.s.
Barclays Official
California
Code of
Regulations
Title 11. Law
Complete Title
Vol. 15
XHOIVISOISI
^k
WEST
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REVISED edition
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written permission of ThomsonAVest.
TITLE 11. LAW
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
Chapter Division
Subchapter Chapter
Article Article
Section Section
Title 11
Law
Title Table of Contents
Title 11. Law
Table of Contents
Page
Division 1 . Attorney General 1 Chapter 4.3.
Chapter 1 . Regulations Governing
Proceedings in the Nature of
Quo Warranto l
Article 1
Chapter 1.5. Attorney General — Conflict of
Interest Code l
Article 2.
Chapter 2. Approved Surety Bond Forms 2
Article 3.
Chapter 3. Microfilming and Other
Photographic Reproductions 10.2 . . , ,
^ ^ Article 4.
Article 1 . The Forms of Certification
Approved 10.2
Article 2. Updatable Microfiche Art' 1 5
Certification 10.2
Chapter 4.5.
Chapter 4. Regulations Adopted Pursuant to
the Supervision of Trustees and
Fundraisers for Charitable Chapter 4.6.
Purposes Act 10.2
Chapter 4. 1 . Regulations Adopted Pursuant to
the Statewide Registry of Article 1 .
Private Conservators and
Guardians 10.2(b)(1) ^^.^^^^
Article 1 . Title, Scope, and
Definitions 10.2(b)(1)
Article 3.
Article 2. Manner of Registration, Who
Must Register, Fee for
Registration 10.2(b)(2)
Article 4.
Article 3. Contents of and Access to
the Statewide Registry;
Certificate of Article 5.
Registration 10.2(c)
Chapter 4.7.
Article 4. Penalties for False
Registration or
Misrepresentation 10.2(c) Article 1
Article 5. Miscellaneous Provisions 10.2(c) Article 2.
Page
Regulations Adopted Pursuant to
the California Uniform
Supervision of International
Student Exchange Visitor
Placement Organizations Act of
1994 10.3
General Provisions and
Definitions 10.3
International Student
Exchange Agency
Registration Standards 10.4
Conditions Applicable to
Registration 10.5
Termination and Revocation
of International Student
Exchange Organization's
Registrations 10.7
Miscellaneous Provisions 10.7
Regulations Adopted Pursuant to
the Uniform Management of
Institutional Funds Act 10.8
Non-Profit Raffle Program
Regulations Chapter 9 of Part
1, Title 9, Penal Code (Section
320.5, Penal Code) 11
Title, Scope, and
Definitions 1 1
Manner of Registration, Who
Must Register, Fee for
Registration 12
Contents of and Access to
the Non-Profit Raffle
Program 12.1
Penalties for False
Registration or
Misrepresentation 12.2
Miscellaneous Provisions 12.2
Regulations for the California
Gang, Crime, and Violence
Prevention Partnership Program 12.2
General Provisions 12.2
Applicant Requirements 12.3
Page i
(7 18 2008)
Title Table of Contents BARCLAYS CALIFORNIA
Page
Article 3. Selection Process 12.5
Article 4. Funding 12.13
Article 5. Use of Funds 12.13
Article 6. Project Administration 12.15
Chapter 5. Regulations Governing Health
Care Service Plans 12.20
Article 1 . General Provisions 12.20
Article 2. Registration 12.21
Article 3. Contracts 12.21
Article 4. Evidence of Coverage 13
Article 5. Standard Supplemental
Disclosure Form 14
Article 6. Books and Records 15
Article 7. Subscribers' Advertising and
Solicitations 16
Chapter 6. Gaming Registration 17
Article 1 . Gaming Registration 17
Chapter 6.5. Records and Reports of Monetary
Instrument Transaction 18
Article 1 . Reporting Requirements 18
Chapter 7. Criminal Offender Record
Information Security 18
Article 1 . Mandatory Securing of
Criminal Offender Record
Information 18
Article 2. Suppression of Incomplete
Criminal History
Information 19
Chapter 8. Controlled Substances 20
Article 1. Controlled Chemical
Substance Permitting 20
Article 2. Controlled Chemical
Substance Program
Citations 22
Chapter 9. Report of Child Abuse 22.1
Article 1. Report of Child Abuse 22.1
Article 2. Report of Sexual Assault 22.7
Article 3. Guidelines for Investigation
of Child Abuse in Out-of-
Home Care Facilities 24
Reporting and Cross-Reporting Duties
and Notification and Follow-Up
Reporting Responsibilities in
Out-of-Home Care Facilities 25
CODE OF REGULATIONS Title 11
Page
Duties and Responsibilities 26
Investigative Procedures 28
Chapter 10. In-Home Child Care Provider
Registry 28.3
Article 1 . Definitions 28.3
Article 2. Application 28.3
Article 3. Appeal Process 28.4
Article 4. Removal from In-Home Child
Care Provider Registry 28.5
Article 5. Access to In-Home Child Care
Provider Registry 28.5
Chapter 1 1 . Police Body Armor 28.5
Article 1. Certification of Bulletproof
Vests 28.5
Chapter 12. Tear Gas Weapons and Training
Institutions 32
Article 1 . General Provisions 32
Article 2. Definitions 32
Article 3. Sales Licenses 32
Article 4. Certification and Approval 33
Article 5. Approval of Tear Gas
Training Institutions 33
Article 6. Violation of Regulations 34
Chapter 12.3. Department of Justice
Regulations for the Basic
Firearms Safety Certificate
Program 34
Article 1 . General 34
Article 2. Definitions 34
Article 3. Requirements,
Qualifications, and
Revocation and Denial 34
Article 4. BFSC Test/Course
Requirements 35
Article 5. Security and Record Keeping
Requirements 35
Article 6. Fees, Refunds, Replacements,
and Processing Time 35
Chapter 12.4. Department of Justice
Regulations for Laboratory
Certification and Handgun
Testing 35
Article 1. General: Title; Scope;
Extensions for Compliance 35
Article 2. Definition of Key Terms 35
Page ii
(7-18-20
Title 11
Law
Page
DOJ-Certification: Who Must
Be DOJ-Certified;
Application for DOJ-
Certification; Pre-DOJ-
Certification Requirements;
Grounds for Denial; DOJ-
Certification Period;
Processing Times; Appeal
Process 36
Operational Requirements:
Absence of Conflict of
Interest; Security and
Safety Requirements;
Licensing/Minimum Standards
Compliance; Which Handguns
Must Be Tested, Who May
Submit Handguns, Submission
Requirements; Testing
Procedures; Test Reporting;
Required Records, Retention
Periods, Reporting Changes;
Off-Site Locations;
Inspections 36
Application Fees 37
DOJ-Certification
Revocation 37
DOJ-Certification Renewal:
DOJ-Certification Renewal
Procedures; DOJ-
Certification After
Expiration 38
Service of Notices, Orders,
and Communications 38
Roster of Certified
Handguns; Roster of
Certified Handgun Listing
Renewal Procedures 38
Fees for the Roster of
Certified Handguns 38
Dangerous Weapons 38
General Provisions 38
Definitions 39
Licenses and Permits 39
Documentation of Necessity 39
Investigations 40
Security 40
Title Table of Contents
Page
Application Forms,
Processing Time, Reporting
Requirements, Renewals,
Fees, Denials, Revocations 40
Appeal Process 40
Department of Justice
Regulations for Certified
Firearms Safety Device
Laboratories, Firearms Safety
Device Standards and Testing,
and Standards for Gun Safes 41
General: Title; Scope;
Extensions for Compliance 41
Definition of Key Terms 41
Certified FSD Laboratories 41
Operational Requirements,
Firearms Safety Device
Standards, Gun Safe
Standards, Proof of
Purchase or Ownership of a
Gun Safe, Affixation of
Required Warning 42
DOJ Suspension or Revocation
of FSD Laboratory
Certification 44
FSD Laboratory Certification
Renewal; FSD Laboratory
Certification After
Expiration 45
Service of Notices, Orders,
and Communications 45
Roster of Approved Firearms
Safety Devices, Appeal
Process 45
Department of Justice Emergency
Regulations for the SKS Sporter
Buy-Back Program 45
Department of Justice
Regulations for Assault Weapons
and Large Capacity Magazines 45
General 45
Definitions of Terms Used to
Identify Assault Weapons 45
Assault Weapon Registration 46
Large Capacity Magazine
Permits 46
•
Ailicle 3.
•
Article 4.
Article 5.
Article 6.
Article 7.
Article 8.
Article 9.
Article 10.
Chapter 12.5.
Article 1.
Article 2.
Article 3.
Article 3.5.
Article 4.
Article 5.
Article 6.
Article 7.
Chapter 12.6.
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Article 6.
Article 7.
Article 8.
Chapter 12.7.
Chapter 12.8.
Article 1.
Article 2.
Article 3.
Article 4.
Page iii
(7 -IS 2008)
Title Table of Contents BARCLAYS CALIFORNIA
Page
Chapter 12.9. Assault Weapons Identification 46
Chapter 13. Department of Justice
Regulations on Non-Dealer Sales
or Transfers of Firearms
Through Licensees or Dealers
and Issuance of Certificates of
Eligibility Pursuant to Penal
Code Sections 12070. 12071,
12071.1, and 12082 47
Article 1 . General 47
Article 2. Definitions 47
Article 3. Transfers 47
Article 4. Certificate of Eligibility 47
Chapter 13.4. Department of Justice
Regulations for the Centralized
List of Firearms Dealers 48
Article 1. Title, Scope, and
Definitions 48
Article 2. Centralized List
Applications, Fees, and
Placement Terms 48
Article 3. Compliance Inspections 48
Article 4. Removal from Centralized
List 48
Chapter 13.5. Department of Justice
Regulations for the Check
Cashers Permit Program 48
Article 1 . Title, Scope and
Definitions 48
Article 2. Application for Permits and
Renewals 48.1
Article 3. Permits 48.2
Article 4. Denial, Revocation, and
Appeal Process 48.2
Chapter 13.6. Department of Justice
Regulations for the
Certification of Non-Exempted
Individuals Who Take
Fingerprint Impressions 48.4
Article 1. General 48.4
Article 2. Qualifications and
Application for
Certification 48.4
Article 3. Certification Letter 48.4(a)
Article 4. Processing Times and
Appeals 48.4(a)
CODE OF REGULATIONS Title 11
Page
Article 5. Procedures for Denial of an
Application, and Suspension
or Revocation of an
Existing Certification 48.4(b)
Chapter 13.7. Regulations for Olympic Pistol
Exemptions 48.4(b)
Chapter 13.8. Evidence of Residency
Documentation 48.4(c)
Chapter 1 4. Forensic Alcohol and Drug
Analysis 48.4(c)
Chapter 15. Attorney General Regulations
Under Nonprofit Corporation
Law 48.4(c)
Chapter 16. Attorney General Regulations
Under Master Settlement
Agreement with Tobacco Product
Manufacturers and Non-
Participating Tobacco Product
Manufacturer Law (Health &
Safety Code Sections 104555-
104557) 48.10(a)
Chapter 17. Attorney General Regulations
Regarding Health Care Districts
Under Health and Safety Code
Sections 32121 and 32126 48.17
Chapter 18. Electronic Recording Delivery
System 48.17
Article 1. Scope 48.17
Article 2. Definitions 48.17
Article 3. Fees 48.19
Article 4. Fingerprinting and Criminal
Record Checks 48.19
Article 5. Baseline Requirements and
Technology Standards 48.20
Article 6. Electronic Recording
Delivery System
Certification 48.26
Article 7. Computer Security Auditor 48.29
Article 8. Vendor of Electronic
Recording Delivery System
Software 48.31
Article 9. Audits and Oversight 48.32
Division 2. Commission on Peace Officer
Standards and Training 49
Article 1 . General 49
Article 2. Commission on Peace Officer
Standards and Training —
Conflict of Interest Code 65
Page iv
{7-18-2008}
Title 11
Law
Page
Regulatory Procedures 65
Gambling Control 69
The Bureau of Gambling Control 69
Bureau of Gambling Control
Powers and Jurisdiction 69
Definitions 69
Administration 69
Licensure Qualifications and
Requirements 70
Operation of Gambling
Establishments 71
General Reporting 72
Games 72
Transitional Provisions 73
Proposition 65 Private
Enforcement 79
79
Certificates of Merit 84
Settlement Guidelines 85
Firearms Regulations 89
Firearms Division Fees 89
Department of Justice
Regulations for the Centralized
List of Firearms Dealers 89
Title, Scope, and
Definitions 89
Centralized List
Applications, Fees, and
Placement Terms 90
Compliance Inspections 91
Removal from Centralized
List 91
Department of Justice
Regulations on Non-Dealer Sales
or Transfers of Firearms
Through Licensees or Dealers
and Issuance of Certificates of
Eligibility Pursuant to Penal
Code Sections 12070, 12071,
12071.1, and 12082 92
General 92
Definitions 92
Title Table of Contents
Page
Transfers 92
Certificate of Eligibility 92
Evidence of Residency
Documentation 93
Department of Justice
Regulations for Laboratory
Certification and Handgun
Testing 94
General: Title; Scope;
Extensions for Compliance 94
Definition of Key Terms 94
DOJ-Certification: Who Must
Be DOJ-Certified;
Application for DOJ-
Certification; Pre-DOJ-
Certification Requirements;
Grounds for Denial; DOJ-
Certification Period;
Processing Times; Appeal
Process 95
Operational Requirements:
Absence of Conflict of
Interest; Security and
Safety Requirements;
Licensing/Minimum Standards
Compliance; Which Handguns
Must Be Tested, Who May
Submit Handguns, Submission
Requirements; Testing
Procedures; Test Reporting;
Required Records, Retention
Periods, Reporting Changes;
Off-Site Locations;
Inspections 97
Application Fees lOi
DOJ-Certification
Revocation lOl
DOJ-Certification Renewal:
DOJ-Certification Renewal
Procedures; DOJ-
Certification After
Expiration loi
Service of Notices, Orders,
and Communications IG2
Roster of Certified
Handguns; Roster of
Certified Handgun Listing
Renewal Procedures 102
Fees for the Roster of
Certified Handguns 102
Article 3.
Division 3.
Chapter 1 .
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Article 6.
Article 7.
Article 13.
Division 4.
Chapter 1.
Chapter 2.
Chapter 3.
Division 5.
Chapter 1.
Chapter 2.
Article 1.
Article 2.
Article 3.
Article 4.
Chapter 3.
Article 3.
Article 4.
Chapter 4.
Chapter 5.
Article 1.
Article 2.
Article 3.
Article 4.
Article 5.
Article 6.
Article 7.
Article 1.
Article 2.
Article 8.
Article 9.
Article 10.
Page V
(7 18 2008)
Title Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Page
hapter 6.
Department of Justice
Regulations for Certified
Firearms Safety Device
Laboratories, Firearms Safety
Device Standards and Testing,
Article 2.
Article 3.
Article 3.5
Article 4.
and Standards for Gun Safes
103
Article 5.
Article 1.
General: Title; Scope;
Extensions for Compliance
103
Article 6.
Article 2.
Definition of Key Terms
104
Article 3.
Certified FSD Laboratories
104
Article 4.
Operational Requirements,
Firearms Safety Device
Article 7.
Chapter 38.
Standards, Gun Safe
Standards, Proof of
Purchase or Ownership of a
Gun Safe, Affixation of
Required Warning
106
Chapter 39.
Article 5.
DOJ Suspension or Revocation
Article 1.
of FSD Laboratory
Article 2.
Certification
... 113
Article 6.
FSD Laboratory Certification
Article 3.
Renewal; FSD Laboratory
Article 4.
Certification After
Expiration
... 113
Article 7.
Service of Notices, Orders,
Chapter 40.
and Communications
... 113
Division 9.
Article 8.
Roster of Approved Firearms
Safety Devices, Appeal
Process
. .. 113
Chapter 2.
Chapter 7.
Dangerous Weapons
. .. 114
Chapter 3.
Article 1.
General Provisions
. .. 114
Chapter 7.
Page
Definitions 1 14
Licenses and Permits 114
Documentation of Necessity 117
Investigations 118
Security 118
Application Forms,
Processing Time, Reporting
Requirements, Renewals,
Fees, Denials, Revocations 119
Appeal Process 120
Regulations for Olympic Pistol
Exemptions
121
Department of Justice
Regulations for Assault Weapons
and Large Capacity Magazines 122
General 122
Definitions of Terms Used to
Identify Assault Weapons 122
Assault Weapon Registration 122
Large Capacity Magazine
Permits 123
Assault Weapons Identification 124
Commission on Peace Officer
Standards and Training 127
Feasibility Studies 127
Participation 127
Certificates 128
Page vi
(7-18-2008)
i&.
Barclays Official
California
Code of
Regulations
Title 11. Law
Division 1. Attorney General
Vol. 15
TMOIVISOIM
*
\AAEST
Barclays Official California Code of Regulations
425 Market Street • Fourth Floor • San Francisco, CA 94105
800-888-3600
Title 11
Attorney General
Table of Contents
Division 1. Attorney General
Table of Contents
Page
Page
Chapter 1 . Regulations Governing
Proceedings in the Nature of
Quo Warranto 1
§ 1 . Service and Filing of Application.
§ 2. Application for Leave to Sue;
Contents.
§ 3. Appearance of Proposed Defendant.
Statement of Facts.
§ 4. Reply of Relator.
§5. Proof of Service.
§ 6. Undertaking; Sureties; Issuance of
Leave to Sue.
§ 7. Complaint.
§ 8. Control by Attorney General.
§ 9. Notices to Attorney General.
§ 1 0. When Leave to Sue Issued Forthwith.
§ 11. Appeal.
Chapter 1 .5. Attorney General — Conflict of
Interest Code l
Chapter 2. Approved Surety Bond Forms 2
§ 25. The Forms Approved.
Chapter 3. Microfilming and Other
Photographic Reproductions 10.2
Article 1 . The Forms of Certification
Approved 10.2
§ 200. Form.
§ 201-204. Certification.
Article 2. Updatable Microfiche
Certification 10.2
§ 205-207. Microfiche Certification.
Chapter 4.1.
Regulations Adopted Pursuant to
the Statewide Registry of
Private Conservators and
Guardians 10.2(b)(1)
Chapter 4.
§300.
§301.
§ 302.
§ 303.
§304.
§305.
§306.
§307.
§308.
§309.
§310.
§311.
§312.
§312.1.
Regulations Adopted Pursuant to
the Supervision of Trustees and
Fundraisers for Charitable
Purposes Act 10.2
Initial Registration.
Periodic Written Reports.
Place of Filing.
Filing Forms.
Time of Filing Reports.
Annual Filing of Reports.
Contents of Reports.
Extended Reporting Period.
Registration and Notice Requirements
for Commercial Fundraisers for
Charitable Purposes, Fundraising
Counsel for Charitable Purposes, and
Commercial Coventurers.
No Activity Report.
Pubhc Inspection of Charitable Trust
Records.
Annual Registration Fee.
Use of Annual Registration Fee.
Board or Trustee Review of Executive
Compensation.
Article 1.
Title, Scope, and
Definitions 10
.2(b)(1)
§313.
Title and Scope.
§ 314.
Definitions.
Article 2.
Manner of Registration, Who
Must Register, Fee for
Registration 10
.2(b)(2)
§ 315.
Registration.
§316.
Place of Filing.
§ 317.
Registration Applications.
§318.
Time of Registration and Renewal
Registration.
§319.
Fee for Registration.
§320.
Registration Applications — Grounds
for Denial.
Article 3.
Contents of and Access to
the Statewide Registry;
Certificate of
Registration
10.2(c)
§321.
Statewide Registry.
§322.
Certificate of Registration.
§323.
Appointment of Private Conservators
and Guardians.
§324.
Access to Statewide Registry.
Article 4.
Penalties for False
Registration or
Misrepresentation
10.2(c)
§ 325.
Penalties for False Registration or
Misrepresentation.
Article 5.
Miscellaneous Provisions
10.2(c)
§326.
Requests by Attorney General.
§327.
Inquiries and Investigations.
Chapter 4.3.
Article 1.
Regulations Adopted Pursuant to
the California Uniform
Supervision of International
Student Exchange Visitor
Placement Organizations Act of
1994
General Provisions and
Definitions
§ 350.
§351.
§352.
§353.
§354.
§ 355.
§356.
§ 357.
Registration.
Place of Filing.
Public Records.
Registration Applications.
Registration Apphcations — Grounds
for Denial.
Time of Registration and Renewal.
Fees for Registration.
Definitions.
10.3
10.3
Page i
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Article 2.
§ 358.
§ 359.
§ 360.
§361,
S 362.
ij 363.
§364.
§ 365.
§ 366.
§ 367.
§ 368.
§ 369.
Article 3.
§ 370.
§371.
§ 372.
§ 373.
§ 374.
§ 375.
§376.
§ 377.
§ 378.
§ 379.
Article 4.
§ 380.
§381.
Article 5.
§ 382.
§ 383.
§ 384.
Chapter
4.5.
§401.
§402.
§403.
§404.
§ 405.
§406.
§407.
§408.
Page
International Student
Exchange Agency
Registration Standards 10.4
Selection of Student.
Orientation of Students and Host
Families.
Health and Accident Insurance.
Acceptance of Students.
Selection of Host Family.
Host Fainily Housing Requirements
for Students.
Change in Host Family Assignment.
Employment of Students.
Supervision by Organization.
Travel Responsibility of Organization.
Information to Be Provided.
Agency Records Requirements.
Conditions Applicable to
Registration 10.5
Appointment of a Responsible Oificer
and Responsible Officer Address.
Change of Responsible Officer and/or
Responsible Officer Address.
Resignation of Responsible Officer.
Duties of the Responsible Officer.
Individual Located in the State of
California.
Requirement to Register.
Transaction of Business or Conducting
Affairs.
Application for Registrafion.
Annual Renewal of Registrafion or
Late Registration.
Fees.
Termination and Revocation
of International Student
Exchange Organization's
Registrations 10.7
Terminafion.
Responsibilities of Organization upon
Termination.
Miscellaneous Provisions 10.7
Adherence to Reguladons.
Requests by Attorney General.
Inquiries and Investigations.
Regulations Adopted Pursuant to
the Uniform Management of
Institutional Funds Act 10.:
Reports Required of Institutions
Electing to Avail Themselves of the
Powers Granted Under The Uniform
Management of Institutional Funds
Act.
Place of Filing.
Reports to Be Filed on Forms
Prescribed by the Attorney General.
Time of Filing Reports.
Comparison Data to Be Filed Within
One Year of First Report.
Filing of Written Statement by
Institutions Electing Not to Avail
Themselves of the Powers Granted
Under the Provisions of The Uniform
Management of Institutional Funds
Act.
Confidentiality of Reports.
Duration.
Page
Chapter 4.6. Non-Profit Raffle Program
Regulations Chapter 9 of Part
1, Title 9, Penal Code (Section
320.5, Penal Code) ii
Article 1 . Title, Scope, and
Definitions 1 1
§410. Title and Scope.
§411. Definitions.
Article 2. Manner of Registration, Who
Must Register, Fee for
Registration 12
§415. Registration.
§416. Place of Filing.
§ 417. Time of Registration.
§ 41 8. Fee for Registration.
§ 419. Registration Applications — Time for
Processing.
§ 419.1. Appeal Process.
§ 419.2. Denial, Revocation or Suspension of
Registration.
§ 419.3. Appeal of Denial, Revocation or
Suspension.
§ 420. Reporting Requirements.
Article 3. Contents of and Access to
the Non-Proftt Raffle
Program 12.1
§ 42 1 . Non-Profit Raffle Program.
§ 422. Proof of Registration.
§ 423. Conduct of Raffles.
Article 4. Penalties for False
Registration or
Misrepresentation 12.2
§ 424. Penalties for False Registration or
Misrepresentation.
Article 5. Miscellaneous Provisions 12.2
§ 425. Requests by Attorney General.
§ 426. Inquiries and Investigations.
Chapter 4.7. Regulations for the California
Gang, Crime, and Violence
Prevention Partnership Program 12.2
Article 1 . General Provisions 12.2
§ 435. Tide.
§ 436. Purpose and Scope.
§ 437. Definitions.
Article 2. Applicant Requirements 12.3
§ 438. EUgible Applicants.
§ 439. Request for Proposal.
§ 440. At-Risk Target Population.
§441. Services and Activities.
§ 442. Evaluation.
Article 3. Selection Process 12.5
§ 443. Applicant Proposal Review.
§ 444. Rating Criteria.
§ 445. Rating Sheets.
§ 446. Site Visit to Finalists.
§ 447. Notice of Intent to Fund.
§ 448. Protest Process.
§449. Notice of Award.
§ 450. Grant Award Agreement.
Appendix A 12.7
Article 4. Funding 12.13
§ 45 1 . Funding Duration.
§ 452. Available Funds.
§ 453. Grant Match.
Article 5. Use of Funds 12.13
Page ii
(7-18-2008)
Title 11
Attorney General
Table of Contents
Page
Page
§ 454.
Personnel Expenses.
§ 455.
Operating Expenses.
§ 456.
Equipment Costs.
§ 457.
Evaluation Costs.
§ 458.
Indirect Costs.
§459.
Travel and Per Diem Costs.
§460.
Project Income.
§461.
MOU/OA.
§462.
Audit.
§ 463.
Prohibited Use of Funding.
rticlc 6.
Project Administration
§464.
Compliance Requirements.
§ 465.
Mandatory Training/Meetings.
§466.
Bonding Requirements.
§467.
Credits and Disclaimers.
§468.
Evaluation.
§469.
Key Personnel.
§470.
Conflicts of Interests.
§471.
Advances.
§472.
Invoicing.
§473.
Project Income Reports.
§474.
Encumbrances.
§ 475.
Biannual Fiscal Reports.
§476.
Budget and Project Modifications.
§477.
Progress Reports.
§478.
Evaluation Reporting.
§479.
Project Monitoring.
§480.
Technical Assistance.
§481.
Annual Grant Renewal Process.
§482.
Retention of Records.
§ 483.
Withholding of Funds/Termination.
§484.
Final Grant Closeout.
§485.
New Four- Year Funding Cycle.
12.15
Chapter 5.
Regulations Governing Health
Care Service Plans
12.20
Article 1.
General Provisions
12.20
§ 500.
Authority.
§501.
Communications.
§502.
Definitions.
§503.
Change of Name.
§ 504.
Place of Business.
§505.
Personnel.
§506.
Termination of Benefits.
§507.
Termination of Business.
§ 508.
Change in Organizational Document.
Article 2.
Registration
12.21
§ 515.
Forms for Registration.
§516.
How to Register.
§517.
Term of Registration.
§518.
Annual Registration Date.
Article 3.
Contracts
12.21
§520.
Contract Requirements.
§521.
Deceptive Membership Contracts.
§ 522.
Submission of Contracts.
§523.
Amended or Cancelled Contracts.
§524.
Interpretation of Contracts.
§525.
Issuing Membership Contract.
§526.
Format and Typography.
§527.
Specific Contract Provisions.
§528.
Explanation of Terms.
§529.
Limitations, Exclusions, Exceptions
and Reductions.
§530.
Cancellafion.
§531.
Reinstated Contracts.
§ 532.
Cost of Membership.
§ 533.
Change in Benefits.
§ 534.
Source of Benefits.
§ 535.
Notice of Claim.
§ 536.
Notice by Provider.
§ 537.
Notice to Members of a Group.
Article 4.
Evidence of Coverage 13
§ 540.
Preparation.
§541.
Format and Typography.
§ 542.
Contents and Typography.
§ 543.
Fair Disclosure.
§ 544.
Submission Prior to Use.
§ 545.
Use of Existing Material.
Article 5.
Standard Supplemental
Disclosure Form 14
§ 550.
Preparation and Dis.semination.
§551.
Format and Typography,
§552.
Contents and Typography.
§ 553.
Summary Only.
§ 554.
No Additional Information.
§ 555.
Submission Prior to Use.
Article 6.
Books and Records 15
§ 560.
Period of Retention and Location.
§561.
Required Information.
§ 562.
Financial Statements.
§563.
Time of Submission.
§ 564.
Affidavit.
§ 565.
Report on Subscribers.
§ 566.
Change of Financial Condition.
§567.
Audit Standards.
§568.
Report and Opinion of Auditor.
§ 569.
Contents of Financial Statements.
§ 570.
Claims Outstanding.
§571.
Guarantees of Obligations.
§ 572.
Effect of Guarantee on Tangible Net
Equity.
§573.
Fiscal Year.
§574.
Additional Financial Information.
§575.
Closing Statement.
§576.
Subordinated Obhgations.
§577.
Excessive Administrative Costs.
§578.
Notice of Increase in Required
Tangible Net Equity.
Article 7.
Subscribers' Advertising and
Solicitations 16
§580.
Effective Date.
§581.
Compliance.
§582.
Use of Name.
§583.
Deceptive Names and Descriptive
Terms.
§584.
Disapproval of Advertising and
Solicitations.
§ 585.
Approval of Plan.
§586.
Particular Words and Phrases.
§587.
Comparative Advertising.
§588.
Special Enrollment Period.
§ 589.
Commencement of Benefits.
§590.
Multiple Contract Benefits.
§591.
Limitations, Exclusions, Exceptions
and Reductions.
§592.
Preexisting Condidons.
§593.
Testimonials.
Chapter 6.
Gaming Registration 17
Article 1.
Gaming Registration 17
§600.
Definitions.
§601.
Registration; Application.
§602.
Annual Renewal of Registration.
§603.
Furnishing of Additional Information.
§604.
Registration; Proof Thereof.
Chapter 6.5.
Records and Reports of Monetary
Instrument Transaction 18
Article 1.
Reporting Requirements 18
§ 650.
Compliance with Penal Code Sections
§651.
14126(a) and (b).
Fihng Requirements. (Reserved)
Page iii
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Page
Chapter 7.
Criminal Offender Record
Information Security 18
Article 1.
Mandatory Securing of
Criminal Offender Record
Information 18
§700.
Scope.
§701.
Definitions.
§702.
Compliance with State Regulations.
§ 703.
Release of Criminal Offender Record
Information.
§704.
Juvenile Records.
§ 705.
Review of Criminal Offender Record
Information.
§706.
Protection of Criminal Offender
Record Information.
§707.
Automated Systems.
§708.
Destruction of Criminal Offender
Record Information.
§709.
Reproduction of Criminal Offender
Record Information.
§710.
Training.
Article 2.
Suppression of Incomplete
Criminal History
Information 19
§720
Title and Scope.
§721
Definition of Key Terms.
§722
Process to Obtain Complete Criminal
History Information.
§723
Suppression of Incomplete Criminal
History Information.
§724
Audit Trail.
Chapter 8.
Controlled Substances 20
Article 1.
Controlled Chemical
Substance Permitting 20
§800
Definitions.
§801
Controlled Chemical Substance Permit
Issuance; Application: Fees.
§802
Annual Renewal; Permit Issuance.
§803
Permittee Information Changes.
§804
Permit Denial, Suspension or
Revocation.
§805
Permit Holder Responsibility.
§806
Permit Denial, Suspension or
Revocation Hearings.
§807
Processing Time.
§808
Permit Registration; Proof Thereof.
Page
§ 905. DOJ Procedures for Notification
When ACAS Shows Information
Relevant to a Newly Received Report.
§ 906. DOJ Procedures for Processing
Reports Submitted by Agencies with
Different Investigative
Determinations.
§ 907. ACAS Information Released in
Response to Inquiries.
§ 908. Procedure for Confirmation of ACAS
Information for Purposes of Peace
Officer Employment, TrustLine
Registry, Cfiild Care Licensing or
Employment, Adoption or Placement
of Children, and for When a Private
Citizen Inquires About His/Her Own
Record.
§ 909. Notificafion in Response to Inquiries
to ACAS Pertaining to Peace Officer
Employment, TrustLine Registry,
Child Care Licensing and
Employment, Adoptions and
Placement of Children.
§ 910. Audit Trail of Information Released
from ACAS.
§911. Processing of Record Sealing Orders.
Article 2. Report of Sexual Assault 22.7
§ 920. Scope.
§ 921 . Glossary of Terms.
§ 923. Sexual Assault Reporting Form.
§ 925. Consent by Minor.
§ 927. Preparafion and Delivery by Reporting
Physician.
Article 3. Guidelines for Investigation
of Child Abuse in Out-of-
Home Care Facilities 24
Article 2.
§810.
§810.1.
§ 810.2.
§810.3.
§ 810.4.
§810.5.
§ 810.6.
§ 810.7.
Chapter 9.
Article 1.
§900.
§901.
§902.
§903.
§904.
Controlled Chemical
Substance Program
Citations 22
Citations.
Citation Format.
Order of Abatement.
Administrative Fine.
Administrative Fine Assessment.
Citation Service.
Contest of Citations.
Failure to Comply with Citation
Order.
Report of Child Abuse 22.1
Report of Child Abuse 22.1
Scope.
Definitions.
Purpose of ACAS.
Standard Reporting Form for Reports
of Child Abuse Maintained in ACAS.
DOJ Review and Verification of
Submitted Summary Reports.
§930.
Scope.
§930.1.
Purpose.
§ 930.2.
Use of Guidelines.
§ 930.3.
Definitions.
§ 930.4.
Reporting Abuse in Group Homes or
Institutions.
§ 930.5.
Assessing the Nature and Seriousness
of the Suspected Child Abuse.
§ 930.6.
Standard Procedure.
§ 930.7.
Assessment of Abuse and Standard
Procedures for Voluntary
Inter-Agency Investigation Teams.
§ 930.8.
Enforcement of Guidelines.
§930.10.
Purpose.
§ 930.20.
Use of Guidelines.
§ 930.30.
Definitions.
Reporting and Cross-Reporting Duties
and Notification and Follow-Up
Reporting Responsibilities in
Out-of-Home Care Facilities 25
§ 930.40. Reporting and Cross-Reporting Duties
for General Neglect.
§ 930.41. Reporting and Cross-Reporting Duties
for Serious Child Abuse.
§ 930.42. Notification Requirements.
§ 930.43. Follow-Up Reporting Requirements.
§ 930.44. Unfounded Reports.
Duties and Responsibilities 26
§ 930.50. Share Informafion.
§ 930.51. Law Enforcement.
§ 930.52. Child Welfare Agency.
§ 930.53. Licensing Agency.
§ 930.54. Conflict of Interests.
Investigative Procedures 28
§ 930.60. Preliminary Investigafion.
§930.61. Folio w-Up Investigation.
§ 930.62. Final Report.
Page iv
(7-18-2008)
Title 11
Attorney General
Table of Contents
§ 930.70.
Chapter 10.
Article 1.
§931.
Article 2.
§ 932.
§ 932.3.
§ 932.5.
§ 932.7.
§ 932.9.
§932.11.
§932.13.
§932.15.
Article 3.
§ 933.
§ 933.3.
§933.5.
Article 4.
§ 934.
§ 934.3.
§ 934.5.
Article 5.
§ 935.
Chapter 11.
Article 1.
§941.
§942.
§943.
§944.
§945.
§946.
§947.
§948.
§949.
§950.
§ 951.
§ 952.
§953.
§ 954.
§955.
§956.
§ 957.
Chapter 12.
Article 1.
§961.
§961.1.
§961.2.
Article 2.
§962.
§962.1.
Article 3.
§963.
§963.1.
§ 963.2.
Page
Enforcement of Guidelines.
In-Home Child Care Provider
Registry 28.3
Definitions 28.3
Definitions.
Application 28.3
Who May Apply.
Application Information.
Notification.
Absence of Disqualifying
Information.
Presence of Disqualifying
Information.
Disqualifying Convictions.
Pending Criminal Charges.
Prior Denial; Cessation of Review.
Appeal Process 28.4
Exemption.
Evidence of Rehabilitation.
Hearing.
Removal from In-Home Child
Care Provider Registry 28.5
Revocation of Registration.
Temporary Removal from In-Home
Child Care Provider Registry.
Prior Revocation; Cessation of
Review.
Access to In-Home Child Care
Provider Registry 28.5
Registry Access.
Police Body Armor 28.5
Certification of Bulletproof
Vests 28.5
Scope.
Definitions.
Abbreviations.
Type of Armor Certified.
Test Sequence.
Testing Equipment and Supplies.
Preparation for Tests.
Test Procedure.
Pretest.
Test A (Hardback Test).
Dry Armor Ballistic Tests.
Wet Armor Ballistic Tests.
Performance Requirements for
Ballistic Tests.
Quality Control Program
Requirements.
Test Samples.
Submission of Test Samples.
References-Publications .
Tear Gas Weapons and Training
Institutions 32
General Provisions 32
Title.
Validity.
Scope.
Definitions 32
General.
Definitions.
Sales Licenses 32
General.
Misuse of License.
License Duration.
§ 963.3.
§ 963.4.
§ 963.5.
§ 963.6.
§ 963.7.
§ 963.8.
§ 963.9.
§963.10.
Article 4.
§964.
§964.1.
§ 964.2.
§ 964.3.
§ 964.4.
§ 964.5.
§ 964.6.
§ 964.7.
§ 964.8.
Article 5.
§ 965.
§965.1.
§ 965.2.
§ 965.3.
§ 965.4.
§ 965.5.
§ 965.6.
§ 965.7.
Article 6.
§966.
§966.1.
§ 966.2.
Chapter 12.3.
Article 1.
§967.
§ 967.05.
Article 2.
§ 967.10.
Article 3.
§ 967.15.
§ 967.20.
§ 967.25.
§ 967.30.
§ 967.35.
§ 967.40.
Article 4.
§ 967.45.
§ 967.50.
Article 5.
§ 967.55.
§ 967.60.
Article 6.
§ 967.65.
§ 967.70,
§ 967.75,
Page
Renewal.
Penalty.
Expired License.
Duplicate License.
License Categories.
Cause for Revocation.
Applications.
Cause for Denial.
Certification and Approval 33
General.
Purpose and Scope.
Technical Standards.
Permissible Agents.
Weapon Limitations.
Labeling Requirements.
Application for Certification.
Pre-Certification Possession.
Record Keeping.
Approval of Tear Gas
Training Institutions 33
General.
Scope.
Eligibility for Approval.
Standards for Approval.
Applicafion for Approval.
Rescission of Approval.
Training Course Standards.
Collecfion of Fee.
Violation of Regulations 34
Violadon of Regulations.
Training Use of Tear Gas Weapons.
Disposal of Self-Defense Tear Gas
Weapons.
Department of Justice
Regulations for the Basic
Firearms Safety Certificate
Program 34
General 34
Title.
Scope.
Definitions 34
Definition of Key Terms.
Requirements,
Qualifications, and
Revocation and Denial 34
BFSC Applicant - Lost, Stolen,
Destroyed, and Replacement BFSC.
Firearms Dealer.
DOJ Certified Instructor.
DOJ Course Provider.
DOJ BFSC Employee Proxy.
Revocation and Denial of
Certification.
BFSC Test/Course
Requirements 35
DOJ Objective Test/DOJ Video
Course.
DOJ Certified Course.
Security and Record Keeping
Requirements 35
Security.
Record Keeping.
Fees, Refunds, Replacements,
and Processing Time 35
Fees.
Refunds.
Replacements.
Page V
(7-18-2008)
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
§ 967.80.
§ 967.85.
Chapter 12.4.
Article 1.
§968.10.
§968.11.
§968.12.
Article 2.
§ 968.20.
Article 3.
§ 968.30.
§968.31.
§ 968.32.
§ 968.33.
§ 968.34.
§ 968.35.
§ 968.36.
Article 4.
§ 968.40,
§968.41,
§ 968.42,
§ 968.43
§ 968.44.
§ 968.45.
§ 968.46.
§ 968.47,
§ 968.48.
Article 5.
§ 968.50.
Article 6.
§ 968.60,
Page
Application Processing Time.
DOJ Certified Course Processing
Time.
Department of Justice
Regulations for Laboratory
Certification and Handgun
Testing 35
General: Title; Scope;
Extensions for Compliance 35
Title.
Scope.
Extensions for Compliance.
Definition of Key Terms 35
Definition of Key Terms.
DOJ-Certification: Who Must
Be DOJ-Certified;
Application for DOJ-
Certification; Pre-DOJ-
Certification Requirements;
Grounds for Denial; DOJ-
Certification Period;
Processing Times; Appeal
Process 36
Who Must Be DOJ-Certified.
Application for DOJ-Certification.
Pre-DOJ-Certification Requirements.
Grounds for Denial.
DOJ-Certification Period.
Processing Times.
Appeal Process
Operational Requirements:
Absence of Conflict of
Interest; Security and
Safety Requirements;
Licensing/Minimum Standards
Compliance; Which Handguns
Must Be Tested, Who May
Submit Handguns, Submission
Requirements; Testing
Procedures; Test Reporting;
Required Records, Retention
Periods, Reporting Changes;
Off-Site Locations;
Inspections 36
Absence of Conflict of Interest.
Security and Safety.
Licensing/Minimum Standards
Compliance.
Which Handguns Must Be Tested,
Who May Submit Handguns,
Submission Requirements.
Testing Procedures.
Test Reporting.
Required Records, Retention Periods,
Reporting Changes.
Off-Site Location.
Inspecfions.
Application Fees 37
Application Fees.
DOJ-Certification
Revocation 37
DOJ-Certification Revocation.
Article 7.
§ 968.70.
§968.71.
Article 8.
§ 968.80.
Article 9.
§ 968.90.
§968.91.
Article 10.
§ 968.95.
§ 968.97.
§ 968.99,
Chapter 12.5.
Article 1.
§970.
§970.1.
Article 2.
§971.
Article 3.
§972.
§972.1.
§ 972.2.
§ 972.3.
Article 3.5.
§ 972.4.
§ 972.5.
§ 972.6.
§ 972.7.
§ 972.8.
§ 972.9.
Article 4.
§ 973.
§973.1.
Article 5.
§974.
§974.1.
Article 6.
§ 975.
§975.1.
§ 975.2.
Page
DOJ-Certification Renewal:
DOJ-Certification Renewal
Procedures; DOJ-
Certification After
Expiration 38
DOJ-Certification Renewal
Procedures.
DOJ-Certification After Expiration.
Service of Notices, Orders,
and Communications 38
Service of Notices, Orders, and
Communications.
Roster of Certified
Handguns; Roster of
Certified Handgun Listing
Renewal Procedures 38
Roster of Certified Handguns.
Roster of Certified Handgun Listing
Renewal Procedures.
Fees for the Roster of
Certified Handguns 38
Fees for the Roster of Certified
Handguns.
Annual Retest of up to 5 Percent of
Certified Handgun Models.
Reinstatement of Handguns Removed
from the Roster of Certified
Handguns.
Dangerous Weapons 38
General Provisions 38
Title.
Scope.
Definitions 39
Definition of Key Terms.
Licenses and Permits 39
General.
Limited Term Permits/Licenses;
Conditions.
Record Keeping.
Disposition of Trade-in Machine
Guns.
Documentation of Necessity 39
Sales.
Training; Research & Development;
and/or Manufacturing.
Commercial Motion Picture,
Television Production, or Other
Commercial Entertainment Event.
Collection of Destructive Devices.
Repair and Maintenance.
Activities Sanctioned by
Mihtary — Assault Weapons.
Investigations 40
General.
Investigation of New Information.
Security 40
General Compliance.
Security Requirements.
Application Forms,
Processing Time, Reporting
Requirements, Renewals,
Fees, Denials, Revocations 40
Application Forms.
Processing Time.
Renewal of Permit/License.
Page vi
(7-18-2008)
Title 11
Attorney General
Table of Contents
Page
Article 7
§ 975.3.
Fees.
§ 975.4.
Denial of Application, Reasons,
Reconsideration.
§ 975.5.
Revocation and/or Denial of Renewal
of Permit/License, Reasons.
§ 975.6.
Waiting Period.
7.
Appeal Process
§976.
Notice of Revocation or Notice of
Denial of Renewal.
§976.1.
Administrative Hearing.
§ 976.2.
Time and Place of Administrative
Hearing.
§ 976.3.
Evidence Rules.
§ 976.4.
Proposed Decision.
Article 5.
§ 977.60.
40
Article 6.
§ 977.70.
§977.71.
Chapter 12.6.
Article 1.
§ 977.10.
§977.15.
Article 2.
§ 977.20.
Article 3.
§ 977.30.
§977.31.
§ 977.32.
§ 977.33.
§ 977.34.
§ 977.35.
§ 977.36.
Article 4.
§ 977.40.
§ 977.41.
§ 977.42.
§ 977.43.
§ 977.44.
§ 977.45.
§ 977.46.
§ 977.47.
§ 977.48.
§ 977.49.
§ 977.50.
§977.51.
§ 977.52.
§ 977.55.
Department of Justice
Regulations for Certified
Firearms Safety Device
Laboratories, Firearms Safety
Device Standards and Testing,
and Standards for Gun Safes 41
General: Title; Scope;
Extensions for Compliance 41
Title and Scope.
Extensions for Compliance.
Definition of Key Terms 41
Definition of Key Terms.
Certified FSD Laboratories 41
Who Must be a Certified FSD
Laboratory.
Application for Firearms Safety
Device Laboratory Certification.
Pre-Certification Requirements.
Grounds for Denial.
Certification Period for Certified FSD
Laboratories.
Processing Times.
Appeal Process.
Operational Requirements,
Firearms Safety Device
Standards, Gun Safe
Standards, Proof of
Purchase or Ownership of a
Gun Safe, Affixation of
Required Warning 42
Absence of Conflict of Interest.
Security and Safety.
Licensing/Minimum Standards
Compliance.
Firearms Safety Devices Testing and
Submission Requirements.
Firearms Safety Device Standards.
Testing Procedures.
Test Reporting.
Required Records, Retention Periods,
Reporting Changes.
Off-Site Location.
Inspections.
Gun Safe Standards.
Gun Safe — Proof of Ownership of an
Acceptable Gun Safe.
Lock Box — Proof of Ownership of
an Acceptable "Lock Box" Type
Firearms Safety Device.
Required Warning Notice —
Affixation to Firearms Sold Without
Accompanying Packaging.
Article 7.
§ 977.80.
Article 8.
§ 977.85.
§ 977.90.
Chapter 12.7.
Chapter 12.8.
Article 1.
§978.10.
Article 2.
§ 978.20.
Article 3.
§ 978.30.
§978.31.
§ 978.32.
§ 978.33.
Article 4.
§ 978.40.
§ 978.41.
§ 978.42.
§ 978.43.
§ 978.44.
Page
DOJ Suspension or Revocation
of FSD Laboratory
Certification 44
DO.I Suspension or Revocation of
FSD Laboratory Certification.
FSD Laboratory Certification
Renewal; FSD Laboratory
Certification After
Expiration 45
FSD Laboratory Certification Renewal
Procedures.
FSD Laboratory Certification After
Expiration.
Service of Notices, Orders,
and Communications
Service of Notices, Orders, and
Communications.
45
Roster of Approved Firearms
Safety Devices, Appeal
Process 45
Roster of Approved Firearms Safety
Devices.
Appeal Process for DOJ Exclusion of
a Firearms Safety Device Model from
the Roster of Approved Firearms
Safety Devices.
Department of Justice Emergency
Regulations for the SKS Sporter
Buy-Back Program 45
Department of Justice
Regulations for Assault Weapons
and Large Capacity Magazines 45
General 45
Title and Scope.
Definitions of Terms Used to
Identify Assault Weapons 45
Definitions.
Assault Weapon Registration 46
Requirements for Assault Weapon
Registrations Pursuant to Penal Code
Section 12285.
Fees.
Processing Times.
Voluntary Cancellations.
Large Capacity Magazine
Permits 46
Requirements for Large Capacity
Magazine Permits Pursuant to Penal
Code Section 12079.
Processing Times.
Term Length of Large Capacity
Magazine Permits.
Large Capacity Magazine Permit
Record Keeping.
Large Capacity Magazine Permit
Revocations.
Chapter 12.9. Assault Weapons Identification
§ 979.10. California Penal Code Section
12276(a)-(c) Assault Weapons List.
§ 979. 1 1 . California Penal Code Section
12276(e) Assault Weapons List.
46
Page vii
(7-18-2008)
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Chapter 13.
Article 1.
§980.
Article 2.
§981.
Article 3.
§982.
§982.1.
§ 982.2.
§ 982.3.
Article 4.
§983.
§983.1.
§ 983.2,
§984.
§984.1.
§985.
Chapter 13.4.
Article 1.
§986.
§986.1.
Article 2.
§987.
§987.1.
§ 987.2.
§ 987.3.
Article 3.
§988.
§9
Article 4.
§989.
Chapter 13.5.
.1.
Article 1.
§990.
§990.1.
§ 990.2.
Article 2.
Page
Department of Justice
Regulations on Non-Dealer Sales
or Transfers of Firearms
Through Licensees or Dealers
and Issuance of Certificates of
Eligibility Pursuant to Penal
Code Sections 12070, 12071.
12071.1, and 12082 47
General 47
Scope.
Definitions 47
Definition of Key Terms.
Transfers 47
Transfers of Concealable Firearms.
Criteria for Processing Section 12082
Transactions.
Dealer Fees.
Confidentiality of Records.
Certificate of Eligibility 47
Qualifications.
Application for Certificate of
Eligibility.
Processing Time.
Term of Certificate of Eligibility.
Fees.
Applicant Denial Review Process.
Department of Justice
Regulations for the Centralized
List of Firearms Dealers 48
Title, Scope, and
Definitions 48
Title and Scope.
Definition of Key Terms.
Centralized List
Applications, Fees, and
Placement Terms 48
Applicant Information.
Fees.
Processing Times.
Term of Centralized List Placement.
Compliance Inspections 48
Firearms Dealer Inspections.
Notification of Inspection Results and
Corrective Action.
Removal from Centralized
List 48
Removal from Centralized List.
Department of Justice
Regulations for the Check
Cashers Permit Program. .
Page
§991.3.
Fees; Nonrefundability.
§991.4.
Renewal of Permit.
§991.5.
Processing Time.
rticle 3.
Permits
§992.
Information Stated on Permit.
§992.1.
Posting or Safekeeping of Permit.
§ 992.2.
Duration of Permit.
§ 992.3.
Duplicate Permits.
§ 992.4.
Transaction of Business under Name,
Location, or Mobile Unit Not Named
in Permit.
§ 992.5.
Nontransferability of Permit.
§ 992.6.
Change of Business Location or
Mobile Unit; Notice to Department.
§ 992.7.
Notice of Termination.
§ 992.8.
Surrender of Permit.
rticle 4.
Denial, Revocation, and
Appeal Process
§993.
Denial of Application; Failure to
Respond; Opportunity to be Heard.
§993.1.
Revocation of Permit; Reasons.
§ 993.2.
Notice of Revocafion or Notice of
Denial of Renewal.
§ 993.3.
Reapplying After Denial or
Revocation of Permit.
§ 993.4.
Administrative Hearing.
§ 993.5.
Time and Place of Administrative
Hearing.
§ 993.6.
Evidence Rules.
§ 993.7.
Proposed Decision.
48.2
Chapter 13.6.
Department of Justice
Regulations for the
Certification of Non-Exempted
Individuals Who Take
Fingerprint Impressions
48
§991.
§991.1.
§991.2.
Title, Scope and
Definitions
Title.
Scope.
Definitions of Key Terms.
Application for Permits and
Renewals
General.
Initial Application.
Fingerprints Required.
48.1
Article I.
General
. . 48.4
§994.
Title.
§994.1.
Scope.
§ 994.2.
Definitions of Key Terms.
Article 2.
Qualifications and
Application for
Certification
. . 48.4
§ 994.3.
Qualifications for Certificadon.
§ 994.4.
Application for Certification.
§ 994.5.
Submission of Application,
Fingerprints and Fees.
Article 3.
Certification Letter
48 4(a)
§ 994.6.
Certificafion by the DOJ.
§ 994.7.
Duration of Certification.
§ 994.8.
Non-Transferability of Certification.
§ 994.9.
Duplicate Certification Letter.
Article 4.
Processing Times and
Appeals
48.4(a)
§ 994.10.
Processing Time.
§994.11.
Processing Time Appeal Process.
Article 5.
Procedures for Denial of an
Application, and Suspension
or Revocation of an
Existing Certification
48.4(b)
§ 994.12.
Denial, Revocafion or Suspension of
Existing Certification.
§994.13.
Administrafive Hearing.
§ 994.14.
Time and Place of Administrafive
Hearing.
§ 994.15.
Evidence Rules.
§ 994.16.
Proposed Decision.
Page viii
(7-18-2008)
Title 11
Attorney General
Table of Contents
•
Page
Page
Chapter 13.7.
Regulations for Olympic Pistol
§ 999.22.
Dufies and Defenses of California
Exemptions 48.4(b)
§ 999.23.
Distributors.
Applying for Relisting of Brand
§ 995.
Exemption of Olympic Pistols.
Families and Tobacco Product
Manufacturers.
Chapter 13.8.
Evidence of Residency
Documentation 48.4(c)
Chapter
17. Attorney General Regulations
Regarding Health Care Districts
§996.
Definitions and Requirements.
Under Health and Safety Code
Sections 32121 and 32126
48.17
Chapter 14.
Forensic Alcohol and Drug
Analysis 48.4(c)
§ 999.40.
Report of Transaction.
§997.
Collection and Disbursement of Fines.
Chapter
18. Electronic Recording Delivery
§998.
