the point at
which an award recipient certifies that he or she has met the requirements
for a Governor's Distinguished Mathematics and Science Award, the pu-
pil or award recipient shall provide the Scholarshare Investment Board's
designee with the following information to successfully claim the award:
(1) the pupil's name as it appears on the award notification letter;
(2) the pupil's birth date;
(3) the pupil's Social Security number or taxpayer identification num-
ber;
(4) the pupil's mailing address;
(5) a contact telephone number;
(6) the unique identifying number assigned to the pupil as set forth in
the award notification letter for the Governor's Scholars Award;
(7) a designation of the type of scholarship award claimed by the pupil
or award recipient as either a Governor' s Scholars award or a Governor' s
Distinguished Mathematics and Science Scholars award;
(8) a certification by the pupil or award recipient that the pupil or
award recipient was enrolled in a California public school for at least
twelve (12) consecutive months immediately preceding the administra-
tion of the achievement test referred to in Education Code Section
69995(d)( 1 ) that was used as the basis for the award(s); and a statement
agreeing to provide school records evidencing such attendance if re-
quested by the Scholarshare Investment Board; and
(9) a certification by the award recipient that if claiming a Governor's
Distinguished Mathematics and Science Scholars Award, the award re-
cipient has achieved the required scores, pursuant to Education Code
Section 69998. on the Advanced Placement (AP) exam authorized by
Education Code Section 52241, International Baccalaureate (IB) exam
authorized by Education Code Section 52920 or, if applicable, the Gold-
en State Exam (GSE) authorized by Education Code Section 60650.
(b) Upon receipt of a claim for a Governor's Scholars award that con-
tains in a complete manner all of the information set forth in paragraph
(a) of this Section, and if all provided information matches information
received from the test publisher, the Scholarshare Investment Board's
designee shall establish, within thirty (30) days of receipt of such claim,
a qualified scholarship account for the award recipient and send a written
confirmation to the award recipient.
(c) Upon receipt of a claim for a Governor's DisUnguished Mathemat-
ics and Science award that contains in a complete manner all of the in-
formation set forth in paragraph (a) of this Section with the exception of
the unique identifying number, and if the test score information provided
by the test publisher matches the test score requirements specified in Sec-
tions 69997 and 69998 of Education Code or as modified by the Board
of Education pursuant to Section 69998, the Scholarshare Investment
Board's designee shall send a written confirmation to the award recipient
within thirty (30) days.
(d) Any scholarship award subsequent to the award recipient's first
scholarship award that is successfully claimed by the award recipient,
shall be maintained by the Scholarshare Investment Board's designee in
the same qualified scholarship account first established for the award re-
cipient. The Scholarshare Investment Board' s designee shall provide an
annual statement of account acUvity and interest rate to each award recip-
ient.
(e) If the pupil or award recipient provides information that conflicts
with information provided by the State of California or the test publisher
selected pursuant to Education Code Section 60642, the Scholarshare In-
vestment Board's designee shall reject the claim and inform the pupil or
award recipient that the claim cannot be processed. A pupil or award re-
cipient whose claim is so rejected, may resubmit the claim for a scholar-
ship award within the allowable time period specified in paragraph (h)
by providing the missing or corrected information.
(f) If. after a qualified scholarship account is established for an award
recipient, it is discovered that the information referred to in paragraph (a)
of this section as provided by the award recipient contains an error or con-
flicts with information provided by the State ofCalifornia or test publish-
er, the Scholarshare Investment Board or its designee shall require the
award recipient to provide sufficient documentation to resolve the error
or conflict. If the error or conflict cannot be resolved, the Scholarshare
Investment Board may require the award(s) to be forfeited pursuant to
Secfion 31005.
(g) The Scholarshare Investment Board or its designee shall verify the
qualifying exam scores of each award recipient claiming a Governor's
Distinguished Mathematics and Science Award through the respective
publishers of the Advanced Placement exam. International Baccalau-
reate exam, and, if applicable. Golden State Exam. If the Scholarshare
Investment Board's designee is unable to verify the award recipient's
scores, the Scholarshare Investment Board's designee shall reject the
claim and inform the award recipient that the claim cannot be processed.