Laboratory Services and Method of
Svstem
48.17
Cost Assessment.
Article 1.
Scope
48.17
Chapter 15.
Attorney General Regulations
§999.100.
§999.101.
Scope.
ERDS Documentation.
Under Nonprofit Corporation
§999.102.
Severability.
Law 48.4(c)
Article 2.
Definitions
48.17
§999.1.
General Provisions and Definitions.
§ 999.108.
Definitions.
§ 999.2.
Public Benefit Corporations.
§ 999.3.
Mutual Benefit Corporations.
Article 3.
Fees
48.19
§ 999.4.
Religious Corporations.
§999.114.
Vendor of ERDS Software Fees.
§ 999.5.
Attorney General Review of Proposals
to Transfer Health Facilities Under
§999.115.
System Administration Fee.
Corporations Code Sections 5914 et
Article 4.
Fingerprinting and Criminal
seq. and 5920 et seq.
Charitable Entity Registration Refusal,
Revocation or Suspension.
§999.121.
Record Checks
48.19
§ 999.6.
Fingerprinting and Criminal Record
Checks.
Role-Based Fingerprinting
Requirement.
§ 999.7.
§ 999.8.
Review of Hearing Officer's Proposed
Decision.
Final Attorney General Decisions.
§ 999.122.
Article 5.
Baseline Requirements and
Chapter 16.
Attorney General Regulations
Technology Standards
48.20
Under Master Settlement
§ 999.128.
Basis for the Baseline Requirements
and Technology Standards.
Agreement with Tobacco Product
§999.129.
Standards and Guidelines.
Manufacturers and Non-
§999.130.
Instrument Type.
Participating Tobacco Product
§999.131.
§ 999.132.
Operating Procedures.
System Implementation.
Manufacturer Law (Health &
§ 999.133.
Payload Structure, Content and Usage.
Safety Code Sections 104555-
§ 999.134.
§ 999.135.
Uniform Index Information.
Electronic Signature of a Notary.
104557) 48.10(a)
§999.136.
Security Requirements for Data
§ 999.10.
Scope and Purpose, Definitions, and
Integrity.
Written Confirmation of Compliance
§999.137.
Security Requirements for Payload
with Reserve Fund Requirements by
Protection.
Non-Participating Tobacco Product
§ 999.138.
Security Requirements for Computer
Manufacturers.
Workstations.
§999.11.
Certificate of Compliance Form.
§ 999.139.
Security Requirements for Computer
§ 999.12.
Escrow Agreement for
Media.
Non-Participating Manufacturer.
§999.140.
ERDS Identification Security
§999.13.
Escrow Agreement Form.
Requirements.
§ 999.14.
Escrow Adjustments and Release
Requests.
§999.141.
ERDS Authentication Security
Requirements.
§ 999.15.
Notice of Decision on Requests for
Release.
§999.142.
ERDS Role-Based Security
Requirements.
§999.16.
Certifying for Listing on Directory of
§ 999.143.
ERDS Server Security Requirements.
Tobacco Product Manufacturers and
§ 999.144.
ERDS Security Requirements for
Brand Families.
Network Security.
§ 999.17.
Supplemental Certifications.
§999.145.
Physical Security.
§999.18.
Records Retention by Tobacco
Product Manufacturers and
§ 999.146.
Auditable Events, Incidents and
Reporting.
Availability for Review, Inspection
§999.147.
Proprietary Software.
and Copying.
§ 999.148.
Escrow Requirements.
§ 999.19.
Records Retention by Distributors and
Wholesalers and Availability for
§999.149.
Deposit of Software ModificaUon into
Escrow.
Review, Inspection, and Copying.
§ 999.150.
Letter of Deposit.
§ 999.20.
More Frequent Installment Escrow
§999.151.
Integrity of Materials.
Deposits for Certain
§ 999.152.
Retention and. Disposition of
Non-Participating Manufacturers.
Materials.
§999.21.
Notices of Appointment or
§ 999.153.
Access to Materials.
Termination of Agent for Service of
§ 999.154.
Escrow Agreement State
Process.
Non-Responsibility.
Page ix
(7 IX 2UnX)
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Page
Page
Article 6.
§ 999.163.
§ 999.166.
§ 999.167.
§ 999.168.
§ 999.169.
§999.170.
§999.171.
§999.172.
§999.173.
§999.174.
§ 999.175.
§ 999.176.
§ 999.177.
§ 999.178.
§999.179.
Article 7.
§999.190.
§999.191.
§999.192.
Electronic Recording
Delivery System
Certification
48.26
Establishing an ERDS.
Certification Application Procedure.
Substantive Modification(s).
Substantive Modification(s)
Application Procedure.
Non-Substantive Modification(s).
Non-Substantive Modirication(s)
Procedure.
Approval of Application.
Incomplete Application.
Denial of Application.
Change of County Recorder.
Change of Physical and/or Mailing
Address and/or Contact Information
for a County Recorder.
Addition or Deletion of Individuals
Assigned an ERDS Role that Requires
Fingerprinting.
Expiration of Certification.
Withdrawal of Certification.
Request for Replacement of
Certificate and/or Documents.
Computer Security Auditor
Computer Security Auditor
Application Procedure.
Approval of Application.
Incomplete Application.
48.29
§999.193.
Denial of Application.
§999.194.
Expiration of Approval.
§ 999.195.
Renewal of Approval.
§ 999.196.
Withdrawal of Approval.
§999.197.
Request for Repiacemenl of
Certificate and/or Documents.
Article 8.
Vendor of Electronic
Recording Delivery System
Software
§ 999.203.
Certification Application Procedure.
§ 999.204.
Fingerprinting of Vendor Employees
and/or Vendor Contract Employees.
§ 999.205.
Approval of Application.
§ 999.206.
Incomplete Application.
§ 999.207.
Denial of Application.
§ 999.208.
Expiration of Certification.
§ 999.209.
Renewal of Certification.
§999.210.
Withdrawal of Certification.
§999.211.
Request for Replacement of
Certificate and/or Documents.
Article 9.
Audits and Oversight
§ 999.217.
Security Audits.
§999.218.
Audit Report Format.
§999.219.
Local Inspection.
§ 999.220.
Incident Reporting.
§999.221.
Suspension and Termination of
Certification.
§ 999.222.
Notification.
§ 999.223.
Reconsideration.
48.31
48.32
•
Page
(7-18-2008)
Title 11
Attorney General
§11
TITLE 11. LAW
Division 1. Attorney General
Chapter 1. Regulations Governing
Proceedings in the Nature of Quo Warranto
§ 1. Service and Filing of Application.
Any person desiring "leave to sue" in the name of the people of the
State of California under any law requiring the prior permission therefor
of the Attorney General (which person is herein referred to as the relator),
shall serve his application (which shall include the papers referred to in
Section 2) upon the proposed defendant, and within five days after such
service shall file the same with the Attorney General.
NOTE: Authority cited for §§1 to 11, inclusive: Section 803 et seq. Code of Civil
Procedure. Issuing Agency. Attorney General.
§ 2. Application for Leave to Sue; Contents.
The relator shall submit to the Attorney General his application for
"leave to sue," which application shall consist of the following:
(a) Original verified complaint, together with one copy thereof, and a
verified statement of facts. The proposed complaint shall be prepared for
the signature of the Attorney General, a deputy attorney general and the
attorney for the relator, as attorneys for plaintiff.
(b) Points and authorities showing why the proposed proceeding
should be brought in the name of the people, and supporting the conten-
tion of relator that a public office or franchise is usurped, intruded into
or unlawfully held or exercised by the proposed defendant.
(c) A notice directed to the proposed defendant to the effect that relator
is about to apply to the Attorney General for "leave to sue" in the proceed-
ing therein named, and that the proposed defendant may, within the peri-
od provided in Section 3 hereof, show cause, if any he have, why "leave
to sue" should not be granted in accordance with the application therefor.
(d) Proof of service of such application, complaint, statement of facts,
points and authorities and notice upon the proposed defendant.
§ 3. Appearance of Proposed Defendant. Statement of
Facts.
The proposed defendant shall be allowed 1 5 days after service, within
which to appear and show cause in accordance with the provisions of
Section 2(c), if the notice be served within the county in which the pro-
ceeding is to be brought, and 20 days if served elsewhere. A shorter time
may and will be prescribed by the Attorney General in special cases or
upon a showing of good cause therefor. An extension of the period for
appearance herein limited may be granted by stipulation between the re-
lator and the proposed defendant if filed with the Attorney General, and
may be granted by the Attorney General upon a showing of good cause
therefor. Any statement of facts filed by the proposed defendant shall be
verified in like manner as the proposed complaint.
§ 4. Reply of Relator.
The relator shall then be allowed 10 days (or such further time as may
be granted by stipulation filed with the Attorney General, or upon a show-
ing of good cause therefor), in which to reply to the showing thus made
by the proposed defendant.
§ 5. Proof of Service.
Proof or admission of service must accompany all papers submitted to
the Attorney General under Sections 2, 3 and 4.
§ 6. Undertaking; Sureties; Issuance of Leave to Sue.
If the application for "leave to sue" be granted, the relator must, within
10 days after receiving notice of such action (unless further time be
granted), present to the Attorney General an undertaking executed to the
State of California in the sum of $500, to the effect that the relator will
pay any judgment for costs or damages that may be recovered against the
plaintiff, and all costs and expenses incurred in the prosecution of the pro-
ceeding in which such "leave to sue" is granted. The sureties upon the un-
dertaking shall be approved by the Attorney General.
Upon receipt and approval of said undertaking, the Attorney General
will transmit to the relator, in writing, "leave to sue" in the name of the
people, which "leave to sue" shall be filed with the clerk of the court si-
multaneously with the filing of the complaint.
§ 7. Complaint
The complaint filed in the proceeding shall be the proposed complaint
herein before referred to, changed or amended as the Attorney General
shall suggest or direct, and the relator shall not thereafter in any way
change, amend or alter the said complaint without the approval of the At-
torney General.
§ 8. Control by Attorney General.
The Attorney General may at all times, at any and every stage of the
said proceeding, withdraw, discontinue or dismiss the same, as to him
may seem fit and proper; or may, at his option, assume the management
of said proceeding at any stage thereof.
§ 9. Notices to Attorney General.
The relator must immediately inform the Attorney General of the date
of the filing of the complaint, and of the court number thereof, and shall
thereafter notify the Attorney General, without delay, of every proceed-
ing had, motion made, paper filed, or thing done in the proceeding, or in
relafion thereto, and must send to the Attorney General promptly a copy
of every paper or document filed by any of the parties to the proceeding,
including the judgment; and when service of any paper in said proceed-
ing is made on the relator by the opposing party the relator shall secure
an additional copy of such paper, which additional copy shall be at once
forwarded to the Attorney General.
§ 10. When Leave to Sue Issued Forthwith.
In special cases and upon a sufficient showing of urgent necessity,
"leave to sue" will issue forthwith upon the filing of showing and under-
taking required by Sections 2 and 6, upon condifion that the defendant
may thereafter show cause and that the right of the relator to maintain and
prosecute such proceeding shall be thereafter determined.
§11. Appeal.
In the event that the judgment of the trial court shall be adverse to the
relator, no appeal therefrom shall be taken without first securing the ap-
proval of the Attorney General.
Chapter 1.5.
Attorney General-
Interest Code
-Conflict of
NOTE: Pursuant to a regulation of the Fair Polifical Practices Com-
mission (Title 2, CCR, section 1 8750(k)(2)), an agency adopting a con-
flict of interest code has the options of requesting that the code either be
(1) printed in the CCR in its entirety or (2) incorporated by reference into
the CCR. Here, the adopting agency has requested incorporation by ref-
erence. However, the full text of the regulations is available to the public
for review or purchase at cost at the following locations:
DHPARTMENT OF JUSTICE
OFFICE OF THE ATTORNEY GENERAL
1300 -T" STREET
SACRAMENTO, CA 95814
FAIR POLITICAL PRACTICES COMMISSION
428 "J" STREET, SUITE 800
SACRAMENTO, CA 95814
ARCHIVES
SECRETARY OF STATE
1020 "0" STREET
SACRAMENTO, CA 95814
The conflict of interest code is designated as Chapter 1.5 of Division
1 of Tide 1 1 of the California Code of Regulations, and consists of sec-
tions numbered and tided as follows:
Pagel
Register 2007, No. 5; 2-2-2007
§20
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Chapter 1.5. Attorney General — Conflict of Interest Code
Section
20. Purpose
Appendix
NOTE: Authority cited: Sections 15000 and 87300, Government Code. Reference:
Section 87100. et seq.. Government Code.
History
1. Neu' Subchapter 13 (Sections 981-996) filed 1-1 1-78; effective thirtieth day
thereafter. Approved by Fair Political Practices Commission 1 0^-77 (Register
78. No. 2).
2. Amendment of Appendix filed 1-27-81; effective thirtieth day thereafter. Ap-
proved by Fair Pohtica! Practices Commission 1 1-3-80 (Register 81, No. 5).
3. Repealer of Subchapter 13 (Secfions 981-996, Exhibit A and Appendix) and
new Subchapter 13 (Section 981 and Appendix) filed 5-21-85; effective thir-
tieth day thereafter. Approved by Fair Political Practices Commission 12^^84
(Register85, No. 21).
4. Amendment of Appendix filed 4-8-87; effective thirtieth day thereafter. Ap-
proved by Fair Political Practices Commission 3-9-87 (Register 87, No. 15).
5. Editorial renumberins of former chapter 13 (section 981 ) to chapter 1 .5 (secdon
20) filed 4-20-90; operative 5-2-90 (Register 90, No. 14).
6. Amendment of Appendix filed 3-30-93; operative 4-29-93. Approved by Fair
Political Practices Commission 1-21-93 (Register 93, No. 14).
7. Amendment of Appendix filed 2-27-96; operative 3-1-96. Approved by Fair
Political Practices Commission 2-23-96 (Register 96, No. 8).
8. Amendment of Appendix filed 3-4-97; operaUve 3-4-97. Approved by Fair
Political Practices Commission 1-16-97 (Register 97, No. 10).
9. Amendment of section and Appendix filed 1-30-2001; operative 3-1-2001.
Approved by Fair Political Practices Commission 1-18-2001 (Register 2001,
No. 5).
10. Amendment of Appendix filed 2-19-2002; operative 3-1-2002. Approved by
Fair Political Practices Commission 12-6-2001 (Register 2002, No. 8).
1 1 . Amendment of Appendix filed 1-30-2007; operafive 3-1-2007. Approved by
Fair Political Practices Commission 1-2-2007 (Register 2007, No. 5).
Chapter 2. Approved Surety Bond Forms
NOTE: Significant renumbering and reorganization of surety bond
forms contained in Subchapter 2 occurred in Register 79, No. 14.
A cross reference table listing prior section numbers and disposition
of the forms follows. Unless otherwise noted, all bonds effective on thir-
tieth day after filing.
CROSS REFERENCE TABLE
Former
Section
Number
25
25.1(a)
25.1(b)
25.1(c)
26(a)
26(b)
26(c)
26(c-l)
26(d)
26(e)
26(e-l)
26(f)
26(f-l)
26(g)
26(g-l)
26(h)
26(i)
26(i-l)
26(j)
26(k)
26(k-l)
26(1)
26(m)
New
Section
Number
25
25.1
25.2
25.3
26.1
26.2
26.3
26.5
26.7
26.8
26.9
26.10
26.11
26.12
26.13
26.14
26.15
Date
Originally
Filed
11-15-45
4-3-79
4-3-79
4-3-79
11-15-45
11-15-45
11-15-45
8-9-73
11-15-45
11-15^5
8-9-73
11-15^5
8-9-73
11-15^5
8-9-73
11-15-45
9-5^7;
eff. 9-19-47
8-9-73
9-5-47;
eff. 9-19-47
11-15-45
8-9-73
11-15-45
3-29^6
Filing
Date(s) of
Amendment
4-3-79
4-3-79
4-3-79
4-3-79
12-9-63;
4-15-68
12-24-65;
4-15-68;
8-15-68
1-18-72
4-3-79
4-15-68;
8-15-68
12-24-65;
4-15-68;
8-15-68
4-3-79
12-11-63
4-3-79
4-15-68;
4-19-72
4-3-79
4-15-68
4-15-68;
8-15-68
4-3-79
4-15-68;
8-15-68
9-5-47;
4-15-68;
8-15-68;
9-17-68
4-3-79
12-12^7
Filing
Date of
Repeal
8-9-73
8-9-73
4-3-79
4-3-79
4-3-79
4-3-79
4-3-79
8-9-73
4-3-79
8-9-73
4-3-79
5-9-73
B-9-73
Former
New
Date
FiHng
Filing
Section
Section
Originally
Date(s) of
Date of
Number
Number
Filed
Amendment
Repeal
26(n)
26.16
8-24-50
—
4-3-79
26(n-l)
26.17
8-9-73
4-3-79
—
26(0)
—
5-6-55
—
8-9-73
26(o/r)
—
2-11-57
—
8-9-73
26(o/rr)
—
5-2V58
—
8-9-73
26(p)
—
1-3-57
—
8-9-73
26.5
—
5-26-58
—
8-9-73
26.9
—
10-24-66
—
8-9-73
27(a)
27.1
11-15-45
4-3-79
—
27(b)
27.2
11-15-45
4-3-79
—
27(c)
27.3
5-15-46
4-3-79
—
27(c-r)
27.4
10-31-69
4-3-79
27(d)
27.5
5-15^6
4-3-79
—
27(e)
27.6
5-15-46
4-3-79
—
28(a)
28.1
1-25-50;
eff. 1-25-50
4-3-79
—
29(a)
29.1
11-15-45
4-3-79
—
29(b)
29.2
11-15-45
—
4-3-79
29(c)
29.3
11-15-45
—
4-.3-79
29(d)
29.4
11-15-45
—
4-3-79
29(e)
29.5
11-15-45
—
4-3-79
29.1(a)
33.1
10-5-51;
eff. 10-5-51
10-12-73
11-21-75
4-3-79
29.1(b)
33.2
12-21-76
9-1-77
4-3-79
—
30(a)
30.1
11-27-68;
eff. 1-2-69
1-19-72
4-3-79
—
30(a-r)
30.2
5-26-69
—
4-3-79
30(a-rb)
30.3
5-26-69
—
^3-79
30(a-rc)
30.4
6-12-69;
eff. 6-12-69
4-3-79
—
30(b)
30.5
1 1-27-68;
eff. 1-2-69
3-31-71
1-19-72
4-3-79
30(c)
—
5-27-64
2-14-66
5-11-66
11-27-68
30(d)
—
3-28-67
—
1 1-27-68
30(e)
30.6
10-21-68
—
4-3-79
30(f)
30.7
2-2-72
—
4-3-79
30(g)
30.8
2-2-72
—
4-3-79
30(h)
30.9
2-2-72
—
^3-79
30(i)
30.10
2-2-72
—
4-3-79
30(j)
30.11
2-2-72
4-3-79
—
31(a)
31.1
1 1-15-45
8-31-55
4-3-79
11-25-81
31(b)
31.2
11-15-45
8-31-55
4-3-79
11-25-81
31(c)
31.3
11-15-45
4-3-79
11-25-81
31(d)
31.4
11-15-45
10-7-49
8-24-55
4-3-79
31(e)
31.5
11-15-45
8-31-55
4-3-79
31(f)
—
11-15-45
11-25^9
1-14-69
31(g)
31.7
7-12-47
8-28-51
4-17-62
11-18-63
1 1-8-73
4-3-7S
31(h)
31.8
7-12-47
8-28-51
9-11-59
4-3-7S
31(i)
—
5-27-60
2-4-64
^2-6f
2-20-74
31(i-l)
31.9
4-11-73
4-3-7C
) —
310-1)
31.10
4-17-62
—
4-3-79
310-2)
31.11
4-17-62
—
4-3-79
310-3)
31.12
4-17-62
—
^3-79
310-4)
31.13
4-17-62
—
4-3-79
31(k)
31.14
1-14-69
4-3-7'
) 11-25-81
31(1)
31.15
1-14-69
1-19-72
3-1-74
4-3-7'
)
3 Km)
31.16
1-14-69
4-3-7'
) —
31(n)
31.17
12-29-69
2-20-74
4-3-7^
11-25-81
)
31(0)
31.18
6-13-73
3-1 1-77
4-3-7^
; 11-25-81
31(p)
31.19
10-30-73
4-3-7?
) 11-25-81
31(q)
31.20
10-30-73
2-20-74
4-3-7'
; 11-25-81
31(r)
31.21
10-30-73
2-20-74
4-3-7<
; 11-25-81
31(s)
31.22
10-30-73
2-20-74
4-3-7<
; 11-25-81
Page 2
Register 2007, No. 5; 2-2-2007
Title 11
Attorney General
§20
Former
Section
Number
31(t)
31(u)
32(a)
34(a)
36(a)
36(b)
36(c)
36(d)
36(e)
36(f)
37(a)
37(b)
37(c)
37(d)
37(e)
37(f)
37(g)
38(a)
40(a)
40(b)
40(c)
40(c-l)
40(d)
40(e)
40(e-l)
40(f)
40(g)
40(h)
40(i)
40G)
40(k)
40(1)
40(m)
40(n)
40(0)
40(p)
42(a)
42(b)
42(c)
42(d)
43(a)
44(a)
44(b)
44(c)
44(d)
46(a)
46(b)
46(c)
46(d)
47(a)
47(b)
47(c)
47(d)
47(e)
48(a)
48(b)
New
Date
Section
Originally
Number
Filed
31.23
2-20-74
31.24
4-28-76
32.1
11-15-45
—
11-15^5
36.1
11-15^5
36.2
11-15-45
36.3
9-18-61
36.4
9-18-61
36.5
4-29-66
36.6
8-15-66
37.1
5-28-63
37.2
5-28-63
37.3
5-28-63
37.4
37.5
37.6
37.7
38.1
40.1
40.2
40.3
40.4
40.5
40.6
40.7
40.8
40.9
40.10
40.11
40.12
40.13
40.14
40.15
40.16
42.1
42.2
42.3
42.4
43.1
44.1
44.2
44.3
44.4
46.1
46.2
47.1
47.2
47.3
47.4
48.1
9-6-66
9-22-66
9-22-66
4-25-72
11-15-45
11-15-45
11-15^5
11-15-45
6-22-59
11-15-45
9-19-72
7-9-58
8-4-55
5-18-56
7-16-56
7-16-56
7-16-56
7-16-56
8-15-57
11-6-59
5-10-60
10-2-61
4-1-71
11-15-45
11-15-45
2-10-49
9-7-50
2-3-48
11-15-^5
11-15^5
11-15-45
8-5-48
11-15-45
2-2-55
10-25-55
6-20-56
11-15-45
11-15-45
1-17-57
8-11-58
6-18-59
11-15-45
11-15^5
Filing
Filing
Former
Date(s)of
Date of
Section
Amendment
Repeal
Number
4-3-79
—
48(c)
4-3-79
11-25-81
4-3-79
—
—
4-17-52
48(d)
—
4-3-79
—
4-3-79
48(e)
4-3-79
—
4-3-79
11-25-81
4-3-79
11-25-81
48(f)
—
4-3-79
48(g)
2-4-64;
—
4-25-72:
4-3-79
48(h)
4-25-72;
—
50(a)
4-3-79
2-4-64;
—
50(b)
7-7-67
4-25-72;
4-3-79
50(c)
4-25-72;
—
4-3-79
50(d)
4-3-79
—
4-3-79
—
50(e)
4-3-79
—
12-2-47
4-3-79
50(f)
2-15-55
10-25-55
12-22-47;
—
50(g)
7-26-74;
4-3-79
4-3-79
—
50(h)
1 1-6-69;
—
3-17-72;
4-3-79
50(i)
2-1.5-55
3-17-72
4-3-79
—
8-28-58;
4-3-79
50(j)
3-17-72
—
4-3-79
—
4-3-79
50(k)
—
4-3-79
4-3-79
—
50(1)
4-3-79
50(m)
7-26-74;
—
4-3-79
50(n)
4-3-79
4-3-79
—
4-3-79
50(0)
7-26-74;
—
4-3-79
7-26-74;
—
4-3-79
50(p)
—
4-3-79
—
4-3-79
50(q)
4-17-52;
4-3-79
7-24-52
12-7-65;
50(r)
12-23-65;
5-11-66;
2-1-71
—
4-3-79
50(s)
—
4-3-79
—
4-3-79
50(t)
3-7-52
4-3-79
50(u)
4-3-79
11-25-81
51(a)
—
4-3-79
4-4-52;
—
51(b)
8-28-69;
4-3-79
10-25-55;
4-3-79
51(c)
8-28-69
51(d)
—
8-28-69
—
8-28-69
51(e)
3-23-59
4-3-79
12-5-47
4-3-79
3-23-59
12-15-58
4-3-79
51(f)
—
4-3-79
1-20-60
1 1-27-67
51(g)
1-22-64;
—
5-17-66;
9-14-72;
51(g-l)
4-3-79
51(g-2)
New
Section
Number
48.2
Date
Originally
Filed
11-15-45
48.3
8-6-58
484
1-20-60
48.5
48.6
2-6-62
1 1-20-63
48.7
50.1
8-16-66
11-15-45
50.2
11-15-45
50.3
11-15-45
504
11-15-45
50.5
11-15-45
50.6
11-15-45
50.7
11-15-45
50.8
4-16-57
50.9
11-15-45
50.10
11-15-45
50.11
11-15-45
50.12
11-15-45
1-20-69
50.13
7-17-56
50.14
11-15-45
50.15
11-15-45
50.16
3-22-57
50.17
50.18
50.19
50.20
51.1
51.2
51.3
514
51.5
51.6
51.7
51.8
51.9
1 1-6-57
9-8-59
1-20-69
1-20-69
11-15-45
7-7-48
7-7-48
7-7-48
7-7-48
2-9^9
8-15-57
4-12-73
4-12-73
FiHng
Date(s) of
Amendment
11-21^5;
7-22-48;
4-3-79
3-27-59;
4-3-79
8-8-74;
1-3-79;
4-3-79
11-6-69;
8-8-74:
4-3-79
4-3-79
10-25-63
1-20-69
1-9-50
1-20-69
4-3-79
1-20-69;
4-.3-79
1-20-69;
4-3-79
1-20-69;
4-3-79
1-20-69;
4-3-79
8-29-52;
1-20-69;
4-3-79
1-20-69;
4-14-71;
4-3-79
9-21-59;
1-20-69;
4-3-79
9-21-59;
1-25-69;
4-3-79
1-20-69;
4-3-79
5-3-74;
4-3-79
1-20-69;
5-3-74;
4-3-79
4-29-66;
1-20-69;
5-3-74;
4-3-79
1-20-69;
4-3-79
6-23-59;
1-20-69;
4-3-79
1-31-66;
4-29-66;
1-20-69;
4-3-79
1-20-69;
4-3-79
4-3-79
4-3-79
12-22-59;
" 4^3-79
12-22-59;
2-5-79-
4-3-79
1 2-22-59
12-22-59;
4^3-79
12-22-59;
8-29-66;
12-21-76;
4-3-79
12-22-59;
~ 4^3-79
12-23-59;
6-2-60;
4-3-79
4-3-79
4-3-79
Filing
Date of
Repeal
4-3-79
11-25-81
4-.3-79
11-25-81
11-25-81
11-25-81
11-25-81
11-25-81
1-20-69
4-3-79
11-25-81
Page 3
Register 2008, No. 28; 7-11-2008
§25
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Former
Section
Number
51(g/r)
51(h)
51(i)
510)
54(a)
54(b)
55(a)
55(b)
56
56(a)
56(b)
57(a)
57(b)
57(c)
57(d)
57(e)
57(f)
57(g)
57(h)
57(i)
570)
57(k)
57(1)
57(m)
57(n)
57(o)
57(p)
57(q)
59(a)
59(b)
59(c)
59(d)
59(e)
59(f)
59(g)
59(h)
59(i)
590)
59(k)
61(a)
61(b)
61(b/r)
New
Section
Number
51.10
51.11
51.12
51.13
54.1
54.2
55.1
55.2
56.1
56.2
57.1
57.2
57.3
Date
Origin ally
" Filed
10-9-57
1 1-30-59
4-12-71
4-3-79
11-15-45
11-15^5
11-15-45
11-15-45
4-17-52
4-3-79
4-3-79
3-3-64;
eff 7-1-64
11-15^5
11-15-45
574
11-15-45
57.5
57.6
11-15^5
11-15-45
57.7
11-15^5
11-15-45
57.8
11-15-45
11-15^5
57.9
57.10
11-15^5
5-20^6
57.11
5-20-46
57.12
7-31-50
57.13
57.14
2-26-53
6-30-53
59.1
8-12-53
11-15^5
59.2
11-15^5
59.3
11-15-45
59.4
59.5
59.6
59.7
59.8
11-15-45
11-15-45
11-15-45
11-15^5
11-15-45
11-15^5
2-14-56
59.9
61.1
61.2
61.3
1-30-58
11-15-45
2-15-57
3-15-57
Filing
Date(s)of
Amendment
12-23-59;
6-2-60;
4-3-79
4-3-79
4-3-79
4-3-79
4-3-79
4-3-79
2-2-71;
10-12-73
4-3-79;
4-5-79
8-2-61;
4-3-79
5-15-46
11-4^7
11-21-47
11-9-51
1-21-59
2-1-71
9-14-72
2-9-79
4-3-79
12-21-47
2-1-71
9-14-72
4-3-79
4-3-79
11-21-47
1-21-59
2-9-79
4-3-79
4-3-79
11-4-47;
2-20-50;
11-9-51
4-3-72;
4-3-79
4-3-79
11^-47
1 1-9-51
4-7-52
2-1-71
9-14-72
4-3-79
4-17-52;
4-3-79
11-9-51
8-27-59
2-1-71
4-3-79
4-3-79
8-1-61;
4-3-79
9-15-52;
12-3-57;
4-3-79
9-15-52;
4-3-79
10-20-48
1-21-71
6-6-75
4-3-79
4-3-79
4-3-79
12-10-57
1-17-69
5-18-72
4-3-79
4-3-79
4-3-79
4-3-79
4-3-79
Filing
Date ot
Repeal
11-25-81
4-3-79
4-3-79
— 11-25-81
1-21-59
1-21-59
^-1-61
4-3-79
4-3-79
9-15-52
9-15-52
Former
Section
Number
61(c)
61(c/r)
61(d)
61(e)
61(e/r)
61(f)
61(g)
61(h)
63(a)
63(b)
63(c)
63(d)
63(e)
63(1)
63(g)
65(a)
65(b)
65(c)
65(d)
66(a)
66(b)
66(c)
68(a)
68(b)
68(c)
70
71(a)
71(b)
71(c)
71(d)
71(e)
72(a)
72.1(a)
73(a)
73(b)
74(a)
74(b)
74(c)
75(a)
75(b)
76(a)
76(a/r)
77(a)
77(b)
78(a)
78(b)
78(c)
78(d)
78(e)
78(f)
79(a)
79(b)
80(a)
81(a)
New
Section
Number
6L4
61.5
61.6
61.7
63.1
63.2
63.3
634
63.5
63.6
65.1
65.2
65.3
65.4
66.1
66.2
66.3
66.1
68.2
68.3
70.1
71.1
71.2
71.3
714
71.5
72.1
74.1
73.1
73.2
75.1
75.2
76.1
784
78.5
78.6
79.1
79.2
80.1
81.1
Date
Originally
Filed
9-14-59
6-24-60
9-14-59
9-14-59
6-24-60
11-18-63
6-2-65
1-17-75
11-15-45
9-18-53
6-17-74
12-26-75
12-26-75
3-1 1-77
1-3-79
11-15-45
11-15-45
11-15-45
8-12-66
11-15-45
5-22-47
5-22-47
11-15-45
11-15-45
11-15-45
10-1^9
12-29-55
11-20-63
4-3-79
4-3-79
4-3-79
2-14-57
8-9-62
8-13-57
8-13-57
10-14-57
10-14-57
10-14-57
5-12-59
11-22-63
6-6-60
76.2
6-6-60
77.1
11-14-63
77.2
78.1
1-22-64
1-22-64
78.2
78.3
10-18-68
10-18-68
2-1-71
2-1-71
3-17-72
11-27-67
3-31-71
4-3-72
7-26-74
Fihng
Date(s) of
Amendment
5-26-60;
8-1-61;
4-3-79
9-17-59;
5-26-60
4-3-79
6-6-75;
12-21-76;
4-3-79
4-3-79
4-3-79
4-3-79
4-3-79
4-3-79
1-22-64;
4-3-79
4-3-79
4-3-79
4-3-79
4-3-79
1-3-79;
4-3-79
6-18-56;
9-18-56;
4-3-79
4-3-79
12-10-57
9-25-61
6-2-65
8-13-65
10-31-69
2-2-71
9-25-61;
10-31-69
5-28-64;
4-3-79
4-3-79
9-3-69;
4-3-79
4-3-79
2-1-71;
9-21-72;
4-3-79
9-21-72;
4-3-79
4-3-79
4-3-79
4-3-79
11-20-73;
1-25-74;
4-3-79
4-3-79
4-3-79
Filing
Date of
Repeal
8-1-61
6-24-60
8-1-61
8-1-61
4-3-79
6-6-60
4-3-79
4-3-79
4-3-79
4-3-79
4-3-79
4-3-79
4-3-79
4-3-79
6-2-66
6-2-66
6-2-66
4-3-79
4-3-79
4-3-79
4-3-79
§ 25. The Forms Approved.
(a) Except as provided for in subsection (b) of this section, the form
of surety bonds approved by the Attorney General and required by the
respective statutes, rules and regulations shall be substantially as set forth
in this subchapter.
•
Page 4
Register 2008, No. 28; 7-11-2008
Title 11 Attorney General § 25
(b) Sections 26 through 81 of title 1 1 of the California Code of Regula- Note: It having been found, pursuant to Government Code section 1 1344. that
tions relate to the form of surety bonds approved by the Attorney General, the printing of the regulations constituting the surety bond forms is impractical and
,.,,/-. J,- J * J 1 {■ I. c these reeulations being of limited and particular application, these regulations arc
and include future adoptions, amendments and repealers of such forms. „^, p^^ushed in full in the California Code of Regulations. However^ the lollow-
These forms and subsequent revisions thereof are duly filed with the Sec- ing is a typical form:
retary of State and otherwise comply with administrative procedure.
•
Page 5 Register 2008, No. 28; 7-11-2008
§25 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 11
STATE OF CALIFORNIA
DEPARTMENT OF CONSUMER AFFAIRS
BUREAU OF PERSONNEL SERVICES
EMPLOYMENT AGENCY BOND
(Business and Professions Code section 9960)
BOND NO.
The premium on this bond is $ for the term .
KNOW ALL PERSONS BY THESE PRESENTS:
That we
(Full name of applicant, of all partners, or corporation)
doing business as
an Employment Agency whose address is
as PRINCIPAL, and
a corporation organized under the laws of_
and authorized to transact a general surety business in the State of California, as SURETY, are held and firmly
bound to the People of the State of California in the penal sum of three thousand dollars ($3,000), for which payment
we bind ourselves, our heirs, executors, administrators, successors and assigns jointly and severally, firmly by these
presents.
WHEREAS, the provisions of section 9960, Business and Professions Code, require that the Principal file or have
on file with the Bureau a bond in the sum of $3,000 and this bond is executed and tendered in accordance therewith.
NOW THEREFORE, the conditions of the foregoing obligation are that if the Principal complies with the provi-
sions of chapter 21, (commencing with section 9900), division 3 of the Business and Professions Code of the State
of California, and pays all sums due any individual or group of individuals when such Principal or its representative
or agent has received such sums, and pays all damages occasioned to any person by unlawful acts or omissions of
the Principal mentioned above, or of its agents or employees while acting within the scope of their employment, then
this obligation is to be void; otherwise it is to remain in full force and effect.
PROVIDED HOWEVER, this bond is issued subject to the following express conditions:
1 . This bond shall be deemed continuous in form and shall remain in full force and effect and shall run concurrently
with the license period for which the license is granted and each and every succeeding license period or periods for
which said Principal may be licensed, after which liability hereunder shall cease except as to any liability or indebted-
ness therefore incurred or accrued hereunder.
2. This bond is executed by the Surety to comply with the provisions of division 3, chapter 21, of the Business and
Professions Code and of chapter 2, title 14, part 2 of the Code of Civil Procedure and said bond shall be subject to
all the terms and provisions thereof.
3. The aggregate liability of the Surety hereunder on all claims whatsoever shall not exceed the penal sum of this
bond in any event.
4. This bond may be cancelled by the Surety in accordance with the provisions of sections 996.310 et seq. of the
Code of Civil Procedure.
Name of Surety
Address
I certify (or declare) under penalty of perjury, under the laws of the State of California that I have executed the
foregoing bond under an unrevoked power of attorney.
Executed in
on
Date
Signature of Attorney-in-Fact
Printed or Typed Name of Attorney-in-Fact
Page 6 Register 2008, No. 28; 7-11-2008
Title 11
Attorney General
§25
ED. NOTE: The "Employment Agency Bond" printed above is an ex-
ample only of a typical surety bond form. The appropriately titled bond
form, as set forth in section 25.1 et seq., shall be used at all times.
Copies of the surety bond forms are available from the Department,
Board, Bureau, Commission, or agency requiring the use of the forms.
The regulations are available to the public for review or purchase at
cost at the following location:
ARCHIVES
SliCRETARY OF STATE
1020 O STREET
SACRAMENTO, CALIFORNIA 95814
Approved surety bond forms are designated as subchapter 2 of chapter
1 of title 1 1 of the California Code of Regulations, and consist of articles
and sections titled and numbered as follows:
Preamble
Section
25. 1 . Certificate of Acknowledgment-Individual
25.2. Certificate of Acknowledgment-Partnership Signature
25.3. Certificate of Acknowledgment-Corporation and Surety
Section
26.2.
26.4.
26.7.
26.9.
26.11.
26.13.
26.15.
26.19.
Section
27.1.
27.3.
27.4.
27.5.
27.6.
Section
28.1.
28.2.
28.3.
28.4.
Article 1 . Department of Food and Agriculture
Farm Products Bond
Milk Handler's Bond
Processor's Bond
Weighmaster's Bond
Company Surety Bond
Bond for Cattle Slaughterer
Bond for Public Cattle Sales Yard
Agricultural Pest Control Business Licensees Bond
Article 2. Athletic Commission
Amateur Club Licensee's Payment Bond
Refund Bond
Endorsement Amending Refund Bond
Professional Club and Promoter's Bond
Amateur Club License Bond
Article 3. Attorney General
Undertaking on Leave to Sue
Telephonic Seller's Bond
Telephonic Seller's Premium Bond
Registry of Charitable Trusts Surety Bond Form
Article 4. Department of Savings and Loan
Section
29. 1 . Agent' s or Salesman' s Bond
Section
30.1.
30.4.
30.5.
30.11.
30.12.
30.13.
30.14.
Section
31.7.
31.8.
31.9.
31.10.
31.11.
Article 5. Contractor's State License Board
Contractor's Bond
Rider to Contractor's Bond
Bond of Qualifying Individual
Rider to Qualifying Individual's Bond
Individual Endorsement to Contractor's Bond
Individual Endorsement to Bond of Qualifying Individual
Blanket Performance and Payment Bond
Article 6. Department of Corporations
Bond of Escrow Licensee
Bond of Bill Payers and Proraters
Bond of Check Seller
Bond of Finance Lender and/or Broker
Bond of Residential Mortgage Lender and/or Servicer
Section
32.1.
31.15. Investment Adviser's Bond
31.16. Issuer's Bond
3 1 .23. Bond of Franchise Registrant
3 1 .24. Bond of Deferred Deposit Transaction Law Licensee
Article 7. State Board of Cosmetology
Cosmetological School Bond
Article 8. Cemetery Board
Section
33.1. Surety Bond of Cemetery Brokers
33.2. Fidelity Bond of Endowment Fund or Special Care Fund
Trustees
Article 9. State Department of Education
Section
36.3. Surety Bond of Salesmen and Employers of Salesmen of
Correspondence School Courses
Article 10. California Stale University and Colleges
Section
37.1. Bidder's Bond
37.2. Performance Bond
37.3. Payment Bond
37.4. Payment Bond as Supplemented by California Supplement to
Payment Bond
37.5. Bid Bond
37.6. Performance Bond
37.7. Bond to Release Money Withheld on Claims
Article 1 1. California Integrated Waste Management Board
Section
38.1. Performance Bond
38.2. Financial Guarantee Bond
38.3. Waste Tire Hauler Bond
Article 12. State Board of Equalization
Section
40.1 Bond of Seller
40.2. Bond of User of Fuel
40.3. Bond of Vendor of Fuel
40.4. Use Fuel Tax Bond
40.5. Bond of Aircraft Jet Fuel Dealer
40.6. Bond of Motor Vehicle Fuel Broker
40.7. Bond of Motor Vehicle Fuel Distributor
40.8. Motor Vehicle Fuel Tax Bond
40.9. Cigarette and Tobacco Products Tax Bond
40.10. Alcoholic Beverage Tax Bond
40. 11. Hazardous Substances Tax Bond
40. 1 2. Bond of Wholesaler of Fuel
40. 1 3. Bond of Diesel Fuel Exempt Bus Operator
40. 1 4. Bond of Diesel Fuel Supplier
40.1 5. Bond of Diesel Fuel Highway Vehicle Operator
40. 1 6. Bond of Diesel Fuel Interstate User
40. 1 7. Bond of User of Fuel
40. 1 8. Bond of Vendor of Fuel
Article 14. Bureau of Home Furnishings
Section
42. 1 . Dry Cleaning Plant Registrant' s Bond
Article 15. Department of Fish and Game
Section
44.1. Fish Net Bond
44.2 Surety Bond for Oil Spill Response and Damages
Article 16. Franchise Tax Board
Section
46. 1 . Bond of Corporation
Page?
Register 2008, No. 28; 7-11-2008
§25
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Article 17. Department of Forestry
Section
47. 1 . Performance Bond of Licensed Timber Operator
Article 21. Division of Oil, Gas, and Geothermal Resources
Section
48.3.
48.4.
48.6.
48.7.
Section
48.8.
48.9.
49.10.
49.11.
49.12.
49.13.
49.14.
49.15.
49.16.
49.17.
Section
50.5.
50.6.
50.7.
50.8.
50.10.
50.12.
50.13.
50.14.
50.15.
50.16.
50.17.
50.18.
50.19.
50.20.
50.21.
50.22.
50.23.
Section
51.1.
51.2.
51.5.
51.6.
51.7.
51.8.
51.9.
51.10.
51.12.
51.13.
51.14.
51.15.
51.16.
51.17.
51.18.
51.19.
51.20.
51.21.
51.22.
51.23.
51.24.
51.25
Article 18. Department of Industrial Relations
Bond of Logger or Sawmill Operator
Surety Bond of Talent Agency
Farm Labor Contractor Bond
Bond of Non-Resident Employer
Athlete Agency Bond
Garment Industry Bond
Garment Industry Appeal Bond
Self-Insurer's Bond
Surety Bond Increase Rider
Surety Bond Decrease Rider
Surety Bond Name Change Rider
Surety Bond Special Form Change Rider
Release of Surety Form
Car Wash Bond
Article 19. Department of Insurance
Bond of Attorney-in-Fact of Reciprocal or Interinsurance
Exchange
Employer's Bond for Certificate of Exemption
Workmen's Compensation Bond
Motor Club Bond
Instructions for Execution of Surety Bonds by Certain Holders
of or Applicants for a Certificate of Authority or Certificate of
Exemption
Bond of Insurance Broker
Bond of Special Lines' Surplus Line Broker
Bond of Surplus Line Broker
Bond of Bail Agent
Bond of Bail Permittee
Bond of Bail Solicitor
Bond of Life Insurance Analyst
Bond of Organizers of Fraternal Benefit Society
Instructions for Execution of Surety Bonds Required by the
Insurance Code of Applicants for or Holders of Certain
Licenses
Bond of Insurance Adjuster
Bond of Nonresident Surplus Line Broker
Bond of Cargo Shipper's Agent
Article 20. Department of Motor Vehicles
Foreign Vehicle Ownership Bond
Surety Bond of Vehicle Verifier
Records Purchase Bond
Motor Vehicle Bond
Surety Bond of Vehicle Dealer
Surety Bond of Vehicle Dealer
Blanket Endorsement of Surety Bonds of Vehicle Dealer on
File with Department of Motor Vehicles
Endorsement Extending Conditions of Surety Bond of
Vehicle Dealer
Undocumented Vessel Surety Bond
Surety Bond-Financial Responsibility
Surety Bond of Vehicle Remanufacturer
Surety Bond of Traffic Violator School (TVS) Owner
Information Services Commercial Requester Account Bond
Registration Service Surety Bond
California Motor Carrier Liability Surety Bond
Business Partner Automation Surety Bond
Salvage Industry Business Partner Surety Bond
IRP Industry Partner Surety Bond
Surety Bond of Motorcycle Dealer
Motor Vehicle Ownership Surety Bond
Lessor-Retailer Surety Bond
Driving School Owner or All-Terrain Vehicle Safety
Training Organization Principal Surety Bond
Section
54.1.
Section
54.2.
54.3.
Section
54.4.
54.5.
54.6.
54.7.
54.8.
54.9.
54.10.
Individual Oil and Gas Well Indemnity Bond and Individual
Oil and Gas Well Cash Bond Form
Blanket Oil and Gas Well Indemnity Bond and Blanket Oil
and Gas Well Cash Bond
Individual Geothermal Resources Well Indemnity Bond
Blanket Geothermal Resources Well Indemnity Bond
Individual Geothermal Resources Well Cash Bond
Blanket Geothermal Resources Well Cash Bond
Blanket Five Year Idle Well Indemnity Bond
Individual Five Year Idle Well Indemnity Bond
Blanket Five Year Idle Well Cash Bond
Individual Five Year Idle Well Cash Bond
Article 22. State Board of Pilot Commissioners
Section
55.1. Bond of Pilot
Article 23. Bureau of Collection and Investigative Services
Section
56.2. Collection Agency Bond
Section
57.1.
57.2.
57.3.
57.4.
57.5.
57.6.
57.7.
57.8.
57.9.
57.10.
57.11.
57.12.
57.13.
57.14.
57.15.
57.16.
57.17.
Section
59.1.
59.2.
59.3.
59.6.
59.7.
59.8.
59.9.
Section
61.1.
61.2.
61.3.
61.4.
61.5.
61.7.
61.8.
6L9.
Article 24. Department of Transportation
Bidder's Bond
Continuous Bidder's Bond for Relocation of Houses and
Right
of Way Clearance Contracts
Payment Bond
Surety Bond Form for Supplemental Bond to Accompany
Contract
Consent of Surety to Memorandum of Agreement
Performance Bond to Accompany Contract
Supplemental Performance Bond
State Highway Permit Bond
Bond to Guarantee Toll Charges
Surety Bond Form for Payment Bond to Accompany Contract
Performance Bond, Co-Surety Form
Surety Bond Form for Bond to Release Money Withheld on
Claims
Bidder's Bond, Co-Surety Form
Bidder's Bond for Right of Way Clearance and Aerial Survey
Contracts
Bond, State Highway Permit
Payment Bond of State Highway Encroachment Permittee
Performance Bond of State Highway Encroachment
Permittee
Article 25. Public Utilities Commission
Bond of Carriers by Motor Vehicle for Hire
Bond of Passenger Stage Corporation
Collect on Delivery Bond
Motor Transportation Broker's Bond-Individual Applicant
Motor Transportation Broker's Bond-Coapplicant's Form
Surety Company Bond
Surety Bond Form for Cargo Protection by Household Goods
Carriers
Article 26. Department of Real Estate
Mineral, Oil and Gas Licensee's Bond
Bond to Secure Advance Payments on Subdivision Lots
Endorsement to Bond to Secure Advance Payments on
Subdivision Lots
Bond of Real Property Securities Dealer
Bond of Subdivider of Out-of-State Real Property
Bond to Secure Return of Purchasers Payment on Subdivision
Lots
Prepaid Rental Listing Service Bond
Bond for Completion of Common Facilities
Pages
Register 2008, No. 28; 7-11-2008
Title 11
Attorney General
§25
•
Section
63.2.
63.3.
63.4.
63.5.
63.6.
63.7.
63.8.
63.9.
63.10.
63.11.
63.12.
63.13.
63.14.
63.15.
63.16.
63.17.
63.18.
63.19.
63.20.
63.21.
63.22.
63.23.
63.24.
64.
64.1.
64.2.
64.3.
64.4.
64.5.
64.6.
Section
65.1.
65.3.
65.4.
Section
66.2.
Section
68.1.
Section
70.1.
Section
71.1.
71.2.
71.3.
71.4.
71.5.
Section
72.1.
Article 27. Secretary of State
Bond of Dance Studio
Surety Bond of Travel Promoter
Surety Bond of Invention Developer
Surety Bond of Discount Buying Organization
Surety Bond of Seller of Seller Assisted Marketing Plans
Guaranteed Traffic Arrest Bail Bond
Surety Bond of Credit Services Organization
Surety Bond of Employment Agency
Deposit by Assignment in Lieu of Surety Bond —
Employment Agency
Receipt For Notice of Assignment — Employment Agency
Receipt for Security and Directions to Pay Earnings —
Employment Agency
Surety Bond of Employment Counseling Service
Deposit by Assignment in Lieu of Surety Bond —
Employment
Counseling Service
Receipt for Security and Directions to Pay Earnings —
Employment Counseling Service
Receipt for Notice of Assignment — Employment Counseling
Service
Surety Bond of Job Listing Service
Deposit by Assignment in Lieu of Surety Bond — Job Listing
Service
Receipt for Security and Directions to Pay Earnings — Job
Listing Service
Receipt For Notice of Assignment — Job Listing Service
Surety Bond of Nurse's Registry
Deposit by Assignment in Lieu of Surety Bond — Nurses'
Registry
Receipt For Notice of Assignment — Nurses" Registry
Receipt for Security and Directions to Pay Earnings —
Employment Counseling Service/Nurses' Registry
Auctioneer/ Auction Company Surety Bond
Immigration Consultants Surety Bond
Health Studio Surety Bond
Seller of Travel Discount Programs
Seller of Travel Business Discount Programs
Proof of Establishment of Escrow Account, Seller of Travel
Discount Programs
Proof of Establishment of Escrow Account, Seller of Travel
Business Discount Programs
Article 28. State Lands Commission
Bond Accompanying Lease
Bond Associated with Lease Security Deposited
Supplemental Bond Accompanying Lease
Article 29. State Treasurer
Lost Instrumental Bond, Corporate Surety
Article 30. District Bonds and Undertaking
Undertaking for Organization Costs
Article 31. Yacht and Ship Brokers Commission
Surety Bond of Yacht and Ship Brokers
Article 32. State Department of Health Services
Bond for Manufacturers of Bands for Shell Parakeets
Budgerigars
Bond of Community Care Facility
Health Facility (Hospital or Nursing Home) Bond
Long Term or Life Care Bond
Guarantee Bond
Article 33. Department of Parks and Recreation
Bond to Accompany Permit of Right of Way
Article 38. Structural Pest Control Board
Section
77.1. Licensee's Bond
77.2. Bond for Restoration of License
Article 39. Departments of Transportation, Water Resources,
General Services and Parks and Recreation
Section
78.1.
78.2.
78.3.
78.4.
Section
78.5.
78.6.
Section
80.1.
80.2.
80.3.
Section
81.1.
Section
82.1.
Bidder's Bond
Performance Bond to Accompany Contract
Surety Bond Form for Payment Bond to Accompany
Construction Contract
Surety Bond Form for Payment Bond to Accompany Contract
Surety Bond Form for Bond to Release Money Withheld on
Claims Bidder's Bond Form
Bidder's Bond Form
Article 4 1 . Department of Health Services
Guarantee Bond
Low-Level Radioactive Waste Disposal License Designee
Bond
Payment Surety Bond
Article 42. Department of Consumer Affairs
Bond of Tax Preparer
Article 43. California Auctioneer Commission
License Bond
Article 44. Board of Barber Examiners
Section
83. Barber College Bond
Article 45.
Section
90.1.
90.2.
90.3.
90.4.
Department of Housing and Community Development
Surety Bond of Dealer or Lessor/Retailer
Cash Bond of Dealer or Lessor/Retailer
"In Lieu" Bond of Dealer or Lessor/Retailer
Assignment Form to be used with "In Lieu" Bond
Article 50. State Banking Department
Section
101.1. Money Transmitter License Bond
Article 5 1 . Air Resources Board
Section
105. Recall Performance Bond
Article 52. Division of Recycling (Department of Conservation)
Section
110. Financial Guarantee Bond (Processors Payment Bond)
Article 53. Office of Mine Reclamation
(Department of Conservation)
Section
115.1.
115.2.
115.3.
115.4.
115.5.
Surety Bond (Corporation)
Surety Bond (Partnership)
Surety Bond (Sole Proprietorship)
Reclamation Performance Bond Increase/Decrease Rider
Reclamation Performance Bond General Purpose Rider
Article 54. Cahfomia State Board of Pharmacy
Section
116.1.
116.2.