The award recipient whose claim is so rejected may appeal the rejection
pursuant to section 31007. Such an appeal shall include a copy of the
award recipient's official score report(s) from the test publisher that indi-
cates a qualifying score.
(h) Each pupil who is eligible to claim a Governor's Scholarship Pro-
grams Award shall claim the award by June 30th following the five year
anniversary of taking the achievement test referred to in Education Code
Section 60640, which was used as the basis for that particular award, or
lose eligibility for the award. Any funds not claimed by June 30th follow-
ing the five year anniversary of taking the achievement test specified in
Education Code Section 60640 shall revert to the General Fund.
Note. Authority cited: Sections 69981(d). 69996(d) and 69999, Education Code.
Reference: Section 69997(b), Education Code.
History
1 . New section filed 12-1-20(X) as an emergency; operative 12-1-2000 (Register
2000, No. 48). A Certificate of Compliance must be transmitted to OAL by
1 1-30-2001 pursuant to Education Code section 69999 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1 2-1-2000 order, including amendment of sub-
sections (a)(4), (a)(7) and (b), transmitted to OAL 11-30-2001 and filed
12-21-2001 (Register 2001, No. 51).
3. New subsection (a)(5), subsection renumbering and amendment of subsections
(c) and (f)-(h) filed 12-27-2001 as an emergency; operative 1-1-2002 (Regis-
ter 2001, No. 52). Pursuant to Education Code section 69999, a Certificate of
Compliance must be transmitted to OAL by 1-1-2003 or emergency language
will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 2002, No. 21).
5. Editorial correction of subsection (g) (Register 2003, No. 5).
6. Certificate of Compliance as to 12-27-2001 order transmitted to OAL
12-18-2002 and filed 1-29-2003 (Register 2003, No. 5).
§ 31 002. Ownership of Scholarship Award.
(a) The account owner owns all scholarship awards and earnings there-
on in qualified scholarship accounts until a qualified distribution is made.
(b) An award recipient' s right to claim a scholarship award is not trans-
ferable to another individual. An award recipient's right to direct a dis-
tribution is not transferable to another individual.
NOTE: Authority cited: Sections 69981(d). 69996(d) and 69999. Education Code.
Reference: Sections 69996(b) and 69996(c)(1), Education Code.
History
1. New section filed 12-1-2000 as an emergency; operaUve 12-1-2000 (Register
2000, No. 48). A Certificate of Compliance must be transmitted to OAL by
1 1-30-2001 pursuant to Education Code section 69999 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-1-2000 order transmitted to OAL
11-30-2001 and filed 12-21-2001 (Register 2001, No. 51).
•
•
Page 220.6
Register 2003, No. 49; 12-5-2003
Title 5
ScholarShare Investment Board
S 31006
•
§ 31003. Accuracy of Information Assumed.
(a) Notwithstanding any other provision in this Chapter, the Scholar-
share Investment Board's designee shall rely upon the accuracy of in-
lorniation provided by the pupil or award recipient under Section
3 1 00 1(a) unless and until ii receives actual notice to the contrary from the
State of California, the College Board, the Iniernational Baccalaureate
Program, the lest publisher selected pursuant to Section 60642, or other
credible source.
(b) Notwithstanding any other provision in this Chapter, the Scholar-
share Investment Board and its designee shall rely upon the accuracy of
test score information provided by the lest publishers for examinations
used as the basis for awards. If errors are identified with test score in-
formation, the lest publisher shall provide corrections to the Scholarshare
Investment Board and its designee. These corrections to the erroneous
test score information shall be in the same electronic format as the origi-
nal file.
NOTh: Authorily cited: Sections 6998 1 (d). 69996(d) and 69999, Education Code.
Reference: Section 69996(d). Education Code.