Wholesaler or Nonresident Wholesaler Surety Bond
Wholesaler or Nonresident Wholesaler Surety Bond for
Entities with Gross Annual Receipts of $10,000,000 or Less
NOTE; Authority cited: Sections 11110-11113, Government Code. Reference:
Sections 1 1 1 10-1 1113, Government Code. For specific reference, see the statutes
cited on the individual bond form.
Page 9
Register 2008, No. 28; 7-11-2008
§25
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
History
1 . Amendment filed 4-3-79 as procedural and oraanizational; designated effec-
tive 5-1-79 (Register 79, No. 14).
2. New section 51(i) filed 4-3-79; effective thirtieth day thereafter (Register 79,
No. 14).
3. Amendments, repealers and new sections as listed in Cross Reference Table
filed 4-3-79: effective thirtieth day thereafter (Register 79, No. 14).
4. Renumbering and codification by reference of sections within subchapter 2 as
indicated in Cross Reference Table filed 4-3-79 as procedural and organiza-
tional; designated effective 5-1-79 (Register79, No. 14). Forhistoi7 of specific
bond forms, refer to Cross Reference Table.
5. Amendment of section 57.1 filed 4-5-79; effective thirtieth day thereafter (Reg-
ister 79, No. 14).
6. Editorial correction (Register 79, No. 17).
7. Amendment of sections 30. 1 , 30.5, 79. 1 , and new sections 30. 1 2 and 30. 1 3 filed
1-18-80; effective thirtieth day thereafter (Register 80. No. 3).
8. Amendment of sections 30. 1 , 30.5, 30. 14 and 30. 15 filed 4-8-80; effective thir-
tieth day thereafter (Register 80, No. 15).
9. Amendment of section 30.15 filed 4—1 1-80; effective thirtieth day thereafter
(Register 80, No. 15).
10. Amendment of sections 30.1 and 30.5 filed 5-9-80; effective thirtieth day
thereafter (Register 80, No. 19).
11. Amendment of section 30.1 filed 6-11-80; effective thirtieth day thereafter
(Register 80, No. 24).
12. Editorial amendment of sections 30.1 and 30.5 filed 1 0-17-80; effective upon
filing (Register 80, No. 42).
13. Repealer of sections 31.1-31.3, 31.14, 31.17-31.22. 31.24. 36.4-36.6, 44.3,
50.1-50.4, 50.9, 50.1 1, 51.4, 51.11, and 56.1 filed 1 1-25-81 ; effective thirtieth
day thereafter (Register 81, No. 48).
14. New section 50.21 filed 12-17-81; effective thirtieth day thereafter (Register
81, No. 51).
15. New section 57.15 filed 12-17-81; effecdve thirtieth day thereafter (Register
81, No. 51).
16. Amendment of sections 57.1, 57.3 and 57.6 filed 2-24-82; effective thirtieth
day thereafter (Register 82, No. 9).
17. Amendment of section 27.5 filed 5-26-82; effecdve thirtieth day thereafter
(Register 82, No. 22).
1 8. New article 14 (secfion 42. 1 ) filed 8-1 3-82 pursuant to Government Code sec-
tion 1 1349.3(a); effective thirtieth day thereafter (Register 82, No. 33).
19. New section 48.8 filed 8-13-82 pursuant to Government Code section
11349.3(a); effecdve thirtieth day thereafter (Register 82, No. 33).
20. Amendment of secdons 59.3 and 59.8 filed 8-13-82 pursuant to Government
Code section 1 1349.3(a); effective thirtieth day thereafter (Register 82, No. 33).
21. Amendment of section 27.6 filed 1 1-5-82; effecdve thirtieth day thereafter
(Register 82, No. 45).
22. Amendment of secdon 81.1 filed 12-15-82; effective thirtieth day thereafter
(Register 82, No. 51).
23. New secdon 48.9 filed 4-6-83; effective thirtieth day thereafter (Register 83,
No. 15).
24. New section filed 48.10 filed 4—6-83; effective thirtieth day thereafter (Regis-
ter 83, No. 15).
25. New secdon 63.7 filed 6-3-83; effective thirtieth day thereafter (Register 83,
No. 23).
26. New article 43 (secdon 82.1) filed 8-12-83; effecdve thirtieth day thereafter
(Register 83, No. 33).
27. New secdon 51.14 filed 12-19-83; designated effecdve 1-1-84 pursuant to
Government Code section 11346.2(d) (Register 83, No. 52).
28. Amendment of secdon 61.4 filed 12-30-83; effective thirtieth day thereafter
(Register 83, No. 53).
29. New article 15 (secdon 44.1) filed 4-18-84; effecdve thirtieth day thereafter
(Register 84, No. 16).
30. Amendment of sections 30.1 and 30.5 filed 9-28-84; effecdve thirtieth day
thereafter (Register 84, No. 39).
3 1 . Amendment of secdon 27.5 filed 1 1-26-84; effective thirtieth day thereafter
(Register 84, No. 48).
32. New section 83 filed 1 1-27-84; effective thiitieth day thereafter (Register 84,
No. 48).
33. New secdon 79.3 filed 12-1 1-84; effective thirtieth day thereafter (Register
84, No. 50).
34. New article 45 (secdons 90.1-90.4) filed 12-20-84; effecdve thirtieth day
thereafter (Register 84, No. 51).
35. Amendment of secdon 78.4 filed 1-30-85; effecdve thirtieth day thereafter
(Register 85, No. 5).
36. New article 50 (secdon 101.1) filed 1-30-85; effective thirtieth day thereafter
(Register 85, No. 5).
37. New section 63.8 filed 2-1-85; effecdve upon filine pursuant to Government
Code section 1 1346.2(d) (Register 85. No. 5).
38. New section 79.4 filed 2-1-85; effective upon filing pursuant to Government
Code section 1 1346.2(d) (Register 85, No. 5).
39. Amendment of section 28.1 filed 5-30-85; effective thirtieth day thereafter
(Register 85, No. 22).
40. Amendment of section 51.5 filed 10-7-85; effective thirtieth day thereafter
(Register 85, No. 41).
41. Amendment of section 40.9 filed 1-13-86; effective thirtieth day thereafter
(Register 86, No. 3).
42. Amendment of secdon 40.10 filed 1-13-86; effecdve thirtieth day thereafter
(Register 86. No. 3).
43. New section 80.2 filed 1-13-86; effective thirtieth day thereafter (Register 86.
No. 3)
44. Editoiial change of section 25 (Register 86. No. 44).
45. Amendment of secdon 26.4 filed 10-30-86; effective thirtieth day thereafter
(Register 86. No. 44).
46. Amendment of section 50.21 filed 10-30-86; effective thirtieth day thereafter
(Register 86, No. 44).
47. Amendment of secdon 59.6 filed 10-30-86; effecdve thirtieth dav thereafter
(Register 86, No. 44).
48. Amendment of section 79.1 filed 10-30-86; effective thirtieth day thereafter
(Register 86, No. 44).
49. New article 51 (secdon 105) filed 10-30-86; effective thirtieth day thereafter
(Register 86, No. 44).
50. Repealer and new secdon 42.1 filed 12-23-86; designated effective 1-1-87
(Register 86, No. 52).
51. Repealer of section 27.2 and amendment of section 27.5 filed 12-23-86; effec-
tive thirtieth day thereafter (Register 86, No. 52).
52. New article 52 (section 1 10) filed 6-10-87; operadve 6-10-87 (Register 87,
No. 25).
53. Amendment of section 26.4 filed 11-19-87 (Register 87, No. 48).
54. Amendment of secdon 27.5 filed 2-3-88; operadve 3^-88 (Register 88, No.
7).
55. New secdon 26.19 filed 9-19-88; operadve 9-19-88 (Register 88, No. 39).
56. New section 51.15 filed 2-22-89; operadve 2-22-89 (Register 89, No. 10).
57. New section 57.16 filed 10-2-89; operadve 10-2-89 (Register 89, No. 41).
58. New section 57.17 filed 10-2-89; operadve 10-2-89 (Register 89, No. 41).
59. Amendment of section 54.1 filed 10-23-89; operadve 10-23-89 (Register 89,
No. 49).
60. Amendment ofsection 54.2 filed 10-23-89; operadve 10-23-89 (Register 89,
No. 49).
61. Amendment of secdon 57.17 filed 12-27-89; operadve 12-27-89 (Register
90, No. 2).
62. New secdons 63.9-63.24, and repealer of article 40 (secdons 79.1-79.4) filed
1-12-90; operadve 1-12-90 (Register 90, No. 6).
63. New section 51.16 filed 1-22-90; operadve 1-22-90 (Register 90, No. 6).
64. Amendment of secdons 63.17-63.20 filed 5-2-90; operadve 5-2-90 (Regis-
ter 90, No. 23).
65. New secdon 28.2 filed 10-1 1-90; operative 10-1 1-90 (Register 90, No. 47).
66. New section 28.3 filed 10-1 1-90; operative 10-1 1-90 (Register 90, No. 47).
67. New secdon article 17 (section 47.1) filed 10-11-90; operadve 10-11-90
(Register 90, No. 47).
68. New section 54.3 filed 1 1-26-90; operadve 11-26-90 (Register 91, No. 5).
69. New secdon 54.4 filed 1 1-26-90; operadve 11-26-90 (Register 91, No. 5).
70. New secdon 54.5 filed 1 1-26-90; operadve 1 1-26-90 (Register 91, No. 5).
71. New section 54.6 filed 11-26-90; operadve 11-26-90 (Register 91, No. 5).
72. New secdon 54.7 filed 3-27-91; operadve 3-27-91 (Register 91. No. 16).
73. New section 54.8 filed 3-27-91; operadve 3-27-91 (Register 91, No. 16).
74. New section 54.9 filed 3-27-91; operadve 3-27-91 (Register 91, No. 16).
75. New secdon 54.10 filed 3-27-91; operadve 3-27-91 (Register 91, No. 16).
76. New section 51.17 filed 4-9-91; operadve 4-9-91 (Register 91, No. 17).
77. Amendment of secdon 54.1 heading, secdon and Note filed 4-26-91; opera-
dve 4-26-91 pursuant to Government Code section 11346.2(d) (Register 91,
No. 21).
78. Amendment of secdon 54.2 heading, section and Note filed 4-26-91; opera-
dve 4-26-91 pursuant to Government Code section 11346.2(d) (Register 91,
No. 21).
79. Repealer of article 1 2 (sections 40. 1 - 40.4. 40.9 - 40. 1 2, 40. 1 5 and 40. 1 6) and
new article 12 (sections 40.1 -40.1 1) filed 5-2-91; operadve 5-2-91 (Register
91, No. 21).
80. Change without regulatory effect amending section filed 7-17-91 pursuant to
secdon 100, dde 1. California Code of Reguladons (Register 91, No. 50).
81. New secdons 38.1 and 38.2 filed 2-10-92; operative 2-10-92 pursuant to
Government Code section 11346.2(d) (Register 92, No. 13).
•
Page 10
Register 2008, No. 28; 7-11-2008
Title 11
Attorney General
§25
82. New section 40. 1 2 filed 3-1 9-92; operative 3-19-92 pursuant to Government
Code section 1 1346.2(d) (Register 92, No. 17).
83. New sections 49. 1 1 , 49. 1 2, 49. 1 3, 49. 14, 49. 1 5, and 49. 1 6. and repealer of sec-
tions 48.1 and 48.2 filed 6-10-92; operative 6-10-92 pursuant to Government
Code section ] 1346.2(d) (Register 92, No. 24).
84. Amendment of section 57.17 filed 9-1-92; operative 10-1-92 (Register 92,
No. 36).
85. Amendment of section 51.17 filed 9-14-92; operative 9-14-92 pursuant to
Government Code section 11 346.2(d) (Register 92. No. 38).
86. New section 44.2 filed 2-24-93; operadve 2-24-93 pursuant to Government
Code section 1 1 346.2(d) (Register 93, No. 9).
87. Amendment of secfion 51.16 filed 2-24-93; operative 2-24-93 (Register 93,
No. 9).
88. New section 50.22 filed 6-23-93; operative 6-23-93. Submitted to OAL for
printing only (Register 93, No. 26).
89. Amendment of section 57.17 filed 6-24-93; operative 6-24-93. Submitted
to OAL for printing only (Register 93, No. 26).
90. Amendment of sections 40.1-40.3 and secfions 40.5^0.12 filed 12-22-93.
Submitted to OAL for printing only (Register 93, No. 52).
91 . Repealer and new sections 28.2 and 28.3 filed 1 2-27-93; effecfive 12-27-93.
Submitted to OAL printing only (Register 93, No. 53).
92. Repealer and new sections 30.1 and 30.5 filed 12-29-93; effecfive 12-29-93.
Submitted to OAL for printing only (Register 93, No. 53).
93. New section 64 filed 2-3-94; operative 2-3-94. Submitted to OAL forprinfing
only (Register 94, No. 5).
94. New section 50.22 filed 2-28-94; operafive 2-28-94. Submitted to OAL for
printing only (Register 94, No. 9).
95. Change without regulatory effect renumbering Bond of Cargo Shipper's Agent
from secfion 50.22 to secfion 50.23 filed 3-31-94 pursuant to fitle 1, section
100, California Code of Regulations (Register 94, No. 13).
96. Amendment of section 47.1 filed 4-7-94; operafive 5-9-94. Submitted to
OAL for prinfing only (Register 94, No. 14).
97. Eiditorial correcfion restoring article 9 heading (Register 94, No. 14).
98. Repealer and new section 51.15 filed 5-5-94; operative 6-6-94. Submitted
to OAL for prinfing only (Register 94, No. 18).
99. New section 38.3 filed 10-1 1-94; operafive 10-1 1-94. Submitted to OAL for
printing only (Register 94, No. 41).
100. New secfion 64.1 filed 1-5-95; operafive 1-5-95 pursuant to Government
Code section 1 1343.4(d) (Register 95, No. 1).
101. New secfions 40.13, 40.14, 40.15, 40.16, 40.17 and 40.18 filed 6-26-95; op-
erative 6-26-95. Submitted to OAL for printing only (Register 95, No. 26).
102. Amendment of secfion 38.3 filed 7-25-95; operafive 8-24-95. Submitted to
OAL for prinfing only (Register 95, No. 30).
103. Amendment of section 50.12 filed 11-21-95; operative 12-31-95. Sub-
mitted to OAL for prinfing only (Register 95, No. 47).
104. Amendment of section 50.13 filed 12-5-95; operative 12-5-95. Subn^tted
to OAL for printing only (Register 95, No. 49).
105. Amendment of sections 40.2, 40.3, 40.5, 40.6, 40.7, 40.9, 40.10, 40.1 1,40.13,
40.14, 40.15 and 40.16, and repealer of secfion 40.8 filed 1-10-97; operafive
1-10-97 pursuant to Government Code section 1 1343.4(d). Submitted to OAL
for prinfing only (Register 97. No. 2).
106. Amendment of secfion 49.14 filed 4-10-97; operafive 4-10-97. Submitted
to OAL for printing only (Register 97, No. 15).
107. New section 51.18 filed 1 2-9-97; operative 1-1-98 pursuant to Government
Code section 11343.4(d). Submitted to OAL forprinting only (Register97, No.
50).
108. Amendment of secfion 51.13 filed 2-18-98; operative 2-18-98. Submitted
to OAL for printing only (Register 98, No. 8).
109. Amendment of secfion 51.16 filed 5-5-98; operafive 6^-98. Submitted to
OAL for prinfing only (Register 98, No. 19).
110. New article 53 and new sections 115.1, 115.2, 115.3, 115.4and 115.5 filed
7-6-98; operative 7-1-98. Submitted to OAL for prinfing only (Register 98,
No. 28).
111. Amendment of section 31.7, repealer and new sections 31.8 and 31.9, and
new subsecfions 31.10 and 31.11 filed 1-29-99; operafive 2-28-99. Submitted
to OAL for printing only (Register 99, No. 5).
1 12. Amendment of secfions 54.1 and 54.2 filed 2-8-99; operafive 2-8-99. Sub-
mitted to OAL for printing only (Register 99, No. 7).
113. Amendment of sections 63.2, 63.4, 63.5, 63.8, 63.9, 63.13, 63.17, 63.21, 64
and 64. 1 filed 8-26-99; operative 9-25-99. Submitted to OAL for printing only
(Register 99, No. 35).
1 14. Amendment of section 64.1 filed 11-3-99; operafive 1-1-2000. Submitted
to OAL for printing only (Register 99, No. 45).
115. Change without regulatory effect amending article 21 heading filed
2-16-2000 pursuant to section 100, title 1, California Code of Regulations
(Register2000, No. 7).
116. New section 51.19 filed 3-6-2002; operafive 3-6-2002. Submitted to OAL
for printing only (Register 2002, No. 1(3).
1 1 7. New secfion 6 1 .8 filed 9-1 8-2002; operafive 9-1 8-2002. Submitted to OAL
for printing only (Register 2002, No. 38).
118. New secfion 31.24 filed 4-24-2003; operative 4-24-2003. Submitted to
OAL for printing only (Register 2003, No. 17).
119. Amendment of section 51.19 filed 8-7-2003; operative 8-7-2003. Sub-
initted to OAL for printing only (Register 2003, No. 32).
120. Amendment of section 51.18 filed 12-1-2003; operafive 12-1-2003. Sub-
mitted to OAL for printing only (Register 2003, No. 49).
121. New section 51.20 filed 4-30-2004; operative 4-30-2004. Submitted to
OAL for printing only (Register 2004, No. 18).
122. New section ^51.21 filed 4-30-2004; operative 4-30-2004. Submitted to
OAL for printing only (Register 2004, No. 18).
123. Amendment of section 51.20 filed 5-5-2004; operative 5-5-2004. Sub-
initted to OAL for printing only (Register 2004, No. 19).
124. Amendment of section 51.16 filed 6-23-2004; operative 6-23-2004. Sub-
mitted to OAL for printing only (Register 2004, No. 26).
125. Amendment of section 51.16 filed 12-7-2004; operafive 12-7-2004. Sub-
iTiitted to OAL for printing only (Register 2004, No. 50).
126. Amendment of section 26.4 filed 1-.3-2005; operafive 2-2-2005. Submitted
to OAL for printing only (Register 2005, No. 1 ).
127. Amendment of secfion 51.17 filed 1-3-2005; operative 2-2-2005. Sub-
mitted to OAL for prinfing only (Register 2005, No. 1).
128. New section 51.22 filed 1-5-2005; operafive 1-5-2005. Submitted to OAL
for prinfing only (Register 2005, No. 1 ).
129. Amendment of secfion 63.5 filed 2-18-2005; operative 2-18-2005. Sub-
mitted to OAL for prinfing only (Register 2005, No. 7).
130. Amendment of secfion 51.15 filed 5-3-2005; operafive 5-3-2005. Sub-
mitted to OAL for printing only (Register 2005, No. 18).
131. New section 51.24 filed 5-3-2005; operative 5-3-2005. Submitted to OAL
for printing only (Register 2005, No. 18).
132. Amendment of section 51.12 filed .5-3-2005; operafive .5-3-2005. Sub-
mitted to OAL for printing only (Register 2005, No. 18).
133. Amendment of secfion 51.14 filed 5-3-2005; operative 5-3-2005. Sub-
mitted to OAL for printing only (Register 2005. No. 18).
134. New secfion 51.25 filed 5-4-2005; operative 5-4-2005. Submitted to OAL
for prinfing only (Register 2005, No. 18).
135. Amendment of section 51.7 filed 5-4-2005; operative 5-4-2005. Submitted
to OAL for printing only (Register 2005, No. 18).
136. Amendment of section 51.2 filed 5-4-2005; operafive 5-4-2005. Submitted
to OAL for printing only (Register 2005, No. 18).
137. Amendment of secfion 61.8 filed 5^^-2005; operafive 5-4-2005. Submitted
to OAL for printing only (Register 2005, No. 18).
138. New secfion 51.23 filed 5-4-2005; operafive 5-4-2005. Submitted to OAL
for printing only (Register 2005, No. 18).
139. New secfion 28.4 filed 5-9-2005; operative 5-9-2005. Submitted to OAL for
printing only (Register 2005, No. 19).
140. New section 69.1 filed 5-1 1-2005; operafive 5-1 1-2005. Submitted to OAL
for prinfing only (Register 2005, No. 19).
141. Amendment of secfion 63.2 filed 6-24-2005; operafive 6-24-2005. Sub-
mitted to OAL for printing only (Register 2005, No. 25).
142. New section 49.17 filed 11-22-2005; operative 11-22-2005 pursuant to
Government Code secfion 11343.4(c). Submitted to OAL for prinfing only
(Register 2005, No. 47).
143. New article 54 and new section 1 16.1 filed 12-1-2005; operafive 12-1-2005.
Submitted to OAL for prinfing only (Register 2005, No. 48).
144. Amendment of section 51.12 filed 12-15-2005; operafive 1-14-2006. Sub-
mitted to OAL for printing only (Register 2005, No. 50).
145. New secfion 116.2 filed 1-11-2006; operafive 1-11-2006. Submitted to
OAL for printing only (Register 2006, No. 2).
146. New section 64.2 filed 1-31-2006; operative 1-31-2006. Submitted to OAL
for printing only (Register 2006, No. 5).
147. Amendment of section 51.19 filed 2-22-2006; operative 2-22-2006. Sub-
mitted to OAL for prinfing only (Register 2006, No. 8).
148. Amendment of secfion 30.1 filed 10-12-2006; operafive 1-1-2007. Sub-
mitted to OAL for printing only (Register 2006, No. 41).
149. Amendment of secfion 30.5 filed 10-12-2006; operafive 1-1-2007. Sub-
mitted to OAL for printing only (Register 2006, No. 41).
150. Amendment of secfion 48.6 filed 12-21-2006; operafive 12-21-2006. Sub-
mitted to OAL for printing only (Register 2006, No. 51).
151. New section 80.3 filed 12-21-2006; operative 12-21-2006. Submitted to
OAL for printing only (Register 2006, No. 51).
152. Amendment of section 30.1 filed 1-25-2007; operative 1-25-2007. Sub-
mitted to OAL for printing only (Register 2007, No. 4).
153. Amendment of section 30.5 filed 1-25-2007; operative 1-25-2007. Sub-
mitted to OAL for printing only (Register 2007, No. 4).
154. New section 64.3 filed 4-1 8-2007; operative 4-1 8-2007. Submitted to OAL
for printing only (Register 2007, No. 16).
155. New section 64.4 filed 4-19-2007; operative 4-19-2007. Submitted to OAL
for prinfing only (Register 2007, No. 16).
156. New section 64.5 filed 4-19-2007; operative 4-19-2007. Submitted to OAL
for printing only (Register 2007, No. 16).
157. New section 64.6 filed 4-19-2007; operafive 4-19-2007. Submitted to OAL
for printing only (Register 2007, No. 16).
158. Amendment of section 51.19 filed 9-28-2007; operative 9-28-2007. Sub-
mitted to OAL for printing only (Register 2007, No. 39).
Page 10.1
Register 2008, No. 28; 7-11-2008
§200
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
159. New section 30.14 filed 7-8-2008; operative 7-8-2008. Submitted to OAL
for printing only (Register 2008, No. 28).
Chapter 3. Microfilming and Other
Photographic Reproductions
Article 1. The Forms of Certification
Approved
§ 200. Form.
The form of certification for microfilming or other photographic re-
production of public records, approved by the Attorney General and re-
quired by the respective statutes, rules, and regulations shall be substan-
tially as set forth in the following regulation in this article.
NOTE; New authority cited: Section 14756, Government Code.
History
1 . New article (Sections 200, 201 and 202) filed 12-3-53 as an emergency; effec-
tive upon filing (Register 53, No. 22).
2. Citation of new authority filed 12-13-66 (Register 66, No. 44).
§201-204. Certification.
NOTE: Given the limited and particular application of these regula-
tions, the Attorney General requests that these regulations not be set forth
in full in the California Code of Regulations, but that appropriate refer-
ence be made therein pursuant to Government Code section 1 1409(a).
The affected sections are numbered and titled as follows:
Section
201. General Certification
202. Individual Certification
203. General Certification — Irrigation Districts
204. Individual Certification — Irrigation Districts
The regulations are available to the public for review or purchase at
cost at the following location:
ROBERT C. WOODALL, CHIEF
DEPARTMENT OF GENERAL SERVICES
RECORDS MANAGEMENT DIVISION
400 CAPITOL MALL, ROOM 206
SACRAMENTO, CA 95814
ARCHIVES
SECRETARY OF STATE
1020 "O" STREET
SACRAMENTO, CA 95814
SUSAN J. ORTON
DEPUTY ATTORNEY GENERAL
555 CAPITOL MALL, SUITE 350
SACRAMENTO, CA 95814
NOTE: Authority cited: Section 14756, Government Code. Reference: Section
14756, Government Code.
History
1 . Amendment filed 12-13-66; effective thirtieth day thereafter (Register 66, No.
44).
2. Amendment filed 1 1-28-79; effective thirtieth day thereafter (Register 79, No.
48). For prior history, see Registers 66, No. 44; 56, No. 2; and 55, No. 17.
3. Amendment filed 1-30-80; effective thirtieth day thereafter (Register 80, No.
5).
Article 2. Updatable Microfiche
Certification
§ 205-207. Microfiche Certification.
NOTE: Given the limited and particular application of these regula-
tions, the Attorney General requests that these regulations not be set forth
in full in the California Code of Regulations, but that appropriate refer-
ence be made therein pursuant to Goveminent Code section 1 1409(a).
The affected sections are numbered and titled as follows:
Section
205. Master Certification for Each Fiche
206. Master Fiche Certification
207. Update Certifications of Microfiche-Cross Reference to Master
Certification
The regulations are available to the public for review or purchase at
cost at the following location:
robert c. woodali. chief
department of general services
records manacrement division
400 capitol mall. room 206
sacramento. ca 95814
archives
sf;cretary of state
1020 -O" STREET
SACRAMENTO. CA 95814
SUSAN .1. ORTON
D1-:I'UTY ATTORNEY GENERAL
555 CAPITOL MALL. Sl'ITE 350
SACRAMENTO. CA 95814
NOTE: Authority cited: Section 14756, Government Code. Reference: Section
14756, Government Code.
History
1 . New Article 2 (Section 205-207) filed 1 1 -28-79; effective thirtieth day thereaf-
ter (Register 79, No. 48).
2. Amendment filed 1-30-80; effective thirtieth day thereafter (Register 80, No.
5).
Chapter 4. Regulations Adopted Pursuant
to the Supervision of Trustees and
Fundraisers for Charitable Purposes Act*
* Article 7, Chapter 6 of Part 2 of Division 3, Title 2. Government Code. (Sections
12586(b) and 12587, Government Code).
§ 300. Initial Registration.
(a) Every charitable corporation, unincorporated association, trustee
or other person subject to the registration requirements of that act entitled
the "Supervision of Trustees and Fundraisers for Charitable Purposes
Act" (Article 7, Chapter 6, Part 2, Division 3, Title 2, of the Government
Code commencing with Section 12580, hereafter "Act") shall file with
the Attorney General a copy of the articles of incorporation and bylaws,
trust agreement, decree of distribution or other instrument governing its
operation, as provided below. Filing of the Initial Registration Form, the
supporting documents required by that form, and the required registra-
tion fee of $25 shall constitute the initial registration. Required informa-
tion and supplemental documents identified in the Initial Registration
Form that are not available at the time of filing of the form may be sub-
mitted within ninety (90) days of submittal of the form.
(b) An Initial Registration Form and supplemental documents identi-
fied in that form shall be submitted to the Registry of Charitable Trusts.
The Initial Registration Form shall require the following:
(1) Name of the organization (the name must be the legal name as
stated in the organization's organizing instrument);
(2) Official mailing address of the organization;
(3) Federal employer identification number from the Internal Revenue
Service;
(4) Federal employer identification group exemption number from the
Internal Revenue Service (if applicable);
(5) If the organization is a corporation, the corporate or organization
number from the Secretary of State. If the organization is unincorporated,
the organization number assigned by the Franchise Tax Board upon ap-
plication for CaUfomia tax exemption;
(6) Names, addresses, and positions of all trustees or directors and offi-
cers;
(7) Attach or provide a statement fully describing the primary activity
of the organization. (A copy of the material submitted with the applica-
tion for federal or state tax exemption will normally provide this informa-
tion.);
(8) If the organization is based outside of California, comment fully
on the extent of activities in California and how the California activities
relate to total activities. In addition, list all funds, property, and other as-
sets held or expected to be held in California. Indicate whether you are
monitored in your home state and, if so, by whom;
(9) If assets (funds, property, etc.) have been received, enter the date
first received;
•
Page 10.2
Register 2008, No. 28; 7-11-2008
Title 11
Attorney General
§305
( 1 0) Annual accounting period adopted (Fiscal Year or Calendar Year,
and if fiscal year, state the date that is the end of the year);
(11) Attach your founding documents as follows:
(A) Corporations — Fumish a copy of the articles of incorporation and
all amendments and current bylaws. If incorporated outside of Califor-
nia, enter the date the corporation qualified through the California Secre-
tary of State's Office to conduct activities in California;
(B) Associations — Fumish acopy of the instrument creating the orga-
nization (bylaws, constitution and/or articles of association);
(C) Trusts — Furnish a copy of the trust instrument or will and decree
of final distribution;
(D) Trustees for charitable purposes — Fumish a statement describing
your operations and charitable purpose.
(12) State whether or not the organization has applied for or been
granted Internal Revenue Service (IRS) tax exempt status. If yes, state or
provide the following:
(A) Date of application for tax exemption and date of exemption deter-
mination letter;
(B) Under which subdivision of Internal Revenue Code section 501 (c)
the organization has applied for, or received, tax exempt status;
(C) Whether contributions to the organization are tax-deductible (if
known);
(D) Attach a copy of the federal exemption determination letter issued
by the IRS, if available; and
(E) Attach a copy of IRS Form 1023 "Application for Recognition of
Exemption under Section 501(c)(3) of the Internal Revenue Code", if
available;
(13) If your organization contracts with or otherwise engages the ser-
vices of any commercial fundraiser for charitable purposes, fundraising
counsel, or commercial co-venturer, provide the name, address, type of
service provider and telephone number of the provider(s);
(14) Signature of officer, director, or trustee executing the Initial Reg-
istration Form, signed under penalty of perjury;
(15) Title of person signing the Initial Registration Form;
( 1 6) Date of signature;
(17) Organization's telephone number;
(18) Organization's e-mail address;
(19) Organization's fax number; and
(20) Organization's website (if the organization has a website).
NOTE: Authority cited: Sections 12584, 12585, 12586 and 12587, Government
Code. Reference: Sections 12581, 12583, 12585, 12586 and 12587, Government
Code.
History
1 . New Subchapter 4 ( §§ 300 through 305) filed 12-28-55 as an emergency; effec-
tive upon filing (Register 56, No. 1).
2. Repealer of §§ 300 through 305 filed 8-28-59 as an emergency; effective upon
filing. New §§ 300 through 310 filed 8-28-59 as an emergency; effective upon
filing (Register 59, No. 14).
3. Certificate of Compliance — Section 11422.1. Gov. Code for Sections 300
through 310 filed 10-30-59 (Register 59, No. 18).
4. Amendment filed 5-30-74; effective thirtieth day thereafter (Register 74, No.
22).
5. Amendment of chapter heading, section and Note filed 10-7-99; operative
1 1-6-99 (Register 99, No. 41).
6. Amendment of secdon heading, section and Note filed 6-13-2005; operative
6-13-2005 pursuant to Government Code section 1 1343.4 (Register 2005, No.
24).
7. Redesignation and amendment of section as subsection (a) and new subsections
(b)-(b)(20) filed 12-11-2007; operative 1-10-2008 (Register 2007, No. 50).
§ 301 . Periodic Written Reports.
Except as otherwise provided in the Act, every charitable corporation,
unincorporated association, trustee, or other person subject to the report-
ing requirements of the Act shall also file with the Attorney General peri-
odic written reports, under oath, setting forth information as to the nature
of the assets held for charitable purposes and the administration thereof
by such corporation, unincorporated association, tmstee, or other person.
Except as otherwise provided in these regulations, these reports include
the Annual Registration Renewal Fee Report, ("RRF-1" 3/05), hereby
incorporated by reference, which must be filed with the Registry of Char-
itable Trusts annually by all registered charities, as well as the Internal
Revenue Service Form 990, which must be filed on an annual basis with
the Registry of Charitable Trusts, as well as with the Internal Revenue
Service. At the time of the annual renewal of registration filing the
RRF-1 , the registrant must submit a fee, as set forth in section 311.
A tax-exempt charitable organizaUon which is allowed to file form
990-PF or 990-EZ with the Internal Revenue Service, may file that form
with the Registry of Charitable Tmsts in lieu of Form 990.
A charitable organization that is not exempt from taxation under feder-
al law shall use Internal Revenue Service Form 990 to comply with the
reporting provisions of the Supervision of Trustees and Fundraisers for
Charitable Purposes Act. The form shall include, at the top of the page,
in 10-point type, all capital letters, "THIS ORGANIZATION IS NOT
EXEMPT FROM TAXATION."
Registradon requirements for commercial fundraisers for charitable
purposes, fundraising counsel for charitable purposes, and commercial
coventurers are set forth in section 308.
NOTE: Authority cited: Secfions 12586 and 12587, Government Code. Reference:
Sections 12581, 12582, 12583, 12586, 12587, 12599, 12599.1 and 12599.2, Gov-
ernment Code.
History
1. Amendment filed 5-30-74; effective thirtieth day thereafter (Register 74. No.
22).
2. Amendment ofsection and new Note filed 10-7-99; operative 1 l-6-99(Regis-
ter99. No. 41).
3. Amendment ofsection and Note filed 6-13-2005; operative 6-13-2005 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 24).
§ 302. Place of Filing.
All instruments, reports or other data required to be filed pursuant to
these regulations or pursuant to the provisions of the Act shall be filed
with the Registry of Charitable Trusts in the office of the Attorney Gener-
al, Sacramento, California.
NOTE: Authority cited: Sections 12586 and 12587, Government Code. Reference:
Sections 12585, 12586, 12587, 12599, 12599.1 and 12599.2, Government Code.
History
1. Amendment filed 5-30-74; effective thirtieth day thereafter (Register 74, No.
22).
2. Amendment of section and new Note filed 6y-13-2005; operative 6-13-2005
pursuant to Government Code section 1 1343.4 (Register 2005, No. 24).
§ 303. Filing Forms.
All periodic written reports required to be filed under the provisions
ofsection 12586 of the Government Code and secUon 301 of these regu-
lations shall be filed with the Registry of Charitable Trusts, and include:
(1 ) the Annual Registration Renewal Fee Report ("RRF-1" 3/05); and (2)
Intemal Revenue Service Form 990, 990-EZ or 990-PF, as applicable.
NOTE: Authority cited: Sections 12586 and 12587, Government Code. Reference:
Sections 12581, 12583, 12586 and 12587, Government Code.
History
1. Amendment filed 5-30-74; effective thirtieth day thereafter (Register 74, No.
22).
2. Amendment of section and new NOTE filed 6-13-2005; operative 6-13-2005
pursuant to Govemment Code section 1 1343.4 (Register 2005, No. 24).
§ 304. Time of Filing Reports.
The first such periodic report shall be filed as required by paragraph
(d) of section 12586 of the Govemment Code.
NOTE: Authority cited: Sections 12586 and 12587, Govemment Code. Reference:
Sections 12581, 12583, 12586 and 12587, Govemment Code.
History
1. Amendment ofsection and new Note filed 6-13-2005; operative 6-13-2005
pursuant to Govemment Code section 1 1343.4 (Register 2005, No. 24).
§ 305. Annual Filing of Reports.
After the first periodic report is filed as required by section 304 of these
regulations, periodic written reports shall thereafter be filed on an annual
basis unless specifically required or permitted to be filed on other than
an annual basis as set forth in these regulations, or when filing has been
suspended by the Attorney General pursuant to Govemment Code sec-
tion 12586. The time for filing any periodic report subsequent to the first
periodic report shall be not later than four (4) months and fifteen (15)
days following the close of each calendar or fiscal year subsequent to the
filing of the first report, but in no event less than once annually, unless
for good cause extension of such annual filing has been granted by the
Page 10.2(a)
Register 2008, No. 28; 7- 1 1-2008
§306
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Attorney General, or otherwise excused. If the Internal Revenue Service
grants an extension to file the Form 990, 990-PF or 990-EZ that exten-
sion will be honored by the Registry of Charitable Trusts for purposes of
filing the Form 990, 990-PF or 990-EZ and the Annual Registration Re-
newal Fee Report ("RRF-1") with the Registry of Charitable Trusts. The
RRF-1 and the Form 990, 990-PF or 990-EZ shall be filed simulta-
neously with the Registry of Charitable Trusts.
NOTE; Authority cited: Sections 12586 and 12587, Government Code. Reference:
Sections 12581. 12582, 12583, 12586 and 12587, Government Code.
History
1. Amendment filed 5-30-74; effective thirtieth day thereafter (Register 74, No.
22).
2. Amendment of section and new NoTi-: filed 6-13-2005; operative 6-13-2005
pursuant to Government Code section 1 1343.4 (Register 2005, No. 24).
§ 306. Contents of Reports.
(a) Periodic reports shall be submitted under oath and shall set forth
in detail all of the information required by the applicable forms set forth
in these regulations. Incomplete or incorrect reports will not be accepted
as meeting the requirements of the law.
(b) A copy of an account filed by a trustee in a court having jurisdiction
of the trust shall not be accepted in lieu of a report on official forms unless
such court accounting is identical in form and content with the official
forms and is compatible without alteration with electronic data process-
ing equipment in the same manner as reports on official forms.
(c) When requested by the Attorney General any periodic report shall
be supplemented to include such additional information as the Attorney
General deems necessary to enable the Attorney General to ascertain
whether the corporation, trust or other relationship is being properly ad-
ministered.
NOTE: Authority cited: Sections 12586 and 12587, Government Code. Reference:
Sections 12581, 12586 and 12587, Government Code.
History
1 . New section filed 4-19-56 as an emergency; effective upon filing (Register 56,
No. 7).
2. Repealer and new section filed 8-28-59 as an emergency; effective upon filing
(Register 59, No. 14).
3. Amendment filed 5-30-74; effective thirtieth day thereafter (Register 74, No.
22).
4. Amendment of subsections (a) and (c) and new Note filed 6-13-2005; opera-
tive 6-13-2005 pursuant to Government Code section 1 1343.4 (Register 2005,
No. 24).
§ 307. Extended Reporting Period.
A charitable corporation, unincorporated association, trustee, or other
person otherwise required to file a Form 990, 990-PF or 990-EZ pur-
suant to section 301 that has gross revenue under twenty-five thousand
dollars ($25,000) during any fiscal year and that has gross assets under
$25,000 at all times during such year shall file a Form 990, 990-PF or
990-EZ subsequent to the first report required by section 304, or its last
report filed pursuant to section 305, or subsection (ii) of this section, upon
the earlier of (i) the lapse often years after any such filing or (ii) the occur-
rence of any of the following:
( 1 ) the total gross revenue or assets of the charitable corporation, unin-
corporated association, or trust during any fiscal year was $25,000 or
more;
(2) the corporation or unincorporated association was dissolved or
merged, the trust was terminated or modified, all or substantially all of
the assets of the corporation or trust were sold or transferred, or the corpo-
rate articles were amended to change the charitable purposes of the cor-
poration;
(3) the charitable purposes of the corporation, unincorporated associa-
tion, or trust were abandoned by the directors or trustees;
(4) there were any self-dealing transactions, as defined in California
Corporations Code section 5233, or any transactions described in Pro-
bate Code section 16004, or any loans made by the corporation or trust
to a director, officer or trustee.
The Form 990, 990-EZ or 990-PF report filed pursuant to this section,
shall cover the most recent preceding fiscal year of the charitable regis-
trant.
All organizations are required to file the RRF-1 report annually,
whether or not the organization is eligible for extended reporting of the
990, 990-EZ or 990-PF.
It shall be the continuing responsibility of the directors or trustees to
notify the Registry of Charitable Trusts in the office of the Attorney Gen-
eral, Sacramento, California, of any change of mailing address for the
corporation, unincorporated association or trust.
All such charitable corporations, unincorporated associations and
trusts having gross revenue or gross assets under $25,000 shall be subject
to audit by the Attorney General at any fime, notwithstanding these ex-
tended reporting periods.
NOTE: Authority cited: Sections 12586 and 12587, Government Code. Reference:
Sections 12586 and 12587. Government Code.
History
1 . New section filed 12-20-78; effective thirtieth day thereafter (Register 78. No.
51).
2. Amendment filed 6-27-84; effective thirtieth day thereafter (Register 84. No.
26).
3. Amendment of section and Noti- filed 6-13-2005; operative 6-13-2005 pur-
suant to Government Code section II 343.4 (Register 2005, No. 24).
§ 308. Registration and Notice Requirements for
Commercial Fundraisers for Charitable
Purposes, Fundraising Counsel for Charitable
Purposes, and Commercial Coventurers.
Every commercial fundraiser for charitable purposes, fundraising
counsel for charitable purposes, and commercial coventurer that is sub-
ject to the Act must register with the Attorney General prior to soliciting
any funds in California, and annually on or before January 15 of each
year. The registration requirements and fees are set forth in this section.
(a) A "commercial fundraiser for charitable purposes," as defined in
Government Code section 1 2599, must submit the following at the time
of initial registration and annual renewal:
(1) A completed and signed Commercial Fundraiser for Charitable
Purposes Annual Registration Form ("CT-ICF" 3/05) which is incorpo-
rated by reference.
(2) $350 in the form of a certified or cashier's check.
(3) The original of a properly executed $25,000 surety bond form in
the registrant's name, together with a signed Registry of Charitable
Trusts Surety Bond Form ("CT-4CF" 3/05), which is incorporated here-
in by reference; or completion of the Deposit by Assignment in Lieu of
Commercial Fundraiser for Charitable Purposes Surety Bond Form
("CT-8CF" 3/05) and Receipt for Notice of Assignment in Lieu of Com-
mercial Fundraiser for Charitable Purposes Surety Bond Form
("CT-9CF" 3/05), incorporated herein by reference, together with the
original passbook or certificate of deposit indicating $25,000 is held in
the Attorney General's name.
(4) An annual financial report as described in Government Code sec-
tion 12599(d). The forms for the annual financial report include the
Annual Financial Report/Commercial Fundraisers ("CT-2CF" 3/05),
which is incorporated by reference; the Annual Financial Report/Thrift
Store Operations ("CT-2TCF" 3/05), which is incorporated by refer-
ence; and the Annual Financial Report/Vehicle Donation Program
("CT-2VCF" 3/05), which is incorporated by reference. The annual fi-
nancial reports must be filed on or before January 30 of each year.
(b) A "fundraising counsel for charitable purposes," as defined in
Government Code section 1 2599. 1 , must submit the following at the time
of initial registration and annual renewal:
(1) A completed and signed Fundraising Counsel for Charitable Pur-
poses Annual Registrafion Form ("CT-3CF" 3/05), which is incorpo-
rated by reference.
(2) $350 in certified or cashier's check.
(c) A "commercial coventurer," as defined in Government Code sec-
tion 12599.2, unless exempted by Government Code section 12599.2(b),
shall submit the following at the time of initial registration and annual re-
newal:
( 1 ) A completed and signed Commercial Coventurer Annual Registra-
tion Form ("CT-5CF" 3/05), which is incorporated by reference.
Page 10.2(b)
Register 2008, No. 28; 7-11-2008
Title 11
Attorney General
§314
(2) $350 in certified or cashier's ciieck.
(3 ) If required to register and report pursuant to Government Code sec-
tion 1 2599.2(c), annual financial reports shall be filed on the Commercial
Coventurer Annual Financial Report Form ("CT-6CF"'' 3/05), which is
incorporated by reference. The annual financial reports must be filed on
or before January 30 of each year.
(d) Every commercial fundraiser for charitable purposes and every
fundraising counsel for charitable purposes shall file a notice of intent to
solicit for charitable purposes as required by Government Code sections
12599 and 12599.1. Commercial fundraisers shall file the Nofice of In-
tent to Solicit for Charitable Purposes — Commercial Fundraiser for
Charitable Purposes Form ("CT-IOCF" 3/05), which is incorporated by
reference, and fundraising counsel shall file the Notice of Intent to Solicit
for Charitable Purposes — Fundraising Counsel for Charitable Purposes
Form ("CT-1 ICF" 3/05), which is incorporated by reference. The forms
shall be filed with the Registry of Charitable Trusts in the office of the
Attorney General, Sacramento, California.
NOTE: Authority cited: Sections 12386, 12587, 12599, 12599.1 and 12599.2,
Government Code. Reference: Sections 12587, 12599, 12599.1, 12599.2 and
12599.5, Government Code.
History
1. New section filed 6-13-2005; operative 6-13-2005 pursuant to Government
Code section 1 1343.4 (Register 2005, No. 24). For prior history, see Register
74, No. 22.
§ 309. No Activity Report.
History
1 . Repealer filed 5-30-74; effective thirtieth day thereafter (Register 74, No. 22).
§ 310. Public Inspection of Charitable Trust Records.
The register, copies of instruments and the reports filed with the Attor-
ney General, except as provided in Government Code section 12590,
shall be open to public inspection at the Registry of Charitable Trusts in
the office of the Attorney General, Sacramento, California, at such rea-
sonable times as the Attorney General may determine. Such inspection
shall at all fimes be subject to the control and supervision of an employee
of the Office of the Attorney General.
NOTE: Authority cited: Sections 12587 and 12590, Government Code. Reference:
Section 12590, Government Code.
History
1. Amendment of section and new Note filed 6-13-2005; operative 6-13-2005
pursuant to Government Code section 1 1343.4 (Register 2005, No. 24).
§311. Annual Registration Fee.
(a) No form or report from any charitable corporation, unincorporated
association, trustee or other person required to register or file a periodic
report shall be accepted for filing unless accompanied by the appropriate
fee.
Filing and processing fees shall be paid by registrants at the time of fil-
ing as follows:
( 1 ) a $25 initial registration fee;
(2) an annual registration renewal fee, the amount of which shall be
determined based on the registrant's gross annual revenue for the preced-
ing fiscal year, as follows:
Gross Annual Revenue Fee
Less than $25,000
Between $25,000 and $ 1 00.000 $25
Between $100,001 and $250,000 $50
Between $250,001 and $1 million $75
Between $ 1 ,000,00 1 and $ 1 million $ 1 50
Between $10,000,001 and $50 million $225
Greater than $50 million $300
(b) This section does not apply to commercial fundraisers for charita-
ble purposes, as defined by Government Code section 12599, fundrais-
ing counsel for charitable purposes, as defined by Government Code sec-
tion 12599.1, or commercial coventurers, as defined by Government
Code section 12599.2.
NOTE: Authority cited: Sections 12586 and 12587, Government Code. Reference:
Sections 12585, 12586, 12587, 12599, 12599.1 and 12599.2, Government Code.
History
1. New section filed 10-7-99; operative 1 1-6-99 (Register 99, No. 41).
2. Amendment of section and Note filed 6-13-2005; operative 6-13-2005 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 24).
§ 312. Use of Annual Registration Fee.
Annual registration fees paid pursuant to Government Code section
12587 and section 311 of this chapter, and registration or renewal fees
paid pursuant to Government Code sections 12599, 12599.1 and
1 2599.2, shall be used solely to operate and maintain the Attorney Gener-
al' s Registry of Charitable Tnists and provide public access via the Inter-
net to reports filed with the Registry of Charitable Trusts in the office of
the Attorney General, Sacramento, California.
NOTE: Authority cited: Secfions 1 2586 and 1 2587. Government Code. Reference:
Sections 12585, 12586, 12587, 12599, 12599.1 and 12599.2, Government Code.
History
1. New section filed 10-7-99; operative 1 1-6-99 (Register 99, No. 41 ).
2. Amendment of section and Note filed 6-13-2005: operative 6-13-2005 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 24).
§ 31 2.1 . Board or Trustee Review of Executive
Compensation.
The board of directors or an authorized committee of the board of a
charitable corporation or unincorporated association and all trustees of
a charitable trust shall review and approve the compensation, including
benefits, of all of the following: every person, regardless of title, with
powers, duties, or responsibilities comparable to the president, chief
executive officer, treasurer, or chief financial officer. The review shall
be conducted in accordance with Government Code section 12586(g).
NOTE: Authority cited: Sections 12586 and 12587, Government Code. Reference:
Section 12586, Government Code.
History
1. New section filed 6-13-2005; operative 6-13-2005 pursuant to Government
Code section 11343.4 (Register 2005, No. 24).
Chapter 4.1. Regulations Adopted
Pursuant to the Statewide Registry of
Private Conservators and Guardians*
*Chapter 13 of Part 4, Division 4, Probate Code (Sections 2850
through 2856, Probate Code)
Article 1. Title, Scope, and Definitions
§313. Title and Scope.
This chapter shall be known as the Department of Justice Regulations
for the Statewide Registry of Private Conservators and Guardians. These
regulations implement, interpret and make specific the establishment of
a Statewide Registry of private conservators and guardians as required
by Probate Code sections 2850 through 2856 enacted by statute in 1999
and effective January 1 , 2000. These regulations apply to any such pri-
vate conservator and guardian who wishes to be appointed to, or to con-
tinue serving in, such a position after January 1, 2000. These regulations
apply to any trustees who voluntarily choose to register with the State-
wide Registry of Private Conservators and Guardians.
NOTE: Authority cited: Sections 2850-2856, Probate Code. Reference: Sections
2850-2856, Probate Code.
History
1. New chapter 4.1 (articles 1-5), article 1 (secfions 313-314) and section filed
2-7-2000 as an emergency; operative 2-7-2000 (Register 2000. No. 6). A Cer-
tificate of Compliance must be transmitted to OAL by 6-6-2000 or emergency
language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-7-2000 order transmitted to OAL 5-26-2000
and filed 7-10-2000 (Register 2000, No. 28).
§314. Definitions.
The following definitions shall be applicable when used in these regu-
lations:
(a) "Administrative information" means any information reasonably
necessary for the Department of Justice to maintain in the performance
of the duties required by Chapter 13, Part 4, Division 4 of the Probate
Code. Such information includes, but is not limited to, the date a Regis-
tration Application is received, the date the registration takes effect, and
the expiration date of the registration.
Page 10.2(b)(1)
Register 2008, No. 28; 7-11-2008
§315
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(b) "Attorney General" means the California Attorney General or any
employee of the Attorney General acting under the authority of the Attor-
ney General.
(c) "Certificate of Registration" means the unique registration number
issued by the Department of Justice to each registrant whose registration
application is accepted by the Department of Justice for inclusion in the
Statewide Registry and the registration application to which this number
is affixed.
(d) "Complaint" means a complaint as described in section 2850(e) of
the Probate Code.
(e) "Conservator" means a conservator required to register in the Sta-
tewide Registry as provided in Chapter 13, Part 4, Division 4 of the Pro-
bate Code.
(f) "Court" means the court in which a conservatorship or guardian-
ship proceeding is held, any judge in such proceeding, or a person acting
at the direction of the judge.
(g) "Declaration" means the Form SRCG-1 signed by the registrant
declaring that the information therein is true and complete.
(h) "Department of Justice" means the California Department of Jus-
tice or any employee of the Department of Justice acting under the au-
thority of the Department of Justice.
(i) "Fee", "Registration Fee," or "Renewal Fee" means the fee autho-
rized by Probate Code section 2850.
(j) "Guardian" means a guardian required to register in the Statewide
Registry as provided in Chapter 13, Part 4, Division 4 of the Probate
Code.
(k) "Public access" means access to the Statewide Registry by any per-
son other than a court as defined in these regulations. Conservators and
guardians are considered members of the public except with regard to the
information in the conservator's or guardian's own registration applica-
tion.
(/) "Registrant" means a conservator or guardian who has filed an ap-
plication to be registered in the Statewide Registry.
(m) "Registration Application" means Form SRCG-1 (issued January
2000) and all required accompanying documentation such as verification
of college or graduate degrees a registrant claims to hold.
(n) "Statewide Registry" means all information and documents filed
with and maintained by the Attorney General as provided in Chapter 13,
Part 4, Division 4 of the Probate Code, including registration applications
and electronic databases.
(o) "Verification of college or graduate degree" means documentation
which substantiates the registrant has been awarded the degree claimed
in the registration application such as a letter or transcript from the educa-
tional institution which awarded the degree attesting to the fact that the
registrant holds the specific degree claimed, including the date the degree
was awarded.
NOTE: Authority cited: Sections 2850-2856, Probate Code. Reference: Sections
2850-2856, Probate Code.
History
1. New section filed 2-7-2000 as an emergency; operative 2-7-2000 (Register
2000, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-6-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 2-7-2000 order transmitted to OAL 5-26-2000
and filed 7-10-2000 (Register 2000, No. 28).
Article 2. Manner of Registration, Who
Must Register, Fee for Registration
§315. Registration.
Every person required by Probate Code sections 2850 through 2856
to do so shall, prior to requesting appointment by a court as a conservator
or guardian, register with the Department of Justice's Statewide Registry
of Private Conservators and Guardians to be established and maintained
by the Attorney General. Each registrant shall file Form SRCG-1, the
registration form prescribed by the Attorney General, and the required
fee, at the address set forth in section 316. Any person who has been ap-
pointed as a conservator or guardian prior to January 1 , 2000, who wishes
to continue such appointment shall register according to the schedule set
forth in Probate Code section 285 1 (b). As provided in Probate Code sec-
tion 2856, trustees may register but are not required to do so. Any trustee
who chooses to register is subject to these regulations and shall register
in the same manner as conservators and guardians.