History
1. New .section filed 12-1-2000 as an emergency: operative 1 2- 1-2(XX) (Register
2000, No. 48). A Certificate of Compliance must be transmitted to OAL by
1 1 -30-200 i pursuant to Education Code section 69999 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-1-2000 order transmitted to OAL
1 1-30-2001 and filed 12-21-2001 (Register 2001, No. 51).
3. Redesignation of and amendment of former section as subsection (a) and new
subsection (b) filed 12-27-2001 as an emergency; operative 1-1-2002 (Regis-
ter 2001. No. 52). Pursuant to Education Code section 69999, a Certificate of
Compliance must be transmitted to OAL by 1-1-2003 or emergency language
will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 2002. No. 21).
5. Ceriificate of Compliance as to 12-27-2001 order transmitted to OAL
12-18-2002 and filed 1-29-2003 (Register 2003. No. 5).
§ 31 004. Distribution of Award.
(a) To request distribution of funds, an award recipient shall submit a
written request that provides the following information:
(1) the award recipient's name as it appears on the annual account
statement:
(2) the award recipient's account number;
(3) the award recipient's Social Security number or ta.xpayer identifi-
cation number;
(4) the award recipient's mailing address;
(5) the name and address of the eligible educational institution;
(6) the academic year for which the distribution is intended;
(7) the amount of qualified higher education expenses to be paid out
by the distribution;
(b) The Scholarshare Investment Board or its designee may require
additional documentation prior to the distribution of funds.
(c) A separate written request must be submitted for each distribution.
(d) Distributions shall be made only to eligible educational institu-
tions.
(e) Award recipients shall provide a certification that the distribution
shall be used for qualified higher education expenses, that no other re-
quest has been submitted previously for payment of the referenced quali-
fied higher education expenses and that any portion of the distribution
that is refunded to the award recipient and not used for qualified higher
education expenses shall be returned to the Scholarshare Investment
Board's designee in the tax year in which the refund was received by the
award recipient.
(0 Written requests for distributions shall be processed by the Scholar-
share Investment Board's designee within thirty (30) days of receipt of
the request or within thirty (30) days of receipt of additional documenta-
tion requested by the Scholarshare Investment Board or its designee.
NOTE: Authority cited: Sections 6998 1(d), 69996(d) and 69999, Education Code.
Reference: Section 69996(a), Education Code; and Sections 529 and 1 17(b), Inter-
nal Revenue Code.
History
1 . New section filed 12-1-2000 as an emergency; operative 1 2- 1-2()()() (Register
2000, No. 48). A Certificate of Compliance must be transmitted to OAL by
1 1-30-2001 pursuant to Education Code section 69999 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1 2-1-2000 order, includine amendment of sec-
tion, transmitted to OAL I 1-30-2001 and filed 12-21-2001 (RcL'isler 2001.
No. 51).
3. Amendment of subsection (e) filed 12-27-2001 as an emergency; operative
1-1-2002 (Register 2001. No. 52). Pursuant to Education Code .section 69999,
a Certificate of Compliance must be transmitted to OAL by 1-1-2003 or emer-
gency language will be repealed by operation ol law on the following day.
4. Editorial correction of History 3 (Register 2002, No. 21 ).
5. Editorial conection of subsection (e) (Register 2(X)3. No. 5).
6. Certificate of Compliance as to 12-27-2001 order transmitted to OAL
12-18-2002 and filed 1-29-2003 (Register 2003. No. 5).
§ 31005. Forfeiture of Scholarship Award.