NOTE: Authority cited: Sections 2850-2856, Probate Code. Reference: Sections
2850-2856, Probate Code.
History
1 . New article 2 (sections 315-320) and section filed 2-7-2000 as an emergency;
operative 2-7-2000 (Register 2000. No. 6). A Certificate of Compliance must
be transmitted to OAL by 6-6-2000 or emergency language will be repealed by
operation of law on the following day.
2. Editorial correction of typographical error (Register 2000. No. 28).
3. Certificate of Compliance as to 2-7-2000 orderlransmitted to OAL 5-26-2000
and filed 7-10-2000 (Register 2000, No. 28).
§316. Place of Filing.
The address to be used for delivery and receipt of mail, information,
registration applications, amendments, fees and other material required
by Probate Code sections 2850 through 2856 is:
OI-FICti OI- THI-: attorney Gt-:NERAL
ATTN.: STATHWIDH Rf-XilSTRY OP PRIVATE CONSERVATORS AND CiUARHIANS
1300 I STREET
P.O. BOX 903447
SACRAMENTO, CA 94203-4470
The telephone number to be used for inquiries relating to the Statewide
Registry is (916) 322-9288.
Registrants may also access Form SRCG-1 electronically via the In-
ternet at the Attorney General Website.
Note: Authority cited: Section 2850, Probate Code. Reference: Section 2850,
Probate Code.
History
1. New section filed 2-7-2000 as an emergency; operative 2-7-2000 (Register
2000, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-6-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 2-7-2000 order transmitted to OAL 5-26-2000
and filed 7-10-2000 (Register 2000, No. 28).
§ 317. Registration Applications.
Any person who wishes to be appointed to, or to continue serving in,
a position as a private conservator or guardian shall file an application
with the Attorney General to be registered in the Statewide Registry man-
dated by Probate Code section 2850. The registration application shall be
submitted on Form SRCG-1 . the form prescribed by the Attorney Gener-
al, shall contain all of the information required by section 2850(b) of the
Probate Code, including the signed declaration, and shall be submitted
in the manner required by these regulations.
The Attorney General will establish an electronic means of submitting
registration information via the Internet. An applicant who uses the Inter-
net shall enter the information required by Probate Code section 2850
electronically and submit a printed and signed form with the required fee
and all applicable verifications of educational degrees to the above ad-
dress. The Attorney General shall add administrative information, as de-
fined in section 314(a) of these regulations, which is reasonably neces-
sary to administer and maintain the Statewide Registry.
NOTE; Authority cited: Section 2850, Probate Code. Reference: Section 2850,
Probate Code.
History
1. New secfion filed 2-7-2000 as an emergency; operafive 2-7-2000 (Register
2000, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-6-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 2-7-2000 order transmitted to OAL 5-26-2000
and filed 7-10-2000 (Register 2000, No. 28).
§ 318. Time of Registration and Renewal Registration.
The initial registration application and renewal applications shall be
filed at the times required by Probate Code secdons 2850 and 285 1 . Reg-
istrations shall be renewed as prescribed in Probate Code section 2850.
Renewal applications shall be filed with the Attorney General at least 60
days prior to the required date of renewal.
Note: Authority cited: Sections 2850 and 2851, Probate Code. Reference: Sec-
tions 2850 and 2851, Probate Code.
History
\. New secfion filed 2-7-2000 as an emergency; operative 2-7-2000 (Register
2000. No. 6). A Certificate of Compliance must be transmitted to OAL by
Page 10.2(b)(2)
Register 2008, No. 28; 7-11-2008
Title 11 Attorney General §319
6-6-2000 or emergency language will be repealed by operation of law on the the cost of establishing and maintaining the Statewide Registry. The fee
following day^ ,^.,...^^^0 is $385 for the initial three year registration period.
2. CertiticateofComphance as to 2-7-2000 ordertransmitted to OAL 5-26-2000 ., , ,. • ■ . a ■ ^o-r^ t^ u ^ j r, x- o • -.o^m
and filed 7-10-2000 (Register 2000 No 28) NOTE: Authonty cited: Section 28^0, Probate Code. Reference: Section 28.50,
Probate Code.
§319. Fee for Registration. History
The fee for initial registration and for each registration renewal shall j ^^^ section filed 2-7-2000 as an emergency; operative 2-7-2000 (Register
be determined by the Attorney General and shall be sufficient to cover 2000, No. 6). A Certificate of Compliance must be transmitted to OAL by
[The next page is 10.2(c).]
Page 10.2(b) (3) Register 2008, No. 28; 7-11-2008
Title 11
Attorney General
§326
•
6-6-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 2-7-2000 order transmitted to OAL 5-26-2000
and filed 7-10-2000 (Register 2000, No. 28).
§ 320. Registration Applications — Grounds for Denial.
Any application received by the Attorney General which is not on the
prescribed form, is incomplete, unsigned, illegible, or does not include
the required fee and the information and documents required by Probate
Code section 2850, shall not be accepted for filing but shall be returned
to the applicant with the reason for the denial indicated and with any fee
submitted. The applicant may resubmit a new application at any time, but
such resubmitted applications shall be processed only after all other
pending applications have been processed.
NOTE: Authority cited: Section 2850, Probate Code. Reference: Section 2850,
Probate Code.
History
1. New section filed 2-7-2000 as an emergency; operative 2-7-2000 (Register
2000, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-6-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 2-7-2000 order transmitted to OAL 5-26-2000
and filed 7-10-2000 (Register 2000, No. 28).
Article 3. Contents of and Access to the
Statewide Registry; Certificate of
Registration
§ 321. Statewide Registry.
The Attorney General shall maintain copies of all registration applica-
tions accepted for filing and copies of all other information provided pur-
suant to sections 2850(e) and 2852 of the Probate Code which together
shall constitute the Statewide Registry required by section 2850 of the
Probate Code. The Attorney General may retain the foregoing informa-
tion in electronic form so long as actual copies are archived and retriev-
able.
NOTE: Authority cited: Section 2850, Probate Code. Refeitjnce: Section 2850,
Probate Code.
History
1. New article 3 (sections 321-324) and section filed 2-7-2000 as an emergency;
operative 2-7-2000 (Register 2000, No. 6). A Certificate of Compliance must
be transmitted to OAL by 6-6-2000 or emergency language will be repealed by
operation of law on the following day.
2. Certificate of Compliance as to 2-7-2000 order transmitted to OAL 5-26-2000
and filed 7-10-2000 (Register 2000, No. 28).
§ 322. Certificate of Registration.
After the Attorney General has accepted a registration application for
filing, the registrant shall be assigned a Certificate of Registration num-
ber which shall be entered by the Attorney General on Form SRCG-1 .
A copy of the form with the Certificate of Registration number shall be
returned to the registrant and shall constitute the certificate of registration
required by section 2850(d) of the Probate Code.
NOTE: Authority cited: Section 2850, Probate Code. Reference: Section 2850,
Probate Code.
History
L New section filed 2-7-2000 as an emergency; operative 2-7-2000 (Register
2000, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-6-2000 or emergency language will be repealed by operation of law on the
following day.
2 . Certificate of Compliance as to 2-7-2000 order transmitted to OAL 5-26-2000
and filed 7-10-2000 (Register 2000, No. 28).
§ 323. Appointment of Private Conservators and
Guardians.
After January 1 , 2000, except as provided in Probate Code sections
2852 and 2853, no court shall appoint any person as a private conservator
or guardian unless that person is registered in the Statewide Registry and
the court considers all of the information pertaining to that person con-
tained in the Statewide Registry in deciding whether to appoint that per-
son.
NOTE: Authority cited: Sections 2850 and 285L Probate Code. Reference: Sec-
tions 2850 and 2851, Probate Code.
History
1. New section filed 2-7-2000 as an emergency; operative 2-7-2000 (Register
2000, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-6-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 2-7-2000 order transmitted to OAL 5-26-2000
and filed 7-10-2000 (Register 2000. No. 28).
§ 324. Access to Statewide Registry.
The court shall have access to all information in the Statewide Registry
as provided in section 2850 of the Probate Code. Otherwise, all informa-
tion in the Statewide Registry is confidential, except that any member of
the public may determine if a private conservator or guardian is regis-
tered and also may obtain the information specified in section 2850(c) of
the Probate Code.
A conservator or guardian shall be considered a member of the public
for purposes of access to the Statewide Registry except as to the informa-
tion in his or her own registration file. Upon request, a conservator or
guardian may obtain copies of such information at the same cost normal-
ly charged by the Attorney General for providing copies of docuinents.
Ultimately, information in the Statewide Registry will be accessible
via the hitemet at the Attorney General's Website, except that copies of
complaints and other information provided by the courts pursuant to Pro-
bate Code sections 2850 and 2852, and verification of college and gradu-
ate degrees, need not be accessible electronically. If such information is
not accessible by the courts electronically, the fact of their filing with the
Attorney General shall be noted, and, upon request, copies shall be made
available to the courts at the same cost normally charged by the Attorney
General for providing copies of documents.
NOTE: Authority cited: Section 2850, Probate Code. Reference: Section 2850,
Probate Code.
History
1. New section filed 2-7-2000 as an emergency; operative 2-7-2000 (Register
2000, No. 6). A Certificate of Compliance must be transmitted to OAL by
6-6-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 2-7-2000 order transmitted to OAL 5-26-2000
and filed 7-10-2000 (Register 2000, No. 28).
Article 4.
Penalties for False Registration
or Misrepresentation
§ 325. Penalties for False Registration or
Misrepresentation.
The penalties for serving as a private conservator or guardian without
timely registering, for submitting false information in the registration ap-
plication, or for making misrepresentations specified in Probate Code
section 2852 shall be those penalties set forth in sections 2850 and 2852
of the Probate Code. Each instance of a misrepresentation, submission of
false information, or appointment as a conservator or guardian without
being timely registered shall constitute a separate violation and shall sub-
ject the conservator or guardian to a separate penalty.
NOTE: Authority cited: Sections 2850, Probate Code. Reference: Sections 2850
and 2852, Probate Code.
History
1 . New article 4 (section 325) and section filed 2-7-2000 as an emergency; opera-
tive 2-7-2000 (Register 2000, No. 6). A Certificate of Compliance must be
transmitted to OAL by 6-6-2000 or emergency language will be repealed by
operation of law on the following day.
2. Editorial correction of typographical ertor (Register 2000, No. 28).
3. Certificate of Compliance as to 2-7-2000 order transmitted to OAL 5-26-2000
and filed 7-10-2000 (Register 2000, No. 28).
Article 5. Miscellaneous Provisions
§ 326. Requests by Attorney General.
Courts, conservators and guardians shall furnish all information, doc-
uments and other records requested by the Attorney General in order to
estabUsh and maintain the Statewide Registry.
NOTE: Authority cited: Sections 2850 and 2852, Probate Code. Reference: Sec-
tions 2850 and 2852, Probate Code.
Page 10.2(c)
Register 2005, No. 19; 5-13-2005
§327
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
History
1 . New article 5 (sections 326-327) and section filed 2-7-2000 as an emergency;
operative 2-7-2000 (Register 2000, No. 6). A Certificate of Compliance must
be transmitted to OAL by 6-6-2000 or emergency language will be repealed by
operation of law on the following day.
2. Certificate of Compliance as to 2-7-2000 order transmitted to OAL 5-26-2000
and filed 7-10-2000 (Register 2000, No, 28).
§ 327. Inquiries and Investigations.
Courts, conservators and guardians shall cooperate fully with any in-
quiry or investigation that may be undertaken by the Attorney General.
NOTC: Authority cited: Sections 2850 and 2852, Probate Code. Reference: Sec-
tions 2850 and 2852, Probate Code.
History
1 . New section and forms filed 2-7-2000 as an emergency; operative 2-7-2000
(Register 2000, No. 6). A Certificate of Compliance must be transmitted to OAL
by 6-6-2000 or emergency language will be repealed by operation of law on
the following day.
2. Certificate of Compliance as to 2-7-2000 order transmitted to OAL 5-26-2000
and filed 7-10-2000 (Register 2000, No. 28).
INSTRUCTIONS FOR COMPLETION AND SUBMISSION OF REGISTRATION
APPLICATION FOR CALIFORNIA STATEWIDE REGISTRY FOR PRIVATE
CONSERVATORS AND GUARDIANS
1. Please print or type all of the information asked for in the Registration Application form.
2. Please sign the Declaration at the bottom of the Registration Application.
3. Attach verifications of any college or graduate degrees claimed (verifications must be either copies of
transcripts or letters from the institution from which you obtained a degree).
4. Attach a check payable to the Department of Justice for $385.00.
5. Make a hard copy of your signed Registration Application for your records.
6. Please mail your Registration Application, registration fee, and all supporting documents to the address listed
below.
7. If your Registration Application is deemed to be complete by the California Statewide Registry, a copy of your
form, which will include your Certificate of Registration Number, will be returned to you and will constitute
your Certificate of Registration from the Attorney General.
8. If your Registration Application is incomplete (i.e., missing education verifications, unsigned, submitted
without the proper fees, etc.), it will be returned to you so that you can properly complete it and resubmit it.
Resubmitted applications will be processed only after all other pending applications have been processed.
10. Your initial registration is for a three year period. Your renewal date will appear on the bottom of the
completed Registration Application which will be returned to you with the Certificate of Registration Number. It
is your responsibility to renew your registration before the date of expiration. You should check with this office
to determine if there has been any change in the fee or other requirements for registration. Please submit renewal
registration form, fee and verification at least 60 days before the expiration date of your registration.
California Statewide Registry of Private Conservators and Guardians
c/o California Attorney General's Office
1300 I Street, Suite 1130
P.O. Box 903447
Sacramento, CA 94203^W70
Fax number: (916) 444-3651 Telephone: (916) 322-9288
E-Mail: WilsonG@hdcdojnet.state.ca.us
Page 10.2(d)
Register 2005, No. 19; 5-13-2005
Title 11
Attorney General
§327
•
Registration Application in California Statewide Registry of
Private Conservators and Guardians
1. Name:
Last
M.I.
First
2. List educational background. Verification for all degrees claimed must be attached to this form.
Name and Location of
College or University
Attended
Major
Subject
Dates Attended
From - To
Units Completed
Semester Quarter
List Degree Earned &
Date of Graduation
Briefly describe your professional experience that you belive qualifies you to be appointed as a private
conservator or guardian.
Page 1 of 3
Page 10.2(e)
Register 2004, No. 19; 5-7-2004
§ 327 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 11
Name:
Last M.I. First
4. Professional Name:
5. Business Address:
Mailing Address
City, County, State, Zip Code
6. Business Telephone: ( )
Area Code Telephone Number
7. List the aggregate dollar value of assets of convervatees currently under your supervision
8. List the names of your current conservatees.
9. Have you ever been removed for cause or resigned as a conservator or guardian?
□ Yes
□ No
Page 2 of 3
Page 10.2 (f) Register 2004, No. 19; 5-7-2004
Title 11
Attorney General
§327
Name:
Last
M.I.
First
1 0. If yes, provide the following information for each case from which you were removed for cause or
resigned:
CASE NAME
COURT LOCATIONS
CASE NUMBERS
1 1 . For each case listed above, please describe specifically the facts and circumstances which caused you to be
removed or to resign as a conservator or guardian.
12. I have enclosed a check for registration or renewal in the amount of $
I declare that the information contained in this document is true and correct to the best of my knowledge
and belief.
Date:
Signature:
Any person who signs this declaration asserting the truth of any material matter which he/she knows to be
false is guilty of a misdemeanor. Any person who serves as a conservator or guardian without being regis-
tered with the Statewide Registry, who commits fraud in registering, who falsely asserts that he/she is regis-
tered or who makes false claims or representations as to the nature of his/her file contained in the registry
shall be subject to civil penalties.
Renewal Date:
Date of Certification:
Certificate of Registration No.
Page 3 of 3
[The next page is 10.3.]
Page 10.2(g)
FORM SRCG-I
(January 2000)
Register 2004, No. 19; 5-7-2004
Title 11
Attorney General
§357
Chapter 4.3. Regulations Adopted
Pursuant to the California Uniform
Supervision of International Student
Exchange Visitor Placement Organizations
Act of 1994*
*Article 8.2 of Chapter 6. Division 3, Title 2, Government Code (Sections 12620
through 12630, Goveniment Code)
Article 1. General Provisions and
Definitions
§ 350. Registration.
Every organization required by the provisions of the California Uni-
form Supervision of International Student Exchange Visitor Placement
Organizations Act of 1994 (Article 8.2 of Chapter 6, Division 3, Title 2
of the Government Code commencing with section 12620) shall, prior to
arranging the placement of any international student exchange visitor in
any elementary or secondary school or other educational program in Cal-
ifornia, register with the Attorney General's Registry of International
Student Exchange Visitor Placement Organization by filing Form ISEV-
PO-1 , the registration form prescribed by the Attorney General, with the
Registry at the address set forth in section 35 1 .
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12623 and 12627, Government Code.
History
1 . New chapter 4.3 (sections 350-384), article 1 and section filed 1-1 1-96; opera-
tive 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96,
No. 2).
2. Change without regulatory effect amending chapter heading and section filed
8-26-96 pursuant to section 1 00, title 1 , California Code of Regulations (Regis-
ter 96, No. 35).
§351. Place of Filing.
The address to be used for delivery and receipt of mail, information,
registration applications, amendments, fees and other material required
by the Act is:
OFFICE OF THE ATTORNEY GENERAL
ATTN; REGISTRY OF INTERNATIONAL STUDENT EXCHANGE
VISITOR PLACEMENT ORCiANIZATIONS
455 GOLDEN GATE AVENUE, SUITE 11000
SAN FRANCISCO. CA 94102-7004
The telephone number to be used for inquiries relating to this Act and
to be disclosed by the organization as required by the Act is: (415)
703-1006.
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12622, 12623 and 12627, Government Code.
History
1 . New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
2. Amendment filed 3-15-2006; operative 4-14-2006 (Register 2006, No. 11).
§ 352. Public Records.
The registration applications, copies of instruments and reports filed
with the Attorney General shall be open to public inspection at the Office
of the Attorney General in San Francisco at such reasonable times as the
Attorney General may determine. Such inspections shall at all times be
subject to the control and supervision of an employee of the Office of the
Attorney General.
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12625 and 12627, Government Code.
History
1 . New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
secfion 1 1343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending section filed 8-26-96 pursuant to
section 100, title 1, California Code of Regulauons (Register 96, No. 35).
§ 353. Registration Applications.
All registration applications shall be subiTiitted in the manner and on
the form prescribed by the Attorney General, as required by Paragraph
(a) of section 1 2626 of the Government Code.
NotE: Authority cited: Section 12627, Government Code. Reference: Sections
12626 and 12627, Government Code.
History
1. New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
§ 354. Registration Applications — Grounds for Denial.
Any application received by the Attorney General which is not on the
prescribed form, is incomplete, unsigned, illegible, or does not include
all required fees, information and documents, as required by paragraph
(a) of section 12626 of the Government Code, shall not be accepted for
filing.
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12623, 12626 and 12627, Government Code.
History
1 . New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending section filed 8-26-96 pursuant to
section 100, title 1, Cahfomia Code of Regulations (Register 96. No. 35).
§ 355. Time of Registration and Renewal.
The initial registration and annual renewals shall be filed as required
by paragraph (a) of section 12623 of the Government Code.
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12623 and 12627, Government Code.
History
1. New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
§ 356. Fees for Registration.
Fees for registration and renewal shall be calculated as required by
paragraph (b) of section 1 2623 of the Government Code.
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12623 and 12627, Government Code.
History
1. New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 11343.4(d) (Register 96, No. 2).
§ 357. Definitions.
Terms defined in section 12621 of the Government Code shall apply
in these regulations. In addition, the following definitions shall be appli-
cable when used in these regulations:
(a) "Attorney General" means the California Attorney General or any
employee of the Attorney General acting under the authority of the Attor-
ney General.
(b) "Act" means the California Uniform Supervision of International
Student Exchange Visitor Placement Organization Act of 1 994.
(c) "Host family" means the family residing in the State of California
that the international student exchange visitor resides with during his or
her period of academic study.
(d) "U.S. Department of State regulations" means regulations promul-
gated by the United States Department of State, Educational and Cultural
Affairs Division (U.S. Department of State) governing exchange visitor
programs designated by them.
(e) "U.S. Department of State designation letter" means the letter from
the U.S. Department of State showing acceptance into its program.
(f) "Responsible officer" means the officer or employee of the interna-
tional student placement organization who has primary authority for su-
pervising placements in the State of California.
(g) "Responsible officer address" means the physical location of the
responsible officer.
(h) "Immediate family" means the parent(s) or legal guardian(s) of an
international student exchange visitor.
(i) "Nonimmigrant visa" means a visa category used by nonresident
aliens whose primary purpose for visiting the United States is to study
full time at an approved institution.
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12621 and 12627, Government Code.
Page 10.3
Register 2006, No. 11; 3-17-2006
§358
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
History
1. New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsections (b) and (c) filed
8-26-96 pursuant to section 1 00, title 1 , California Code of Resulalions (Regis-
ter 96, No. 35).
3. Amendment of subsections (d) and (e) filed 3-13-2006; operative 4-14-2006
(Register 2006, No. 11).
Article 2. International Student Exchange
Agency Registration Standards
§ 358. Selection of Student.
The organization shall be fully responsible for the selection of suitable
students for participation in its international student exchange visitor
program. Selection shall be limited to students who have a sufficient
command of the English language to enable them to function well in an
English-speaking academic and community environment. Students shall
also be screened for demonstrated maturity, good character, and ability
to derive maximum benefit from the program experience.
NOTE: Authority cited; Section 12627, Government Code. Reference: Sections
12627 and 12628. Government Code.
History
1. New anicle 2 and section filed 1-1 1-96; operative 1-1 1-96 pursuant to Govern-
ment Code section 1 1343.4(d) (Register 96. No. 2).
§ 359. Orientation of Students and Host Families.
(a) The organization shall provide:
(1) Each student and immediate family of each student with suitable
orientation prior to departure from their home and upon arrival in the
State of California to acquaint them in advance with the customs of the
State of California and the United States. In addition, they shall be pro-
vided with detailed knowledge of the school and academic program in
which he or she will be participating and information relating to their host
family.
(2) Each host family with suitable orientation in advance of the stu-
dent's arrival, including information on family, school, cultures of the
student's native country, as well as information relating to the academic
program in which the student will be enrolled.
(b) Each organization shall maintain in their records a copy of the let-
ters used to notify the student, immediate family, and host family of the
above information.
Note: Authority cited: Section 12627, Government Code. Reference: Sections
12627 and 12628, Government Code.
History
1. New section filed 1-1 1-96; operative 1-11-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsection (a)(1) filed 8-26-96
pursuant to section 100, title 1 , California Code of Reguladons (Register 96, No.
35).
§ 360. Health and Accident Insurance.
(a) Each organization shall ensure that every student participating in
the exchange program has health and accident insurance from the time
of departure from home to the time the student returns to his or her home
country. Minimum acceptable insurance is:
( 1 ) Medical and accident coverage of fifty thousand dollars per illness
or accident;
(2) Preparation and transportation of remains to the student's home
country (minimum of five thousand dollars) in the event of death. Cover-
age may be provided in one of the following ways:
(A) By the student;
(B) By the organization.
(b) The organization is responsible for providing each student, each
student's immediate family and the host family detailed printed informa-
tion regarding the terms and limits of insurance coverage and procedures
for filing a claim (including forms wherever possible).
(c) The organization shall maintain in its files proof of health and acci-
dent insurance.
NOTE: Authority cited: Section 12627, Government Code. Reference: Section
1 2627, Government Code.
History
1. New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
secfion 1 1343.4(d) (Register 96, No. 2).
§ 361 . Acceptance of Students.
No student shall be brought into the State of California by the organi-
zation unless he or she has been accepted in writing as a student by the
legally authorized designee of the admitting school. The organization
shall maintain in its files copies of such documents authorizing enrol-
lment.
NOTE: Authority cited: Sections 12627, Government Code. Reference: Section
1 2627, GoveiTiment Code.
History
1. New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
secfion 1 1343.4(d) (Register 96, No. 2).
§ 362. Selection of Host Family.
(a) The orgaiiization is responsible for making all arrangements for the
placement of each student with a host family whose home is located in
a place convenient to the educational institution in which the student is
to be enrolled.
(b) The organization shall make every effort to assure the maximuin
degree of compatibility between the family and the student, including,
wherever possible, the presence in the family of a teenage student.
(c) The organization's representative shall visit the home of, and per-
sonally interview, each host family before a student is assigned to such
family.
(d) The organization shall ensure that its representative selects only
those homes which reflect the high quality expected of the International
Student Exchange Agency Program.
(e) A written record shall be made of this visit and interview by the rep-
resentative, a copy of which shall be maintained by the organization.
(f) Selection of host families and assignment of students shall be made
as far in advance of the student's arrival as possible, but in no event less
than three weeks prior to departure from the student's home.
(g) No organization shall bring a student into the United States without
written acceptance from the host family.
(h) The host family shall be advised in writing of the name, age, educa-
tional status, other background information, and anticipated arrival time
of the assigned student.
(i) The student's immediate family shall be advised in wrifing of the
name, address, family composition, and other background information
concerning the host family at the earliest possible time, to permit the ex-
change of correspondence between the respective families in advance of
the student's arrival.
(j) Copies of these notifications shall be maintained in files by the or-
ganization.
NOTE: Authority cited: Section 12627, Government Code. Reference: Section
12627, Government Code.
History
1. New secfion filed 1-1 1-96; operafive 1-11-96 pursuant to Government Code
secfion 1 1343.4(d) (Register 96, No. 2).
§ 363. Host Family Housing Requirements for Students.
(a) Each organizaUon shall be responsible for placing the student with
a host family which can provide housing which:
(1) Furnishes separate private sleeping quarters for each sex;
(2) A bed of his or her own; and
(3) No more than four persons to a bedroom.
(b) The host family's home and household equipment shall be main-
tained in a clean and sanitary condition, free of hazards, and in good re-
pair. The home shall be accessible to other resources in the event of an
emergency (e.g., telephone, emergency services, etc.).
NOTE: Authority cited: Section 12627, Government Code. Reference: Secfion
12627, Government Code.
History
1. New section filed 1-1 1-96; operafive 1-1 1-96 pursuant to Government Code
secfion 1 1343.4(d) (Register 96, No. 2).
Page 10.4
Register 2006, No. 11; 3-17-2006
Title 11
Attorney General
§370
2. Change without regulatory effect amending subsection (b) filed 8-26-96 pur-
suant to section 100, title 1, California Code of Regulations (Register 96, No.
§ 364. Change in Host Family Assignment.
If unforeseen events occur and it is in the best interest of the student,
the organization may make a change in the host family assignment of a
student. Reports of any such changes and the reasons therefore shall be
retained by the organization. Notification of any change shall be sent
within twenty-four hours to the immediate family, host families, and the
school of placement.
NOTE: Authority cited: Section 12627, Government Code. Reference: Section
12627, Government Code.
History
1. New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
§ 365. Employment of Students.
(a) Each organization shall advise its students that they may not accept
or undertake regular employment while enrolled in the program.
(b) Students may engage in occasional intermittent jobs, such as tutor-
ing, grass-cutting, baby-sitting and the like.
(c) Students may not perform the duties of a household domestic for
compensation or otherwise in the home of the host family.
(d) Students may be asked to assist in normal daily chores in the host
family household which other members of the family perform.
NOTE: Authority cited: Section 12627, Government Code. Reference: Section
12627, Government Code.
History
1. New section filed 1-1 1-96; operative l-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
§ 366. Supervision by Organization.
The organization shall maintain regular personal contact with each of
its students, the host family, and the high school in which each student
is enrolled. The organization shall initiate action to attempt to resolve any
problems which may arise with respect to the student's participation in
his or her academic program or with respect to the student's relationship
with his or her host family.
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12627 and 12628, Government Code.
History
1. New section filed 1-1 1-96; operative I-l 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
§ 367. Travel Responsibility of Organization.
(a) Each organization shall be responsible for maintaining records of
prepaid travel arrangements of all students placed in the State of Califor-
nia by the organization.
(b) Transportation must be provided both to and from the student's
home to their destination by air and/or surface modes of commercial
transportation.
(c) Travel arrangements shall be carried out by the purchase of a
round-trip ticket or tickets to their final destinations for each student
prior to the entry of each student into the State of California. These travel
arrangements may be made either:
( 1 ) By the organization; or
(2) By the student.
(d) A copy of the travel itinerary and a copy of the prepaid round-trip
ticket shall be maintained by the organization in their files.
(e) A copy of the prepaid round-trip ticket shall be given to the host
family.
NoTE: Authority cited: Section 12627, Government Code. Reference: Section
12627, Government Code.
History
1. New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsections (a) and (c) filed
8-26-96 pursuant to section 100, title 1, California Code of Regulations (Regis-
ter 96, No. 35).
§ 368. Information to Be Provided.
(a) An international student placement agency shall provide each stu-
dent, each student's immediate family, and the host family with the infor-
mation document which, in addition to the disclosures required by sec-
tion 12628 of the Government Code, shall contain at a minimum:
Disclosure of all monies paid to the agency which are to be paid to the
host family, students, or for special or additional activities during the pro-
gram period. The timing and method of payment are to be specified.
(b) In addition, each student and host family shall receive a statement
which includes the amount of the fee to be charged the student.
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12627 and 12628, Government Code.
History
1. New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
§ 369. Agency Records Requirements.
(a) Each organization shall keep records at the organizational office
of services rendered to host families and students. The records and obli-
gations shall include:
(1) The name, home address, and telephone number of the student (in
that student's home country) to whom services are provided or promised.
(2) The name, address and telephone number of the host family with
whom the student is placed, which shall be on file at least seven days prior
to the student's arrival in the State of California.
(3) Document that each student entered the State with a non-immi-
grant visa and is enrolled in an elementary or secondary educational insti-
tution, or any other educational program.
(4) Document that authorizes enrollment in school of acceptance.
(5) Copy of written records of interview between the organization's
representative and the host family.
(6) Copy of correspondence to the student's immediate family advis-
ing them of the name, address, family composition, and other back-
ground information concerning the host family.
(7) Copy of correspondence to host family(ies) advising them of the
name, age, educational status, other background information, and antici-
pated arrival time of student.
(8) The amount of the organization's fee(s) charged to a student and
an itemization of the services attributable to individual portions of the
fee(s).
(9) A complete copy of any written agreements entered into between
the organization, students, and the host families.
(10) Copy of health and accident insurance policy covering participat-
ing students and a statement of how coverage shall be provided.
(b) The records shall be maintained for a period of one year from the
date on which the student departs from the State of California. For pur-
poses of investigating a complaint or otherwise assuring compliance with
this Chapter and rules adopted thereunder, the records shall be subject to
inspection by the Attorney General upon request.
NOTE: Authority cited: Section 12627, Government Code. Reference: Section
12627, Government Code.
History
1. New section filed 1-1 1-96; operafive 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsections (a)(2)-(3) and (b) filed
8-26-96 pursuant to section 1 00, title 1 , California Code of Regulations (Regis-
ter 96, No. 35).
Article 3.
Conditions Applicable to
Registration
§370.
Appointment of a Responsible Officer and
Responsible Officer Address.
(a) Each organization shall appoint and continuously maintain a re-
sponsible officer, as required by section 12626 of the Government Code,
who has primary responsibility for supervising placements within the
State of California.
Page 10.5
Register 2006, No. 11; 3-17-2006
§371
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(b) The responsible officer shall be an employee or officer of the orga-
nization.
(c) The person who signs the application as responsible officer as re-
quired by section 12626 of the Government Code shows acceptance of
assuming the duties of the responsible officer.
(d) The responsible officer shall have an address which shall be a spe-
cific geographic location, and be identified by number, if any, and street,
or building address, or mral route, city, state, and zip code, or, if a com-
monly known street or airal route does not exist, by legal description. The
responsible officer's address may not be identified by post office box
number or other nongeographic address. For purposes of communicating
by mail, the Attorney General may permit the use of a post office address
in conjunction with the geographic location if they are located in same
city, if the organization also maintains on file the specific geographic ad-
dress of the California office.
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12626 and 12627, Government Code.
History
1. New article 3 and section filed 1-1 1-96; operative 1-1 1-96 pursuant to Govern-
ment Code section 1 1343.4(d) (Register 96, No. 2).
2. Change without regulator effect amending subsection (a) filed 8-26-96 pur-
suant to section 100. title 1, California Code of Regulations (Register 96, No.
35).
§ 371 . Change of Responsible Officer and/or Responsible
Officer Address.
An organization may change its responsible officer or responsible of-
ficer address by delivering to the Attorney General, within thirty days of
the change, a statement of change that sets forth:
(a) The name of the organization;
(b) If the current officer address is to be changed, the street address of
the new officer address in accordance with section 12626 of the Govern-
ment Code;
(c) If the current responsible officer is to be changed, the name of the
new responsible officer and the new officer's written consent accepting
the responsibility of the responsible officer.
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12626 and 12627, Government Code.
History
1. New section filed 1-1 1-96; operafive 1-1 1-96 pursuant to Government Code
secdon 1 1343.4(d) (Register 96. No. 2).
2. Amendment of first paragraph filed 3-15-2006; operative 4-14-2006 (Register
2006, No. 11).
§ 372. Resignation of Responsible Officer.
(a) A responsible officer may resign by signing and delivering to the
Attorney General for filing a statement of resignation. The statement
must also include a statement that the responsible officer address is also
discontinued.
(b) After filing the statement the Attorney General shall mail a copy
of the filed statement to the organization at its organizational address.
(c) The organization shall appoint a new responsible officer and re-
sponsible officer address within thirty days of notification.
NOTE: Authority cited: Section 12627, Government Code. Reference: Section
12627, Government Code.
History
1 . New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
§ 373. Duties of the Responsible Officer.
The officer who signs the application consenting to serve as responsi-
ble officer shall:
(a) Accept all official communications and inquiries from the Attor-
ney General on behalf of the organization.
(b) Maintain copies of all documentafion, as required by Section 369,
above, on behalf of the organization for each individual student placed
in the State of California.
(c) Furnish all documentation, information, reports, documents,
books, files and other records requested by the Attorney General on all
matters relating to the students placed in California by the organization.
NOTE: Authority cited: Section 12627, Government Code. Reference: Section
12627, Government Code.
History
1. New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending first paragraph and subsection (b)
tiled 8-26-96 pursuant to section 100, title 1, California Code of Regulations
(Register 96, No. 35).
§ 374. Individual Located in the State of California.
(a) The organization shall maintain an in-State telephone number.
This telephone number shall be registered to an individual residing in the
State of California, which may be:
(1) An employee for the organization; or
(2) An officer for the organization; or
(3) A volunteer for the organization.
(b) The organization shall insure that this individual has:
( 1 ) A listing of all placements of students by the organization and the
location of each in the State of California;
(2) Knowledge of emergency procedures;
(3) Twenty-four-hour contact with the organization for emergencies;
(4) Knowledge and capability to assist and advise the students in their
relationship with the organization.
(c) Each individual maintaining the in-State telephone number for the
organization shall sign a written agreement with the organization, a copy
of which shall be submitted to the Attorney General with the registration
application.
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12626, 12627 and 12628 , Government Code.
History
1. New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 11343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsections (a) and (b)( 1 ) filed
8-26-96 pursuant to section 100, title 1, California Code of Regulations (Regis-
ter 96, No. 35).
§ 375. Requirement to Register.
Each organization operating in California is required to register with
the Attorney General if two or more students are placed in an elementary
or secondary school or other educational program in California within
a five year period.
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12621, 12623 and 12627, Government Code.
History
1 . New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 11343.4(d) (Register 96, No. 2).
§ 376. Transaction of Business or Conducting Affairs.
No organization that is a foreign corporation or timited partnership
will be registered under this program unless and until the organization
complies with foreign corporation or limited partnership registration re-
quirements set forth in Corporation Code 2100 et seq. and 15691 et seq.,
respectively.
No nonprofit organization that is subject to the provisions of that act
entitied the "Supervision of Trustees and Fundraisers for Charitable Pur-
poses Act" (Article 7, Chapter 6, Part 2, Division 3, Tide 2, of the Gov-
ernment Code commencing with Section 12580) will be registered under
this program unless and until the organization complies with the registra-
tion requirements set forth in Government Code section 12580 et seq.
NOTE; Authority cited: Sections 2100 et seq. and 15692 et seq.. Corporations
Code; and Sections 12585 and 12627, Government Code. Reference: Section
12627, Government Code.
History
1 . New section filed 1-1 1-96; operafive 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
2. New second paragraph and amendment of Note filed 3-15-2006; operative
4-14-2006 (Register 2006, No. 11).
§ 377. Application for Registration.
(a) Any organization meeting the requirements set forth in Govern-
ment Code section 12621 shall register with the Attorney General. Such
registration shall be made on ISEVPO-1 , the form prescribed by the At-
torney General, and filed with the Attorney General's office.
Page 10.6
Register 2006, No. 11; 3-17-2006
Title 11
Attorney General
§383
(b) The applicant must also provide evidence that they have met the
established standards as an international student exchange visitor place-
ment organization as follows:
( 1 ) All organizations designated by the U.S. Department of State shall
submit a copy of the U.S. Department of State Designation letter showing
current registration; and submit a notarized statement, on ISEVPO-2, the
form prescribed by the Attorney General, declaring that the organization
has met all standards and obligations as required by 356 through 374
above.
(2) All organizations not designated by the U.S. Department of State
shall submit a notarized statement, on ISEVPO-2. declaring that the or-
ganization has met all the standards and obligations as required by Sec-
tions 356 through 374 above.
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12626 and 12627, Government Code.
History
1. New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
-section 1 1343.4(d) (Register 96, No. 2).
2. Amendment of subsections (b)(l)-(2) filed 3-15-2006; operadve 4-14-2006
(Register 2006, No. 11).
§ 378. Annual Renewal of Registration or Late
Registration.
(a) No later than January 1 5 of each calendar year in which the organi-
zation does business in California, the organization shall file a renewal
of registration with the Attorney General, by completing the registration
requirements set forth in Section 377 above. Such renewal of registration
shall be effective for one calendar year. If an organization registers with
the Attorney General after January 1 5 of the calendar year, the effective
date of the registration will be the date that the registration is approved
by the Attorney General, and the registration will expire on January 14th
of the following year.
(b) The Attorney General may mail a Form ISEVPO-1 to the responsi-
ble officer/responsible officer address within forty-five days prior to ex-
piration date of the registration.
(c) Failure of the Attorney General to notify the organization of renew-
al does not relieve the organization's obligation to file renewal docu-
ments.
(d) Applications for renewal of registration shall be filed no later than
the due date specified in section 12623 of the Government Code.
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12623, 12626 and 12627, Government Code.
History
1 . New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsection (b) filed 8-26-96 pur-
suant to section 100, title 1, California Code of Regulations (Register 96, No.
35).
3. Amendment of section heading and subsection (a) filed 3-15-2006; operative
4-14-2006 (Register 2006, No. 11).
§ 379. Fees.
(a) Organizations required to register under section 1 2623 of the Gov-
ernment Code shall pay an initial registration fee of one hundred fifty dol-
lars ($150).
(b) Organizations required to file renewal of registration under section
12623 of the Government Code shall pay an annual renewal fee of fifty
dollars ($50).
(c) A nofification of change of information required under section
12626 of the Government Code shall be accepted without fee so long as
the organization has current registration status.
NotE: Authority cited: Section 12627, Government Code. Reference: Sections
12623 and 12627. Government Code.
History
1. New secfion filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
Article 4. Termination and Revocation of
International Student Exchange
Organization's Registrations
§ 380. Termination.
Registrations of organizations shall be terminated when any of the fol-
lowing circumstances set forth occur:
(a) Voluntary termination. An organization may voluntarily terminate
its registration by notifying the Attorney General of such intent. The or-
ganization's registration shall terminate upon such notification.
(b) Failure to apply for renewal of registration. Failure to apply for re-
newal of registration will result in the automatic termination of the orga-
nization's registration. If so terminated, the organization must apply for
a new registration. The effective date of the new registration will be the
date that the registration is approved by the Attorney General, and the
registration will expire on January 14th of the following year.
(c) Loss of license, permit or accreditation. An organization's registra-
tion shall automaUcally terminate in the event that the organization fails
to remain in compliance with local, state or federal statutes and regula-
tions, or professional requirements necessary to carry out the activities
for which it was registered.
(d) Ownership change. An organization's registration shall automati-
cally terminate in the event of a change of structure of the organization.
(e) Failure to notify. An organization's registration shall automatically
terminate in the event the organization fails to notify the Attorney Gener-
al within thirty (30) days of any changes in their registration documents,
as required by Secfion 12626 of the Government Code.
NOTE: Authority cited: Section 12627, Government Code. Reference: Sections
12623, 12626 and 12627, Government Code.
History
1 . New article 4 and section filed 1-1 1-96; operative 1-1 1-96 pursuant to Govern-
ment Code section 1 1343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsection (e) filed 8-26-96 pur-
suant to section 100, title 1, California Code of Regulations (Register 96, No.
35).
3. Amendment of subsection (b) filed 3-15-2006; operative 4-14-2006 (Register
2006, No. 11).
§ 381 . Responsibilities of Organization upon Termination.
(a) The terminafion of the organizafion's registration shall not relieve
the organizafion's obligafion to all students who are in the State of Cali-
fornia.
(b) The organizafion shall immediately cancel any student's exchange
visit prior to entry to the State of California unless a transfer to another
registered program can be obtained.
NOTE: Authority cited: Section 12627, Government Code. Reference: Section
12626, Government Code.
History
1 . New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending section filed 8-26-96 pursuant to
section 100, title 1, Califomia Code of Regulations (Register 96, No. 35).
Article 5. Miscellaneous Provisions
§ 382. Adherence to Regulations.
Organizafions are required to adhere to Secfions 12620 through 12630
of the Government Code and Sections 350 through 384 of Title 1 1 , Chap-
ter 4.3 of the Califomia Code of Regulations.
NOTE: Authority cited: Section 12627, Government Code. Reference: Section
12627, Government Code.
History
1 . New article 5 and section filed 1-1 1-96; operative 1-1 1-96 pursuant to Govern-
ment Code section 1 1343.4(d) (Register 96, No. 2).
§ 383. Requests by Attorney General.
Organizations shall furnish all information, reports, documents,
books, files and other records requested by the Attorney General on all
matters related to the organization's intemafional student exchange visi-
tor placement programs.
Page 10.7
Register 2006, No. 11; 3-17-2006
§384
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
NOTE; Authority cited: Section 12627, Government Code. Reference: Section
12627, Government Code.
History
1. New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 1 1 343.4(d) (Register 96, No. 2).
§ 384. Inquiries and Investigations.
Organizations shall cooperate fully with any inquiry or investigation
that may be undertaken by the Attorney General.
NOTE: Authority cited: Section 12627, Goveminent Code. Reference: Sections
12627 and 12629. Government Code.
History
1. New section filed 1-1 1-96; operative 1-1 1-96 pursuant to Government Code
section 1 1343.4(d) (Register 96, No. 2).
Chapter 4.5. Regulations Adopted
Pursuant to the Uniform Management of
Institutional Funds Act
§ 401 . Reports Required of Institutions Electing to Avail
Themselves of the Powers Granted Under The
Uniform Management of Institutional Funds
Act.
Every institution as defined in Civil Code Section 2290.1(1). which
elects to avail itself of any of the powers granted under that act entitled
The Uniform Management of Institutional Funds Act (Chapter 3, Title
8. Part 4, Division 3d of the Civil Code, commencing with Section
2290. 1 ) shall file with the Attorney General reports as required by Civil
Code Section 2290.10.
NOTE: Authority cited: Section 2290.10, Civil Code.
History
1 . New Subchapter 4.5 (Sections 401-408) filed 8-22-75; effective thirtieth day
thereafter (Register 75, No. 34).
§ 402. Place of Filing.
All reports required to be filed under the provisions of Civil Code Sec-
tion 2290.10. and by these regulations, shall be filed with the Registrar
of Charitable Trusts in the Office of the Attorney General. Sacramento.
California.
§ 403. Reports to Be Filed on Forms Prescribed by the
Attorney General.
All reports required to be filed under the provisions of Civil Code Sec-
tion 2290.10. and by these regulations, shall be reported in writing on
forms prescribed by the Attorney General and obtainable on request from
the Registrar of Charitable Trusts.
§ 404. Time of Filing Reports.
(a) The first report required to be filed under the provisions of Civil
Code Section 2290.10. and by these regulations, shall be filed not later
than four (4) months and fifteen (15) days following the close of the first
calendar or fiscal year in which the institution required to file such report
has elected to avail itself of any of the powers granted under the provi-
sions of The Uniform Management of Institutional Funds Act. The
choice of calendar or fiscal year as a reporting period is up to the reporting
institution.
(b) If the date on which the first report of any institution is due under
these regulations has passed as of the time that these regulations take ef-
fect, then each such institution shall have until sixty (60) days after the
date that these regulations take effect, within which to file such report.
(c) Periodic reports shall thereafter be filed on an annual basis. The
time for filing annual reports subsequent to the filing of the first report
required under the provisions of Civil Code Section 2290.10. and by
these regulations, shall be no later than four (4) months and fifteen (15)
days following the close of each calendar or fiscal year subsequent to the
filing of the first report. The choice of calendar or fiscal year as a report-
ing period is up to the reporting insfitution.
(d) The Registrar of Charitable Trusts may grant such extensions of
Ume within which to file any reports required by Civil Code Section
2290. 10. or by these regulations, as he in the exercise of sound discrefion
shall deem appropriate; but in no event shall he extend the time to file any
such report beyond a period of six (6) months from the time such report
was originally due to be filed.
[The next page is 11.]
Page 10.8
Register 2006, No. 11; 3-17-2006
Title 11
Attorney General
§411
§ 405. Comparison Data to Be Filed Within One Year of
First Report.
(a) Within one year of tlie filing of the first report required under the
provisions of Civil Code Section 2290.10. and by these regulations, each
institution filing such a report shall also file on a form prescribed by the
Attorney General a report on the management of the institution's endow-
ment fund for the five (5) years immediately preceding January 1 , 1974.
(b) The purpose of such report is to provide comparison data on the
management of the endowment funds of reporting institutions, by which
a determination can be made whether the use of the powers granted under
the provisions of The Uniform Management of Institutional Funds Act
has resulted in improvements in the management of those funds.
§ 406. Filing of Written Statement by Institutions Electing
Not to Avail Themselves of the Powers Granted
Under the Provisions of The Uniform
Management of Institutional Funds Act.
Every institution electing not to avail itself of the powers granted un-
der the provisions of The Uniform Management of Institutional Funds
Act in any calendar or fiscal year shall file with the Registrar of Charita-
ble Trusts a written statement to that effect within the time that the institu-
tion would have been required to file a report, had it elected to use such
powers.
§ 407. Confidentiality of Reports.
(a) Reports required to be filed under the provisions of Civil Code Sec-
tion 2290.10, and by these regulations, shall be confidential. At the dis-
cretion of the Assistant Attorney General in charge of the Special Statuto-
ry Compliance Section of the Office of the Attorney General, such
reports shall be made available to such outside consultants as it may be
necessary or desirable to employ for the purpose of conducting a pilot
study or studies of the management of endowment funds of institufions
electing to use the powers granted under the provisions of The Uniform
Management of Institutional Funds Act.
(b) Any information furnished voluntarily to the Office of the Attorney
General by any institution electing not to use the powers granted by The
Uniform Management of Institutional Funds Act. which information is
furnished for the purpose of comparing the management of the endow-
ment funds of such insfitutions with that of institutions electing to use the
powers granted by the Act, shall be treated as specified in Section 407(a)
above.
§ 408. Duration.
This subchapter shall remain in effect until January 1, 1983. and as of
that date is repealed.
NOTE: Authority cited: Section 2290.10, Civil Code. Reference: Sections
2290.1-2290.12, Civil Code.
History
1 . Amendment filed 11 -2-78 as an emergency; effective upon filing (Register 78,
No. 44).
2. Certificate of Compliance filed 12-20-78 (Register 78, No. 51).
Chapter 4.6. Non-Profit Raffle Program
Regulations Chapter 9 of Part 1 , Title 9,
Penal Code (Section 320.5, Penal Code)
Article 1. Title, Scope, and Definitions
§410. Title and Scope.
This chapter shall be known as the Department of Justice Regulations
for the Non-Profil Raffle Program. These regulaUons implement, inter-
pret and make specific the establishment of a registration and reporting
program for specified non-profit organizations, as required by Penal
Code section 320.5, enacted by statute in 2000 and effective July 1 , 2001 .
These regulations apply to any eligible organization, as defined in Penal
Code section 320.5(c), which conducts a raffle as defined in Penal Code
secfion 320.5(b) on or after July 1, 2001.
NOTE: Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5,
Penal Code.
History
1. New chapter 4.6 (articles 1-5), article 1 (sections 410-41 1) and section filed
6-1-2001 as an emergency; operative 7-1-2001 (Register 2001. No. 22). A
Certificate of Compliance must be transmitted to OAL by 1 0-29-2001 or emer-
gency language will be repealed by operation of law on the following day.
2. New chapter 4.6 (articles 1-5), article 1 (sections 410-41 1 ) and section refiled
10-29-2001 as an emergency; operative 10-29-2001 (Register 2001, No. 44).
A Certificate of Compliance must be transmitted to OAL by 2 26-2002 or
emergency language will be repealed by operation of law on the following day.
3. New chapter 4.6 (articles 1-5), article 1 (sections 410-41 1 ) and section refiled
2-25-2002 as an emergency; operative 2-27-2002 (Register 2002. No. 9). A
Certificate of Compliance must be transmitted to OAL by 6-27-2002 or emer-
gency language will be repealed by operation of Iav\ on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new
section, transmitted to OAL .5-22-2002 and filed 7-2-2002 (Register 2002. No.
27).
§411. Definitions.
The following definitions shall be applicable when used in these regu-
lations:
(a) "Administrative information" means any information maintained
by the DOJ that is reasonably necessary for the DOJ to perform the duties
required by Penal Code section 320.5. Such information includes, but is
not limited to, the date a registration application or report is received, the
date the registration takes effect, and the expiration date of the registra-
tion.
(b) "Attorney General" means the California Attorney General or any
employee of the Attorney General acting under the authority of the Attor-
ney General.
(c) "Department of Justice" means the California Department of Jus-
tice ("DOJ") or any employee of the DOJ acting under the authority of
the DOJ.
(d) "Eligible organization" means a private non-profit organization
as defined in Penal Code section 320.5(c) and excludes those entities spe-
cified in Penal Code section 320.5(h).
(e) "Fee" means the fee established by the DOJ as authorized by Penal
Code section 320.5(h).
(f) "Non-Profit Raffle Program" means all information, documents
and other material filed with or maintained by the DOJ. including regis-
tration applications and electronic databases, reports and any processes,
procedures or other means of effectuating the requirements of Penal
Code section 320.5.
(g) "Raffle" is defined in Penal Code section 320.5(b).
(h) "Registrant" means an eligible organizafion which has filed an ap-
plication to be registered in the Non-Profit Raffle Program.
(i) "Registration application" or "registration form" means Form ct~
NRP-I (5/2002) which is incorporated by reference.
()) "Report" means the completed Form ct-NRP-2 (5/2002) (which
is incorporated by reference) that has been signed by a responsible fidu-
ciary of the registrant declaring that the information therein is true and
complete.
NOTE: Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5.
Penal Code.
History
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register
2001, No. 22). A Certificate of Compliance must be transmitted to OAL by
10-29-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Reg-
ister 2001, No. 44). A Certificate of Compliance must be transmitted to OAL
by 2-26-2002 or emergency language will be repealed by operation of law on
the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Regis-
ter 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by
6-27-2002 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new
section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No.
27).
Page 11
Register 2002, No. 27; 7-5-2002
§415
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Article 2. Manner of Registration, Wiio
Must Register, Fee for Registration
§415. Registration.
Every eligible organization shall, prior to conducting any raffle in
California, be registered with the DOJ in the Non-Profit Raffle Program.
The organization shall submit a registration application on Form ct-
NRP-1 (5/2002), the form prescribed by the DOJ, which shall contain all
of the information required, including a statement signed by a responsi-
ble fiduciary of the eligible organization (such as an officer or director
of the organization), attesting that the information provided is true and
correct. If the organization plans to conduct more than one raffle during
the annual registration period (September 1 through August 31), it must
indicate on the application form each date that it plans to conduct a raffle;
however, if any date changes, the organization is not required to amend
its application. Only one application is required during the annual regis-
tration period even if the organization conducts more than one raffle. The
application shall be submitted in the manner required by these regula-
tions. The registration application and the required fee shall be submitted
to the address set forth in section 416.
The DOJ will establish an electronic form as a means of entering regis-
tration information via the Internet. An applicant who uses the Internet
shall enter the required information electronically, print the form, sign it
and submit it with the required fee to the address specified in section 416.
The DOJ shall, after receipt of the registration application form, add to
the registration application form any administrative information, as de-
fined in section 41 1(a) of these regulations, which is reasonably neces-
sary to administer or maintain the Program.
An eligible organization is not registered until it has received written
confirmation from the DOJ as provided in section 422.
NOTE; Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5,
Penal Code.
History
1. New article 2 (sections 415-420) and section filed 6-1-2001 as an emergency;
operative 7-1-2001 (Register 2001 , No. 22). A Certificate of Compliance must
be transmitted to OAL by 10-29-2001 or emergency language will be repealed
by operation of law on the following day.
2. New article 2 (sections 415-420) and section refiled 10-29-2001 as an emer-
gency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Com-
pliance must be transmitted to OAL by 2-26-2002 or emergency language will
be repealed by operafion of law on the following day.
3. New article 2 (sections 415-420) and section refiled 2-25-2002 as an emergen-
cy; operafive 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance
must be transmitted to OAL by 6-27-2002 or emergency language will be re-
pealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new
section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No.
27).
§416. Place of Filing.
The address to be used for delivery and receipt of mail, information,
registration applications, amendments, fees, reports and other material
required by Penal Code section 320.5 is:
DKPARTMIiNT OF JUSTICE
GFHCE OF THE ATTORNEY GENERAL
ATTN.: NON-PROFIT RAFFI.E PROGRAM
1300 I STREET
P.O. BOX 903447
SACRAMENTO. CA 94203-4470
The telephone number to be used for inquiries relating to the Non-
Profit Raffle Program is (916) 445-2021.
NOTE; Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5,
Penal Code.
History
1. New section filed 6-1-2001 as an emergency: operative 7-1-2001 (Register
2001, No. 22). A Certificate of Compliance must be transmitted to OAL by
10-29-2001 or emergency language will be repealed by operation of law on the
following day.
2. New secfion refiled 10-29-2001 as an emergency; operative 10-29-2001 (Reg-
ister 2001, No. 44). A Certificate of Compliance must be transmitted to OAL
by 2-26-2002 or emergency language will be repealed by operation of law on
the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Regis-
ter 2002. No. 9). A Certificate of Compliance must be transmitted to OAL by
6-27-2002 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new
section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No.
27).
§ 417. Time of Registration.
If an eligible organization expects to conduct a raffle between July 1 ,
2001 and August 31, 2002, it shall submit a registration application
which shall be postmarked or hand-delivered to the address specified in
section 4 1 6 no later than September 1 , 200 1 . Thereafter, a completed reg-
istration form and registration fee must be submitted by September 1 of
each year (i.e., September 1 through August 3 1 ) during which a raffle is
expected to be conducted. If an eligible organization which is not regis-
tered determines after September I of any year that it will conduct a raffle
during the year (September 1 through August 3 1 ), the organization shall
subiTiit its registration application at least 60 days before the date the
raffle is held.
NOTE; Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5,
Penal Code.
History
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register
2001, No. 22). A Certificate of Compliance must be transmitted to OAL by
10-29-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Reg-
ister 2001, No. 44). A Certificate of Compliance must be transmiued to OAL
by 2-26-2002 or emergency language will be repealed by operation of law on
the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Regis-
ter 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by
6-27-2002 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new
section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No.
27).
§ 41 8. Fee for Registration.
The registration fee shall be determined by the DOJ. The fee is $20
for the initial one-year registration period. As provided in section 320.5
of the Penal Code, the fee may be increased as necessary to cover the ac-
tual costs of the Department of Justice to administer and enforce Penal
Code section 320.5.
NOTE: Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5,
Penal Code.
History
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register
2001, No. 22). A Certificate of Compliance must be transmitted to OAL by
10-29-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Reg-
ister 2001, No. 44). A Certificate of Compliance must be transmitted to OAL
by 2-26-2002 or emergency language will be repealed by operation of law on
the following day.
3. New section refiled 2-25-2002 as an emergency; operafive 2-27-2002 (Regis-
ter 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by
6-27-2002 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new
section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No.
27).
§ 419. Registration Applications — Time for Processing.
(a) Within 30 calendar days after the date of receipt of a registration
application, the DOJ shall either inform the applicant, in writing, that the
application is complete and accepted for filing, or shall return the ap-
plication as deficient and specify how the application is deficient and
what information is required. If an application is returned because it is
deficient, any fee submitted shall also be returned.
(b) Within 30 calendar days after the date of receipt of a completed
application, including the required fee, the DOJ shall reach a decision
Page 12
Register 2002, No. 27; 7-5-2002
Title 11
Attorney General
§421
whether to issue or deny the registration, unless the time is waived by the
applicant, and shall inform the applicant in writing of the decision.
NOTH: Authority cited: Section 15376, Government Code; and Section 320.5, Pe-
nal Code. Reference: Section 15376, Government Code; and Section 320.5, Penal
C^ode.
History
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register
2001, No. 22). A Certificate of Compliance must be transmitted to OAL by
10-29-200! or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Reg-
ister 2001, No. 44). A Ceilificate of Compliance must be transmitted to OAL
by 2-26-2002 or emergency language will be repealed by operation of law on
the following day.
3. New section refiled 2-25 2002 as an emergency; operative 2-27-2002 (Regis-
ter 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by
6-27-2002 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new
section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No.
27).
§ 41 9.1 . Appeal Process.
(a) If the DOJ fails to meet the time periods for concluding the proces-
sing of an application, the applicant may apply in writing for a full refund
of the application fee. The request must be received by the DOJ within
20 calendar days from the date of mailing of the final decision granting
or denying the application.
(b) The DOJ shall respond within 1 5 calendar days from the date of
receipt of a request for a refund.
(c) If the refund is denied, the applicant may directly appeal the denial
in writing to the Attorney General. The appeal must be filed within 25
calendar days from the date of mailing of the denial of the refund. The
appeal shall set forth a short statement of facts and a chronology of events
regarding the application.
(d) The appeal in subsection (c) of this section will be promptly re-
viewed, and a decision will be issued within 30 calendar days from the
completion of any investigation which the Attorney General deems ap-
propriate. The appeal in subsection (c) of this section will be decided in
the applicant's favor if the DOJ has exceeded its maximum time period
for the issuance or denial of the registration application, and the DOJ has
failed to establish good cause for exceeding this time period.
(e) The DOJ will provide information regarding this appeal process
on the registration application Form ct-NRP-1 (5/2002).
NOTE: Authority cited: Section 15378, Government Code; and Section 320.5, Pe-
nal Code. Reference: Section 15378, Government Code; and Section 320.5, Penal
Code.
History
1. New section filed 7-2-2002; operative 7-2-2002 pursuant to Government
Code section 1 1343.4 (Register 2002, No. 27).
§ 419.2. Denial, Revocation or Suspension of Registration.
(a) The DOJ may deny any registration application and may revoke
or suspend any registration it has issued if the applicant:
( 1 ) Submits false or misleading information in the application.
(2) Fails to meet or comply with any requirements set forth in Penal
Code section 320.5 or these regulations.
(3) Engages in any conduct that is not in the best interests of the pub-
lic' s health, safety or general welfare.
(b) If the DOJ denies an application or revokes or suspends a registra-
tion it has issued, the DOJ shall inform the applicant in writing of the rea-
sons for the denial, revocation or suspension.
(c) The eligible organization may reapply when it has remedied the
matters which caused the denial, revocation or suspension.
NOTH: Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5,
Penal Code.
History
1. New section filed 7-2-2002; operative 7-2-2002 pursuant to Government
Code section 1 1343.4 (Register 2002, No. 27).
§ 419.3. Appeal of Denial, Revocation or Suspension.
Each denial, revocation, or suspension of a registration, or any other
administrative action taken against an applicant or registrant, shall be
subject to Penal Code section 320.5(j).
Note: Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5,
Penal Code.
History
1. New section filed 7-2-2002; operative 7-2-2002 pursuant to Government
Code section 1 1343.4 (Register 2002, No. 27).
§ 420. Reporting Requirements.
Every eligible organization that is registered shall file, on or before
September 1 of each year, a report for each raffle conducted which shall
contain all of the required information, including a statement signed by
a responsible fiduciary of the eligible organization attesting that the in-
formation provided is taie and correct. The report shall be filed with the
DOJ at the address set forth in section 416 on Form ct-NPR-2 (5/2002)
in the manner required by these regulations. If an organization conducted
more than one raffle during the reporting year, it must file a report on each
raffle, but a report may be filed individually at anytime during the year
or all the reports may be filed at the same time so long as they are filed
on or before September 1 .
The DOJ will establish an electronic means of providing the reporting
information via the Internet. A registrant who uses the Internet shall enter
the required information on the electronic form, print the form, sign it and
submit it to the address specified in section 416. The DOJ shall, after re-
ceipt of the report form, add to the report form any administrative in-
formation, as defined in section 41 1(a) of these regulations.
Note: Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5,
Penal Code.
History
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register
2001, No. 22). A Certificate of CompUance must be transmitted to OAL by
10-29-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Reg-
ister 2001, No. 44). A Certificate of Compliance must be transmitted to OAL
by 2-26-2002 or emergency language will be repealed by operation of law on
the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Regis-
ter 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by
6-27-2002 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new
section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No.
27).
Article 3. Contents of and Access to the
Non-Profit Raffle Program
§ 421. Non-Profit Raffle Program.
The DOJ shall maintain copies of all registration applications ac-
cepted for filing and copies of all reports provided pursuant to section
320.5 of the Penal Code, which together shall constitute the Non-Profit
Raffle Program required by section 320.5 of the Penal Code. The DOJ
may retain the foregoing information in electronic form so long as actual
copies are archived and retrievable for the period prescribed by law.
NOTE: Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5,
Penal Code.
History
1 . New article 3 (sections 421-423) and section filed 6-1-2001 as an emeruencv;
operative 7-1-2001 (Register 2001, No. 22). A Certificate of Compliance must
be transmitted to OAL by 1 0-29-2001 or emergency language will be repealed
by operation of law on the following day.
2. New article 3 (sections 421-423) and section refiled 10-29-2001 as an emer-
gency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Com-
pliance must be transmitted to OAL by 2-26-2002 or emergency language will
be repealed by operation of law on the following day.
3. New article 3 (sections 421-423) and section refiled 2-25-2002 as an emergen-
cy; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance
must be transmitted to OAL by 6-27-2002 or emergency language will be re-
pealed by operation of law on the following day.
Page 12.1
Register 2002, No. 41; 10-11-2002
§422
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new
section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002. No.
27).
§ 422. Proof of Registration.
After the DOJ has approved a registration application, the DOJ shall
provide written confirmation to the eligible organization that it is regis-
tered.
NOTK: Authority cited: Section 320.5(h). Penal Code. Reference: Secfion 320.5,
Penal Code.
History
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register
2001. No. 22). A Certificate of Compliance must be transmitted to OAL by
10-29-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section re filed 10-29-2001 as an emergency; operative 10-29-2001 (Reg-
ister 2001, No. 44). A Certificate of Compliance must be transmitted to OAL
by 2-26-2002 or emergency language will be repealed by operation of law on
the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Regis-
ter 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by
6-27-2002 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new
section, transmitted to OAL 5-22-2002 and filed 7-2-2002 ^Register 2002, No.
27).
§ 423. Conduct of Raffles.
After July 1 , 2001 , a raffle may be conducted by an eligible organiza-
tion, provided the organization is registered with the DOJ as provided in
section 320.5 of the Penal Code and these regulations.
NOTI-:: Authority cited: Section 320.5(h), Penal Code. Reference: Sections 320.5,
Penal Code.
History
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register
2001, No. 22). A Certificate of Compliance must be transmitted to OAL by
10-29-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Reg-
ister 2001, No. 44). A Certificate of Compliance must be transmitted to OAL
by 2-26-2002 or emergency language will be repealed by operation of law on
the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Regis-
ter 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by
6-27-2002 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new
section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No.
27).
transmitted to OAL by 6-27-2002 or emergency language will be repealed by
operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new
section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (lleeister 2002, No.
27).
Article 4.
Penalties for False Registration
or Misrepresentation
§ 424. Penalties for False Registration or
Misrepresentation.
An eligible organization that submits false or misleading information
in the registration application, or fails to provide required information in
either the registration form or the raffle report form shall be subject to de-
nial, revocation or suspension of its registration. Each instance of a mis-
representation, submission of false information, or failure to submit re-
quired information in the registration or reporting process shall constitute
a separate violation.
NOTE; Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5,
Penal Code.
History
1 . New article 4 (section 424) and section filed 6-1-2001 as an emergency; opera-
tive 7-1-2001 (Register 2001, No. 22). A Certificate of Compliance must be
transmitted to OAL by 10-29-2001 or emergency language will be repealed by
operation of law on the following day.
2. New article 4 (section 424) and section refiled 10-29-2001 as an emergency;
operative 10-29-2001 (Register 2001, No. 44). A Certificate of Compliance
must be transmitted to OAL by 2-26-2002 or emergency language will be re-
pealed by operafion of law on the following day.
3. New article 4 (section 424) and section refiled 2-25-2002 as an emergency; op-
erative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance must be
Article 5. Miscellaneous Provisions
§ 425. Requests by Attorney General.
Eligible organizations shall furnish all information, documents and
other records requested by the DOJ pursuant to Penal Code section
320.5(h) in order to establish and maintain the Non-Profil Raffle Pro-
gram.
Note: Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5,
Penal Code.
History
1 . New article 5 (sections 425-426) and section filed 6-1-2001 as an emergency;
operative 7-1-2001 (Register 2001 , No. 22). A Certificate of Compliance must
be transmitted to OAL by 10-29-2001 or emergency language will be repealed
by operation of law on the following day.
2. New article 5 (sections 425-426) and section refiled 10-29-2001 as an emer-
gency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Com-
pliance must be transmitted to OAL by 2-26-2002 or emergency language will
be repealed by operation of law on the following day.
3. New article 5 (sections 425-426) and section refiled 2-25-2002 as an emergen-
cy; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance
must be transmitted to OAL by 6-27-2002 or emergency language will be re-
pealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new
section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No.
27).
§ 426. Inquiries and Investigations.
Eligible organizations shall cooperate fully with any inquiry or inves-
tigation that may be undertaken by the Attorney General to enforce the
provisions of Penal Code section 320.5.
NOTE: Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5,
Penal Code.
History
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register
2001, No. 22). A Certificate of Compliance must be transmitted to OAL by
10-29-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-29-2001 as an emergency; operadve 10-29-2001 (Reg-
ister 2001, No. 44). A Certificate of Compliance must be transmitted to OAL
by 2-26-2002 or emergency language will be repealed by operation of law on
the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Regis-
ter 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by
6-27-2002 or emergency language will be repealed by operation of law on the
following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new
section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No.
27).
Chapter 4.7. Regulations for the California
Gang, Crime, and Violence Prevention
Partnership Program
Article 1. General Provisions
§435. Title.
This Chapter shall be known as the Regulations for the California
Gang, Crime, and Violence Prevention Partnership (GCVPP) Program.
It may be cited as such and will be referred to in this Chapter as "these
regulations."
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Sections 13825.1-13825.5, Penal Code.
History
1. New chapter 4.7 (articles 1-6, sections 435-485), article 1 (sections 435-^37)
and section filed 5-6-2002 as an emergency; operadve 5-6-2002 (Register
2002, No. 19). A Certificate of CompUance must be transmitted to OAL by
Page 12.2
Register 2002, No. 41; 10-11-2002
Title 11
Attorney General
§439
y-3 2002 or emergency language will be repealed by operation of law on the
following day.
I. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30 2002 and filed 10-10-2002 (Register 2002, No. 41 ).
§ 436. Purpose and Scope.
The GCVPP Program will provide funding to community-based orga-
nizations (CBOs) and non-profit agencies to implement prevention and
intervention activities that have a demonstrated record of success in ac-
cordance with these regulations and Penal Code Sections 13825.1
through 13825.6. By means of these prevention and intervention activi-
ties, the purpose of the GCVPP Program is to help reduce the level of
gang involvement, criminal activity, and youth violence to the extent au-
thorized by legislation in communities with a high incidence of gang vio-
lence.
These regulations shall set forth the general provisions, applicant re-
quirements, the selection process, funding inforrnation, use of funds, and
program administration information.
NOTE; Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Sections 13825.1-13825.5, Penal Code.
HiSlORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of se-
cond paragraph, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Reg-
ister 2002, No. 41).
§ 437. Definitions.
The words used in this Chapter have the following meanings:
(a) "Applicant" means a community-based organization or non-profit
agency that submits a proposal for California Gang, Crime, and Violence
Prevention Partnership Program funds.
(b) "Blanket fidelity bond" means an insurance document to protect
public funds by assuring reimbursement by the grantee of the DOJ grant
award funds which are stolen or otherwise misappropriated by officials
and/or employees of a DOJ grantee.
(c) "The California Gang, Crime, and Violence Prevention Partner-
ship Program," or the "GCVPP", is the title of the program which is man-
dated by Penal Code Section 13825.1 et seq. to be administered by the
DOJ.
(d) "Community-based organization" or "CBO", for the purposes of
the GCVPP Program, means an organization established to serve at-risk
youth, their families, schools, and the community with programs of pre-
vention and intervention services and activities.
(e) The "DOJ" means the Department of Justice in the State of Califor-
nia.
(f) "Four-year funding cycle" means four 12-month grant periods
based on the initial grant application with the DOJ option to renew for
three addifional grant periods.
(g) "Gang" means a group of people who form an alliance for a com-
mon purpose, engage in criminal activity, and follow one or more of these
criteria: have a common name, have a structured dress style, have a com-
mon symbol, frequently congregate on and claim a geographical loca-
tion, and associate on a regular and confinual basis.
(h) "Grant period" means a 1 2-month period of funding based on the
state fiscal budget year of July 1 to June 30.
(i) "Grantee" means an organization or agency that has been awarded
a GCVPP Program grant by the DOJ.
(j) "Memorandum of Understanding", or "MOU," means a signed
agreement between the appUcant agency and each collaborative partner,
other CBO, or non-profit agency that provides services and or activities
to the grant.
(k) "Non-profit agency" means a private, non-profit agency that is
certified as a tax-exempt organization under Title 26, United States
Code, Section 501(c)(3).
(/) "Operational Agreement", or "OA," means a signed agreement be-
tween the applicant agency and each collaborative partner, other CBO,
or non-profit agency that provides services or activities to the grant.
(m) "Outside Evaluator" for the GCVPP Program means an individual
acting under contract or by agreement with a grantee, to conduct the eval-
uation as required in Sections 442 and 468 of these regulations.
(n) "Program Manager" means the DOJ staff employee responsible for
the management and oversight of the GCVPP Program.
(o) "Project" means the provided services and activities funded under
the terms of the Grant Award Agreeinent pursuant to Section 450 of these
regulations.
(p) "Request for Proposal", or "RFP," means the document irom the
DOJ to interested parties requesting proposals for funding.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5. Penal Code. Reference:
Sections 13825.1-13825.5, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002. No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, includinc amendment of sec-
tion, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Resiister 2()()2.
No. 41).
Article 2. Applicant Requirements
§ 438. Eligible Applicants.
(a) Applicant CBOs and non-profit agencies shall provide services in
a community with a high incidence of gang violence as defined by Penal
CodeSecfion 13825.2.
(b) Applicants shall meet the eligibility requirements as set forth in Pe-
nal Code Sections 13825.4 and 13825.5.
(c) Applicants shall have the ability to participate in the evaluation as
set forth in Sections 442 and 468 of these regulations.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Sections 13825.2, 13825.4 and 13825.5, Penal Code.
History
1 . New article 2 (sections 438-^142) and section filed 5-6-2002 as an emergency;
operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must
be transmitted to OAL by 9-3-2002 or emergency language will be repealed by
operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sec-
tion, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002,
No. 41).
§ 439. Request for Proposal.
(a) The GCVPP Program's RFP will be released by the DOJ at the end
of each four-year funding cycle on a competitive, statewide basis and
shall set forth the requirements for the submission of a proposal for fund-
ing in accordance with these regulations.
(b) Applicants must submit four copies of the complete proposal, one
of which must have the original signature on the grant proposal cover
sheet of the applicant's authorized officer or agent, and the fiscal officer.
(c) A complete proposal includes:
( 1 ) Grant proposal checklist, which includes check boxes for items one
through nine.
(2) Evidence of the applicant's CBO or non-profit agency status.
(3) Grant proposal cover sheet, which includes the following applicant
information:
(A) Grant amount requested.
(B) Agency name.
(C) County.
(D) Street address.
(E) Telephone and FAX numbers.
(F) E-mail address.
(G) Name of the organization's or agency's executive director and
designated contact person.
(H) Contact name, agency telephone number, and E-mail address of
any collaborative partner(s).
Page 12.3
Register 2002, No. 41; 10-11-2002
§440
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(I) The original signatures of the applicant's authorized officer or
agent and the fiscal officer.
(4) A project narrative detailing the following:
(A) Applicant qualifications, as required by Penal Code Section
1 3825.5, which includes information demonstrating at least two years of
experience in the administration of a program providing prevention or in-
tervention services that have positively affected the attitudes and behav-
iors of at-risk youth toward gangs, crime, or violence.
(B) Problem statement/documentation of need, supported by local or
federal law enforcement agency data, which includes a description of the
demographics of the targeted service area, including geographical
boundaries, economic composition, and ethnic breakdown of the com-
munity, data that clearly demonstrates the size and scope of the youth
gang, crime, and violence problems in their community, a description of
the at-risk youth population in the targeted service area, including its size
and the level of its disproportion to the general youth population of the
community, a description of the underlying risk factors that have contrib-
uted to the youth violence problem in the community, and the ratio of ju-
venile arrests compared to the general youth population of their commu-
nity.
(C) At-risk target population, which includes a description of the pro-
posed at-risk target population, a description of how the services and ac-
tivities under the proposed project address and strengthen identified pro-
tective factors, a descripfion which includes the number of youth, family,
and siblings projected to be served under the project, a description that
details how the targeted at-risk population and the projected number of
youth served supports the documented needs addressed in the problem
statement, a description of the plan or process the applicant will use to
ensure that the at-risk youth populafion for the proposed project meets
the at-risk criteria required in the law, and a description of how the ser-
vices and activities provided under the proposed project will demon-
strated a change in attitudes and behaviors of the youth served.
(D) Project description, which includes the applicant's chosen project
services and activities as referenced in Penal Code Section
1 3825. 4(a)( 1-4), and the goals and objectives of the proposed services
and activities, a description of the staff that will provide the services and
activities, where the services and activities will be provided, the at-risk
factors the youth served meet, and how applicants providing mentoring
services will use the Quality Assurance Standards of the Governor's
Mentoring Partnership as required by Section 441(b) of these regula-
tions. Supporting documents will include MOUs. OAs. the goal and ob-
jective summary sheets, and the project summary sheets as referred to in
subsection (c)(5) and (c)(7) of this regulation.
(E) Project implementation plan, which includes the identification,
roles, and responsibilities of all collaborative members, other CBOs or
non-profit agencies not included in the collaborative, that serve as ser-
vice providers for the project services and activities in the proposed proj-
ect. The plan must include a description of the resource providers within
the community which should result in an overall assessment of the re-
sources that are available to youth and their families. The plan shall also
include, a description of the plan for providing parents and families with
support, services, and information, a plan to involve members of the at-
risk target population in the development, coordination, implementation,
and evaluation of the project, and a description of how the project will
expand current prevention and intervendon services in the targeted com-
munity.
(F) Project evaluation plan, which includes the methods to be used for
the objective evaluadon of their services and activities to determine
changes in attitudes and behaviors of the at-risk youth, information on
how the service providers will be monitored, what the local evaluadon
will address, and how the results of the evaluadon will be used for pro-
gram planning and implementation for future projects in the community.
(G) Budget narradve, which summarizes the applicant's proposed
budget and how it supports the stated services and activities, how funds
are allocated to support direct services through the dudes of the project-
funded staff, including any qualificadons and/or educational require-
ments, how the project-funded staff duties and time commitments sup-
port the proposed services and activities, the necessity for any
subcontracts, and any unusual expenditures. Suppordng documentadon
for the budget narrative are the budget sheets, referred to in subsection
(c)(6), of this regulation.
(5) Memoranda of Understanding or Operadonal Agreements with
each collaborative partner, CBO and/or non-profit agency, outside of the
applicant's agency providing services to the project. These annual agree-
ments must be in accordance with Secdon 461 of these regulations.
(6) Budget sheets setdng forth the first year's budget, which includes
line-item detail of personnel services and operating expenses.
(7) Goal and objective summary sheets and project summary sheet.
(8) An original or certified copy of a resolution from the governing
board or council authorizing the applicant to enter into a Grant Award
Agreement and a commitment to participate in the entire four-year fund-
ing cycle with the DOJ, if available at the dme of apphcation. If not avail-
able, the resolution must be provided prior to execution of the Grant
Award Agreement in accordance with Secdon 450 of these regulations.
(9) Request for advance funds, if deemed necessary by the applicant,
and in accordance with Section 471 of these reguladons.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Sections 13825.2. 13825.3, 13825.4 and 13825.5, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sec-
tion, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002,
No. 41).
§ 440. At-Risk Target Population.
(a) The target population for the GCVPP Program is at-risk youth,
ages five to 20, who meet the at-risk factors set forth in Penal Code Sec-
dons 13825.2(a) and 13825.4(c).
(b) The at-risk target population must include one or more of the attitu-
dinal and behavioral factors as set forth in Penal Code Section
13825.4(c)(3)-(10).
(c) Applicants are encouraged to provide services and acdvities to at-
risk youth, ages eight to 14, not involved in gangs.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Sections 13825.2 and 13825.4. Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§ 441 . Services and Activities.
(a) All applicants are required to provide services and acdvides as set
forth in Penal Code Section 13825.4 (a) and (b).
(b) Applicants proposing to provide mentoring services must follow
the Governor's Mentoring Partnership, Quality Assurance Standards,
Publicadon Number ( ADP) 02-1 121, February 2002, which is hereby in-
corporated by reference in its entirety. This document can be obtained
through the Office of the Attorney General's Crime and Violence Pre-
vention Center's Web site at http://www.safestate.org/documents/gov-
ernorsmentoringstandards.pdf.
NOTE: Authority cited: Sections L3825.3(c) and 13825.5, Penal Code. Reference:
Secdon 13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sub-
secdon (b), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register
2002, No. 41).
Page 12.4
Register 2002, No. 41; 10-11-2002
Title 11
Attorney General
§446
§ 442. Evaluation.
(a) Applicants must have the ability to objectively evaluate the effec-
tiveness of their services and activities as required by Penal Code Section
13825.4(d)(7), and set forth in Section 468 of these regulation.
(b) Applicants must obtain a qualified Outside Evaluator as required
in Section 469(e) of these regulations in order to perform the required
evaluation activities.
NOTE: Authoritv cited: Sections 13825.3(c) and 1 3825.5, Penal Code. Reference:
Section 13825.4. Penal Code.
History
1 . New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002. No. 19). A Certificate of Compliance must be transmiUed to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sub-
section (b), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register
2002, No. 41).
Article 3. Selection Process
§ 443. Applicant Proposal Review.
(a) Proposals that meet the deadline for submission of the RFP as spe-
cified and provide the required documentation of CBO or non-profit
agency status will be read, evaluated, and rated.
(b) Proposals that do not meet the requirement set forth in subsection
(a) above will be disqualified and will not be read, evaluated, or rated.
(c) Proposals will be read, evaluated, and rated according to the specif-
ic requirements of Sections 444 and 445 of these regulations.
(d) The DOJ will advise applicants that their proposal was incomplete
or disqualified only after completion of the entire rating process.
NOTE; Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Secfions 13825.3 and 13825.5, Penal Code.
History
1. New article 3 (sections 443-450 and Appendix A) and section filed 5-6-2002
as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of
Compliance must be transmitted to OAL by 9-3-2002 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sub-
sections (a) and (d), transmitted to OAL by 8-30-2002 and filed 10-10-2002
(Register 2002, No. 41).
§ 444. Rating Criteria.
(a) Each proposal will be read, evaluated, and rated solely on its indi-
vidual merit by a team of three raters based upon the applicant's proposed
efficiency and effectiveness in providing the services and activities set
forth in Penal Code Section 13825.4(a) and these regulations.
(b) A pool of qualified raters will be selected from DOJ staff, as well
as from staff from other agencies, who have experience working with
youth programs.
(c) Each rater will individually:
(1) Assign a numerical score to the narrative sections of the proposal,
as set forth in Section 439(c)(4)(A-G) of these regulations as follows:
(A) The applicant qualifications section has one question with a total
point value of 40 possible points.
(B) The applicant's description of the problem and documentation of
need has five questions with a total point value of 40 possible points.
(C) The applicant's at-risk target population has six questions with a
total point value of 80 possible points.
(D) The applicant's project description has five questions with a total
point value of 100 possible points.
(E) The applicant's project implementation plan has six questions with
a total point value of 60 possible points.
(F) The applicant's project evaluation plan has four questions with a
total point value of 60 possible points.
(G) The applicant's budget narrative has three questions with a total
point value of 40 possible points.
(2) Rate each section of the proposal using a numerical scale which
sets forth the maximum and minimum points. The point value varies with
the importance of the question and the rater responds using the following
five categories:
(A) Does not respond to the question.
(B) The information presented does not provide a good response to the
information requested in the specified section of the RFP. The response
does not present an argument supporting the applicant's proposal.
(C) The information presented provides an adequate response to the
information requested in the specified section of the RFP. The response
presents a persuasive argument supporfing the applicant's proposal.
(D) The information presented provides a more than adequate re-
sponse to the informaUon requested in the specified section of the RFP
and gives a clear and detailed response to the information requested. The
response presents a very persuasive argument supporting the applicant's
proposal.
(E) The information presented provides an outstanding response to the
informafion requested in the specified section of the RFP, gives a clear
and detailed response, and provides highly relevant information exceed-
ing the informafion requested. The response presents a highly persuasive
and compelling argument supporting the applicant's proposal.
(d) The separate scores of each rater of the team will be averaged to
obtain a single score for the proposal.
(e) The averaged scores of all proposals will be ranked in order from
highest to lowest to establish a proposed funding list for the GCVPP Pro-
gram.
(0 If proposals are fied and it is necessary to break the tie, the tic will
be broken by the re-rating of the proposals by another team of indepen-
dent raters that have not previously parficipated in rating the fied propos-
als.
NOTE: Authority cited; Sections 13825.3(c) and 13825.5, Penal Code. Reference;
Sections 13825.3 and 13825.5, Penal Code.
History
1 . New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sec-
tion, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002,
No. 41).
§ 445. Rating Sheets.
The rating sheets to be used for the 2002-2006 four-year funding
cycle are set forth in Appendix A to this Article.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Sections 13825.3 and 13825.5, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§ 446. Site Visit to Finalists.
(a) At a minimum, those applicants ranking within funding level on the
proposed funding list must parficipate in a site visit conducted by DOJ
staff prior to the posfing of the Nodce of the Intent to Fund.
(b) The site visit will include, but not be limited to, a review and verifi-
cation of the information represented in the applicant's proposal.
(c) Failure to adequately verify the information represented in the ap-
plicant's proposal will result in the eliminafion from the proposed fund-
ing list established by the rating process and the next applicant on the pro-
posed funding list will be visited for proposed funding.
NOTE: Authority cited: Secfions 1 3825.3(c) and 13825.5, Penal Code. Reference:
Sections 13825.3 and 13825.5, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sub-
section (a), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register
2002, No. 41).
Page 12.5
Register 2002, No. 41; 10-11-2002
§447
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
§ 447, Notice of Intent to Fund.
(a) Upon completion of the site visit process, a Notice of Intent to Fund
will be posted at the Office of the Attorney General at 1300 I Street in
Sacramento, and will also be posted on the Attorney General's Web site
at http://www.safestate.org/index.cfm?navID=228 for a five working-
day period.
(b) The Notice of Intent to Ftmd will have an alphabetical listing of all
proposed grantees and proposed funding levels.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5. Penal Code. Reference:
Sections 13825.3 and 13825.5, Penal Code.
History
1. New section fded 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, includine amendment of sub-
section (a), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register
2002, No. 41).
§ 448. Protest Process.
(a) Applicants may protest the Notice of Intent to Fund by filing a writ-
ten protest with the DOJ* s Crime and Violence Prevention Center at 1 300
I Street, Sacramento, CA, 95814.
(b) The protest must be received by the DOJ within five working days
from the date of posting of the Notice of Intent to Fund.
(c) The applicant must file their written protest setting forth the
grounds on which they base their contentions that the selection process
violated Penal Code Sections 13825.1 et. seq.
(d) Upon receipt of a protest, the DOJ will review the protest and re-
spond in writing to the applicant within five working days.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Sections 13825.3 and 13825.5, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§ 449. Notice of Award.
(a) If the RFP is not canceled, awards will be announced within 10
working days after the posting of the Notice of Intent to Fund.
(b) A Notice of Award setting out an alphabefical listing of grantees
and grant amounts will be posted at the Office of the Attorney General
at 1 300 1 Street in Sacramento, and will be posted on the Attorney Gener-
al's Web site at http://www. safestate.org/index. cfm?navID=228.
(c) All applicants who submitted a proposal will be nofified of the re-
sults in writing at the completion of the selection process.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Sections 13825.3 and 13825.5, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sub-
section (b). transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register
2002. No. 41).
§ 450. Grant Award Agreement.
(a) Within 60 calendar days of the Notice of Award, proposed grantees
must complete any minor budgetary or programmatic revisions nego-
tiated with DOJ staff prior to the Grant Award Agreement being signed
and the beginning of project implementation.
(b) Any modifications made during the negotiations will not substan-
tially change the original grant application services and activities se-
lected for funding.
(c) Funding will only be made available to proposed grantees pursuant
to a Grant Award Agreement, signed by the authorizing officer or agent
for the grant and the DOJ, which will include:
( 1 ) Grant Award Face Sheet, which sets forth the:
(A) Funding level of state funds.
(B) Matching funds specified in Section 453, when applicable.
(C) Total grant amount disbursed on an annual basis.
(D) Effective dates of the grant period.
(2) The approved proposal.
(3) Certificate of Assurance, which certifies that the applicant will
comply with GCVPP Program regulations.
(4) DOJ-approved MOUs or OAs between the applicant agency and
all other service providers.
(5) An original or certified copy of a resolution from the governing
board or council authorizing the applicant to enter into a Grant Award
Agreement, documenfing a commitment to participate in the entire four-
year funding cycle with the DOJ, if not provided with the proposal.
(6) Drug Free Workplace Certification, as required by Government
Code Secfions 8350-8357.
(d) The Grant Award Agreement is subject to:
(1) Any addifional restrictions, limitations, or condifions enacted by
the Legislature and contained in the Budget Act(s).
(2) Any statute enacted by the Legislature which may affect the provi-
sions, terms, or funding of the grant.
(e) If any or all of the above condifions are not met, the DOJ reserves
the right to not award grant funds and to fund the next eligible applicant
on the proposed funding list.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Sections 13825.3 and 13825.5, Penal Code.
History
1. New section and Appendix A filed 5-6-2002 as an emergency; operative
5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be trans-
mitted to OAL by 9-3-2002 or emergency language will be repealed by opera-
tion of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sub-
sections (c)(3) and (c)(5) and new revision of Appendix A, transmitted to OAL
by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Page 12.6
Register 2002, No. 41; 10-11-2002
Title 11
Attorney General
§450
Appendix A
California Gang, Crime and Violence Prevention Partnership
Program
Rating Slieet
Request for Proposal 2002
Control Number:
Rater Identification Number:
Applicant:
Funds Requested:
Technical Compliance
Application meets the requirements for
completeness and compliance with mandatory
and technical requirements.
Meets
Does Not
Meet
NliMiililikifi iiiiiii Will! Ill' ^
gn^^^m^i^m^i^^
iPirtMSiyffiiWfliitfli^^
Possible
Points
Eamed
Points
Applicant Qualifications
40
Problem Statement/Documentation of Need
40
At-Risk Target Population
80
Project Description
100
Project Implementation Plan
60
Project Evaluation Plan
60
Budget Narrative
40
Grand Total
420
Page 12.7
Register 2002, No. 41; 10-11-2002
§450 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 11
For the purposes of scoring, each of the narrative sections addressed in the RFP will be
rated based on questions assigned a point value. The point scale is divided into five
columns labeled I, II, III, IV and V. Each question is evaluated on the following criteria:
I. Does not respond to the question.
H. The infornriation presented does not provide a good response to the
information requested in the specified section of the RFP. The
response does not present an argument supporting the applicant's
proposal.
III. The information presented provides an adequate response to the
information requested in the specified section of the RFP. The
response presents a persuasive argument supporting the applicant's
proposal.
IV. The information presented provides a more than adequate response
to the Information requested in the specified section of the RFP and
gives a clear and detailed response to the information requested.
The response presents a very persuasive argument supporting the
applicant's proposal.
V. The information presented provides an outstanding response to the
information requested in the specified section of the RFP, gives a
clear and detailed response, and provides highly relevant information
exceeding the information requested. The response presents a
highly persuasive and compelling argument supporting the
applicant's proposal.
Page 12.8 Register 2002, No.41; 10-11-2002
Title 11 Attorney General § 450
1. APPLICANT QUALIFICATIONS (40) I H III iV V
In this section, the applicant is to provide a comprehensive
overview of its past and present capabilities, achievements and
effectiveness in reducing youth gang violence. The applicant's
qualifications must include the following:
• Information from the applicant demonstrating at least two 10 20 30 40
years of experience in the administration of a program
providing prevention or intervention services that have
positively affected the attitudes or behaviors of at-risk youth
toward gangs, crime or violence.
2. PROBLEM STATEMENT/DOCUMENTATION OF NEED (40)
In this section, applicants are to describe clearly and succinctly
the youth gang, crime and violence problem in their community.
The problem statement must contain the following:
• A description of the demographics of the targeted service 2 4 6 8
area, including geographical boundaries, economic
composition and ethnic breakdown of the community.
• Data that cleariy demonstrates the size and scope of the 2 4 6 8
youth gang, crime and violence problems in their community.
• A description of the at-risk youth population in the targeted 3 6 9 12
service area, including its size and the level of its
disproportion to the general youth population of their
community.
• A description of the underiying risk factors that have 2 4 6 8
contributed to the youth violence problem in their community.
• The ratio of juvenile arrests compared to the general youth 12 3 4
population of their community.
Page 12.9 Register 2002, No.41; 10-11-2002
§450 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 11
3. AT-RISK TARGET POPULATION (80) i il lU IV V
In this section, applicants are to describe the targeted at-risk
population that the proposed services and activities will reach.
The at-risk population description must contain the following:
• A description of the proposed at-risk target population. 3 6 9 12
• A description of how the services and activities under the 5 10 15 20
proposed project address and strengthen identified protective
factors.
• A description which includes the number of youth, family and 2 4 6 8
siblings projected to be served under this project.
• A description that details how the targeted at-risk population 3 6 9 12
and the projected number of youth served, supports the
documented needs addressed in the problem statement.
• A description of the plan or process the applicant will use to 3 6 9 12
ensure the at-risk youth population for the proposed project
meets the at-risk criteria required in the law.
• A description of how the services and/or activities provided 4 8 12 16
under the proposed project will demonstrate changes in
attitudes and behaviors.
4. PROJECT DESCRIPTION (100)
As the projects design their prevention and intervention efforts,
services and activities may include, but are not limited to, any
one or all of the services and activities listed in the RFP.
For each service and/or activity, the applicant must describe the
following:
• Each of the program sen/ices and activities they will 5 10 15 20
implement to prevent or deter the targeted at-risk youth from
participating in gangs, criminal activity or violent behavior. *
• The goals and objectives of each the services or activities 10 20 30 40
provided.
• A description of the staff that will provide the services and 2 4 6 8
activities including their qualifications.
• Where the specific services and activities will be provided 3 6 9 12
and how the target population will have access to these
services.
• What at-risk factors youth served under each service and/or 5 10 15 20
activity meet.
• Applicants providing mentoring services must address how they will use the quality
assurance standards of the California Mentoring Initiative.
Page 12.10 Register 2002, No. 41; 10-11-2002
Title 11 Attorney General §450
5. PROJECT IMPLEMENTATION PLAN (60) | || jjl |V V
The applicant must develop a plan to implement the chosen services
and activities. The plan may contain information from needs
assessment surveys, public hearings, or statistical data. The plan
must reflect time lines and milestones that will demonstrate a level of
success and must include:
A description of the applicant's community collaborative. 5 10 15 20
This description must detail the roles and responsibilities
of each collaborative partner including its policymaking
and oversight functions and what services and activities
they will perform. *
A description of other CBOs, nonprofit agencies, local 2 4 6 8
agencies, and charitable or religious organizations in the
community, not included In the collaborative, that will also
serve as service providers for the project services and
activities.
A description of other resources providers available in the 2 4 6 8
community that demonstrate the project's plan to provide
referral services for at-risk youth which result in an
overall assessment of the resources that are available to
youth and their families. The referral must be to the most
appropriate community-based organization or agency.
A description of how the applicant will provide a viable 2 4 6 8
plan to provide the parents and family of the at-risk youth
with support, information and services.
• A description of the applicant's plan to involve youth "{ 2 3 4
members of the at-risk target population in the
development, coordination, implementation, and
evaluation of its program of services and activities.
A description of how their project will expand current 3 6 9 12
prevention and intervention services in the targeted
community,
* Supporting documentation for a collaborative member, other CBO or nonprofit
agency, who provides a service or receives funding under the project must be
in the form of a MOU or OA, and included as an attachment.
Page 12.11 Register 2002, No. 41; 10- 1 1 -2002
§450 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 11
6. EVALUATION (60) I H HI IV V
Within this section, the applicant is to describe the methods to
be used to determine the strengths and weaknesses of the
project, whether the protective factors in the community were
strengthened, and to what extent the objectives were achieved.
The evaluation must include the following:
• A description of how the applicant's evaluation will 5 10 15 20
demonstrate the change in attitudes and behaviors of the
targeted at-risk youth towards gangs, crime and violence
• Information on how the service providers and their services 2 4 6 8
and activities with the youth will be monitored and evaluated
including information on how progress will be assessed
throughout the grant period.
• A description of what the local evaluation will address and 4 8 12 16
what generally-accepted evaluation practices will be used.
• Explain how the results will be used for program planning and 4 8 12 16
implementation for future projects in the community.
7. BUDGET NARRATIVE (40)
The applicant must justify the project's proposed budget and
provide specific information about roles, time base, salary of staff
and consultants and a clear description of the services to be
purchased. The budget narrative must include sufficient support
in the following areas:
• A description of the budget that justifies and supports the 5 10 15 20
project's services and activities.
• A description of how the funds are allocated to support direct 3 6 9 12
services through the duties, qualifications, educational
requirements and time commitment of project-funded staff
needed to support the proposed services and activities.
• An explanation and verification of the necessity for any 2 4 6 8
subcontracts and/or any unusual expenditures .
Page 12.12 Register 2002, No.41; 10-11-2002
Title 11
Attorney General
§454
Article 4. Funding
•
§451. Funding Duration.
(a) Project funding will be based on an initial 12-month grant period,
subject to three annual renewals and any statutory or regulatory changes,
for a four-year funding cycle.
(b) An extension of thel 2-month grant period, not to exceed three
months, may be authorized and approved by the DOJ if based upon ade-
quate justification and program necessity. The Grant Program Extension
Request shall be signed by the authorizing officer or agent and the fiscal
officer for the grant, as well as the DOJ, and sets forth the following:
( 1 ) Organization name.
(2) Project title.
(3) Grant award number
(4) Amendment number, if applicable.
(5) Original grant award.
(6) Requested dates of extension.
(7) Previous extensions, if applicable.
(8) Total number of months of the original grant award.
(9) Total number of months of the grant award, including extensions.
(10) Total grant funds awarded.
(11) Total grant funds to be extended
(12) Justification for extension and statement of impact if extension is
denied.
(c) Upon completion of a four-year funding cycle, a new RFP will be
released and new GCVPP Program grantees will be selected on a state-
wide, competitive basis.
Note: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Sections 13825.3 and 13825.5, Penal Code.
History
1. New article 4 (sections 451-453) and section filed 5-6-2002 as an emergency;
operative 5-6-2002 (Register 2002. No. 19). A Certificate of Compliance must
be transmitted to OAL by 9-3-2002 or emergency language will be repealed by
operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§ 452. Available Funds.
(a) If the state budget allocates funding for the GCVPP Program, the
DOJ will award funding, less administrative costs, to a funding level of
up to $237,500 for each grantee per grant period.
(b) The DOJ does not have the authority to disburse or reimburse any
costs incurred until the state budget and DOJ allocation is passed and the
Grant Award Agreement is fully executed.
(c) All funds made available to the DOJ for the purpose of this grant
shall be disbursed to grantees that comply with the requirements of Penal
Code Sections 13825.1 through 13825.5 and these regulations.
(d) If more grant funds are made available in the state budget or by
elimination of a grantee during the four-year funding cycle, the existing
grantees in that four-year funding cycle will receive a prorated share of
the funds equally divided among all grantees upon execution of a modi-
fied Grant Award Agreement.
(e) If enough funds are made available from the State Budget within
a four-year funding cycle to fund additional projects, the DOJ will re-
lease a new RFP for a new four year funding cycle for newly funded proj-
ects.
Note: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Sections 13825.3 and 13825.5. Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sec-
tion, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002,
No. 41).
§ 453. Grant Match.
(a) All grantees must provide a cash or in-kind match to the state funds
in the second, third, and fourth years of the grant funding cycle. The grant
match is as follows:
( i ) A five percent match in the second year.
(2) A 10 percent match in the third year.
(3) A 15 percent match in the fourth year.
(b) The cash or in-kind match may be one or any combination of the
following:
( 1 ) Cash.
(2) Services.
(3) Resources of comparable value, such as materials, personnel, and
facilities.
(4) Private foundation funds or in-kind contributions from other agen-
cies that demonstrate community support.
(c) Cash match is income from a source other than state or federal
funds that is budgeted for the project. When used to augment the project.
cash expenditures for items such as personnel, facilities, and supplies
may be considered a cash match, if not in violation of Article Five of these
regulations.
(d) In-kind match is the project's contribution of non-cash outlay of
materials or resources to support a percentage of the project-funded ser-
vices and activities.
( 1 ) It may include non-cash outlay contributed by other public agen-
cies and institutions, private organizations, or individuals.
(2) Examples of in-kind match include donated office supplies, equip-
ment, professional services, or volunteer time.
(3) In general, the value of in-kind contributions is determined by fair
market value.
NOTE: Authority cited: Sections 1 3825.3(c) and 1 3825.5, Penal Code. Reference:
Sections 13825.3 and 13825.5, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Article 5. Use of Funds
§ 454. Personnel Expenses.
(a) Allowable personnel expenses are defined as those necessary to
provide direct services under the grant.
(b) Grant funds may be used to pay for direct personnel services in-
cluding, but not limited to, counselors, community workers, clerical, and
other project staff.
(c) Personnel costs must be identified on the personnel budget sheet
by position, duties, percentage of the salary, and benefits paid by the
grant.
(d) All other persons must be shown as consultants on the operating
expense budget sheet and supported by a contract, an MOU, or an OA.
(e) Administrative staffing costs (i.e.. Executive Director, Project Di-
rector not providing direct services to youth) may not exceed 10 percent
of the total grant amount and cannot be included in the indirect costs.
(0 Administrative personnel who provide direct services must main-
tain accurate records to demonstrate time usages attributable to the grant.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Section 13825.4, Penal Code.
History
1. New article 5 (sections 454-463) and section filed 5-6-2002 as an emergency;
operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must
be transmitted to OAL by 9-3-2002 or emergency language will be repealed by
operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sub-
section (c), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register
2002, No. 41).
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BARCLAYS CALIFORNIA CODE OF REGULATIONS
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§ 455. Operating Expenses.
(a) Allowable operating expenses are defined as necessary expendi-
tures, exclusive of personnel salaries and benefits, directly charged to the
project and cannot be included in the indirect costs.
(b) Operating expenses must be clearly listed on budget sheets in line-
item detail.
(c) Out-of-state travel and per diem are allowable operating expenses,
subject to prior DOJ approval. Approval must be requested in writing,
documenting the purpose of the travel, location, the benefit to the pro-
gram goals and objectives, the cost, and how the proposed travel will fur-
ther the intent of the grant award.
(d) Audit costs are allowable operating expenses as defined in Section
462 of these regulations and must be identified on the operating expenses
budget sheets.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Section 13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including new subsection (d),
transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No.
41).
§ 456. Equipment Costs.
(a) Allowable equipment includes, but is not limited to, computer
equipment, furniture and office equipment, telephone systems, and ino-
torized vehicle purchase or lease. A DOJ Equipment Property Sticker is
required on all equipment, which is (1) non-expendable, tangible per-
sonal property; (2) having a useful life of more than one year; and (3) hav-
ing a cost over $499 per unit.
(b) Equipment purchases are not to exceed five percent of the total
project budget and are not to be included in the indirect costs.
(c) Any equipment purchases under $499 are allowable and must be
in line-item detail on budget sheets under operating expenses.
NOTE; Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Section 13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sec-
tion, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002,
No. 41).
§ 457. Evaluation Costs.
(a) Each grantee must budget for the costs involved in obtaining the
services of an Outside Evaluator to conduct the local evaluation, and to
participate in the statewide evaluation and data collection effort pursuant
to Section 468 of these regulations.
(b) Each grant period, a grantee may budget up to 1 5 percent of the to-
tal grant award for evaluation costs.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Section 13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002. No. 41).
§ 458. Indirect Costs.
(a) Allowable indirect costs are defined as shared costs not readily
itemized or assignable to a particular project, but are necessary to the op-
eration of the organization or agency to perform the grant-related ser-
vices and activities.
(b) Grantees may charge a flat, indirect cost rate not exceeding 1 per-
cent of the total salaries, excluding benefits and overtime, or five percent
of the total direct project cost, excluding equipment purchases, and must
be clearly identified on the operating expenses budget sheet.
NOTE: Authority cited: Sections 1 3825.3(c) and 1 3825.5, Penal Code. Reference:
Section 13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§ 459. Travel and Per Diem Costs.
(a) Grantees are required to include in their budgets sufficient per diem
and travel allocations for project-related personnel and/or subcontrac-
tors to conduct project business and to attend the mandated DOJ training
and meetings.
(b) Grantees must maintain documentation of travel to support the
travel expenditure(s), including, but not limited to, travel claims, mileage
logs, and receipt vouchers.
(c) Project-related personnel and/or subcontractors are required to ad-
here to the per diem rates and policies established by the State of Califor-
nia in the California Code of Regulations Title 2, Section 599.619 and
559.631.
(d) Grantees may use their travel and per diem policy only if the policy
is more restrictive than that of the State of California.
(e) Out-of-state travel by project-related personnel and/or subcon-
tractors must be pre-approved in writing, 30 calendar days prior to travel,
by the DOJ Program Manager.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Section 13825.4, Penal Code.
History
1 . New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sub-
section (a), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register
2002, No. 41).
§ 460. Project Income.
(a) Project income is defined as profit resulting from activities related
to the project and is the amount of income remaining after deducting
costs.
(b) Income may be generated through, but not limited to, the following
activities:
(1) The sale of publications, videos, and other materials developed by
the project with these grant funds.
(2) Conference and training registration fees.
(3) Interest earned on generated income.
(c) Project income must be used for allowable costs that further the ser-
vices and activities of the project, excluding the payment of salaries and
benefits.
(d) Project income must be reported pursuant to Section 473 of these
regulations.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Section 13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§461. MOU/OA.
(a) Grantees must enter into an MOU or an OA with each collaborative
partner, other CBO and/or non-profit agency, providing services to the
grantee.
(b) At a minimum, the signed MOU or OA between the grantee, col-
laborative partner, or other organization and/or agency, must set forth the
following:
•
Page 12.14
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§467
(1) Description of the services, roles, and responsibilities.
(2) Methods to assure quality of service.
(3) Length of service.
(4) Funding level budgeted.
(5) Authorizing signatures of the grantee agency and each collabora-
tive partner or organization and/or agency providing services to the proj-
ect.
(c) Any MOU or OA must be approved by the DOJ prior to services
being rendered. The MOU or OA shall be null and void if not approved
by the DOJ, if the funds are not supplied by the Legislature, or if the grant
is not awarded.
NOTE: Authority cited: Sections 13825.3(c) and 13825.3, Penal Code. Reference:
Section 13825.4, Penal Code.
History
1 . New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sec-
tion heading and section, transmitted to OAL by 8-30-2002 and filed
10-10-2002 (Register 2002, No. 41).
§ 462. Audit.
(a) All grantees must arrange for an annual audit of their project con-
ducted by a Certified Public Accountant operating as an independent au-
ditor using generally-accepted accounting standards.
(b) The audit shall be completed and the report sent to the DOJ no later
than six months after the completion of each grant period or termination
of a Grant Award Agreement.
(c) Grantees may budget up to one percent of the total grant to help off-
set the cost of the audit. The audit costs must be identified on the operat-
ing expenses budget sheet.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Section 13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002. No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§ 463. Prohibited Use of Funding.