(a) The following disqualifying events, if not disproved, will result in
forfeiture by the award recipient of the scholarship award:
(1) the award recipient provided false or misleading information in
claiming the scholarship award;
(2) the award recipient was wrongly identified as receiving a scholar-
ship award;
(3) one or more of the award recipient's test scores used as the basis
for the scholarship award were invalidated; or
(4) the award recipient failed to provide the documentation referred to
in paragraph (f) of Section 3 1001 of this Chapter
(b) The Scholarshare Investment Board shall provide the award recipi-
ent with written notice of the disqualifying event which, if not resolved,
would result in forfeiture. The written noUce shall inform the award re-
cipient that he or she has thirty (30) days from receipt of the notice to re-
solve the disqualifying event before a final determination of forfeiture is
made by the Execufive Director of the Scholarshare Investment Board
and that funds will not be distributed pending resolution of the disqualify-
ing event. If the award recipient receives an unsatisfactory final deter-
mination, the award recipient may appeal the determination pursuant to
section 31007(b). Such an appeal shall be submitted within thirty (30)
days of receipt of the final determination.
(c) After a final determinafion of forfeiture has been issued and no ap-
peal has been submitted or the Scholarshare Investment Board has
upheld the final determination, the Scholarshare Investment Board shall
direct its designee to withdraw the forfeited funds from the respective
qualified scholarship account and deposit the funds into a forfeiture ac-
count within the Scholarshare Trust.
NOTE: Authority cited: Sections 69981 (d). 69996(d) and 69999, Education Code.
Reference: Sections 69995(d), 69996(d) and 69998, Education Code; and Sec-
tions 529 and 1 17(b), Internal Revenue Code.
History
1. Newsecuon filed 12-1-2000 as an emergency; operative 12-1-2000 (Register
2000, No. 48). A Certificate of Compliance must be transmitted to OAL by
1 1-30-2001 pursuant to Education Code section 69999 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-1-2000 order transmitted to OAL
11-30-2001 and filed 12-21-2001 (Register 2001, No. 51).
3. Amendment of subsections (b) and (c) filed 12-27-2001 as an emergency; op-
erafive 1-1-2002 (Register 2001 , No. 52). Pursuant to Education Code section
69999, a Certificate of Compliance must be transmitted to OAL by 1-1-2(X)3
or emergency language will be repealed by operation of law on the following
day.
4. Editorial correction of History 3 (Register 2002, No. 21).
5. Certificate of Compliance as to 12-27-2001 order transmitted to OAL
12-18-2002 and filed 1-29-2003 (Register 2003, No. 5).
§31006. Refunds.
(a) If the award recipient receives a refund of any part of the distribu-
tion from the eligible educafional institution, the award recipient shall
notify the Scholarshare Investment Board's designee in writing of such
amount and either provide evidence showing that the refunded amount
was used for qualified higher education expenses or shall return the
amount of the refund not used for qualified higher education expenses to
the Scholarshare Investment Board's designee. The Scholarshare Invest-
Page 220.7
Register 2(X)3, No. 49; 12-5-2(X)3
§ 31007
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 5
menl Board's designee shall deposit any returned refunded amounts into
the award recipient's account within the Scholarshare Trust.
(b) If the eligible educational institution refunds any part of the award
recipient's distribution to the Scholarshare Investment Board's designee,
the Scholarshare Investment Board's designee shall deposit any returned
refunded amounts into the award recipient's account within the Scholar-
share Trust.
(c) If a refund from the eligible educational institution to the award re-
cipient or to the Scholarshare Investment Board's designee is based on
a final determination pursuant to Section 3 1005, the Scholarshare Invest-
ment Board's designee shall deposit any returned or refunded amounts
into a forfeiture account within the Scholarshare Trust.
NOTE: Authority cited: Sections 69981 (d), 69996(d) and 69999, Education Code.
Reference: Section 69996(d), Education Code; Sections 529 and 11 7(b), Internal
Revenue Code, and 26 Code of Eederal Regulations Section 1.529-2(e)(4)(ii)(d).
History
1. New section filed 12-1-2000 as an emergency; operative 12-1-2000 (Register
2000, No. 48). A Certificate of Compliance must be transmitted to OAL by
1 1 -30-2001 pursuant to Education Code section 69999 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-1-2000 order, including amendment of sec-
tion, transmitted to OAL 11-30-2001 and filed 12-21-2001 (Register 2001,
No. 51).
3. Redesignation of existing paragraphs as subsections (a)-(c) filed 12-27-2001
as an emergency; operative 1-1-2002 (Register 2001, No. 52). Pursuant to
Education Code section 69999, a Certificate of Compliance must be transmitted
to OAL by 1-1-2003 or emergency language will be repealed by operation of
law on the following day.
4. Editorial correction of History 3 (Register 2002, No. 21 ).
5. Certificate of Compliance as to 12-27-2001 order transmitted to OAL
12-18-2002 and filed 1-29-2003 (Register 2003, No. 5).
§ 31007. The Appeals Process.
(a) In the event that a pupil wishes to appeal an adverse decision re-
garding the determination of his or her eligibility to claim an award, but
excluding the scoring of exams, or if a controversy arises out of the ad-
ministration of an award recipient' s account, that pupil or award recipient
may discuss the matter informally with the Scholarshare Investment
Board staff or designee. If the dispute is not resolved, that pupil or award
recipient may appeal the adverse decision. Such an appeal shall be in
writing, be mailed to the Scholarshare Investment Board, and shall in-
clude a signed and dated letter explaining the dispute and appropriate
documentation to support the pupil's position. The Scholarshare Invest-
ment Board will mail a written decision including the reason for the deci-
sion within thirty (30) days unless SIB notifies the pupil or award recipi-
ent of a different timeline.
(b) In the event a pupil or award recipient is not satisfied with the re-
sulting decision, he or she may request that the dispute be reviewed by
the Executive Director of the Scholarshare Investment Board. Such a re-
quest shall be in writing and shall be received by the Executive Director
within thirty (30) days of receipt of the adverse decision. The Executive
Director shall mail a written decision, and the reasons therefor, to the
award recipient within thirty (30) days of the request for the review or
such period as may be mutually acceptable.
(c) In the event that an award recipient wishes to appeal a final deter-
mination by the Executive Director, the award recipient may request that
the Scholarshare Investment Board review the decision of the Executive
Director at a regularly scheduled meeting. Such a request shall be in writ-
ing and shall be received by the Scholarshare Investment Board within
thirty (30) days of receipt of the adverse decision and at least thirty (30)
days in advance of a scheduled meeting of the Scholarshare Investment
Board. The pupil or award recipient shall provide supporting documenta-
tion that would justify a reconsideration of the Executive Director's deci-
sion. The Scholarshare Investment Board shall mail a written decision,
and the reasons therefor, to the pupil or award recipient within ninety (90)
days of the meeting.
(d) The decision of the Scholarshare Investment Board is the final ad-
ministrative decision.
(e) For purposes of Section 31007, the terms pupil or award recipient
shall include the pupil's or award recipient's parent or legal guardian, if
applicable.
NOTE; Authority cited: Sections 69981(d), 69996(d) and 69999, Educafion Code.
Reference: Section 69996(d), Education Code; and Sections 529 and 1 17(b), Inter-
nal Revenue Code.
History
1. New section filed 12-1-2000 as an emergency; operative 12-1-2000 (Register
2000, No. 48). A Certificate of Compliance must be transmitted to OAL by
1 1 -30-2001 pursuant to Education Code section 69999 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-1-2000 order, including amendment of sec-
tion, transmitted to OAL 11-30-2001 and filed 12-21-2001 (Register 2001,
No. 51).
3. Amendment of subsections (a)-(c) filed 12-27-2001 as an emergency; opera-
tive 1-1-2002 (Register 2001, No. 52). Pursuant to Education Code section
69999, a Certificate of Compliance must be transmitted to OAL by 1-1-2003
or emergency language will be repealed by operation of law on the following
day.
4. Editorial correction of History 3 (Register 2002, No. 21).
5. Certificate of Compliance as to 12-27-2001 order transmitted to OAL
12-18-2002 and filed 1-29-2003 (Register 2003, No. 5).
•
* * *
Page 220.8
Register 2003, No. 49; 12-5-2003
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