(a) Funds cannot be used to supplant current program funding and
must be used to augment existing program funding and grantees are pro-
hibited from reducing current or existing federal, state, or local funds be-
cause of the awarding of GCVPP Program grant funds.
(b) Grantees are prohibited from using grant funds for the following:
(1) Financial campaigns, endowment drives, solicitation of gifts, or
similar expenses incurred solely to raise capital or obtain contributions
for the agency.
(2) Real property, including land, land improvements, structures and
their attachments, structural improvements, and alterations.
(3) Interest payments.
(4) Food and beverages.
(5) Professional licenses.
(6) Annual professional dues or fees.
(7) Finance charges, late payment fees, penalties, and returned check
charges.
(8) Lobbying.
(9) Depreciation charges.
Note: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Section 13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of .sec-
tion, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002,
No. 41).
Article 6. Project Administration
§ 464. Compliance Requirements.
(a) Grantees must comply with all requirements of Penal Code Sec-
tions 13825.1 through 13825.5 and these regulations.
(b) Failure to comply with any or all of these requirements may result
in modification or withholding of grant funds, reimbursement to the DOJ
of unauthorized grant expenditures, or termination of the grant.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Sections 13825.1-13825.5, Penal Code.
History
1 . New article 6 (sections 464-485) and section filed 5-6-2002 as an emergency;
operative 5-6-2002 (Register 2002, No. 1 9). A Certificate of Compliance must
be transmitted to OAL by 9-3-2002 or emergency language will be repealed by
operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41 ).
§ 465. Mandatory Training/i\/leetings.
Grantees must attend all DOJ grant-related meetings and training ses-
sions which may include GCVPP Program administration and evaluation
sessions.
NOTE; Authority cited: Section 13825.3(c), Penal Code. Reference: Sections
13825.3 and 13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§ 466. Bonding Requirements.
(a) Grantees are required to obtain and send annually to the DOJ a no-
tarized copy of a blanket fidelity bond or equivalent insurance contract
applicable to all grant-related personnel and/or subcontractors of the
DOJ-funded project.
(b) The bond must be sent to the DOJ prior to project implementation.
(c) The "State of California, Department of Justice" must be named as
the beneficiary on the bond or endorsement.
(d) The bond must be in effect and provide protection to the DOJ, with-
out interruption, during the entire grant period, including any applicable
extensions.
(e) The bond must be in an amount equal to 50 percent of the total grant
award and have a deductible not to exceed $ 1 ,000.
(f) The bond must be accompanied by proof of payment, which in-
cludes the bonding company name, bond number, description and
amount of coverage, and the effective date of the bond.
NOTE: Authority cited: Section 13825.3(c}, Penal Code. Reference: Sections
13825.4 and 13825.5, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-3Q-2002 and filed 10-10-2002 (Register 2002. No. 41).
§ 467. Credits and Disclaimers.
(a) All publications produced in part or in full with GCVPP Program
grant funds must contain a credit reference as follows: "The preparation
of this publication was assisted financially through a grant from the De-
partment of Justice through the California Gang, Crime, and Violence
Prevention Partnership Program."
(b) A disclaimer statement must also be included and must read as fol-
lows: "The opinions, findings, and conclusions of this publication are
those of the author and not necessarily those of the Department of Jus-
tice."
(c) The DOJ reserves a royalty-free, nonexclusive, and irrevocable li-
cense to reproduce, publish, and use these materials and to authorize oth-
ers to do so.
Page 12.15
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§468
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(d) Copies of any publications must be made available to the DOJ at
no charge upon request.
NOTE: Authority cited: Section 13825.3(c) Penal Code. Reference: Section
13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§ 468. Evaluation.
(a) Each grantee shall annually objectively evaluate the effectiveness
of their services and activities to determine changes in attitudes and be-
haviors of the at-risk youth being served, as required by Penal Code Sec-
tion 13825.4(d)(7).
(b) The evaluation methodology must be approved by the DOJ.
(c) Each grantee shall obtain the services of an Outside Evaluator to
conduct the local evaluation required by subsection (a) above.
(d) The Outside Evaluator shall also be responsible for participation
in the annual statewide evaluation and data collection process.
(e) The DOJ, the grantee project director or equivalent, and each grant-
ee' s Outside Evaluator shall jointly meet to discuss, develop, and agree
upon the components of the statewide evaluation that must be used by all
grantees for the four-year funding cycle, including the assessment tools,
measurements, standards, and procedures.
NOTE: Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference:
Sections 13825.3, 13825.4 and 13825.5, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§ 469. Key Personnel.
(a) In carrying out the requirements of this grant, the grantee must
have, at a minimum, different individuals in the following mandatory
positions.
(b) A Executive Director, or equivalent who will be the principal ad-
ministrative authority for the entire grant project and will be designated
in the resolution by the governing body or council, to sign the following
documents:
( 1 ) Grant Proposal Cover Sheet.
(2) MOU or OA.
(3) Grant Award Face Sheet.
(4) Budget and Program Modification forms.
(5) Invoices.
(6) Project Income Reports.
(7) Biannual Fiscal Reports.
(8) Use of Equipment Certification Form.
(c) A Project Director, or equivalent, who will have the general admin-
istrative authority for implementing project services and activities and
maintaining compliance with the requirements of the Grant Award
Agreement, and is responsible for:
(1) Providing overall supervision of project staff and activities.
(2) Ensuring that all project funds expended or obligated are allowable
costs and in compliance with the approved budget.
(3) Maintaining required documentation of project services and activi-
ties and accomplishments.
(4) Reviewing and signing the Progress Report.
(d) A Fiscal Officer, who may be an independent, qualified contract
fiscal agent, will monitor the actual receipt and payment of grant funds,
including:
(1) Maintaining proper accounting records.
(2) Reviewing and signing the Project Claim Invoices, budget and
project modifications, and Biannual Fiscal Reports.
(3) Ensuring the appropriate expenditure of funds.
(e) An Outside Evaluator who will conduct various activities related
to the local and statewide project evaluation requirements as set forth in
Section 468 of these regulations. At a minimum, the Outside Evaluator,
must have a baccalaureate degree or a minimum of two years experience
in applied behavioral research.
(f) Any changes in key personnel, as identified in this Section, must
be reported to the DOJ in writing and documented on a Grant Award
Modification form as soon as the change is known. Failure to make these
changes will result in return of grant documentation requiring that per-
son's signature.
NOTE: Authority cited: Section 13825.3(c), Penal Code. Reference: Sections
13825.3 and 13825.4, Penal Code.
History
1 . New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, includins amendment of sec-
tion, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Resister 2002,
No. 41).
§ 470. Conflicts of Interests.
Directors, officers, employees, and contractors of the grantee (herein-
after "officials") are under an obligation to avoid conflicts of interests in
the administration of grant funds. In furtherance of this policy, officials
shall not participate in a decision to expend grant funds if the expenditure
would benefit:
(a) A business entity in which the official has an investment interest.
(b) An individual, business entity, or non-profit organization that is a
source of income to any official or any entity that employs the official or
in which he or she serves in a management capacity.
(c) Any real property in which the official has an equity or leasehold
interest.
(d) Any individual or entity with which the official is negotiating for,
or has been promised, prospective employment.
NOTE: Authority cited: Section 13825.3(c), Penal Code. Reference: Section
13825.4, Penal Code.
History
1 . New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sec-
tion, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002,
No. 41).
§ 471 . Advances.
(a) Grantees may request a 25 percent advance of the grant funds avail-
able in the first grant period only. The advance will only be granted after
the initial Grant Award Agreement has been approved by the DOJ.
(b) No advance of grant funds will be allowed in subsequent grant peri-
ods, two, three, and four.
(c) The advance shall be cleared within the first three Project Claim
Invoices submitted.
(d) Subsequent invoices beyond the first three invoices will be reduced
by the outstanding advance amount until the entire advance has been
cleared.
(e) If the grantee does not report sufficient expenditures to cover the
advance, the DOJ will bill and collect the funds from the grantee for the
outstanding amount of the advance immediately upon completion of the
grant period.
NOTE: Authority cited: Section 13825.3(c), Penal Code. Reference: Section
13825.4, Penal Code.
History
1 . New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Comphance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
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Attorney General
§476
§ 472. Invoicing.
(a) Grantees must invoice only for costs authorized in the Grant Award
Agreement and in accordance with these regulations.
(b) The DOJ reserves the right to make the final determination if an
expense is allowable and necessary.
(c) Expenses and necessary encumbrances must be incurred during the
grant period.
(d) Grantees can choose to submit a monthly or quarterly Project
Claim Invoice to the DOJ for all project expenditures. These invoices
must be received by the 10th of the following month. Those grantees that
choose to submit quarterly Project Claim Invoices must remain in a quar-
terly filing status throughout the grant period.
(e) The Project Claim Invoice includes the following:
( 1 ) Period covered.
(2) Agency name.
(3) Mailing address.
(4) Telephone and FAX numbers.
(5) Contact person.
(6) Project title
(7) Total grant budget.
(8) Current expenditures.
(9) Available balance.
( 1 0) Funds requested.
(f) The Project Claim invoice must be signed and dated by the grant-
ee's authorized officer or agent, and the fiscal officer.
(g) Grantees must submit the final Project Claim Invoice within 30 cal-
endar days of the end of the grant period, including the extension period.
(h) If the grantee does not submit a final invoice within 120 calendar
days from the end of the grant period, the DOJ will consider the last in-
voice submitted as the final invoice and close out the grant.
(i) Once the DOJ has processed the final Project Claim Invoice, no fur-
ther payment activities against the grant will be permitted.
(j) Grantees are prohibited from billing other federal, state, or local
agencies for goods and/or services billed and/or reimbursed to the grant-
ee by the DOJ.
(k) Grantees must retain source documents to substantiate all financial
information reported pursuant to Section 482 of these regulations.
Note: Authority cited: Section 13825.3(c), Penal Code. Reference: Section
13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sub-
section (f), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register
2002, No. 41).
§ 473. Project Income Reports.
(a) Grantees must report all project income to the DOJ, either monthly
or quarterly, in conjunction with the Project Claim Invoice and on a sepa-
rate form, which includes the following:
(1) Grant period covered.
(2) Agency name.
(3) Mailing address.
(4) Telephone and FAX numbers.
(5) Contact person.
(6) Project title.
(7) Type of project income.
(8) Amount of the project income.
(9) Where the proposed income category funds will be allocated in the
project budget.
(b) The project income form must be signed and dated by the grantee' s
authorized officer or agent, and the fiscal officer.
Note; Authority cited: Secdon 13825.3(c), Penal Code. Reference: Section
13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§ 474. Encumbrances.
(a) An encumbrance is an accounting transaction which occurs when
funds are set aside to pay for a particular obligation in the future, there-
fore funds are no longer available for other expenditures.
(b) To establish an encumbrance, a grantee must do the following:
(1) Submit a formal written request to the DOJ from the grantee's au-
thorized officer or agent, and the fiscal officer prior to the end of the grant
period.
(2) Have the expenditures approved by the DOJ in the original budget
or a subsequent budget modification.
(3) Submit a purchase order/contract from the vendor or supplier of
goods or services to the DOJ.
Note: Authority cited: Section 13825.3(c), Penal Code, Reference: Section
13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41 ).
§ 475. Biannual Fiscal Reports.
(a) Throughout the four-year funding cycle, grantees are required to
submit Biannual Fiscal Reports to the DOJ, in line-item detail of expen-
ditures, including:
( 1 ) The approved state funds.
(2) Total expenditures in each line-item.
(3) Line-item detail of cash or in-kind match.
(4) Signatures of the grantee's authorized officer or agent, and the fis-
cal officer.
(b) The report shall be due within 30 calendar days after the comple-
tion of six months of the grant period and at the end of the grant period.
Note: Authority cited: Section 13825.3(c), Penal Code. Reference: Section
13825.4, Penal Code.
History
1 . New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§ 476. Budget and Project Modifications.
(a) A budget modification is a change within the approved budget that
does not change the amount in the Grant Award Agreement or the grant
period.
(b) Grantees must obtain prior approval from the DOJ in writing for
a modification of the budget which:
( 1 ) Increases or decreases the approved budget category amounts by
more than 10 percent.
(2) Adds a new line-item to the current approved budget category.
(c) A project modification is a change in project services, activities, or
objectives that do not change the Grant Award Agreement, the budget,
or the grant period.
(d) Requests to modify the project must be approved by the DOJ. Re-
quest to modify must cite justification showing that the need to modify
arose from circumstances beyond the grantee's control, including, but
not limited to, the following:
(1) Extreme difficulties in acquiring adequate staffing for the project.
(2) Sudden or unexpected termination of necessary project personnel.
(3) Delays in processing grant modificaUons.
(4) Delays caused by acts of the legislative or judicial bodies.
(5) A strike which affects the performance of the project.
(6) Natural disasters affecting project performance.
Page 12.17
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BARCLAYS CALIFORNIA CODE OF REGULATIONS
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(e) Budget modifications and project modifications must be submitted
in writing on the DOJ Grant Award Modification form wliich requires the
following:
(I)Da^te.
(2) Grant award number.
(3) Grant Period.
(4) Amendment number.
(5) Check boxes for program or budget modification.
(6) Agency name.
(7) Agency mailing address.
(8) Agency contact person and title.
(9) Agency phone and FAX numbers.
(10) Budget categories for personnel, operating costs, equipment
costs, and totals for approved budget, proposed change, and proposed re-
vised allocation columns.
(11) Justification.
(12) The original signature of the applicant's authorized officer or
agent and the fiscal officer.
(13) DOJ review and approval section.
NOTE: Authority cited: Section 13825.3(c), Penal Code. Reference: Section
13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency: operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§ 477. Progress Reports.
(a) The Progress Report shall be due to the DOJ, within 30 calendar
days after the completion of the first six months of the grant period.
(b) Grantees shall file the Progress Report using the DOJ reporting for-
mat provided at the mandatory grant training held at the beginning of
each grant period, and must include the following information:
( 1 ) Project title.
(2) Grant award number.
(3) Grantee's name and address.
(4) Grantee' s telephone number.
(5) Grant period.
(6) Name and title of the person preparing the report.
(7) Report period.
(8) Budget status.
(9) Original signature of the Project Director or equivalent agent for
the grant.
(10) Names of personnel funded by the grant.
(11) Personnel actions taken, if any.
(12) Project update.
(13) Equipment purchased.
(14) Statewide evaluation status.
(15) Narrative detailing specific information on the progress made to-
ward achieving the project goals and objectives.
(c) Prior approval must be obtained from the DOJ Program Manager
for an extension to submit a late report.
NOTE: Authority cited: Section 13825.3(c), Penal Code. Reference: Secfion
13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sec-
tion, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002,
No. 41).
§ 478. Evaluation Reporting.
(a) The Outside Evaluator must submit an annual report to the DOJ that
must include, at a minimum:
(1) Required elements of the Progress Report as specified in Section
477 of these regulations.
(2) Annual local evaluation in accordance with Section 468(a) of these
regulations.
(3) Survey and questionnaire results relating to the project.
(4) Identification of the project's outstanding achievements and ac-
complishments.
(5) Identification of obstacles and/or lessons learned from the project
operations.
(6) Identification of areas of improvement needed in the project.
(b) The annual report must be submitted to the DOJ within 60 calendar
days following the end of the grant period.
NOTE: Authority cited: Section 13825.3(c), Penal Code. Reference: Sections
13825.3 and 13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§ 479. Project Monitoring.
(a) The DOJ will conduct, at a minimum, annual fiscal and program-
matic monitoring reviews.
(b) The monitoring reviews may be accomplished through formal or
informal means.
( 1 ) Formal monitoring may include site visits, during which DOJ staff
may review, but not be limited to, all fiscal and personnel documents,
programmatic materials, publications, or curriculum used by and devel-
oped under this funding.
(2) Informal monitoring may include, but is not limited to, telephone
calls, desk monitoring of progress and evaluation reports, biannual fiscal
reports, project income reports, project claim invoices, correspondence,
and E-mails.
NOTE: Authority cited: Section 13825.3(c), Penal Code. Reference: Section
13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sub-
section (b)(2), transmitted to OAL by 8-30-2002 and filed 1 0-10-2002 (Regis-
ter 2002, No. 41).
§ 480. Technical Assistance.
(a) Grantees may request technical assistance from the GCVPP Pro-
gram Manager for assistance with programmatic, fiscal, and other issues
related to the implementation, management, and administrafion of the
project.
(b) Technical assistance is provided to support the grantee's efforts in
achieving the goals and objectives of the funded grant project.
NOTE: Authority cited: Section 13825.3(c), Penal Code. Reference: Section
13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§ 481. Annual Grant Renewal Process.
(a) All grantees funded in the first year of the four-year funding cycle
must submit a continuation application each year for the subsequent
grant period.
(b) Continuation in the next four-year funding cycle is contingent
upon, but not limited to, the following:
(1) Prior year performance.
(2) Compliance with grant requirements.
(3) Availability of funds.
(c) The continuation application will require a new:
(1 ) Grant Award Agreement, in accordance with Section 450 of these
regulations.
Page 12.18
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Attorney General
§484
(2) Budget for the next grant period, including the grant match
amounts and sources, as required in Section 453 of these regulations.
(3) Goals and objectives summary sheets.
(4) Project summary sheet.
(5) Evidence of CBO or non-profit agency status.
(6) A notarized copy of a blanket fidelity bond or equivalent insurance
contract.
(d) Within 60 calendar days from the end of the prior grant period,
grantees must have a Grant Award Agreement signed by the authorizing
officer or agent for the grant and the DOJ to begin implementation of the
new grant period and to request reimbursement of funds.
NOTE: Authority cited: Section 13825.3(c), Penal Code. Reference: Section
13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by
8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§ 482. Retention of Records.
(a) Grantees and subcontractors are required to maintain accounting
records and other evidence of procedures and project performance suffi-
cient to properly reflect costs incurred for the implementation, mainte-
nance, and evaluation of the project, including all cost and match funds.
(b) The records must be kept available by the grantee and subcontrac-
tors during each grant period and thereafter for five full years from the
date of the final payment.
(c) During each grant period and for five years following the final pay-
ment, the DOJ and its representatives must be permitted to audit, review,
and inspect, from the grantee and/or subcontractor, any of the following
items including, but not limited to:
(1) Activities.
(2) Books.
(3) Documents.
(4) Papers and records.
(5) Publications and videotapes.
(6) Equipment.
NOTE: Authority cited: Section 13825.3(c), Penal Code. Reference: Section
13825.4, Penal Code.
History
1 . New section filed 5-6-2002 as an emergency: operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sub-
section (c), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Resistcr
2002, No. 41).
§ 483. Withholding of Funds/Termination.
(a) The DOJ may withhold funds and/or disallow expenditures any-
time the grantee fails to comply with any term or condition of the Grant
Award Agreement or requirements of the GCVPP Program.
(b) Failure to comply may include, but is not limited to, the grantee's:
(1) Failure to submit required DOJ Project Claim Invoices in a timely
manner.
(2) Failure to submit required DOJ Progress Reports in a timely man-
ner.
(3) Failure to resolve interim or final audit exceptions on past or cur-
rent grants in a timely manner.
(4) Failure to maintain adequate accounting records.
(5) Failure to submit proof of Blanket Fidelity Bond or equivalent in-
surance coverage in a timely manner.
(6) Failure to cooperate with or admit DOJ staff or representatives
(e.g., audit team or evaluation staff) to review project and/or fiscal re-
cords.
(7) Failure to reimburse disallowable costs according to payment
terms agreed to by the grantee in a timely manner.
(8) Failure to comply with the conflict of interest policy.
(c) The DOJ reserves the right to terminate a grant and recover grant
funds and/or equipment purchased for failure to comply with any term
and condition of the Grant Award Agreement or the requirements of the
GCVPP Program.
(d) The DOJ shall have the right to terminate or reduce the grant
amount for the current grant period if the funding made available by the
Budget Act is insufficient.
(e) The DOJ will have no responsibility to pay funds or furnish any
other considerations under the intended grant award until the state budget
allocation is available.
(f) Previously-approved grantees shall have no responsibility to con-
tinue their full and current grant responsibility if their funding has been
reduced, delayed, or eliminated.
(g) The DOJ will provide the grantee reasonable notice and opportuni-
ty for a full and fair process set forth in the following:
( 1 ) The DOJ will notify the grantee by letter that it intends to terminate
payments, and recover grant funds and/or equipment, either in whole or
in part; unless the grantee shows good cause why the project should not
be terminated and the funds and/or equipment recovered.
(2) The grounds and the effective date of the proposed termination or
recovery of funds and/or equipment will be stipulated in the letter.
(3) The grantee will be given 10 calendar days to submit written mate-
rials to the DOJ in opposition to the proposed action.
(h) The grantee may reserve the right to terminate its Grant Award
Agreement with the DOJ with reasonable notice and opportunity for a
full and fair process, subject to the following conditions:
( 1 ) The grantee must notify the DOJ in writing that it intends to termi-
nate the Grant Award Agreement, either in whole or in part. TTie grounds
and the effective date of the termination must be stipulated in a letter to
the DOJ.
(2) The grantee must comply with the documentation requirements of
Section 484 of these regulations.
(3) The DOJ reserves the right to take up to 1 calendar days to respond
to the notice and negotiate final grant conditions.
NoTE: Authority cited: Section 13825.3(c), Penal Code. Reference: Sections
13825.3 and 13825.5, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sub-
sections (b)(5), (g)(1) and (g)(3), transmitted to OAL by 8-30-2002 and filed
10-10-2002 (Register 2002, No. 41).
§ 484. Final Grant Closeout.
(a) Upon completion of the four-year funding cycle and within 60 cal-
endar days, each grantee must submit to the DOJ the following final doc-
umentation:
(1) Biannual Fiscal Report.
(2) Annual local evaluation report.
(3) Statewide data collection and evaluation information.
(4) Use of Equipment Certification, with original signatures of the au-
thorized officer or agent, the fiscal officer, and the DOJ, which includes
the following:
(A) Grantee name.
(B) Grant award number.
(C) Project title.
(D) Grantee address.
(E) Contact person and telephone number.
(F) Dates of the grant period.
(G) A certification that the equipment will be used to further preven-
tion and intervention-related acdvities or to further the intent of the origi-
nal grant award.
(H) Description of the equipment.
(I) Equipment property sticker number.
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§485
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(b) Within six months of the completion of a four-year funding cycle
the final annual audit report is due to the DOJ pursuant to Section 462 of
these regulations.
(c) Failure to provide any documentation in subsection (a) of this regu-
lation will result in non-payment of the final invoice, until such time as
documentation is received by the DOJ.
NOTE: Authority cited: Section 13825.3(c), Penal Code. Reference: Sections
13825.3 and 13825.4, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sec-
tion, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002,
No. 41).
§ 485. New Four-Year Funding Cycle.
(a) All grantees that have been previously funded by the DOJ will be
reviewed for past performance and compliance at each new four-year
funding cycle.
(b) Failure to comply with any term or condition of a Grant Award
Agreement may result in the denial of future grant awards to any grantee
and/or its officers.
(c) The DOJ may not recommend a project for continued funding in
a new four-year funding cycle based upon consideration of a review of
relevant documentation or information including, but not limited to, the
grantee's failure to:
( 1 ) Submit required Project Claim Invoices in a timely manner.
(2) Submit required Progress Reports in a timely manner.
(3) Resolve interim or final audit exceptions on past or current grants
in a timely manner.
(4) Maintain adequate accounting records.
(5) Submit proof of a Blanket Fidelity Bond or equivalent insurance
coverage in a timely manner.
(6) Cooperate with or admit DOJ staff or representatives (e.g., audit
team or evaluation staff) to review project and/or fiscal records.
(7) Reimburse unallowable costs according to payment terms agreed
to by the grantee in a timely manner.
(8) Comply with the conflicts of interests policy.
NOTE: Authority cited: Section 13825.3(c), Penal Code. Reference: Sections
13825.3 and 13825.5, Penal Code.
History
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register
2002, No. 19). A Certificate of Compliance must be transmitted to OAL by
9-3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of sub-
section (b)(5), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Regis-
ter 2002, No. 41).
Chapter 5. Regulations Governing Health
Care Service Plans
Article 1. General Provisions
§ 500. Authority.
These regulations are adopted pursuant to the authority vested in the
Attorney General by Section 12538.5 of the Government Code.
The provisions of the Act and these regulations are cumulative to any
other statutory or common law powers of the Attorney General. Nothing
contained in the Act or these regulations shall limit the authority of the
Attorney General to proceed against a health plan in any other manner
provided by law.
NOTE: Authority cited: Section 12538.5, Government Code. Reference §§ 12530
through 12539, Government Code.
History
1. New Subchapter 5, (Articles 1 through 5; Sections 500 through 507, 510, 51 1,
512, 520 through 536, 550, 55 1 , 552, 570 through 582) filed 3-29-67; effective
thirtieth day thereafter (Register 67, No. 13).
2. Repealer of Subchapter 5 (Sections 500-582, not consecutive) and new Sub-
chapter 5 (Sections 500-593, not consecutive) filed 8-20-75; effective thirtieth
day thereafter (Register 75, No. 34).
§501. Communications.
(a) Notices by health plans and all documents, correspondence, and
other matters relating to health plans shall be directed to: Health Plan
Registrar, Office of the Attorney General, 3580Wilshire Boulevard, Los
Angeles. California 90010.
(b) Any notice required to be given to the health plan by the Attorney
General shall be deemed effective from:
( 1) the time it is delivered to any officer of the health plan;
(2) the time it is delivered to any person who appears to be in charge
of the principal office of the health plan at the time of delivery; or
(3) two days after notice is placed first class postage prepaid in the
United States mail addressed to the principal office of the health plan as
such address is then reflected in the records of the Attorney General.
§ 502. Definitions.
When used in these regulations, the following words and terms shall
have the meaning set forth below:
(a) "Act" means the provisions of the Knox-Mills Health Plan Act
contained in Article 2.5 of Chapter 6 of Part 2 of Division 3 of Title 2 of
the Government Code (commencing with Section 12530);
(b) "Benefits" means the health care services a health plan offers to or
arranges for its members;
(c) "Cost of membership" means the prepaid or periodic consideration
a health plan receives for providing benefits to a member;
(d) "Health care service plan," "health care service," "member,"
"membership contract," "representative," "healing arts," "advertising,"
"solicitation," "cash or equivalent," "net equity," and "tangible new eq-
uity" have the same meaning as defined in the Act;
(e) "Health plan" means a health care service plan required to register
with the Attorney General;
(f) "Non-panel provider" means any provider who has not contracted
with the health plan to deliver or furnish health care services to members
of the health plan;
(g) "Panel-provider" means any provider who has contracted with the
health plan to deliver or furnish health care services to members of the
health plan;
(h) "Provider" means any individual, group, corporation or other enti-
ty which furnishes health care services to members of a health plan;
(i) "Subscriber" means the member whose employment or other sta-
ms, except as a family dependent, is the basis for membership in the
health plan;
(j) "Subsequent provider" means the cost reimburser or provider of
health care services who offers the member benefits upon failure, suspen-
sion or revocation of the health plan to which the member originally be-
longed.
§ 503. Change of Name.
Every health plan, not less than 15 days prior to the effective date of
any change in the name of the health plan, shall give written notice to the
Attorney General advising him of such change of name and the date upon
which such change shall be effective.
§ 504. Place of Business.
Every health plan, not later than 30 days prior to any change in the ad-
dress of its principal place of business, or in the location of any other of-
fice or facility of the health plan, shall give written nofice to the Attorney
General advising him of such change of address and the date upon which
such change shall be effective.
§ 505. Personnel.
Every health plan, not more than 5 days after any change in a partner,
sole owner, officer, director, stockholder owning 20 percent or more of
•
Page 12.20
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Attorney General
§528
the stock of the health plan, or any other person exerting substantial con-
trol over the operation of the health plan, shall give written notice to the
Attorney General. Said notice shall specify the change of personnel and
the date upon which such change shall be effective.
§ 506. Termination of Benefits.
Every health plan, immediately upon determining that it is or will be
(whichever first occurs) unable to provide any or all of the benefits speci-
fied in a membership contract shall cease offering said membership con-
tract to the public and shall immediately give written notice to the Attor-
ney General. Said notice shall:
(a) State that the health plan is or will be unable to provide benefits;
(b) Specify the benefits it is or will be unable to provide; and
(c) Specify and detail the reasons for its inability to provide such bene-
fits.
History
1 . Editorial correction of first paragraph (Register 95, No. 41 ).
§ 507. Termination of Business.
Every health plan, immediately upon determining that it intends to
cease doing business or upon terminating its business (whichever first
occurs) shall give written notice of such intent or such fact to the Attorney
General. Said notice shall include a detailed statement of all reasons for
cessation of business and the effective date thereof.
§ 508. Change in Organizational Document.
Every health plan, immediately upon a change in its basic organiza-
tional documents, shall give written notice of such change to the Attorney
General. Basic organizational documents include but are not limited to
articles of incorporation or association, partnership agreement, trust
agreement and bylaws. Such notice shall specify all changes made.
Article 2. Registration
§ 51 5. Forms for Registration.
Every health plan shall obtain the necessary forms for registration
from the Attorney General.
§ 51 6. How to Register.
Registration is accomplished by submitting to the Attorney General:
(a) A completed registration form;
(b) All applicable documents specified by the registration form;
(c) The appropriate registration fee, as specified in Section 12538.4(a)
of the Act; and
(d) Such other information as may be required by the Attorney General
to insure compliance with the Act and these regulations.
Initial registration is deemed to be complete only after submission of
the information required by this section and issuance by the Attorney
General of a letter to the health plan stating that it has filed a complete
registration and is registered.
§517. Term of Registration.
The term of registration is the twelve month period commencing April
1 of each calendar year and ending March 3 1 of the following calendar
year.
§ 518. Annual Registration Date.
The annual registration materials shall be submitted on or before
March 3 1 of each calendar year.
Article 3. Contracts
§ 520. Contract Requirements.
(a) All contracts entered into by a health plan with members, providers
or management companies shall be in writing;
(b) All contracts issued before the effective date of these regulations
shall be amended as necessary to comply herewith the first time the>' are
renewed after the effective date of these regulations but in no event later
than August 1, 1976.
§ 521. Deceptive Membership Contracts.
A membership contract which is in violation of any regulation in this
article shall be considered as deceptive within the meaning of Section
12531(c) of the Act.
§ 522. Submission of Contracts.
Every health plan shall submit to the Attorney General:
(a) Not more than 10 days after execution, a copy of each group mem-
bership contract;
(b) Not more than 1 days after execution, a copy of each provider con-
tract;
(c) Not less than 30 days prior to execution, a copy of each indixidual
membership contract which the health plan proposes to use; and
(d) Not less than 30 days prior to execution, a copy of each proposed
contract between the health plan and a management company.
To the extent a health plan uses standard form contracts it may satisfy
the requirements of subparagraphs (a) through (d) by submitting a copy
of each standard form contract; provided, however, upon its execution,
the health plan shall submit a copy of each contract specified in (d) above.
§ 523. Amended or Cancelled Contracts.
(a) When a health plan proposes to amend or replace a contract re-
quired to be submitted by Section 522(a), (c) or (d) of these regulations,
the health plan shall submit to the Attorney General a statement identify-
ing the contract being amended or replaced and a detailed description of
the changes being effected.
(b) Every health plan, immediately upon cancellation or amendment
of a contract with a provider, shall give written notice of such amendment
or cancellation to the Attorney General. Said notice shall set forth the
terms of the cancellation or amendment and the reasons therefor.
§ 524. Interpretation of Contracts.
The Attorney General may require a written statement from a health
plan setting forth its interpretation of part or all of any contract.
§ 525. Issuing Membership Contract.
Upon enrollment every health plan shall deliver to each person who
is an individual subscriber to the health plan a complete copy of his mem-
bership contract and an evidence of coverage. If the person is a subscriber
as a member of a group, the health plan shall cause an evidence of cover-
age to be delivered to such person. The health plan shall be deemed to
have caused an evidence of coverage to be delivered to each group mem-
ber if the health plan delivers to a representative of the group at least one
copy of the evidence of coverage for each member of the group and the
contract between the health plan and the group requires that the group
give each member of the group a copy of the evidence of coverage.
§ 526. Format and Typography.
Every membership contract and any endorsement or papers attached
thereto shall be plainly printed in not less than 10 point type provided,
however, that supplies of such documents in existence on the effective
date of these regulations may be used until August 1 , 1976.
§ 527. Specific Contract Provisions.
Every membership contract shall include at a minimum all of the in-
formation specified in Section 542 of these regulations.
§ 528. Explanation of Terms.
Every membership contract which contains any term defined by the
Act or by these regulations or which contains the terms "preexisting con-
dition," "guaranteed renewable," or "non-cancelable" shall define and
explain the meaning of said terms in a manner consislcnt wilh the Act and
these regulations.
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Title 11
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§542
•
§ 529. Limitations, Exclusions, Exceptions and
Reductions.
(a) Limitations, exclusions, exceptions and reductions shall appear un-
der an appropriate caption such as "LIMITATIONS," "EXCLUSIONS,"
"EXCEPTIONS," or "REDUCTIONS," which caption shall be in bold-
face type. The provisions relating to such limitations, exclusions, excep-
tions and reductions shall be printed with at least the same prominence
as the provisions which describe benefits;
(b) Provisions in a membership contract which relate to limitations,
exclusions, exceptions or reductions which are applicable only to specifi-
cally described benefits shall be contained in the same section of the con-
tract where the particular benefits to which they apply are described, and
shall be printed with at least the same prominence as the benefits to which
they apply.
§ 530. Cancellation.
(a) The provisions in a membership contract which relate to cancella-
tion shall appear under an appropriate caption which shall be in boldface
print;
(b) If a membership contract is cancelled by either the health plan or
the subscriber, the health plan shall return to the subscriber or to the
group, as appropriate, the pro rata portion of the money paid to the health
plan which corresponds with any unexpired period for which payment
has been received, unless the membership contract clearly provides
otherwise;
(c) The health plan may not cancel a membership contract upon less
than 30 days' written notice except in the event of non-payment of the
prepaid or periodic charge in which case the contract may be cancelled
upon 15 days' written notice.
§ 531. Reinstated Contracts.
The acceptance by a health plan of the cost of membership tendered
by or on behalf of a subscriber after the membership contract has termi-
nated, without requiring a new application for membership in the health
plan, shall reinstate the membership contract as though it had never ter-
minated unless the health plan issues to the subscriber a new membership
contract accompanied by a written notification advising the subscriber of
the manner in which the new contract differs from the benefits or cover-
age offered in the terminated contract.
§ 532. Cost of Membership.
No health plan may initiate an increase in the cost of membership
which will increase the amount paid by the subscriber without giving the
subscriber at least 30 days' written notice of the proposed change.
§ 533. Change in Benefits.
No health plan may initiate a decrease in the benefits offered by a
membership contract without giving the subscriber at least 30 days' writ-
ten notice of the proposed change. If the subscriber is a member of a
group, the notice may be given to a representative of the group.
§ 534. Source of Benefits.
Upon any change in a panel provider notice thereof shall be given im-
mediately to all subscribers affected thereby. If such change results in
subscribers having no reasonable access to panel providers, the health
plan shall immediately secure replacement panel providers and give
prompt notice thereof.
§ 535. Notice of Claim.
When members of a health plan are required to give the health plan no-
tice of having received health care services, the notice shall be deemed
timely, if under the circumstances, it is given within a reasonable time.
§ 536. Notice by Provider.
Each contract between a health plan and a provider shall set forth that,
immediately upon cancellation or amendment of the contract, the provid-
er shall notify the Attorney General at the address set forth in Section 501
of these regulations of such cancellation of amendment, the text thereof
and the effective date thereof.
§ 537. Notice to Members of a Group.
Notwithstanding any other provision of these regulations, notice to a
representative of a group, in lieu of notice to each subscriber thereof,
shall be sufficient if (a) the contract between the health plan and the group
requires that the group disseminate such notice to its members within a
reasonable time after receipt of notice by the group but in no event later
than 72 hours after receipt; provided that, if the health plan delivers to the
representative of the group a notice more than 72 hours in advance of the
time at which such notice must be disseminated, then the contract shall
provide that the notice shall be disseminated so that it could reasonably
by expected to be received by the members within the time prescribed by
these regulations; of (b) if the group in fact gives such notice within the
time specified in (a).
Article 4. Evidence of Coverage
§ 540. Preparation.
Every health plan shall prepare an evidence of coverage for each pro-
gram of benefits offered.
§ 541 . Format and Typography.
The evidence of coverage shall have the following format and typog-
raphy;
(a) It shall be plainly printed;
(b) It shall be written in easily understandable language and shall be
clear and concise;
(c) All printing shall be in not less than 10 point type unless otherwise
specified herein;
(d) It shall be titled in at least 20 point boldface type "Evidence of Cov-
erage";
(e) The portions of the text specifying ( 1 ) limitations, exclusions, ex-
ceptions and reductions; (2) rights of cancellation; (3) restrictions on re-
newal or reinstatement; (4) rights of the health plan to change benefits;
(5) subsequent providers ; and (6) liability of members in the event of
nonpayment by the health plan, shall be in type not less than 2 points larg-
er than the text relating to other provisions and in no event less than 1 2
point type; and
(f) It shall be divided into sections, each of which shall have a title
identifying the nature of the information contained therein.
§ 542. Contents and Typography.
The evidence of coverage shall contain at a minimum the following
information:
(a) The name of the health plan, the principal address from which it
conducts its business and its telephone number;
(b) The definitions for the words contained therein that have meanings
other than those attributed to them by the public in general usage;
(c) The manner in which the member can determine who is or may be
entitled to benefits;
(d) The time and date or occurrence upon which coverage takes effect
including a specification of any applicable waiting periods;
(e) The time and date or occurrence upon which coverage will termi-
nate;
(f) The conditions upon which cancellation may be effected by the
health plan or by the member;
(g) The conditions for and any restrictions upon the member's right to
renewal or reinstatement;
(h) The amount of the periodic payment to be made by the member,
the time by which the payment must be made and the address at or to
which the payment shall be made;
(i) A complete statement of all benefits, limitations, exclusions, excep-
tions and reductions;
(j) A statement of any restriction on assignment of sums payable to the
member by the health plan;
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(k) The exact procedures for obtaining benefits including the proce-
dure for filing claims. The procedure for filing claims must state the time
by which the claim must be filed, the form in which it is to be filed and
the address at or to which it shall be delivered or mailed;
(1) Any procedures required to be followed by the member in the event
any dispute arises under the contract, including any requirement for arbi-
tration;
(m) The address and telephone number designated by the health plan
to which complaints from members are to be directed;
(n) The name and address of the subsequent provider, if any;
(o) A statement to the effect that, by statute, every contract between
the health plan and a panel provider entered into after September 23,
1974, or in effect after September 22, 1975, shall provide that in the event
the health plan fails to pay the panel provider, the member shall not be
liable to the panel provider for any sums owed by the health plan;
(p) A statement to the effect that in the event the health plan fails to pay
non-panel providers, the member may be liable to the non-panel provid-
er for the cost of services; and
(q) A statement which shall be set forth in boldface type not less than
2 points larger than the type required by Section 541(e): "This evidence
of coverage constitutes only a summary of the health plan. The health
plan contract must be consulted to determine the exact terms and condi-
tions of coverage."
§ 543. Fair Disclosure.
The evidence of coverage when taken as a whole, with consideration
being given to format, typography and language, must constitute a fair
disclosure of the provisions of the health plan.
§ 544. Submission Prior to Use.
Unless the Attorney General gives written permission to the contrary,
the evidence of coverage shall be submitted to the Attorney General at
least 30 days prior to the intended date of its dissemination. It may not
be disseminated during that 30-day period or at any time after disapprov-
al by the Attorney General.
§ 545. Use of Existing l\/lateriai.
Notwithstanding the requirements of Section 525 of these regulations,
a health plan which prior to the date of filing of these regulations has pre-
pared brochures, pamphlets or other written materials which summarize
all the benefits provided by the plan, as well as the plan's limitations, ex-
clusions, exceptions and reductions may continue to distribute such ma-
terials in lieu of the evidence of coverage required to be distributed by
Section 525 until the existing supply thereof is exhausted, or until August
1 . 1 976, whichever first occurs.
Article 5. Standard Supplemental
Disclosure Form
§ 550. Preparation and Dissemination.
Every health plan shall prepare and disseminate Standard Supplemen-
tal Disclosure Forms as required by Government Code Section 12537.2.
§ 551 . Format and Typography.
Every Standard Supplemental Disclosure Form shall have the follow-
ing format and typography:
(a) It shall be plainly printed;
(b) It shall be written in clear, concise and easily understandable lan-
guage;
(c) All printing shall be in 10 point type unless otherwise specified
herein;
(d) It shall be titled in 20 point boldface type "Standard Supplemental
Disclosure Form." No printing shall appear above this title;
(e) The title shall be followed by the name of the health plan, the princi-
pal address from which the health plan conducts its business, the tele-
phone number of the health plan and the name of the particular program
described in the Standard Supplemental Disclosure Form, if named. This
information shall be in type not less than 10 point or more than 30 point;
(f) The remainder of the Standard Supplemental Disclosure Form shall
be divided into the following sections:
(1) Definitions;
(2) Benefits;
(3) Limitations, Exclusions, Exceptions and Reductions;
(4) Costs, Copayments, Coinsurance and Deductibles;
(5) Renewal, Cancellation and Reinstatement;
(6) Termination of Enrollment;
(7) Subsequent Providers;
(8) Liability of Members in the Event of Nonpayment by Health Plan.
Each section shall bear the exact title and shall appear in the exact or-
der set forth above. Each section title shall be printed in 16 point boldface
type and shall contain the information specified in Section 552 of these
regulations.
(g) The text of the section entitled "Limitations, Exclusions, Excep-
tions and Reductions" shall be in 12 point boldface type.
§ 552. Contents and Typography.
The Standard Supplemental Disclosure Form shall contain the follow-
ing information within the following specified sections:
(a) The section entitled "Definitions" shall define each word having
a meaning other than that attributed to it by the public in general usage;
(b) The section entitled "Benefits" shall summarize the principal bene-
fits and coverage of the health plan, shall specify the manner of determin-
ing each person entitled to benefits and shall specify the manner in which
the effective dates and the termination dates of coverage are to be deter-
mined;
(c) The section enUtled "Limitations, Exclusions, Exceptions and Re-
ductions" shall specify fully every significant limitation, exclusion, ex-
ception and reduction;
(d) The section entitled "Costs, Copayments, Coinsurance and Deduc-
tibles" shall state the full monthly and annual premium costs, including
amounts paid by the employer, if any, and all required copayments and
coinsurance and any deductibles. It shall also state the right of the health
plan to change premiums, copayments and coinsurance amounts and de-
ductibles, if any;
(e) The section entitled "Renewal, Cancellation and Reinstatement"
shall specify the exact renewal and reinstatement conditions and restric-
tions. If the member does not have the right to renew or reinstate, such
fact must be set forth in 10 point boldface type. The right of the member
of the health plan to cancel must be fully set forth in 10 point boldface
type;
(f) The section entitled "Termination of Enrollment" shall specify
when benefits shall cease in the event of termination of enrollment and
the effect of such termination upon a member who is hospitalized or un-
dergoing treatment;
(g) The section entitled "Subsequent Providers" shall state the name
of each subsequent provider. If only certain benefits are provided by a
subsequent provider, the benefits not provided must be specified;
(h) The section entitled "Liability of Members in the Event of Nonpay-
ment by Health Plan" shall contain a statement to the effect that (1) by
statute, every contract between the health plan and a panel provider en-
tered into after September 23, 1974, or in effect after September 22, 1975;
shall provide that in the event the health plan fails to pay the panel provid-
er the member shall not be liable to the panel provider for any sums owed
by the health plan; and (2) in the event the health plan fails to pay a non-
panel provider, the member may be liable to the non-panel provider for
the cost of services.
§ 553. Summary Only.
The Standard Supplemental Disclosure Form shall conclude with the
following statement which shall be set forth in 14 point boldface type:
"This disclosure form constitutes only a summary of the health plan. The
health plan contract must be consulted to determine governing contrac-
tual provisions."
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§ 554. No Additional Information.
No additional information may be contained in tlie Standard Supple-
mental Disclosure Form without the written approval of the Attorney
General.
§ 555. Submission Prior to Use.
Unless the Attorney General gives written permission to the contrary,
the Standard Supplemental Disclosure Form shall be submitted to the At-
torney General 30 days prior to the intended date of dissemination. It may
not be disseminated during that 30-day period or at any time after disap-
proval.
Article 6. Books and Records
§ 560. Period of Retention and Location.
(a) Each health plan shall, unless otherwise indicated herein, make and
retain for a period of not less than three years the information specified
in this article;
(b) Such information shall be kept at the principal office of the health
plan in California, if feasible. If the information required is not kept with-
in the State of California, the health plan, at the option of the Attorney
General, shall make available at a time and place within this state desig-
nated by the Attorney General such information or shall pay the costs in-
curred by the Attorney General in viewing the information at the out-of-
state location.
§ 561. Required Information.
Every health plan shall make, or cause to be made, and retain, or cause
to be retained, books and records which accurately reflect:
(a) The names and last known addresses of all subscribers to the health
plan;
(b) All contracts required to be submitted to the Attorney General by
the Act or these regulations and all other contracts entered into by the
health plan;
(c) All requests made to the health plan for payment of money for
health care service, the date the requests were made and the dispositions
thereof;
(d) The names and last known addresses of persons, corporations and
other entities which solicit or obtain members for the health plan;
(e) The amount of any commission paid to persons, corporations or
other entities which obtain members for the health plan and the manner
in which said commissions are determined;
(0 The receipt and disbursal of funds the dates and amounts thereof
and the purposes therefor;
(g) All financial transactions not heretofore specified.
§ 562. Financial Statements.
Every health plan shall prepare and submit to the Attorney General the
following:
(a) A statement of financial condition, which may be prepared without
audit, for each of the first, second and third quarters of the health plan's
accounting year which shall include at least a balance sheet, statement of
income and expense and notes of explanation as required by generally ac-
cepted accounting principles. Each quarterly statement after the first
shall separately state the required information for that quarter and for the
year to date; and
(b) An audited statement of the financial condition for the health plan's
accounting year which shall include for that year:
(1) A balance sheet;
(2) A statement of income and expense;
(3) A statement of changes in the financial position of the health plan
from the previous accounting year;
(4) A statement of retained earnings; and
(5) Notes sufficient to present the financial situation of the health plan
in accord with generally accepted accounting principles and including
but not Umited to disclosure of any adjustments reflected in the audited
financial statements which have not been recorded in the health plan's
books.
§ 563. Time of Submission.
(a) Each financial statement required by Section 562(a) shall be deliv-
ered to the Attorney General not later than 45 days after the close of the
quarter for which it is made and shall fairly present the financial position
of the health plan for that quarter;
(b) The audited financial statement required by Section 562(b) shall
be delivered to the Attorney General not later than 90 days after the close
of the year for which that statement is made and shall fairly present the
financial position of the health plan for that period.
§ 564. Affidavit.
Each quarterly and annual financial statement shall be accompanied
by an affidavit of an owner, managing partner or officer of the health
plan, made under penalty of perjury, stating that, to the best of the decla-
rant's knowledge the accounting documents submitted (which docu-
ments shall be specified) fairly present the financial position of the health
plan for the period reported.
§ 565. Report on Subscribers.
Each quarterly and annual statement shall set forth the number of sub-
scribers entitled to health care services from the health plan as of the clos-
ing date of that accounting period.
§ 566. Change of Financial Condition.
Each change in the financial condition of a health plan which may have
a significant effect upon the condition of the health plan and which occurs
subsequent to the close of an accounting quarter but prior to submission
of the financial statement therefor shall be reported to the Attorney Gen-
eral not later than the time that financial statement is submitted.
§ 567. Audit Standards.
The following standards shall be applied in the preparation of the au-
dited financial statements:
(a) Appropriate tests of assets, including count of cash and cash items
and negotiable securities and satisfactory reconciliation with general led-
ger accounts, and satisfactory reconciliation of bank accounts with gen-
eral ledger accounts;
(b) Appropriate tests of liabilities;
(c) Appropriate tests of income and receipts;
(d) Appropriate tests of expenses and disbursements;
(e) All other procedures required by generally accepted auditing stan-
dards and other specific procedures as may be required by the Attorney
General.
§ 568. Report and Opinion of Auditor.
The audited financial statements shall be accompanied by the report
and opinion of a certified public accountant which shall be prepared in
accordance with generally accepted auditing standards and Title 1 6, Rule
58. 1 of the California Code of Regulations. Unless prior approval of the
Attorney General has been obtained, the health plan will not be consid-
ered in compliance or a disclaimer of opinion on the financial statement
of the health plan as such opinions are described in the above-referenced
Rule 58.1 and if the qualified or adverse opinion or the disclaimer of
opinion can be deleted from the report either by adjustment of the finan-
cial statements by the health plan or by extension of auditing procedures
by the auditor.
§ 569. Contents of Financial Statements.
The annual audited financial statement, and each quarterly financial
statement, shall include statements of the following:
(a) The amount of tangible net equity as such is defined by the Act, in-
cluding a schedule setting forth the computation thereof;
(b) The total expenditures for health care services during the immedi-
ately preceding two quarters;
(c) The total expenditures paid for nonpanel provider health care ser-
vices during the immediately preceding four months;
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BARCLAYS CALIFORNIA CODE OF REGULATIONS
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(d) The amount paid and accrued for nonpanel provider health care
services during the immediately preceding four months;
(e) The amounts of cash or equivalents maintained as the reserve re-
quired by Section 12539.1 of the Act or the name of the insurer with
whom insurance is maintained in lieu of the cash or equivalents require-
ment; and
(f) The amount of incurred but unreported claims reflected in the fi-
nancial statement and the method by which the amount was determined.
§ 570. Claims Outstanding.
Every health plan when reporting to the Attorney General pursuant to
Section 1 2538.7 of the Act shall report the dollar amount and number of
bills outstanding for payment for more than 1 20 days from the date of the
receipt of any service.
§ 571 . Guarantees of Obligations.
No health plan may guarantee an obligation of another without first ad-
vising the Attorney General of the proposed guarantee and shall submit
to him a copy of the guarantee to be made, all other pertinent details of
the obligation, evidence of the obligor's ability to repay, and a statement
of whether the obligor renders or will render any services to or on behalf
of the health plan. The amount of the guarantee shall be reported as acon-
tingent liability in all financial statements.
§ 572, Effect of Guarantee on Tangible Net Equity.
For purposes of computing tangible net equity, the amount of the guar-
antee shall be considered as a liability, unless the Attorney General deter-
mines that the making of the guarantee is not likely to subject the health
plan to any liability and so advises the health plan.
§ 573. Fiscal Year.
Every health plan shall advise the Attorney General of the closing date
of its accounting year. No health plan may change this date unless it first
gives notice of such change to and receive approval therefor from the At-
torney General.
§ 574. Additional Financial Information.
(a) Each registrant shall report in each financial statement required by
the Act or these regulations all of its assets and liabilities wherever lo-
cated within or without the State of California.
(b) Whenever the organizational form of the registrant is a partnership,
the required financial information shall include a financial statement of
each partner. Each partner's financial statements shall be in the same for-
mat and shall contain the same information, when applicable, as that re-
quired of a health plan by the Act and by these regulations.
(c) Whenever the registrant conducts any business other than that de-
fined by the Act, whether within or without the State of California, each
financial statement required by the Act shall contain the required infor-
mation for the business subject to the Act and shall contain for each other
business a balance sheet and statement of income and expense. The fi-
nancial reports shall have the following format:
(1) Information relating to the business conducted pursuant to the Act
shall be separately stated;
(2) Information relating to each business other than that conducted
pursuant to the Act shall be separately stated; and
(3) Information relating to all of the businesses, assets and liabilities
of the registrant shall be stated in a consolidated form.
§ 575. Closing Statement.
Not later than 90 days after its termination, each health plan shall pro-
vide to the Attorney General a closing (final) financial statement which
need not be audited but in all other respects shall have the same format
and content as the annual audited statement required by 562(b) and shall
additionally include a schedule of any account or notes receivable and
payable.
§ 576. Subordinated Obligations.
A subordinated obligation which was not approved by the Attorney
General on or before June 30, 1975, shall be considered as a liability in
the determination of tangible net equity.
§ 577. Excessive Administrative Costs.
(a) Administrative costs shall mean all sums expended for other than
the following purposes:
( 1 ) Reimbursals to health plan members for health care services paid
by the members;
(2) Payments to providers for health care services rendered to mem-
bers of the health plan;
(3) Expenditures for maintenance of health care facilities and of health
care equipment; and
(4) Expenditures for health care supplies.
(b) Administrative costs exceeding 25% of the aggregate dues, fees
and other periodic payments received by the health plan for providing
health care services to its members shall be presumed to be excessive.
The presumption shall be rebuttable. Administrative costs of 25% or less
may be excessive depending upon the circumstances.
§ 578. Notice of Increase in Required Tangible Net Equity.
Whenever the number of subscribers enrolled in the health plan in-
creases so as to increase the tangible net equity required to be maintained
by Section 1 2539 of the Act, the health plan shall immediately give notice
to the Attorney General of such fact and of the number of members then
enrolled.
Article 7.
Subscribers' Advertising and
Solicitations
§ 580. Effective Date.
The regulations in this article shall apply to all advertising and solicita-
tions disseminated after the date these regulations become effective.
§581. Compliance.
Any advertising or solicitation which is in violation of any regulation
in this article shall be considered untrue or misleading within the mean-
ing of Sections 12531(a) and/or (b) of the Act.
§ 582. Use of Name.
For purposes of determining if a representation is untrue or misleading
as defined in the Act, any name used by a health plan is deemed to be in-
cluded with the phrase "representation."
§ 583. Deceptive Names and Descriptive Terms.
The Attorney General may refuse to register a health plan if its name
or any descriptive term which the health plan proposes to use is substan-
tially similar to that used by any other health plan or if the name or de-
scriptive term may be deceptive or may tend to mislead.
§ 584. Disapproval of Advertising and Solicitations.
(a) Before any new or revised advertising or solicitation is adopted by
a health plan for distribution to its members, and before said material is
distributed, the health plan shall submit to the Attorney General the pro-
posed new or revised advertising or solicitation;
(b) Within 30 days of receipt thereof, the Attorney General shall pro-
hibit use of the proposed new or revised advertising or solicitation if he
determines that it is untrue, misleading or deceptive;
(c) Unless the Attorney General gives written permission to the con-
trary, no health plan may disseminate or permit or cause to be dissemi-
nated any new or revised advertising or solicitation during the 30-day pe-
riod set forth in subsection (b), above, or at any time after disapproval by
the Attorney General.
§ 585. Approval of Plan.
Unless expressly required by state or federal law, no advertising, solic-
itation, evidence of coverage or standard supplemental disclosure form
may include such words or phrases as "approved by," "chartered by,"
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"regulated by," "supervised by," "audited by," "examined by," "regis-
tered with," "subject to regulation by," or words or phrases of similar im-
port which state or imply that the health plan has received the approval
of, is supervised by, or is subject to supervision by the federal govern-
ment, a state government or of any agency of either.
§ 586. Particular Words and Phrases.
Words and phrases such as:
(a) "All," "complete," "comprehensive." "100% coverage," "unlimit-
ed," or words or phrases of similar import may be used only to describe
benefits which have such coverage;
(b) "This contract pays $ 1 ,000 for hospital room and board expenses,"
"100% coverage for hospital room and board expenses." or words or
phrases of similar import shall not be used if the benefits referred to are
limited to a maximum daily benefit, by a maximum dme limit or are
otherwise limited;
(c) "Best," "finest," "most comprehensive," or any other superlative
or word or phrase of similar import shall not be used.
§ 587. Comparative Advertising.
No health plan may represent directly or indirecUy that its facilities or
services are equal or superior to facilities or services of another health
plan unless the health plan possesses empirical evidence to substantiate
the representation and submits such evidence to the Attorney General not
less than 30 days prior to the intended date of dissemination.
§ 588. Special Enrollment Period.
No advertising or solicitation shall state or imply that a particular pro-
gram of benefits is an introductory, initial, limited or special offer, or that
enrollment in the health plan is limited to a specific period unless such
is the case and the period of time referred to is disclosed.
§ 589. Commencement of Benefits.
Where all the benefits under a membership contract are not available
to a member at the same time, due to factors such as "waiting periods"
or "preexisting condition," no advertising or solicitation shall state or im-
ply that all benefits are immediately available.
§ 590. Multiple Contract Benefits.
Any advertising or solicitation which refers to benefits which cannot
be obtained in a single contract shall disclose the number of contracts that
must be subscribed to or purchased to obtain the benefits represented.
§ 591. Limitations, Exclusions, Exceptions and
Reductions.
Any advertising or solicitation which describes specific benefits avail-
able under the membership contract shall also describe with the same
prominence the limitations, exclusions, exceptions and reductions appli-
cable to said benefits.
§ 592. Preexisting Conditions.
If benefits for a preexisting condition are different from those which
would be received if the condition were not preexisting, all advertising
and solicitations shall clearly and conspicuously state such fact and dis-
close the nature and extent of such limitations.
§ 593. Testimonials.
Testimonials used in advertising or solicitadons must be genuine, true
and not misleading, represent the current opinion of the author, be appli-
cable to the contract advertised, and be accurately reproduced. A health
plan using a testimonial makes as its own all the statements contained
therein and the advertising or solicitations including such statements are
subject to all the provisions of these regulations. No testimonial may be
used unless the health plan is able to identify the person giving the testi-
monial, the date of such testimonial, and the membership contract per-
taining thereto. No testimonial shall be made or used if the maker thereof
receives, directly or indirectiy, any remuneration therefor or has any in-
terest in the health plan other than as a member.
Chapter 6. Gaming Registration
Article 1. Gaming Registration
§ 600. Definitions.
(a) "Dishonesty" means:
(1 ) a disposition to deceive, cheat, steal or defraud;
(2) an absence of integrity;
(3) a lack of honesty; or
(4) a crime resting on dishonest conduct.
(b) "Direct Financial Interest" means a monetary investment in a gam-
ing club.
(c) "Indirect Financial Interest" means owning 1 % or more of any
business or corporation that in turn owns all or any part of a gaming club
and other business.
(d) "Manager" means anyone who represents the interest of the owner
in the operation of a gaming establishment, whose duties include but may
not be limited to:
(1) the making or changing of policy;
(2) approving credit;
(3) hiring or firing of employees; or
(4) generally exercising independent judgment in the operation of the
business. Such person need not have a financial interest in the business.
NOTE; Authority cited: Section 19803, Business and Professions Code. Refer-
ence: Sections 19801, 19802, 19807(a) and 19809(a), Business and Professions
Code.
History
1. New Subchapter 6 (Sections 600-604) filed 6-25-84; designated effective
7-1-84 pursuant to Government Code Section 11346.2(d) (Register 84, No.
26). For history of former Subchapter 6, see Registers 82, No. 4; 74, No. 1 6 and
74, No. 3.
2. Editorial correction of History 1 (Register 97, No. 28).
§601. Registration; Application.
(a) An application form shall be submitted by all individuals who have
or who intend to have a financial or management interest in any gaming
establishment.
(b) Part I, General AppHcation Information, shall include substantially
the following: name of applicant; type of affiliation with club; club affili-
ated with, if any; address of club; amount of interest in club; names and
addresses of other owners/investors if applicant is not sole owner of the
establishment.
(c) Part II, Personal History, shall include substantially the following:
personal identifiers; marital information; family information; education;
military information; prior criminal activity; residence; employment;
and character references.
(d) Part III, Financial History, shall include substantially the follow-
ing: complete financial history of the applicant, including a statement of
assets and liabilities; amount invested or to be invested in the gaming
club and source of funds; whether the applicant has ever filed bankrupt-
cy.
(e) Applications shall be submitted on forms supplied by the Depart-
ment of Justice. The completed initial or first-time registration applica-
tion shall be accompanied by two completed ten-print applicant finger-
print cards obtained from a law enforcement agency and the specified
non-refundable application fee. The Department recognizes that local
agencies may charge a fee sufficient to recover costs incurred therein.
Applications to renew registration need not be accompanied by finger-
print cards.
NOTE: Authority cited: Section 19803, Business and Professions Code. Refer-
ence: Sections 19807(a) and 19809(b), Business and Professions Code.
§ 602. Annual Renewal of Registration.
Registration shall be renewed on an annual basis following instruc-
tions that shall be provided when the initial certificate of registration is
issued to the applicant.
Note.- Authority cited: Section 19803, Business and Professions Code. Refer-
ence: Section 19808(a), Business and Professions Code.
Page 17
Register 97, No. 28; 7-11-97
§603
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
§ 603. Furnishing of Additional Information.
The Attorney General may require an applicant for registration or a
registrant to supply additional information beyond what is routinely re-
quired to be included in the application form in order to carry out the re-
quirements of the Gaming Registration Act.
NOTE: Authority cited: Section 19803, Business and Professions Code. Refer-
ence: Section 19809(b), Business and Professions Code.
§ 604, Registration; Proof Thereof.
Individuals who are required to register shall be provided with an
application form and instructions. Two forms of documentation may
constitute proof of compliance with the Act and regulations: 1) posses-
sion of a valid "conditional registration" which will allow the applicant
to operate pending the outcome of the Department of Justice background
investigation conducted pursuant to the submission of an application for
registration; or 2) possession of a valid annual registration certificate is-
sued when the background investigation has been completed and the
applicant has successfully met the requirements of the Act.
NOTE: Authority cited: Section 19803, Business and Professions Code. Refer-
ence: Sections 19805 and 19808(b), Business and Professions Code.
Chapter 6.5. Records and Reports of
Monetary Instrument Transaction
§ 651. Filing Requirements. (Reserved)
Chapter 7. Criminal Offender Record
Information Security
Article 1. Reporting Requirements
§ 650. Compliance with Penal Code Sections 14126(a) and
(b).
(a) Penal Code section 14162(a), effective January 1, 1987, requires
certain financial institutions to make and keep a record of each monetary
transaction in excess of $10,000; additionally, the financial institution
shall file a report of a monetary transaction with the Department of Jus-
tice in a form and at the time as set forth by the Department.
(b) Penal Code section 14162(b), effective January 1, 1987, requires
financial institutions other than those covered in Penal Code section
14162(a) to file duplicate copies of the reports required by secfions 5313
and 5314 of Title 31 of the United States Code and regulations adopted
pursuant to those sections.
(c) No filing of any such report shall be required by the Department
unfil such time as subsequent regulafions, specifying the filing fime and
form for such reports, are adopted.
(d) Nothing stated in this section is intended to, not shall it be deemed
to, prevent the investigation or prosecution of any criminal offense set
forth in Penal Code Section 186.2, 186.10 and 14166. Nothing stated in
this secfion is intended to, not shall it be deemed to, prevent the imposi-
tion of any term of incarceration or monetary penalty set forth in Penal
Code sections 186.2, 186.10 and 14166.
(e) Nothing in this section shall be deemed to prevent any law enforce-
ment or prosecuting agency from obtaining reports currently being com-
piled pursuant to federal reporting requirements by any other lawful
means available.
(f) Nothing in this section shall be deemed to suspend the requirement
that a financial institution make and keep record of each transaction in
excess of $10,000.
NOTE: Authority cited: Section 14160(b), Penal Code. Reference: Section
14162(a) and (b), Penal Code. (New Subchapter 6.5, Section 650, filed 1-21-87,
operative 1-22-87; Register 87, No. 5. The "subsequent regulations" referred to
in subsection (c) will be found in reserved Section 651, when adopted.
Article 1. Mandatory Securing of Criminal
Offender Record Information
§ 700. Scope.
NOTE: Authority cited: Section 11077, Penal Code. Reference: Sections
11075-11081, Penal Code.
History
1. New Subchapter 7 (Article 1. Sections 700-710) filed 6-6-75; effective thir-
tieth day thereafter (Register 75, No. 23).
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section
1 1349.7; effective thirtieth day thereafter (Register 85, No. 26).
§701. Definitions.
For the purposes of this arficle, the following definifions shall apply
whenever the terms are used.
(a) "Criminal Justice Agency" means a public agency or component
thereof which performs a criminal jusfice activity as its principal func-
tion.
(b) "Authorized Person or Agency" means any person or agency au-
thorized by court order, statute, or decisional law to receive criminal of-
fender record information.
(c) (Reserved)
(d) (Reserved)
(e) (Reserved)
(f) "Record Check" means obtaining the most recent rap sheet from the
California Department of Justice.
History
1 . Order of Repeal of subsections (c)-(e) filed 6-3-85 by OAL pursuant to Gov-
ernment Code Section 1 1349.7; effective thirtieth day thereafter (Register 85,
No. 26).
§ 702. Compliance with State Regulations.
(a) (Reserved)
(b) (Reserved)
(c) The California Department of Justice shall conduct audits of autho-
rized persons or agencies using criminal offender record information to
insure compliance with the State regulations.
(d) (Reserved)
(e) Authorized persons or agencies violating these regulations may
lose direct access to criminal offender record information maintained by
the California Department of Justice.
History
1 . Order of Repeal of subsections (a), (b) and (d) filed 6-3-85 by OAL pursuant
to Government Code Section 1 1 349.7; effecfive thirtieth day thereafter (Regis-
ter 85, No. 26).
§ 703. Release of Criminal Offender Record Information.
(a) (Reserved)
(b) Criminal offender record information may be released, on a need-
to-know basis, only to persons or agencies authorized by court order,
statute, or decisional law to receive criminal offender record information.
(c) (Reserved)
(d) Record checks shall be conducted on all personnel hired after July
1, 1975, who have access to criminal offender record information.
History
1. Order of Repeal of subsections (a) and (c) filed 6^3-85 by OAL pursuant to
Government Code Section 1 1349.7; effective thirtieth day thereafter (Register
85, No. 26).
Page 18
Register 97, No. 28; 7-11 -97
Title 11
Attorney General
§722
§ 704. Juvenile Records.
History
1 . Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section
II 349.7; effective thirtieth day thereafter (Register 85, No. 26).
§ 705. Review of Criminal Offender Record Information.
History
1 . Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section
11 349.7; effective thirtieth day thereafter (Register 85, No. 26).
§ 706. Protection of Criminal Offender Record Information.
History
1 . Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section
1 1349.7; effective thirtieth day thereafter (Register 85, No. 26).
§ 707. Automated Systems.
(a) Automated systems handling criminal offender record information
and the information derived therefrom shall be secure from unauthorized
access, alteration, deletion, or release. The computer system and termi-
nals shall be located in secure premises. Non-criminal justice agencies
shall not receive criminal offender record information directly from an
automated criminal justice system.
(b) Record checks shall be conducted on all personnel hired after July
1, 1975, who have access to the computer system, its terminals, or the
stored criminal offender record information.
(c) Each authorized agency shall keep a record of each release of crim-
inal offender record information from the automated system. The record
shall be retained and available for inspection for a period of not less than
three years from the date of release. This record shall contain the date of
release, the requesting terminal identifier, the receiving terminal identifi-
er, and the information given.
§ 708. Destruction of Criminal Offender Record
Information.
(a) When criminal offender record information is destroyed, the de-
staiction shall be carried out to the extent that the identity of the subject
can no longer reasonably be ascertained. When criminal offender record
information is destroyed outside of the authorized agency, a person des-
ignated by the agency shall witness the destruction.
(b) (Reserved)
(c) Printouts of criminal offender record information obtained through
system development, test, or maintenance shall be destroyed at the com-
pletion of the function or purpose for which the printout was obtained.
History
1 . Order of Repeal of subsection (b) filed 6-3-85 by OAL pursuant to Government
Code Secdon 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§ 709. Reproduction of Criminal Offender Record
Information.
History
1 . Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section
11 349.7; effective thirtieth day thereafter (Register 85, No. 26).
§710. Training.
History
1 . Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section
1 1349.7; effective thirtieth day thereafter (Register 85, No. 26).
Article 2. Suppression of Incomplete
Criminal History Information
§ 720. Title and Scope.
This Article shall be known as "Suppression of Incomplete Criminal
History Information." The Department of Justice is statutorily mandated
to maintain state summary criminal history information reported to it,
and to furnish such information to any authorized person, agency, offi-
cer, official of state or local government, public utility, or entity to assist
in fulfilling employment, licensing, or certification duties. These regula-
tions make specific the steps the Department will take to obtain disposi-
tion information corresponding to each arrest reported, and make clear
what criminal history information, if any, will be furnished to an autho-
rized entity for employinent, licensing or certification purposes, when
complete criminal history information is not available.
Note: Authority cited: Section 1 1 077, Penal Code. Reference: Section 1 1 105, Pe-
nal Code.
History
1. New article 2 (sections 720-724) and section filed 7-28-2005; operative
8-27-2005 (Register 2005, No. 30).
§ 721 . Definition of Key Terms.
The following definitions shall be applicable when used in these regu-
lations:
(a) "Attorney General" means the Attorney General of the State of
California or any employee of the Attorney General acting under the au-
thority of the Attorney General. The term Attorney General may be used
interchangeably with the term Department of Justice.
(b) "Authorized endty" means any entity or individual authorized by
a court, statute or decisional law to receive state summary criminal histo-
ry informaUon to assist in fulfilling their employment, licensing, or certi-
fication duUes.
(c) "Criminal justice agencies" means those agencies involved in the
apprehension, prosecution, adjudication, incarceration, or correction of
criminal offenders; or those agencies responsible for the reporting of
criminal offender record information to the Department of Justice.
(d) "Department of Justice" means the California Department of Jus-
tice or any employee of the Department of Justice acting under the au-
thority of the Department of Justice, and may be referred to as "the De-
partment" or as "DOJ".
(e) "Disposition" means the outcome of the arrest charge(s), including
but not limited to, convicfion, dismissal, acquittal, imposition of sentence
by a court, decision by the prosecuting agency not to file or pursue the
charge(s), or verificafion that the arrest charge(s) are pending.
(0 "FBI" means the Federal Bureau of Invesfigation.
(g) "State summary criminal history" means the California master re-
cord of information compiled and maintained by the Department of Jus-
tice pertaining to the identification and criminal history of any person,
such as name(s), date of birth, physical description, fingerprints,
photographs, date of arrest(s), arresting agency or agencies, booking
number(s), charge(s), disposition(s), and similar data.
NOTE: Authority cited: Section 11077, Penal Code. Reference: Sections 11105,
13101 and 13125, Penal Code.
History
I. New section filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
§ 722. Process to Obtain Complete Criminal History
Information.
(a) If an individual, as a condition of obtaining employment, or a li-
cense, permit or certificate, is required to submit to a state-level criminal
history record check, a search of DOJ's criminal history records shall be
conducted to determine whether the individual has any record of criminal
conduct in California.
(b) When the state criminal history record does not include disposition
information corresponding to each and every arrest, DOJ shall make the
following efforts to obtain the missing disposition information:
( 1 ) The Department shall query the arresting agency, the prosecuting
agency, and the court or local probation agency as applicable; and
(2) If the Department is unable to obtain the missing disposition in-
formation from any of these agencies, the Department shall query any
other criminal justice agencies that might possess the missing disposition
information for the arrest in question.
(c) If an individual, as a condition of obtaining employment, or a li-
cense, permit or certificate, is also required to submit to a national-level
criminal history record check, DOJ will initiate a search of the FBI's
criminal history records to determine whether the individual has any re-
cord of criminal conduct in any other jurisdiction.
(d) When the national criminal history record does not include disposi-
tion information for each and every arrest, the Department shall make the
following efforts to obtain the missing disposition information:
Page 19
Register 2006, No. 35; 9-1-2006
§723
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(1) The Department shall search the available automated systems of
the out-of-state or federal agency that originated the arrest entry; and
(2) If the Department is unable to obtain the missing disposition in-
formation through these efforts, the Department shall query the appropri-
ate state, local or federal agency, as identified by the FBI.
NOTE: Authority cited: Section 1 1077, Penal Code. Reference; Section 1 11 05 and
13101, Penal Code.
History
1. New section fded 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
§ 723. Suppression of Incomplete Criminal History
Information.
(a) When the Department has exhausted all efforts described in 722,
the disposition information shall be deemed to be unavailable. The De-
partment shall not be required to repeat the Section 722(b) and (d)
searches for an unavailable disposition in response to any future request
from an authorized entity.
(b) Unless information release is otherwise authorized by law, when-
ever DOJ furnishes either national or state summary criminal history in-
formation to an authorized entity for employment, licensing or certifica-
tion purposes, the Department shall not disclose any information related
to any arrest for which it is unable to obtain a corresponding disposition.
The Department shall furnish all other criminal history information, if
any, which it is authorized to disclose pursuant to the statute(s) governing
the specific applicant type.
(c) Unless otherwise authorized by law, where only an arrest record
exists but the Department is unable to obtain corresponding disposition
information, the Department shall suppress that arrest information and
provide the authorized agency with a response that no criminal history
information exists.
NOTE; Authority cited: Section 1 1077, Penal Code. Reference: Section 432.7, La-
bor Code; Sections 1 1 105 and 13203, Penal Code; Central Valley Chapter of the
7th Step Foundation, Inc. v. Younger (1979) 95 Cal.App.3d 212; and Central
Valley Chapter of the 7th Step Foundation, Inc. v. Younger ( 1 989) 2 1 4 Cal. App.3d
145.
History
1. New section filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
§ 724. Audit Trail.
The Department shall maintain an audit trail of its efforts to obtain mis-
sing arrest disposition information. For each arrest on a subject's record
for which the Department is unable to obtain a corresponding disposition,
the audit trail information shall include the identity of the person con-
ducting the query, the date of each query, each agency and/or database
queried, and the result of each query.
NOTE; Authority cited: Section 1 1077, Penal Code. Reference: Section 1 1 105, Pe-
nal Code.
History
1. New section filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
Chapter 8. Controlled Substances
Article 1 .
Controlled Chemical Substance
Permitting
§ 800. Definitions.
For purposes of this chapter the following definitions apply:
(a) "Controlled Chemical Substance" means any one of the chemical
substances listed under Health and Safety Code Section 1 1 100(a).
(b) "Controlled Chemical Substance Permit" means a permit issued by
this Department to conduct business using controlled chemical sub-
stances as defined under Health and Safety Code Section 1 1 100(a).
(c) "Applicanf ' means anyone who manufactures, sells, transfers, fur-
nishes or obtains from outside of the state or who is the duly authorized
agent of anyone who manufacturers, sells, transfers, furnishes or obtains
from outside of the state, any substance as listed under Health and Safety
Code Section 1 1 100(a) and applies for a Controlled Chemical Substance
Permit.
(d) "Manufacturer, retailer or wholesaler" means anyone who owns,
or who represents the owner of, an operation or business enterprise deal-
ing in the manufacture, sale, transfer, furnishing, or obtaining from out-
side of the state of any substance as listed in Health and Safety Code Sec-
tion 1 1 100(a).
(e) "Duly authorized federal or state official" means the chief of a law
enforcement agency or a designated subordinate.
(f) "Department" means the California Department of Justice.
(g) "Duly authorized agent" or "representative" means anyone who is
responsible for the disbursement and/or custody of controlled chemical
substances listed in Health and Safety Code Section 1 1 100(a).
Note; Authority cited: Section 1 1 102, Health and Safety Code. Reference: Sec-
tions 1 1 100 and 1 1 106, Health and Safety Code.
History
1 . New section filed 5-13-88; operative 6-12-88 (Register 88, No. 21). For prior
history, see Register 85, No. 26.
2. New subsection (f) filed 2-21-92; operative 3-23-92 (Register 92, No. 12).
3. Amendment of article heading, section and Note filed 8-28-2006; operative
9-27-2006 (Register 2006, No. 35).
§ 801. Controlled Chemical Substance Permit Issuance;
Application; Fees.
(a) Except where a permit is not required as specified under Health and
Safety Code section 1 1 106(a), an application form must be submitted by
any manufacturer, wholesaler, retailer, or any other person or entity in
this state that sells, transfers, furnishes or obtains from outside of the state
any substance as listed in Health and Safety Code Section 1 1 100(a).
(b) The Department shall provide the Bureau of Narcotic Enforcement
form BNE 010 (Rev. 06/06) Application for Controlled Chemical Sub-
stance Permit (which is incorporated by reference), which is to be com-
pleted, signed and notarized under penalty of perjury to obtain informa-
tion to identify the person or entity applying for a permit and that person' s
business. This application must be filed by each person or entity as speci-
fied in subsection (a) above. Each application shall also include a person-
al history statement (part II of the application form) completed by each
owner, partner, corporate officer, manager or any representative with
management or control of any substance listed on the permit application.
(c) The Department may require an applicant for a permit to supply ad-
ditional follow-up or clarifying information beyond what is routinely re-
quired to be included in the application form; the Department may also
require an inspection of the applicant' s premises where controlled chem-
ical substances are proposed to be stored and/or handled.
(d) As a condition of obtaining and holding a permit, the Department
or any duly authorized federal or state official shall have authority to
make any examination of the books, records and/or inventory of any
applicant or person granted a permit, and visit and inspect the premises
of the aforementioned during normal business hours as deemed neces-
sary to carry out Chapter 3 of Division 1 of the Health and Safety Code.
(e) If any information submitted in the original application changes,
the applicant shall notify the Department in writing within 15 calendar
days.
(f) The completed permit application shall be accompanied by the fol-
lowing: 1 ) a completed ten-print fingerprint card or live scan, which can
be obtained and printed at any local law enforcement agency, for each in-
dividual acting in the capacity of an owner, manager, agent, or represen-
tative for the applicant and each individual employee who has direct ac-
cess, management or control of any substance listed under subdivision
(a) of Health and Safety Code Section 1 1 100; 2) a non-refundable ap-
plication fee which consists of $1,000 for each application form sub-
mitted; and 3) the Department fingerprint processing fee for each ten-
print fingerprint card or live scan submitted. The Directors and Officers
of publicly held corporations of 50 or more shareholders need not submit
a live scan or fingerprint card.
Page 20
Register 2006, No. 35; 9-1-2006
Title 11
Attorney General
§808
(g) Upon completion of the application processing, the Department
will either deny or grant the applicant a permit that will be valid for one
year from the date of issue unless suspended or revoked.
NOTE: Authority cited: Sections 1 1 102 and 1 11 06, Health and Safety Code. Ref-
erence: Section i H06, Health and Safety Code.
History
1 . Order of Repeal of subsection (a) filed 6-3-85 by OAL pursuant to Government
Code section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
2. Amendment filed 5-13-88; operative 6-12-88 (Register 88, No. 21).
3. Amendment filed 2-21-92; operative 3-23-92 (Register 92, No. 12).
4. Amendment of section heading, section and Noth filed 8-28-2006; operative
9-27-2006 (Register 2006. No. 35).
§ 802. Annual Renewal; Permit Issuance.
(a) The Controlled Chemical Substance Permit must be renewed on an
annual basis. The Department will provide current permittees with re-
newal applications at least sixty days prior to the expiration of the permit-
tees' current Controlled Chemical Substance Permit. This renewal ap-
plication will require the permittee(s) to complete a Bureau of Narcotic
Enforcement form BNE 010 (Rev 06/06) Application for Controlled
Chemical Substance Permit (which is incorporated by reference). How-
ever, if there is no change from the previous application, a copy of that
application with a declaration under penalty of perjury may be accepted
as a renewal application. The renewal application will be accompanied
by one set of 10-print fingerprint cards or live scan for anyone not pre-
viously fingerprinted. The permittee(s) must submit the provided renew-
al application, which must be received by the Department on or before
the expiration date of the current Controlled Chemical Substance Permit.
The current permit renewal fee shall consist of a non-refundable fee of
$500 for the cost of processing the renewal application and the current
Department of Justice fingerprint processing fee for each set often-print
fingerprint cards/scans submitted with the application.
(b) Permittees submitting a renewal application received by the De-
partment on or before the date of expiration will be permitted to continue
their operations under the authority of the previously issued permit. Fail-
ure to meet this deadline will cause the permit to expire and the permit
application process will have to be started anew by the permittee(s).
NOTE: Authority cited: Section 111 02, Health and Safety Code. Reference: Sec-
tion 11106, Health and Safety Code.
History
1. New section filed 5-13-88; operative 6-12-88 (Register 88, No. 21). For prior
history, see Register 85, No. 26.
2. Amendment filed 2-21-92; operative 3-23-92 (Register 92, No. 12).
3. Amendment of section and Note filed 8-28-2006; operative 9-27-2006 (Reg-
ister 2006, No. 35).
§ 803. Permittee Information Changes.
If any information submitted in the original application or subsequent
renewal application changes, or in the event of any change in ownership,
management, or employment from the original or renewal appUcation,
the permittee shall notify the Department in writing within 15 calendar
days and shall submit a personal history statement (part II of the appUca-
tion) and one set of 10-print fingerprint cards or live scan for each added
individual having management or control of any controlled chemical
substance listed under Health and Safety Code section 1 1 100(a). If any
change of employment results in an employee not previously finger-
printed having direct access to any controlled chemical substance, that
employee must submit one set of 10-print fingerprint cards or live scan.
NOTE: Authority cited: Section 111 02, Health and Safety Code. Reference: Sec-
tion 11106, Health and Safety Code.
History
1. New section filed 8-28-2006; operafive 9-27-2006 (Register 2006, No. 35).
For prior history, see Register 85, No. 26.
§ 804. Permit Denial, Suspension or Revocation.
(a) A permit shall be denied upon application, and a permit may be sus-
pended or revoked, if the applicant or permittee or their agents, represen-
tatives, or employees have committed any acts or failures set forth in
Health and Safety Code Section 1 1 106(d) or any of the following:
(1) obtained a permit by fraud, misrepresentation, concealment, or
through inadvertence or mistake.
(2) made a misrepresentation of, or failed to disclose, a material fact
to the Department, or any duly authorized federal or state official.
(3) failed to comply with the processes and/or reporting requirements
set forth by Article 1, Chapter 3 of the Health and Safety Code (Section
lllOOetseq).
(4) failed to take reasonable steps to prevent any dishonest act(s) or il-
legal activity substantially related to the qualifications, functions, or du-
ties of a permit holder from occurring on the premises used in the man-
ufacture, sale or transfer of controlled chemical substances.
(b) Revocation or suspension of a permit shall preclude the transfer,
sale or furnishing of any substance as set forth in Health and Safety Code
Section 1 1 100 until such a time as a permit is re-issued or under order
of the court.
(c) Suspension or revocation of a permit for any of the reasons speci-
fied in subparagraph (a) shall not preclude the Department or local en-
forcement agencies from filing criminal charges for any act done which
is grounds for suspension or revocation, which act might otherwise con-
stitute a public offense.
NOTE: Authority cited: Section 11 102, Health and Safety Code. Reference: Sec-
tion 1 1 106, Health and Safety Code.
History
1. New section filed 5-13-88: operafive 6-12-88 (Register 88, No. 21). For prior
history, see Register 85, No. 26,
2. Amendment filed 2-21-92; operative 3-23-92 (Register 92, No. 12).
3. Amendment of section and Note filed 8-28-2006; operative 9-27-2006 (Reg-
ister 2006, No. 35).
§ 805. Permit Holder Responsibility.
Any act by any employee or other individual on behalf of the permitted
individual or company which constihjtes a violation of Chapter 3 of Divi-
sion 10 of the Health and Safety Code shall consUtute grounds for revoca-
tion or denial of the permit.
NOTE: Authority cited: Section 11 102, Health and Safety Code. Reference: Sec-
tion i 1 106(c), (e) and (f). Health and Safety Code.
History
1. New section filed 5-13-88; operafive 6-12-88 (Register 88, No. 21).
2. Amendment filed 2-21-92; operative 3-23-92 (Register 92, No. 12).
§ 806. Permit Denial, Suspension or Revocation Hearings.
All hearings related to Controlled Chemical Substance Permit denial,
suspension, or revocafion shall be conducted in accordance with Chapter
5 (commencing with Section 1 1500) of Part 1 of Division 3 of Title 2 of
the Government Code.
NOTE: Authority cited: Secfion 11 102, Health and Safety Code. Reference: Sec-
tion 1 1 106, Health and Safety Code.
History
1. New section filed 5-13-88; operafive 6-12-88 (Register 88, No. 1 ).
2. Amendment filed 2-21-92; operafive 3-23-92 (Register 92, No. 12).
3. Amendment filed 8-28-2006; operafive 9-27-2006 (Register 2006, No. 35).
§ 807. Processing Time.
(a) Within 30 days after the date of receipt of an application, the De-
partment shall either inform the applicant, in wrifing, that the application
is complete and accepted for filing, or return the application as deficient
and specify what information is required. Within 1 80 days from the date
of the receipt of a completed applicafion, the Department shall reach a
permit decision unless time is waived by the applicant.
(b) Processing time for Controlled Chemical Substance Permits to be
issued by the Department is established with a minimum of 90 days and
a maximum of 180 days.
NOTE; Authority cited: Secfion 11102, Health and Safety Code. Reference: Sec-
fion 1 1 106, Health and Safety Code.
History
1. New section filed 2-21-92; operafive 3-23-92 (Register 92, No. 12).
2. Amendment of subsecfion (b) and Note filed 8-28-2006; operative 9-27-2006
(Register 2006, No. 35).
§ 808. Permit Registration; Proof Thereof.
NOTE: Authority cited: Secfion 1 1 102. Health and Safety Code. Reference: Sec-
tion 1 11 06, Health and Safety Code.
Page 21
Register 2006, No. 35; 9-1-2006
§810
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
History
1. New section filed 5-13-88; operative 6-12-88 (Register 88, No. 21).
2. Repealer filed 2-21-92; operative 3-23-92 (Register 92. No. 12).
Article 2.
Controlled Chemical Substance
Program Citations
§810. Citations.
(a) The Program Manager of the Controlled Chemical Substance Pro-
gram of the Bureau of Narcotic Enforcement of the Department may is-
sue a citation to any permittee holding a Controlled Chemical Substance
Permit for a minor violation of a provision of law or a regulation enforced
by the Department's program.
(b) The issuance or non-issuance of a citation does not preclude the
Department from filing a disciplinary action to revoke or suspend a per-
mit.
NOTE: Authority cited: Sections 1 1 1 02 and 1 1 1 06.7, Health and Safety Code. Ref-
erence: Section 1 1 106.7, Health and Safety Code.
History
1. New article 2 (sections 810-810.7) and section filed 8-28-2006; operative
9-27-2006 (Register 2006, No. 35).
§ 81 0.1 . Citation Format.
Each citation:
(a) shall be in writing;
(b) shall describe with particularity the nature of the violation, includ-
ing specific reference to the provision of law or specific regulation deter-
mined to have been violated;
(c) may contain an administrative fine, an order of abatement affixing
a reasonable period of time for abatement of the violation, or both an ad-
ministrative fine and an order of abatement;
(d) shall inform the cited person that if he or she desires a hearing to
contest the finding of a violation, that hearing shall be requested by writ-
ten notice to the Department within 30 days of the issuance of the citation.
Note: Authority cited: Sections 1 1 102 and 11 106.7, Health and Safety Code. Ref-
erence: Section 1 1 106.7, Health and Safety Code.
History
1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
§ 81 0.2. Order of Abatement.
(a) An order of abatement may include an order to correct a deficiency;
to require the introduction of, or compliance with, an approved procedure
or action; or to cease and desist from a specific action.
(b) The abatement order shall contain a reasonable time in which the
cited permittee must comply.
(c) The abatement order may be modified with the approval of the Pro-
gram Manager if the alternative compliance appears to be a reasonable
solution to the correction of the violation.
NOTE: Authority cited: Sections 1 1 1 02 and 1 1 1 06.7, Health and Safety Code. Ref-
erence: Section 1 1 106.7, Health and Safety Code.
History
1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
§810.3. Administrative Fine.
(a) The fine for an initial violation shall be a maximum of $ 1 ,000 per
individual violation.
(b) The fine for a subsequent violation shall be a maximum of $2,500
per individual violation.
(c) A third violation may result in the filing of an administrative disci-
plinary action seeking to suspend or revoke the permit.
NOTE: Authority cited: Sections 1 1 102 and 1 1 106.7, Health and Safety Code. Ref-
erence: Section 1 1 106.7, Health and Safety Code.
History
1. New section filed 8-28-2006; operafive 9-27-2006 (Register 2006, No. 35).
§ 810.4. Administrative Fine Assessment.
In assessing the administrative fine, the Program Manager shall con-
sider the following factors at minimum:
(a) The nature and severity of the violation.
(b) History of violations of the same or similar nature.
(c) The good or bad faith exhibited by the cited permittee.
(d) Evidence that the violation was willful.
(e) The extent to which the cited permittee has cooperated with the De-
partment.
NOTE: Authority cited: Secdons 1 1 102 and 1 1 106.7, Health and Safety Code. Ref-
erence: Section 1 1 106.7, Health and Safety Code.
History
1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006. No. 35).
§810.5. Citation Service.
(a) A citation shall be served either personally or by certified mail, re-
turn receipt requested, to the permittee's address. Upon the date of per-
sonal service or upon the date of receipt of certified mail, the citation shall
be considered to have been issued and service shall be considered to be
complete.
(b) The time to comply with the citation shall commence upon service.
NOTE: Authority cited: Sections 1 1 1 02 and 1 1 106.7, Health and Safety Code. Ref-
erence: Section 1 1 106.7, Health and Safety Code.
History
1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
§ 81 0.6. Contest of Citations.
(a) A cited permittee who desires a hearing to contest the finding of the
violation or the order of abatement or fine assessment may request the
hearing by written notice to the Department within 30 days of the date of
issuance of the citation or assessment. This hearing will be conducted in
accordance with Chapter 5 (commencing with section 1 1500) of Part 1
of Division 3 of Title 2 of the Government Code.
(b) In addition to requesting a hearing, the permittee cited may, within
ten days after service of the citation, notify the Program Manager in writ-
ing of his or her request for an informal conference with the Program
Manager regarding the acts charged in the citation. The time allowed for
the request shall begin the first day after the citation has been served.
(c) The Program Manager shall, within 30 days from receipt of a re-
quest for an informal conference, hold an informal conference with the
permittee cited and with or without his or her legal counsel or authorized
representative. At the conclusion of the informal conference, the Pro-
gram Manager may affirm, modify, or dismiss the citation, including any
administrative fine levied or order of abatement issued. The Program
Manager shall state in writing the reasons for his or her action and serve
or mail a copy of his or her findings and decision to the permittee cited
within ten days from the date of the informal conference. The decision
shall be deemed to be a final order with regard to the citation issued, in-
cluding the administrative fine levied and the order of abatement.
(d) The permittee cited does not waive his or her request for a hearing
to contest a citation by requesting an informal conference after which the
citation is affirmed by the Program Manager. If the citation is dismissed
after the informal conference, the request for a hearing on the matter of
the citation shall be deemed to be withdrawn. If the citation, including
any administrative fine levied or order of abatement, is modified, the
originally issued citation shall be considered withdrawn and a new cita-
tion issued. If a hearing is requested for the subsequent citation, it shall
be requested within 30 days in accordance with subsection (a).
NOTE: Authority cited: Sections 11 102 and 1 1 106.7, Health and Safety Code. Ref-
erence: Section 1 1 106.7, Health and Safety Code.
History
1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
§ 81 0.7. Failure to Comply with Citation Order.
(a) The time allowed for abatement of a violation shall begin the first
day after the order of abatement has been served. If a cited permittee who
has been issued an order of abatement is unable to complete the abate-
ment within the time set forth in the citation because of conditions be-
yond his or her control after the exercise of reasonable diligence, the per-
mittee cited may request an extension of time from the Program Manager
in which to complete the abatement. Such a request shall be in writing and
shall be made within the time set forth for abatement.
Page 22
Register 2006, No. 35; 9-1-2006
Title 11
Attorney General
§902
(b) The time allowed for the payment of the administrative fine shall
be 30 days from the receipt of service of the citation, unless a longer peri-
od of time is authorized by the Program Manager.
(c) When an order of abatement or administrative fine is not contested
or if the order is appealed and the permittee cited does not prevail, failure
to abate the violation charged within the time specified in the citation or
failure to pay an administrative fine within the required time shall consti-
tute grounds for disciplinary action.
NOTIi: Authority cited: Sections 1 11 02 and 11 1 06.7, Health and Safety Code. Ref-
erence: Section 1 1 106.7, Health and Safety Code.
History
1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
Chapter 9. Report of Child Abuse
Article 1. Report of Child Abuse
§ 900. Scope.
The Automated Child Abuse System (AC AS) is the centralized system
for collecting reports of suspected child abuse and severe neglect pur-
suant to Penal Code section 1 1 170. The ACAS is maintained by DOJ as
a statewide reference file.
These regulations relate to the policies and practices of DOJ with re-
gard to its Standard Reporting Form; its review and verification proce-
dures for reports submitted pursuant to Penal Code section 1 11 69; its no-
tification procedures in response to reports and its procedures for
processing reports submitted by reporting agencies with different inves-
tigative determinations; the scope of information released in response to
valid inquiries; procedures for confirmation and notification regarding
ACAS inquiries for peace officer pre-employment, TrustLine Registry,
child care licensing and employment, and adoption and placement of
children; and inquiries received from private citizens regarding their own
record. These regulations also identify how DOJ tracks inquiries and re-
sponses thus creating an audit trail of all inquiries resulting in possible
matches, and set forth procedures for record sealing orders received from
the courts.
NOTE: Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections
1 1 165.9, 1 1 169 and 11 170, Penal Code.
History
1 . New article 1 (sections 900-91 1) and section filed 7-17-98; operative 7-17-98
pursuant to Government Code section 11343.4(d) (Register 98, No. 29). For
prior history of article 1, see Register 81, No. 46.
2. Amendment of section and Note filed 4-22-2002; operative 5-22-2002 (Reg-
ister 2002, No. 17).
3. Amendment filed 5-12-2006; operative 6-1 1-2006 (Register 2006, No. 19).
§ 901 . Definitions.
(a) "Active Investigation" means the activities of an agency in re-
sponse to a report of known or suspected child abuse. For purposes of re-
porting information to the Child Abuse Central Index, the activities shall
include, at a minimum: assessing the nature and seriousness of the known
or suspected abuse; conducting interviews of the victim(s) and any
known suspect(s) and witness(es) when appropriate and/or available;
gathering and preserving evidence; determining whether the incident is
substantiated, inconclusive, or unfounded; and preparing a report that
will be retained in the files of the investigating agency.
(b) "Audit Trail" is the method used by DOJ to track inquiries to
ACAS to determine the requestor and the response provided. (See § 910)
(c) "Automated Child Abuse System" (ACAS) means the current sys-
tem used by DOJ to electronically store reports of child abuse submitted
by investigating agencies. ACAS is also known as the Index and the
Child Abuse Central Index. Child Abuse Central Index and the Index are
the same terms as used in Penal Code section 1 1 170.
(d) "Child" is the same term as defined in Penal Code section 1 1 165.
(e) "Child Abuse" is the same term as defined in Penal Code section
11165.6.
(f) "Confirmation" is the DOJ process of contacting the agency that
submitted the report to confirm that the underlying investigative report
is still available and is not unfounded. (See § 908)
(g) "DOJ" means the Department of Justice.
(h) "General Neglect" is the same term as used in Penal Code section
1 1165.2.
(i) "Inconclusive Report" is the same term as defined in Penal Code
section 11165.12(c). This category was originally termed "unsubstan-
tiated report" and was renamed by Chapter 842 of the Statutes of 1997,
effective January 1, 1998.
(j) "Investigative Report" or "Underlying Investigative Report"
means original and supplemental investigative documents developed by
an agency during an investigation of a child abuse incident and that re-
sulted in a report to DOJ.
(k) "Possible Match" means DOJ staff has checked a specific name as
the result of an inquiry and has, based on the name and other items of per-
sonal description (date of birth, social security number, driver's license
number, or address), matched that name to an existing report(s) in ACAS.
The match is considered possible because it has not been confirmed abso-
lutely with positive matching processes such as a fingerprint comparison.
(/) "Severe Neglect" is the same term as used in Penal Code section
11165.2.
(m) "Submitting Agency" means the agency that forwarded the com-
pleted summary report on which an ACAS entry is based.
(n) "Substantiated Report" is the same term as defined in Penal Code
section 11165.12(b).
(o) "Summary Report" means an entry in ACAS reporting the investi-
gation of a suspected incident of child abuse or severe neglect. All man-
datory information as specified in regulation § 903 must be included for
the report to be entered into ACAS. (See § 903)
(p) "Suspect" means a person who has been designated as a suspect in
an agency's child abuse investigation and subsequently reported as such
to DOJ.
(q) "Unfounded" is the same term as defined in Penal Code section
1 1 165. 12(a). Unfounded reports are not forwarded to DOJ for inclusion
in the ACAS.
(r) "Unsubstantiated" means a report that is determined by a child
abuse investigator not to be unfounded, but in which the findings are in-
conclusive and there is insufficient evidence to determine whether child
abuse or neglect has occurred. (This category was renamed "inconclu-
sive" by Chapter 842 of the Statutes of 1997, effective January 1, 1998).
(s) "Verification" means the process DOJ uses to insure that the data
entered into ACAS is accurately entered into ACAS. (See§ 904)
(t) "Victim" means a person who has been designated as a victim in
a child abuse investigative report and subsequently reported as such to
DOJ.
NOTE; Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections
11165, 11165.2, 11165.6, 11165.9, 11165.12(a), 11165.12(b), 11165.12(c),
11169 and 11170(a), Penal Code; and Secfion 1596.60, Health and Safety Code.
History
1. New section filed 7-17-98; operadve 7-17-98 pursuant to Government Code
section 1 1343.4(d) (Register 98, No. 29).
2. Amendment of section and Note filed 4-22-2002; operative 5-22-2002 (Reg-
ister 2002, No. 17).
3. Amendment filed 5-12-2006; operaUve 6-1 1-2006 (Register 2006, No. 19).
§ 902. Purpose of ACAS.
The purpose of ACAS is to serve as the index of investigated reports
of suspected child abuse and severe neglect maintained by DOJ pursuant
to Penal Code section 1 1 170(a). The ACAS consists only of those reports
of child abuse and severe neglect that meet the criteria specified in the
Child Abuse and Neglect Reporting Act (Penal Code section 1 1 164 et
seq.) and that are complete as specified by these regulations.
The ACAS is a reference file and is used to refer authorized individuals
or entities to the underlying child abuse investigative report maintained
at the reporting agency. It is the responsibility of authorized individuals
or entities to obtain and review the underlying investigative report and
Page 22.1
Register 2006, No. 35; 9-1-2006
§903
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
make their own assessment of the merits of the child abuse report. They
shall not act solely upon ACAS information.
NOTE: Authority cited: Section 11170(a)(1). Penal Code. Reference: Sections
11165.9, 11 169 and 1 1 170(a)(1) and (2), Penal Code.
History
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code
section 1 1343.4(d) (Register 98. No. 29).
2. Amendment of section and NoTK filed 4-22-2002; operative 5-22-2002 (Reg-
ister 2002. No. 17).
3. Amendment filed 5-12-2006; operative 6-1 1-2006 (Register 2006, No. 19).
§ 903. Standard Reporting Form for Reports of Child
Abuse IVIaintained in ACAS.
(a) The "Child Abuse Summary Report" Form SS 8583 is the standard
reporting form required to report investigative summaries of suspected
incidents of child abuse and severe neglect to ACAS. Reporting agencies
shall submit Form SS 8583 to DOJ after an active investigation has been
conducted and the incident has been determined not to be unfounded. Re-
porting agencies must obtain and use the most recent version of the SS
8583 when submitting the report to DOJ. The most recent version of the
SS 8583 must be the basis for any report in an automated format sub-
mitted to DOJ.
( 1) If a report is submitted on a form pre-dating the current SS 8583,
and DOJ receives an inquiry that requires a confirmation of the report,
the information on the report originally submitted must comply with the
reporting requirements of the current Form SS 8583. (See§ 908)
(2) All information items on the standard report Form SS 8583 should
be completed by the investigating agency. Certain information items on
the SS 8583 must be completed by the investigating agency in order for
it to be considered a "retainable report" by DOJ and entered into ACAS.
Reports without these items will be returned to the contributor. These in-
formation items are:
(A) The complete name of the investigating agency and type of
agency.
(B) The agency's report number or case name.
(C) The action taken by the investigating agency.
(D) The specific type of abuse.
(E) The victim(s) name, birth date or approximate age, and gender.
(F) Either the suspect(s) name or the notation "unknown," birth date
or approximate age, and gender.
(G) Verification (yes, no) that an active investigation was conducted
and that the victim(s) were contacted. Verification (yes, no, no suspect)
that suspect(s) were contacted and verification (yes, no, no witness) that
witness(es) were contacted. An explanation is required if contacts were
not made.
(H) Verification (yes, no) that the suspect was given written notice that
his/her name will be placed in the Child Abuse Central Index per PC
1 1 169(b). An explanation is required if no written notice was given.
(b) The following form shall be the standard reporting form for sub-
mitting summary reports of child abuse and severe neglect to DOJ:
Page 22.2
Register 2006, No. 35; 9-1-2006
Title 11
Attorney General
§903
StateofCallfpmia
Child Ab,use Summary Report
OapartmentafJuaiica
TO BE TYPED OR PRINTED - PRESS FIRMLY - DO NOT USE FELT PEN
SS8583(Reve/0S)
CHILD ABUSE SUMMARY REPORT
To be Completed by Investigating Child Protective Agency
Pursuant to PenalCode Section 1 1 1 69
(SHADED AREAS MUST BE COMPLETED)
FOR DOJ USE ONLY
1 . INVESTIGATING AGENCY (EnteroomplatenamB and cheoK type):
a POLICE
□ SHERIFF
a WELFARE
a PROBATION
2. AGENCY REPORT N07CASE NAME
3. AGENCY ADDRESS:
Stradt
City
Zip Cods
>-
o
z
UJ
(5
<
O
z
g
tn
m
>
z
4. AGENCY TELEPHONE:
( -)
S. NAME OF (NVESTtGATfNG PARTY:
TITLE
6. DATE REPORT mO DA
COMPLETED: \.-\ h ....
7. AGENCY CROSS-REPORTED TO:
8. PERSON CHOSa-REPORTEO TO;
9. DATE CROSS-
REPORTED: i
10. ACTION TAKEN (check only one tDOX):
O (1 ) SUBSTANTIATED (Abuse more likely than nottohave occurred)
a (2) INCONCLUSIVE (Insuf tlcient evidence of abuse, not unfounded)
10A SUPPLEMENTAL INFORMATION (Attach copy at original report)
a (a) INCONCLUSIVE . O (o) ADDITIONAL INFORMATION
a (b) UNFOUNDED (false report, accidental. Improbable)
11, Active Invastigallonconducted per PC 11169(3)7 O Yes D No* - VlotltTi(8) contacted? Yes O No*
Wltne6s(8s) contacted? a Yes O No* O No witnesses "Explain in comments Held A.12,
SUspect(s) contacted?: □ Yes ONa' C7 No Suspects
12. COMMENTS:
UJ H
= o
1. DATE OF INCIDENT:
2. TIH/IE OF INCIDENT;
3. LOCATION OF INCIDENT:
4. NAME OF PARTY REPORTING INCIDENT:
5. EMPLOYER:
6. TELEPHONE:
( )
7. TYPE OF ABUSE (check one or more):
a (1 ) PHYSICAL O (2) MENTAL O (3) SEXUAL O (4) SEVERE NEGLECT O. (5) GENERAL NEGLECT
B. IF ABUSE OCCURRED IN OUT-OF-HOME CARE, CHECK TYPE □ (1) FAMfLY DAYCARE O (2) CHILD CARE CENTER □ (3) FOSTER FAMILY HOME . (4) SMALL FAMILY HOME
a (S) GROUP HOME OR INSTTTUTION-Enter name and address:
YR
APPROX.
AGE;
a MALE
a FEMALE
ADDRESS:
Street
City
Zip Code
DID VICTIM'S INJURIES RESULT IN DEATX? Q YES
NATURE OF INJURIES;
a NO
PRESENT LOCATION OF VICTIM:
TELEPHONE NUMBER:
IS VICTIM DEVELOPMENT AUY DISABLED (4612(a) W&l]?
a YES a NO
2. NAME:
APPROX.
AGE;
DMALE
a FEMALE
ADDRESS;
City
Zip Code
DID VICTIM'S INJURIES RESULT IN DEATH? O YES
NATURE OF INJURIES:
PRESENT LOCATION OF VICTIM:
TELEPHONE NUMBER:
IS VICTIM OEVELOPMENTAaY DISABLED (4512(a) W&ir?
a YES a NO
APPflOX.
AGE:
O MALE.
a FEMALE
ADDRESS;
Street Clly
Zip Code
HGT WQT EYES HAIR
SOCIAL SECURITY NUMBER: DRIVER'S LICENSE NUMBER:
REUTIONSHIP TO VICTIM: O (1 ) PARENT/STEPPARENT
g (2) SIBLING
O (3) OTHER RELATIVE O (4) FRIEND/ACQUAINTANCE (S) STRANGER
Suapact given written notice per PC 11 1 69(b)
a Yes □. No Date notice given:
YR-
If notice not given, explain' in comments ffald A.12.
^NAME;
Last
FltBt
MO
APPROK
AGE:
DMALE ?
P
□ FEMALE e
ADDRESS:
Street
Clly
Zip Code
HGT WGT
EYES
HAIR SOCIAL SECURITY NUMBER: DRIVER'S UCENSE NUMBER;
REUTIONSHIP TO VICTIM: ' Q (1 ) PARENT/STEPPARENT
a (2) SIBLING
(3) OTHER RELATIVE O (4) FRIEND/ACQUAINTANCE O (S) STRANGER
Suspect given written notice per PC tT169(b),
a Yes □. No Date noticeglvenv
MO.
YR
If notice not given, explain in cominent8-fi6ld;A.12.!
a (1) PARENT/STEPPARENT
a (2) SIBLING
MO
DA
YR
D MO
0| I
B
SfiT
APPROX.
AGE
a MALE
a FEMALE
Rrst
0(1) PARENT/STEPPARENT
a(2)SIBUNQ
TiT
APPHOX.
AGE:
a MALE
O FEMALE
*RACE COOES: W-Whita, B-Blaok, H-HlspanIc, l-Amerlcan Indian, F>Flllplno, P-Paclflo Islander, C-Chlnme, J^apaneas, A-Otlier Aalan, Z-Acian Indian, D-Cambodlan,
G-Guam»nlan, U-Hawail«n, K-Kor«an, L-Laotlan, S-Samoan, V-Vletnanwaa, 0-Ottier, X-Unknown Q CHECK HERE IF AOOITIONAL SHEET(S) IS ATTACHED.
PINK COPY-DOJ; WHITE COPY-Police or Sheriff; BLUE COPY-County WellatB or Probation; GREEN COPY- Dimriot Attorney's Ofttoe
Page 22.2(a)
Register 2006, No. 35; 9-1-2006
§903
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
CHILD ABUSE SUMMARY REPORT
DEPARTMENT OF JUSTICE (DOJ) FORM SS 8583
Guidelines for Use and Completion of Form SS 8583
(For Specific Requirements Refer to the Child Abuse Reporting Law, California Penal Code Sections 1 1 1 65 through 1 1 1 74.3)
For immediate information on potential suspacts/vlctlms, please contact the Chiid Abuse Unit at (91 6) 227-3285.
D Must Report
Interagency Reporting
Any police or sheriff's department, county welfare department or
county probation department (if designated by the county to receive
mandated reports) must report every suspected incident of child abuse it
receives to:
• the law enforcement agency having jurisdiction over the case
• the agency responsible for investigations under Welfare and Institutions
Code Section 300
• the district attorney's office
DOJ Reporting
• An agency must report every incident of suspected child abuse for
which it conducts an active investigation and detemaines not to be
unfounded to DOJ on the Form SS 8583.
NOTE: Reports are not accepted from non-California agencies.
What Incidents Must Not Be Reported
Interagency Reporting
• Incidents spedfically exempted under cooperative an-angements with
other agencies in your jurisdiction.
DOJ Reporting
• Unfounded reports - Reports which are detennined to be false, to be
inherently improbable, to involve an accidental injury, or not to constitute
child abuse or neglect as defined in Section 11165.6 PC (Section
11 165.12 PC).
• Acts of nonexploitlve, consensual sexual behavior between minors
under the age of 14 years who are of similar age.
• Acts of negligence by a pregnant woman or other person(s) who
adversely effect the well-being of a fetus.
• Child stealing as defined in Sections 277 PC and 278 PC, unless it
involves sexual abuse, physical abuse, mental/emotional abuse, and/or
severe neglect.
• Reasonable and necessary force by school employees to quell a
disturbance threatening physical injury to person or damage to property
(Section 11 165.4 PC).
■statutory rape, as defined in Section 261 .5 PC, except violations of
section 261.5(d) PC.
• Mutual fights between minors (Section 11165.6 PC).
What Incidents Must Be Reported
• Abuse of a minor child, i.e., a person under the age of 18 years,
involving any one of the below abuse types:
Interagency Reporting
• sexual abuse • mental/emotional abuse
• physical abuse • severe neglect
• general neglect
(Refer to Section 11165.1 tlirougti 11165.6 PC for PC citations and
definitions)
DOJ Reporting
• All of the above, excluding general neglect.
• Deaths of minors resulting from abuse or neglect.
When Must the Report Be Submitted
Interagency Reporting
• Telephone notification - immediately or as soon as practical.
• Written notification - within 36 hours of receiving infomnation
concerning the incident,
• When an agency takes a report for which it lacks jurisdiction the
agency shall immediately refer the case by telephone, fax, or
electronic transmission to an agency with proper jurisdiction.
DOJ Reporting
• A Form SS 8583 must be submitted after an active investigation
has been conducted and the incident has been determined not to be
unfounded. DOJ defines "active investigation" as: the activities of an
agency in response to a report of known or suspected child abuse. For
purposes of reporting information to the Child Abuse Central Index, the
activities shall include, at a minimum: assessing the nature and
seriousness of the suspected abuse; conducting interviews of the
victlm(s) and any known suspect(s) and witness(es); gathering and
preserving evidence; determining whether the incident is substantiated,
inconclusive or unfounded; and preparing a report that will be retained in
the files of the investigating agency.
NOTE: No other form win be accepted in lieu of the Form SS 3583.
The suspect(s) must be notified in writing that he/she has been reported to
the Child Abuse Central Index per PC Section 11169(b).
What information is Required
General instructions
• All information blocks contained on the Form SS 8583 should be completed by the investigating agency. If information is not available, indicate "UNK" in
the applicable information block.
Specific Instructions
. INFORMATION BLOCKS ON THE FORM SS 8583 WHICH ARE SHADED GRAY MUST BE COMPLETED. THE SUBMITTED FORM WILL BE
RETURNED TO THE CONTRIBUTOR WITHOUTFURTHERDEPARTMENTOF JUSTICE ACTION IF THE CONTRIBUTOR FAILS TO COMPLETE ANY
OF THE FOLLOWING ITEMS: the agency name and type; the agency's report number or case name; the action taken by the investigating agency; the
specific type of abuse; the victim's name, birthdate or approximate age, and gender; and the suspect's name and blrthdate or approximate age, and
gender. If the suspect is not known, UNKNOWN must be entered. Verification must be provided that an active investigation was conducted, that
victlm(s), and any known suspect(s), and witness(es) were contacted. An explanation must be provided if these contacts were not made. Verification
must be provided that the suspect was given written notification that he/she has been reported to the Child Abuse Central index per Section 11169(b)
PC. An explanation must be provided if there was no notification.
Section A. "INVESTIGATING AGENCY," information block 10. "ACTION TAKEN" or 10A. "SUPPLEMENTAL INFORMATION" must be completed in accordance with the following
definitions (Check QOfi of the boxes): (j)
10. ACTION TAKEN (oheok only one box)
□ (1 ) SUBSTANTIATED (Abuse more likely (Kan not to have occurred)
□ (2) INCONCLUSIVE (Inaufdcient evidence of abuse, not unloundad)
OOA. SUPPLEMENTAL INFORMATION (Attach copy ot ortglnal report)
a (a)tNCONCLUStVE O (c) ADDITIONAL INFOflMA'f ION
O <b) UNFOUNDED (false report, accidental, improbable)
^ S
10. ACTION TAKEN
(T) SUBSTANTIATED - Abuse, as defined in Section 1 1 1 65.6 PC, determined to have more likely than not occurred,
(2) INCONCLUSIVE - Report determined not to be unfounded, but there is inautflclent evidence to determine whether child abuse or neglect, as defined in Section 11165.6
PC, occurred.
10A. SUPPLEMENTAL INFORMATION - Only use this section to update information previously submitted on Form SS 8583.
® INCONCLUSIVE - A previously submitted Form SS 8583 indicated as "SUBSTANTIATED" is being reclassified to "INCONCLUSIVE".
® UNFOUNDED - A previously submitted Form SS 8583 Indicated as "SUBSTANTIATED," "UNSUBSTANTIATED," or "INCONCLUSIVE" is being reclaasifled to
"UNFOUNDED."
(c) ADDITIONAL INFORMATION - Supplementary information is being provided for a prevtsouly submitted Form SS 8583.
wif here To Send The Report, Form SS 8583
(For DOJ reporting only)
Department of Justice
Bureau of Criminal Information and Analysis
P. 0. Box 903387
Sacramento, CA 94203-3870
ATTENTION: Child Abuse Unit
REIMEIUIBER
Submit completed Form SS 8583 to DOJ as soon as possible after completion of the investigation
because the case Information may contribute to the success of another investigation. It is essential that
the report be complete, accurate and timely to provide the maximum benefit in protecting children and
identifying and prosecuting suspects. If you have questions about DOJ REPORTING or need a victim or
suspect name check, call the DOJ Child Abuse Unit at (91 6) 227-3285 or CALNET 498-3285.
SSa5B3{Rgv.08/0S)
[The next page is 22.3.]
Page 22.2(b)
Register 2006, No. 35; 9-1-2006
Title 11
Attorney General
§908
NOTH: Authority cited: Section 11 170(a)(1), Penal Code. Reference: Sections
11165.6, 11165.9, 11165.12, 11166(h) and (i), 11168, 11169(a), 11169(b) and
11170(a)(1), Penal Code.
History
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code
section 1 1343.4(d) (Register 98, No. 29).
2. Amendment of section and NoTi-: fded 4-22-2002; operative 5-22-2002 (Reg-
ister 2002, No. 17).
3. Editorial coiTCction providing clean copy of Form SS 8583 (Register 2002, No.
21).
4. Amendment filed 5-12-2006; operative 6-1 1-2006 (Register 2006, No. 19).
§ 904. DOJ Review and Verification of Submitted Summary
Reports.
All submissions received by DOJ staff are reviewed to determine that
they meet the definition of a report in these regulations. DOJ staff verifies
only that the information entered into ACAS is consistent with the infor-
mation as reported by the investigating agency. The DOJ presumes that
the substance of the information provided is accurate and does not con-
duct a separate investigation to verify the accuracy of the investigation
conducted by the submitting agency.
NOTE: Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections
1 1 165.9, 1 1 169 and 1 1 170(a)(2), Penal Code.
History
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code
section 1 1343.4(d) (Register 98, No. 29).
2. Amendment of section and Note filed 4-22-2002; operative 5-22-2002 (Reg-
ister 2002, No. 17).
3. Amendment of section heading filed 5-12-2006; operative 6-1 1-2006 (Regis-
ter 2006, No. 19).
§ 905. DOJ Procedures for Notification When ACAS
Shows Information Relevant to a Newly
Received Report.
When DOJ receives a cfiild abuse summary report containing the name
of a victim or suspect that results in a possible match to a prior report in
ACAS, DOJ will do the following:
(a) Notify the reporting agency of a prior report in ACAS in which
there is a possible victim or suspect match. The notification will include
the following information on the prior report in the Index: the name of
the reporting agency; the report number; and the date of the report.
(b) Notify any agency that submitted a prior report in ACAS that DOJ
has received a new report containing a possible victim or suspect match
to the report submitted previously by that agency.
(c) If the new report contains a suspect match to a prior report, notify
the agency submitting the prior report that if its report was either unsub-
stantiated or inconclusive, it must be retained for at least ten (10) years
from the date of the new report to DOJ.
(d) The notifications set forth in (a) through (c) will be made even if
the agency submitting the new report is the same agency that submitted
the prior report.
(e) All notifications will be made as soon as possible, but not later than
three (3) working days after the new report is entered into ACAS.
NOTE: Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections
1 1 165.9, 1 1 169, 1 1170(a)(3) and 1 1 170(b)(1), Penal Code.
History
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code
section 1 1343.4(d) (Register 98, No. 29).
2. Amendment of section and Note filed 4-22-2002; operative 5-22-2002 (Reg-
ister 2002, No. 17).
3. Amendment of first paragraph and designation of second sentence of subsection
(d) as subsection (e) filed 5-12-2006; operative 6-1 1-2006 (Register 2006, No.
19).
§ 906. DOJ Procedures for Processing Reports Submitted
by Agencies with Different Investigative
Determinations.
When DOJ receives separate reports from different agencies on the
same incident of child abuse and severe neglect with different investiga-
tive determinations, DOJ will make a notation in ACAS of the different
determinations. The agencies reporting the incidents will be notified in
writing of the different determinations.
NOTE: Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections
1 1 165.9 and 1 1 170(a)(2), Penal Code.
History
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code
section 1 1343.4(d) (Register 98, No. 29).
2. Amendment of secfion heading, section and NoTii filed 4-22-2002; operative
5-22-2002 (Register 2002, No. 17).
3. Amendment filed 5-12-2006; operative 6-1 1-2006 (Register 2006. No. 19).
§ 907. ACAS Information Released in Response to
Inquiries.
The information contained in the reports in ACAS is confidential, and
is disclosed by DOJ staff only to those individuals and entities who are
authorized by Penal Code sections 1 1 1 70 and 1 1 1 70.5 and any other pro-
visions of law.
These include:
(a) An agency conducting an active investigation of child abuse, or a
district attorney who makes a request, will be provided all information
in ACAS pertaining to the specific individual(s) being investigated. An
agency conducting an active investigation of child abuse may request,
and be provided, ACAS information prior to completion of the investiga-
tion and submission of the report required by Penal Code section 11 169,
if the information is needed for purposes of the current investigation.
Such requests for information will receive a response from DOJ within
one working day of receipt.
(b) Persons or entities who are making inquiries for purposes of pre-
employment background investigations for peace officers, child care li-
censing or employment, adoption, or child placement will be provided
suspect information. No information on victims will be provided. If there
are multiple possible matches, only the possible name match that is clos-
est to that of the inquiry will be provided. After matching the suspect's
name, other items of personal description will be used to determine the
closest possible match.
(c) Prior to July 1, 1998, persons or entities who made inquiries for
TrustLine Registry purposes pursuant to Education Code section 8 1 72
were provided only suspect information from substantiated reports in the
Index regarding the person who is the subject of the inquiry. Since July
1, 1998, when the administrative authority for TrustLine transferred to
DSS, suspect information from all reports (substantiated and inconclu-
sive) in the Index is provided to DSS regarding the person who is the sub-
ject of the inquiry, pursuant to Health and Safety Code section 1 596.877.
If there are multiple possible matches, only the possible name match that
is closest to that of the inquiry will be provided. After matching the sus-
pect' s name, other items of personal description will be used to determine
the closest possible match. No information on victims will be provided.
NOTE; Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections
1 1 165.9, 1 1 167.5, 11 169, 1 1 170, 1 1 170.5 and 1 1 174, Penal Code; and Sections
1522.1, 1596.60 and 1596.877, Health and Safety Code.
History
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code
section 1 1343.4(d) (Register 98, No. 29).
2. Amendment of section and Note filed 4-22-2002; operative 5-22-2002 (Reg-
ister 2002, No. 17).
3. Amendment of first paragraph, subsection (b) and Note filed 5-12-2006; op-
erative 6-1 1-2006 (Register 2006, No. 19).
§ 908. Procedure for Confirmation of ACAS Information for
Purposes of Peace Officer Employment,
TrustLine Registry, Child Care Licensing or
Employment, Adoption or Placement of
Children, and for When a Private Citizen
Inquires About His/Her Own Record.
(a) When an inquiry is received for non-criminal investigations, in-
cluding but not limited to pre-employment checks for peace officers,
TrustLine Registry, child care licensing or employment, adoption, place-
ment of children (with the exception of temporary placement of children
in emergency situations), or when a written and notarized request [see
Penal Code section 1 1 170(e)] is received from a private citizen to deter-
Page 22.3
Register 2006, No. 19; 5-12-2006
§908
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
mine if he or she is listed in ACAS, and the inquiry results in a possible
match to a suspect in ACAS, DOJ staff will make written contact with the
agency that submitted the report to confirm that the underlying investiga-
tive report is still available, that the report submitted to DOJ meets cur-
rent statutory and regulatory requirements for retention and dissemina-
tion, and that the report has not been determined to be unfounded.
( 1 ) In the case of an inquiry for purposes of a non-criminal investiga-
tion, if the agency confirms that the underlying investigative report is still
available, that the report submitted to DOJ meets current statutory and
regulatory requirements for retention and dissemination, and that the re-
port has not been determined to be unfounded, DOJ staff will release the
information to the requesting agency.
(A) If the submitting agency advises DOJ that the underlying investi-
gative report is no longer available, or that the report submitted to DOJ
does not meet current statutory and regulatory requirements for retention
and dissemination, or that the report has been determined to be un-
founded, or if the submitting agency does not respond to the written noti-
fication within thirty days, DOJ staff will advise the requesting agency
that there is no match to any report on file. DOJ will immediately delete
the ACAS entry and destroy the associated paper records.
(2) In the case of a citizen inquiry, if the agency confirms that the un-
derlying investigative report is still available, that the report submitted
to DOJ meets current statutory and regulatory requirements for retention
and dissemination, and that the report has not been determined to be un-
founded, DOJ staff will notify the citizen in writing that he/she is listed
in ACAS as a suspect or victim and provide the name of the submitting
agency, the report number, and the date of the report. DOJ staff will also
notify the citizen of all non-criminal investigation disseminations of his/
her record including the date of the dissemination, the agency to which
the record was disseminated, and the purpose of the dissemination of his/
her record.
(A) If the submitting agency advises DOJ that the underlying investi-
gative report is no longer available, or that the report submitted to DOJ
does not meet current statutory and regulatory requirements for retention
and dissemination, or that the report has been determined to be un-
founded, DOJ staff will advise the citizen of that fact in writing. The citi-
zen will also be advised that DOJ will immediately delete the report from
ACAS, and after thirty days will destroy the associated paper records.
DOJ will immediately delete the ACAS entry and in thirty days destroy
the associated paper records.
(B) If the submitting agency cannot confirm the availability of the un-
derlying investigative report, or that the report submitted to DOJ meets
current statutory and regulatory requirements for retention and disse-
mination, or that the report has not been determined to be unfounded, or
if the submitting agency does not respond to the written notification with-
in thirty days, DOJ staff will advise the citizen in writing:
1 . that ACAS does have an entry, the name of the reporting agency, the
report number, and the date of the report;
2. that DOJ has contacted the reporting agency, but the agency has not
or cannot confirm the availability of the underlying investigative report,
that the report submitted to DOJ meets current statutory and regulatory
requirements for retention and dissemination, and that the report has not
been determined to be unfounded;
3. that the citizen should contact the reporting agency directly if further
information is needed; and
4. thai DOJ will immediately delete the entry in ACAS and after thirty
days will destroy the associated paper records. DOJ will immediately de-
lete the ACAS entry and in thirty days destroy the associated paper re-
cords.
(b) The following form letter will be used to request confirmation of
information in the ACAS:
Page 22.4
Register 2006, No. 19; 5-12-2006
Title 11 Attorney General §908
BUREAU OF CRIMINAL INFORMATION AND ANALYSIS
Child Protection Program
P.O. Box 903387
Sacramento, CA 94203-3870
Telephone: (916)227-3285
Facsimile: (916)227-3253
[Date]
[Agency Name]
[Address]
[City, State Zip]
ATTN:
RE: Request for Confirmation of Child Abuse Information
A Child Abuse Summary Report (SS 8583) was submitted to the Department of Justice (DOJ) by your agency and entered into the Child Abuse
Central Index (Index) maintained by DOJ pursuant to Penal Code section 1 11 70.
The suspect listed in your report is now undergoing a background check for licensure or employment in a position having care or control over
children, placement of a child, adoption of a child, or as a peace officer. The Index maintained by DOJ serves as a pointer system, referring li-
censing agencies, the courts, and employers to investigative reports retained by local child protective agencies. The licensing agency, court, or
employer conducting the current background check is required to obtain your investigative report and make its own independent assessment.
[Penal Code section 1 1 170(b)(8)(A)] Therefore, prior to release of information, DOJ must confirm that your investigative report is available and
meets current retention standards.
In order to provide timely and accurate referrals regarding the suspect in your report, we request that you immediately provide a response to the
attached questions either by fax at (916) 227-3253, or by mail addressed to: Department of Justice, Child Protection Program, P.O. Box 903387,
Sacramento, California 94203-3870.
IF WE DO NOT RECEIVE A RESPONSE TO THIS INQUIRY WITHIN 30 DAYS FROM THE DATE OF THIS LETTER, YOUR
REPORT WILL BE DELETED FROM THE INDEX AND THE AGENCY REQUESTING THE BACKGROUND CHECK ON THIS
APPLICANT WILL BE ADVISED THAT THERE IS NO RECORD ON FILE.
If you have any questions, please contact (CIS Name) of the Child Protection Program at [(916)CIS Number].
The Child Protection Program
For
Attorney General
Page 22.5 Register 2006, No. 19; 5-12-2006
§909
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
[Agency Name]
[Date]
RE: [RCN]
REPORT #: [Report Number / Case Name]
DATE OF REPORT: [Date of Report]
I. Availability of Report — Does your agency continue to maintain the investigative report that corresponds with this report? Penal Code sec-
tion 1 1 170(a)(3) provides that reports designated as inconclusive or unsubstantiated must be retained in the Child Abuse Central Index for a
minimum of 10 years. There is no provision for deletion of reports designated as substantiated. Penal Code section 1 1 169(c) requires submitting
agencies to retain their investigative reports for the same period of time as the reports are required to be retained in the Index.
Yes
No
Where is the investigative report currently maintained?
Active Files Closed Files Microfilm
Archives
Storage
Other:
II. Current retention standards — Because the definitions and standards governing submission of reports to the Child Abuse Central Index
have changed over the years, DOJ needs to confirm that your report meets current statutory standards.
Was an active investigation conducted in this case? (See Penal Code section 1 1 169 and Title 1 1, section 901(a) of the Cahfornia Code of Regu-
lations.)
"Active Investigation" means the activities of an agency in response to a report of known or suspected child abuse. For purposes of reporting information to the
Child Abuse Central Index, the activities shall include, at a minimum: assessing the nature and seriousness of the known or suspected abuse; conducting interviews
of the victim(s) and any known suspectCs) and witness(es); gathering and preserving evidence; determining whether the incident is substantiated, inconclusive, or
unfounded; and preparing a report that will be retained in the files of the investigating agency.
Yes
No
Were Victim(s) interviewed?
Were Suspects interviewed?
Yes
Yes
No (If no, please explain:
No (If no, please explain:
Were Suspect(s) given written notice? (Applicable to investigations completed 1/1/1998 to present.)
Yes No (If no, please explain:
Regardless of the original designation given this report, which on the following current statutory definitions applies to the report:
Unfounded [Penal Code section 1 1 165.12(a)] — Record will be deleted from our system
Substantiated [Penal Code section 1 1 165.12(b)]
Inconclusive [Penal Code section 11165.12(c)]
III. Suspect personal descriptors — The following suspect personal descriptors may be used to match information regarding an individual
seeking peace officer employment or to care for a child, whether through licensing, child care employment, child placement, or adoption. Please
complete the following checked suspect information:
Name:
Birthdate:
Or Approximate Age:
CDL/DMV Identification #:
Most Current Address:
Social Security Number:
Mail or Fax this page to the attention of: [CIS Name]
Address: Department of Justice, Child Protection Program, P.O. Box 903387, Sacramento, CA 94203-3870
Fax: (916) 227-3253
Case Reviewed by:
Telephone Number:
Title:
Date:
NOTE: Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections
1 1 165. 1 1 , 1 11 67.5(b)(l 1 ), 11 1 70(e), 1 1 1 70.5 and 1 1 170.6, Penal Code; and Sec-
tion 1798.25. Civil Code.
History
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code
section 11343.4(d) (Register 98, No. 29).
2. Amendment of section and Note filed 4-22-2002; operative 5-22-2002 (Reg-
ister 2002, No. 17).
3. Amendment of section heading and section filed 5-12-2006; operative
6-11-2006 (Register 2006, No. 19).
§ 909. Notification in Response to Inquiries to ACAS
Pertaining to Peace Officer Employment,
TrustLine Registry, Child Care Licensing and
Employment, Adoptions and Placement of
Children.
Whenever a possible name match with a suspect is made on an ACAS
report in response to inquiries for non-criminal investigations, including
but not limited to pre-employment checks for peace officers, TrustLine
Registry, child care Ucensing or employment, and adoptions or the place-
Page 22.6
Register 2006, No. 19; 5-12-2006
Title 11
Attorney General
§923
ment of children (with the exception of temporary placement of children
in emergency situations) and DOJ staff has confirmed that the underlying
investigative report is still available, that the report submitted to DOJ
meets current statutory and regulatory requirements for retention and dis-
semination, and that the report has not been determined to be unfounded,
DOJ will release the possible match information to the inquiring agency.
Concurrent with the release to the inquiring agency, DOJ staff will send
notification to the individual whose name constitutes the possible match.
This notice will advise the individual that the information was provided
to the inquiring agency and will include the name of the reporting agency,
the date of the report, and the report number.
NOTE: Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections
1 1 170(b)(3) and 1 1170(c), Penal Code.
History
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code
section 1 1343.4(d) (Register 98, No. 29).
2. Amendment of section heading and section filed 5-12-2006; operative
6-1 1-2006 (Register 2006, No. 19).
§ 910. Audit Trail of Information Released from ACAS.
DOJ staff will maintain a record of all inquiries that result in a possible
name match to a report maintained in ACAS. This record will include the
response given. This record will establish the ACAS audit trail. A citizen
making an inquiry regarding his/her own record will be informed of all
non-criminal investigation disseminations of his/her record including
the date of the dissemination, the agency submitting the request, and the
purpose of the dissemination.
NOTE: Authority cited: Section 11170(a)(1), Penal Code. Reference: Section
1 11 70(a), Penal Code; and Section 1798.25, Civil Code.
History
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code
section 1 1343.4(d) (Register 98, No. 29).
2. Amendment filed 5-12-2006; operative 6-1 1-2006 (Register 2006, No. 19).
§ 91 1 . Processing of Record Sealing Orders.
When orders are received from courts ordering the sealing of juvenile
records per Welfare and Institutions Code sections 389 and 781 , and/or
for the sealing of adult records per Penal Code section 851.8, and there
is a possible match to a juvenile or adult record in ACAS, the sealing or-
der will be processed consistent with the advice provided by legal coun-
sel.
NOTE; Authority cited: Section 1 1 1 70(a)( 1 ), Penal Code. Reference: Sections 389
and 781, Welfare and Institutions Code; and Section 851.8, Penal Code.
History
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code
section 1 1343.4(d) (Register 98, No. 29),
2. Amendment of Note filed 4-22-2002; operative 5-22-2002 (Register 2002,
No. 17).
Article 2. Report of Sexual Assault
§ 920. Scope.
In accordance with Section 1493 of the Health and Safety Code, this
article shall apply to the submission of reports to the local police depart-
ment or county sheriff by each physician and surgeon in a county hospital
or in any other general acute care hospital who conducts a medical exami-
nation for evidence of sexual assault.
NOTE: Authority cited: Section 1493, Health and Safety Code. Reference: Section
1493, Health and Safety Code.
History
1. New Article 2 (Sections 920-927, not consecutive) filed 6-13-78; effective
thirtieth day thereafter (Register 78, No. 24).
§ 921 . Glossary of Terms.
For the purposes of this article, the following glossary of terms shall
apply whenever the terms are used.
(a) Sexual Assault. Includes any of the following conduct:
(1) Rape. Rape as used in this regulation is as defined in Penal Code
Section 261 and interpreted by the courts. As so defined, rape includes
sexual intercourse with a female by a person other than her husband
where she is unable to give legal consent; or where her resistance is over-
come by force or violence; or where she is unable to resist due to threats
of bodily harm or unable to resist due to ingestion of controlled sub-
stance; or where she is unconscious of the nature of the act; or where she
submits believing the assailant to be her husband.
(2) Unlawful Sexual Intercourse. Unlawful sexual intercourse as used
in this regulation is as defined in Penal Code Section 261.5 and inter-
preted by the courts. As so defined, unlawful sexual intercourse includes
sexual intercourse with a female under the age of 1 8.
(3) Sodomy. Sodomy as used in this regulation is as defined in Penal
Code Section 286 and interpreted by the courts. As so defined, sodomy
includes sexual conduct with a person under 18 years of age consisting
of contact between the penis of one person and the anus of another per-
son; or with any person, minor, or adult, if committed by means offeree,
violence, duress, menace or threat of great bodily harm.
(4) Oral Copulation. Oral copulation as used in this regulation is as de-
fined in Penal Code Section 288a and interpreted by the courts. As so de-
fined, oral copulation includes the act with a person under 1 8 years of age
of copulating the mouth of one person with the sexual organ of another
person; or with any person, minor or adult, if committed by means of
force, violence, duress, menace or threat of great bodily harm. Fellatio
and cunnilingus are included within this definition.
(5) CriiTie Against a Child. Crime against a child as used in this regula-
tion is as defined in Penal Code section 288 and interpreted by the courts.
As so defined, a crime against a child includes any lewd or lascivious act
including any other act consfituting a crime committed upon a child un-
der the age of 14 years.
(6) Child Molestation. Child molestation as used in this regulation is
as defined in Penal Code section 647a and interpreted by the courts. As
so defined child molestafion includes the act of annoying or molesting a
child under the age of 18.
(7) Incest. Incest as used in this regulation is as defined in Penal Code
section 285 and interpreted by the courts. As so defined, incest is inter-
course between the following persons: (1) parents and children, (2) an-
cestors and decedents of every degree, brothers and sisters of the half as
well as the whole blood, uncles and nieces or aunts and nephews.
Any attempt to commit any of the above acts also constitutes sexual
assault.
(b) Race. Race as used in this regulation refers to the race of the patient,
which is to be indicated on the form as follows:
White— W Chinese— C
Negro-Black — N Japanese — J
Mexican-Latin American — M American Indian — I
All Other—
§ 923. Sexual Assault Reporting Form.
The following form shall be used by each physician and surgeon in a
county hospital or in any other general acute care hospital in making re-
ports required to be made pursuant to section 1493 of the Health and
Safety Code:
Page 22.7
Register 2006, No. 20; 5-19-2006
§923
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
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Page 22.8
Register 2006, No. 20; 5-19-2006
Title 11
Attorney General
§923
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Page 23
Register 91, No. 16; 4-19-91
§925
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
§ 925. Consent by Minor.
Under Section 34.9 of the Civil Code (Statutes 1977, Chapter 935, ef-
fective January 1 , 1978) a minor may consent to indicated medical treat-
ment and a medical examination of sexual assault.
§ 927. Preparation and Delivery by Reporting Physician.
The sexual assault reporting form shall be completed immediately or
within 24 hours after the examination. If an investigating officer is pres-
ent when the form is completed the copy marked "Law Enforcement"
shall be given to him. Otherwise, the form shall be immediately mailed
to the local chief of police or county sheriff after first reporting the sexual
assault by telephone.
Article 3. Guidelines for Investigation of
Child Abuse in Out-of-Home Care Facilities
§ 930. Scope.
This article shall apply to the investigation of suspected child abuse in
out-of-home care facilities reported under section 1 1 166 of the Penal
Code. The guidelines shall be applicable when the abuse reported is child
abuse as defined in section 1 1 165.5 of the Penal Code.
NOTE: Authority cited: Sections 11 1 74 and 1 11 74. 1 , Penal Code. Reference: Sec-
tions 1 nest's and 1 1 166, Penal Code.
History
1. Repealer and new section filed 2-22-91; operative 3-24-91 (Register 91, No.
16). For prior HISTORY, see Register 82, No. 30.
§ 930.1 . Purpose.
NOTE: Authority cited: Section 1 1 174, Penal Code. Reference: Sections 1 1165(c)
and 11165(f), Penal Code; and Section 5, Chapter 1071, Statutes 1980.
History
1. Repealer filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§ 930.2. Use of Guidelines.
NOTE: Authority cited: Section 11174, Penal Code. Reference: Sections 1 1 165(c)
and 1 1 165(f), Penal Code; and Section 5, Chapter 1071, Statutes 1980.
History
1. New article 3 (sections 930-930.8) filed 7-23-82; effective thirtieth day there-
after (Register 82, No. 30).
2. Repealer filed 2-22-91; operafive 3-24-91 (Register 91, No. 16).
§ 930.3. Definitions.
NOTE: Authority cited: SecUon 1 1 174, Penal Code. Reference: Sections 1 11 65,
1 1 166 and 1 1 170, Penal Code; and Secrion 5, Chapter 1071, Statutes 1980.
History
1. New ailicle 3 (sections 930-930.8) filed 7-23-82; effective thirtieth day there-
after (Register 82, No. 30).
2. Repealer filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§ 930.4. Reporting Abuse in Group Homes or Institutions.
NOTE: Authority cited: Secdons 1 1 170 and 1 1 174, Penal Code. Reference: Sec-
tions 1 1 165(c)(2), 1 1 166, 1 1 169 and 11 170, Penal Code.
History
1. Repealer filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§ 930.5. Assessing the Nature and Seriousness of the
Suspected Child Abuse.
NOTE: Authority cited: Section 1 1 174, Penal Code. Reference: Section 1 1 165, Pe-
nal Code; and SecUon 5, Chapter 1071, Statutes 1980.
History
1. Repealer filed 2-22-91; operafive 3-24-91 (Register 91, No. 16).
§ 930.6. standard Procedure.
Note: Authority cited: Secdons 11170(a) and 11174, Penal Code. Reference:
Secdons 1493 and 1494, Health and Safety Code; and Sections 1 1 165(f), 1 1 167,
11169, 11170, 11171 and 11174, Penal Code.
History
1. Repealer filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§ 930.7. Assessment of Abuse and Standard Procedures
for Voluntary Inter-Agency Investigation
Teams,
Note: Authority cited: Section 1 1 170(a), Penal Code. Reference: Secdons 1 1 1 69,
1 1 1 70(h), 1 1 1 72(b), and 1 1 1 74, Penal Code.
History
1. Repealer filed 2-22-91; operative 3-24-91 (Register 91. No. 16).
§ 930.8. Enforcement of Guidelines.
Note: Authority cited: Secdons 1 1 174 and 1 II 74. 1(a). Penal Code. Reference:
Sections 1 1 164 through 1 1 1 74.3, Penal Code.
History
1. Repealer filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§930.10. Purpose.
(a) The purpose of these guidelines is:
( 1 ) to insure that investigations of suspected child abuse occurring in
out-of-home care facilities are carried out in a timely, complete, and
coordinated manner among the responsible agencies;
(2) to require that the appropriate agency conducts the investigation in
accordance with the guidelines;
(3) to insure that all appropriate authorities are informed so that timely
and appropriate measures will be taken to guard against future abuse in
out-of-home care facilities;
(4) to insure that the investigation is sensitive to the child viclim(s);
and
(5) to properly document reasons for any disposition made.
(b) The intent of these guidelines is to foster a high level of coopera-
tion, communication, and mutual respect among all agencies involved in
the investigation and administration of cases of abuse in out-of-home
care facilities.
NOTE: Authority cited: Sections 1 1 174 and 1 1 1 74. 1 , Penal Code, Reference: Sec-
tions 11165.5, 11166, 11166.1, 11166.2 and 1 1166.3, Penal Code.
History
1. New section filed 2-22-91; operafive 3-24-91 (Register 91, No. 16).
§ 930.20. Use of Guidelines.
(a) The guidelines set forth in this article shall be used in theinvestiga-
tion of suspected child abuse in out-of-home care facilities as defined in
Penal Code section 1 11 65.5.
(b) Voluntary Inter-agency Investigation Teams - Counties having a
Voluntary Inter-Agency Investigation team shall have the discretion to
follow the procedures and standards for assessment and investigation of
child abuse which are established and agreed upon by the agencies in-
volved, if they are consistent with the guidelines in sections 930.40
through 930.64 of this article, and all cross reports and notifications re-
quired therein are made.
NOTE: Authority cited : Sections 1 1 1 74 and 1 1 1 74. 1 , Penal Code. Reference : Sec-
tions 1 1 165.5 and 1 1 166.3, Penal Code.
History
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§ 930.30. Definitions.
For the purpose of this article, the following glossary of terms shall ap-
ply whenever the following terms are used:
(a) "Child" means a person who is under 18 years of age.
(b) "Child abuse" means serious abuse and general neglect.
( 1 ) "General neglect" means the negligent failure of a child care pro-
vider to provide adequate food, clothing, shelter, medical care or supervi-
sion where no physical injury has occurred.
(2) "Serious abuse" means all sexual abuse, severe neglect as defined
in Penal Code section 1 1 165.2, subdivision (a), any act or omission pro-
scribed by Penal Code section 273a or 273d, and/or any infliction of a
non-accidental physical injury on a child. Mutual affrays or voluntary
consensual sexual exploration between children of similar age do not
constitute child abuse.
(c) "Child Abuse Reporting Law" means Penal Code section 11164,
et seq.
(d) "Child Placement Agency" means any agency, public or private,
authorized to engage in finding homes or other facilities for the place-
Page 24
Register 91, No. 16; 4-19-91
Title 11
Attornev General
§ 930.40
ment of children for temporary or permanent care or adoption, including
but not limited to probation departments, county welfare departments,
adoption agencies, and agencies that place children with mental or devel-
opmental special needs.
(e) "Child Protective Agency" means a police or sheriffs department,
a county probation department, or a county welfare department.
(f) "Child Welfare Agency" means a county probation or county wel-
fare department, whichever of the two departments has responsibility for
taking a minor into temporary custody and/or placing the child in tempo-
rary or permanent care.
(g) "Complaint" means any allegation that a statute or regulation of
this state has been violated.
(h) "Exempt Facility" means a facility not required by law to be li-
censed.
(i) "Infant" means a child who is under two years of age,
(j) "Investigation" means any activity by a child protective agency or
licensing agency in response to a complaint or report of suspected child
abuse including: required reporting; assessing the nature and seriousness
of the abuse; conducting interviews; gathering and preserving evidence,
determining whether the report is unfounded; taking measures to ensure
the safety of the children; notification of action taken, or disposition after
completion of the investigation, as required by this article; notifying
mandated reporters and all appropriate agencies of the results of the in-
vestigation, of any formal or informal action taken by the appropriate
agency, and of the final disposition.
(k) "Investigator" means any personnel from a child protective or li-
censing agency who conducts an investigation of a report or complaint
of child abuse in an out-of-home care facility.
(I) "Law Enforcement Agency" means a police or sheriffs depart-
ment, whichever of the two departments has jurisdiction.
(m) "Licensing Agency" means any agency authorized to issue, re-
voke or suspend the license of an out-of-home care facility and includes
the State Department of Social Services, Community Care Licensing Di-
vision, the county agency which has contracted with the State Depart-
ment of Social Services for performance of those duties, and the state De-
partment of Health Services.
(n) "Licensed Facility" means any facility required by law to be li-
censed whether presently licensed or not.
(0) "Mandated Reporter" means any person required to report child
abuse pursuant to Penal Code section 1 1 166.
(p) "Out-Of-Home Care Facility" means any agency, institution, fa-
cility, shelter, center, school, camp, home, or hospital, which is responsi-
ble for a child's care and welfare and includes but is not limited to:
( 1 ) "Family Day Care Home" means a facility which regularly pro-
vides care, protection and supervision to 12 or fewer children in the pro-
vider' s own home, for periods of less than 24 hours per day, while the par-
ent or guardian is away except as provided in Health and Safety Code
section 1597.41, and includes:
(A) Large Family Day Care Home - a home which provides family day
care to 7 to 12 children, inclusive, including children under the age of 10
years who reside at the home;
(B) Small Family Day Care Home - a home which provides family day
care to six or fewer children, including children under the age of 1 years
who reside at the home;
(2) "Child Day care Facility" means any facility which provides less
than 24 hour non-medical care, protection and supervision for children
and includes infant centers, preschools, day care centers, family day care
homes, and extended day care facilities.
(3) "Foster Family Home" means any residential facility which pro-
vides 24 hour care and supervision for six or fewer foster children in the
residence of the foster parent(s), including their own family, in whose
care the foster children have been placed;
(4) "Small Family Home" means any residential facility which pro-
vides 24 hour care to six or fewer foster children who have mental disor-
ders or development or physical disabilities and who require special care
and supervision as result of their disability or handicap;
(5) "Group Home or Institution" means any residential facility of any
capacity providing 24 hour non-medical care and supervision for chil-
dren in a structured environment with such services provided at least in
part by staff employed by the licensee;
(6) Juvenile Hall;
(7) Public or Private schools;
(8) California Youth Authority;
(g) "Primary Agency" means the investigating agency that has prima-
ry responsibility for conducting the investigation.
(r) "Reporting Party" means the person! s) initially reporting the abuse
under Penal Code section 1 1 166.
(s) "Residential Facility" means any family or group home which pro-
vides 24 hour non-medical care of persons in need of personal services,
supervision, or assistance essential for sustaining the activities of daily
living or for the protection of the individual.
(t) "State Funded Resource and Referral Agency" means a resource
and referral agency funded under Education Code section 8210.
(u) "Unfounded Report" means a report of child abuse which, after in-
vestigation, is determined to be false, inherently improbable, (i.e.. patent-
ly false or physically impossible), to involve an accidental injury, or not
to constitute child abuse as defined in Penal Code section 1 1 1 65.5. Alter-
native explanations for the alleged abuse or mere conflicts in statements
of the victim and/or other witnesses are not adequate alone for a determi-
nation that a report is unfounded.
(v) "Voluntary Inter-Agency Investigation Team" means a local vol-
untary association of law enforcement agencies, county welfare and Pro-
bation departments, child placement agencies, and state or county licens-
ing agencies established for the sharing of information and coordination
of investigations of reports of child abuse occurring in out-of-home care
facilities.
NOTE: Authority cited: Sections 1 1 174 and 1 1174.1, Penal Code. Reference: Sec-
tions 11 165 through 1 1 165.12, 1 1 166 and 1 1 170, Penal Code; Sections 20, 1253,
1502(a)(5), 1538, 1596.75 through 1596.78, 1596.81, 1596.853 and 1597.41,
Health & Safety Code, Section 821 0, Education Code; Planned Parenthood Affili-
ates of California v. John Van de Kamp (1986) 181 Cal.App.3d 245.
History
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
Reporting and Cross-Reporting Duties and
Notification and Follow-Up Reporting
Responsibilities in Out-of-Home Care
Facilities
§ 930.40. Reporting and Cross-Reporting Duties for
General Neglect.
(a) Law Enforcement - All reports of suspected general neglect made
to a law enforcement agency and alleged to have occurred in an out-of-
home care facility shall be cross-reported by the law enforcement agency
to the following agencies:
( 1 ) Child Welfare Agency - by telephone, immediately, or as soon as
is practically possible, and in writing within 36 hours to the child welfare
agency.
(2) Licensing Agency - by telephone, immediately, or as soon as is
practically possible, but no later than 24 hours, and in writing within 36
hours to the appropriate licensing agency, if the case involves a licensed
facility.
(b) Child Welfare Agency - All reports of suspected general neglect
made to a child welfare agency and alleged to have occurred in an out-of-
home care facility shall be cross-reported by telephone, immediately, or
as soon as is practically possible, but no later than 24 hours, and in writ-
ing, within 36 hours, to the appropriate licensing agency, if the case in-
Page 25
Register 91, No. 16; 4-19-91
§ 930.41
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
volves a licensed facility, or to the appropriate law enforcement agency
if the facility involved is an exempt facility.
(c) Licensing Agency - any licensing worker or evaluator who knows
or reasonably suspects that a child has been the victim of general neglect,
in an out-of-home care facility shall report the known or suspected abuse
by telephone, immediately, or as soon as is practically possible, and in
writing, within 36 hours, to the appropriate child welfare agency, or if the
facility involved is an exempt facility, to a law enforcement agency.
NOTE; Authority cited: Sections 1 1 174 and 1 1 174.1 , Penal Code. Reference: Sec-
tions 11 166(a), (g), 11166.1. 11166.2 and 11 166.3, Penal Code.
History
1. New section filed 2-22-91; operative 3-24-91 (Register 91. No. 16).
§ 930.41. Reporting and Cross-Reporting Duties for
Serious Child Abuse.
(a) Law Enforcement - All reports of suspected serious child abuse
made to a law enforcement agency and alleged to have occurred in an
out-of-home facility shall be cross-reported by the law enforcement
agency to the following agencies:
( 1 ) Child Welfare Agency - by telephone, immediately or as soon as
practically possible, and in writing, within 36 hours, to the child welfare
agency;
(2) Licensing Agency - by telephone, immediately or as soon as is
practically possible, but no later than 24 hours, and in writing, within 36
hours, to the appropriate licensing agency if the case involves a licensed
facility;
(3) District Attorney's Office - by telephone, immediately or as soon
as is practically Possible, and in writing, within 36 hours, to the district
attorney's office;
(b) Child Welfare Agency - All reports of suspected serious child
abuse made to a child welfare agency and alleged to have occurred in an
out-of-home care facility shall be cross-reported by the child welfare
agency to the following agencies:
( 1 ) Law Enforcement - by telephone, immediately or as soon as is
Practically possible, and in writing, within 36 hours, to law enforcement.
(2) Licensing Agency - by telephone, immediately or as soon as is
practically possible, but no later than 24 hours, and in writing, within 36
hours, to the appropriate licensing agency if the case involves a licensed
facility;
(3) District Attorney's Office - by telephone, immediately or as soon
as is practically possible, and in writing, within 36 hours, to the district
attorney's office;
(c) Licensing Agency - Any licensing worker or evaluator who knows
or reasonably suspects that a child has been the victim of serious abuse
in an out-of-home care facility shall report by telephone, immediately
or as soon as is practically possible, and in writing, within 36 hours, to
the appropriate law enforcement agency.
NOTE: Authority cited: Sections 1 1 174 and 1 1 174.1 , Penal Code. Reference: Sec-
tions 11166, 11166.1, 11166.2, 11166.3, 11167 and 11168, Penal Code.
History
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§ 930.42. Notification Requirements.
If child abuse is suspected to have occurred in an out-of-home care
facility, and the report is not initially determined to be unfounded, thein-
vestigating agency shall, or in the case of a state funded resource and re-
ferral agency, the Department of Social Services shall, without compro-
mising the security and confidentiality of the investigation, notify the
following agencies and persons as soon as is reasonable practical (i.e.,
taking into consideration the nature, size, and complexity of the investi-
gation and the need to maintain the security and confidentiality of the in-
vestigation) that an investigation of alleged child abuse is being con-
ducted:
(a) Child Placement Agency or probation department, whoever placed
the child(ren) in the facility, including cases where the child is placed out-
side the county;
(b) Stale Funded Resource and Referral Agency for that jurisdiction,
within 24 hours of a finding, based on the preliminary investigation of
physical or sexual abuse, as long as disclosure does not violate sanctions
against dissemination of confidential information as provided in Penal
Code sections 11 167 and 11167.5.
(c) Administrator of the facility, as long as disclosure does not violate
sanctions against dissemination of confidential information as provided
in Penal Code sections 1 1 167 and 1 1 167.5;
(d) Parent or guardian, if the child is not a dependent or ward of the
court; if the child is a dependent child or ward of the court, the child place-
ment agency shall determine whether or not to inform the child's parent
or guardian of the alleged abuse.
NOTE: Authority cited: Sections 1 1 174 and 1 1 174.1, Penal Code. Reference: Sec-
tions 1 1 166, 1 1 167, 1 1 167.5, 1 1 169 and 1 1 170, Penal Code; Secfion 1596.853(d).
Health and Safety Code.
History
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§ 930.43. Follow-Up Reporting Requirements.
If child abuse is suspected to have occurred in an out-of-home care
facility, all agencies and persons listed below shall be notified in writing
by the invesfigating agency of the results of the investigation, any action
taken, whether the action be formal or informal, and the final disposition
of the matter:
(a) Department of Justice, Division of Law Enforcement, except that
reports of general neglect shall not be made,
(b) District Attorney's Office,
(c) Child Placement Agency involved,
(d) Child Welfare Agency,
(e) Licensing Agency with jurisdicfion over the facility,
(f) Administrator of the facility, as long as disclosure does not violate
sanctions against dissemination of confidential informafion as provided
in Penal Code secdons 1 1 167 and 1 1 167.5;
(g) Parent or guardian of the child, if the child is not a dependent or
ward of the court,
(h) Mandated Reporter,
(i) State Funded Resource and Referral Agency for that jurisdiction,
when physical or sexual abuse has occurred, as long as disclosure does
not violate sanctions against dissemination of confidential information
as provided in Penal Code sections 1 1 167 and 1 1 167.5.
NOTE; Authority cited: Sections 1 1 174 and 1 11 74. 1 , Penal Code. Reference: Sec-
tions 11166, 11166.1, 11166.2, 11166.3, 11167, 11167.5. 11168, 11169 and
11170, Penal Code; Section 1596.853(d)(1), Health and Safety Code.
History
1. New section filed 2-22-9 1 ; operative 3-24-91 (Register 91. No. 16).
§ 930.44. Unfounded Reports.
If a report of suspected child abuse in an out-of-home care facility is
determined to be unfounded, the investigating agency shall inform the
following agencies of that fact, if a cross-report has already been made
to the agency:
(a) Department of Justice;
(b) Child Protective agencies;
(c) Licensing agency, if the facility being investigated is a licensed fa-
cility.
NOTE: Authority cited: Sections 1 1174 and 1 1 1 74. 1 , Penal Code. Reference: Sec-
tions 11165.12, 111 69 and 11170, Penal Code.
History
1. New secdon filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
Duties and Responsibilities
§ 930.50. Share Information.
All agencies involved in the investigation of child abuse in out-of-
home care facilities shall, to the extent authorized by law, share all rele-
vant evidence.
NOTE: Authority cited: Sections 1 1 174 and 1 1 174. L Penal Code; Reference: Sec-
tions 11164, 11166 and 11166.3, Penal Code; Sections 18981(a), (c), and (d);
18958 et seq., 358.1 and 16501, Welfare and Institutions Code.
•
Page 26
Register 91, No. 16; 4-19-91
Title 11
Attorney General
§ 930.53
History
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§930.51. Law Enforcement.
(a) Investigate - Law enforcement shall investigate the following
types of abuse:
( 1 ) Serious Abuse - Law enforcement shall have the primary responsi-
bility for conducting criminal investigations of serious abuse.
(2) General Neglect - Law enforcement shall have the primary respon-
sibility in exempt facilities for conducting and initial assessment of the
allegations of neglect, and shall determine whether the alleged abuse is
severe or general neglect. If it is determined that the alleged abuse is ne-
glect, law enforcement shall notify the proper authority with superviso-
rial authority over the exempt facility.
(b) Law enforcement shall ensure the immediate safety of the child by
taking the following action:
(1) Preliminary Assessment - Law enforcement shall conduct a pre-
liminary assessment of the risk to the children involved.
(2) Safety Measures - Upon receipt of a report of suspected serious
abuse, the investigating law enforcement officer shall take immediate
measures as needed to protect the safety of the alleged child-victim and
all other children in the facility.
(3) Removal of the Child - Whenever the child's condition or sur-
roundings reasonably appear to be such as to jeopardize the child's wel-
fare, the investigating law enforcement officer shall remove the child and
any other child whose welfare reasonably appears to be threatened. When
a child is removed, notice of the removal shall be given to the child care
provider in charge, prior to or immediately after removal.
(A) Residential Facility or Hospital - If the facility is a residential fa-
cility or hospital, the officer shall remove the child and transport him/her
to temporary custody.
(B) Child Day Care Facility - If the facility is a child day care facility,
the officer shall obtain a parent/guardian roster from the facility, as pro-
vided by Health & Safety Code section 1596.876, or from licensing offi-
cials, and shall notify and advise the parent/guardian to remove his/her
child from the facility. If the parent/guardian is not available and the child
is in immediate danger, the officer shall remove and transport the child
to temporary custody and notify the parent/guardian.
(4) Removal of the Suspect
(A) If probable cause to arrest exists, the suspect shall be taken into
custody where appropriate.
(B) If probable cause to arrest does not exist and the adult suspected
of child abuse is not a resident of the out-of-home care facility, the inves-
tigator shall, in the exercise of his/her discretion, request that the adult
suspect leave the out-of-home care facility voluntarily until the investi-
gation is completed. In the case of a family day care home or foster family
home, where the suspect is a resident, safety measures shall be taken to
ensure protection of the children in the facility. The investigator shall
also have discretion to remove from the out-of-home care facility any
child suspected of child abuse. Removal of the child suspect shall be ac-
complished by the law enforcement officer, the child placement agency,
court order, or in cooperation with that child' s parent or guardian, which-
ever is appropriate.
(c) Coordinate - Law enforcement shall coordinate the investigation
as follows:
(1) Joint investigations - The investigating law enforcement officer
shall consider a joint investigation and coordinate the criminal investiga-
tion and response with the licensing and child welfare agencies to the ex-
tent possible, and without compromising the security and confidentiality
of the case.
(2) Joint interviews - The investigating law enforcement officer shall
coordinate with the other agencies involved in the investigation to mini-
mize the number of interviews with the child abuse victims and wit-
nesses.
(3) Multi-Disciplinary Team Approach - When a report of serious
abuse in an out-of-home care facility is made, the law enforcement
agency with primary responsibility for the investigation shall consider
working with a multi-disciplinary team to assess the medical, mental
health, placement, and support service needs of the child(ren). A multi-
disciplinary team is any team of three or more persons qualified to pro-
vide a broad range of services related to child abuse. The team may in-
clude, but not be limited to, representatives from child welfare services,
law enforcement, the district attorney's office, county counsel's office,
licensing, child advocate's office, medical health services, mental health
services trained to provide counseling services, and education.
Note: Authority cited: Sections 1 1 174 and 11 1 74. 1 . Penal Code. Reference: Sec-
tions 1 11 64, 11 166, 1 1 166.3, 111 69 and 1 1 170, Penal Code: Sections 300. 305
and 1 895 1 (d). Welfare and Institutions Code; Section 1 596.876, Health and Safety
Code.
History
1. New section filed 2-22-91; operafive 3-24-91 (Register 91, No. 16).
§ 930.52. Child Welfare Agency.
(a) Protect the Child - The child welfare agency shall take the follow-
ing measures to protect the child:
( 1 ) Removal of the child - In cases of general neglect, the child welfare
agency shall remove the child(ren) from the facility, immediately or as
soon as possible, where the child(ren)'s condition or surroundings rea-
sonable appear to jeopardize the child(ren)'s health and welfare. When
a child is removed, notice of the removal shall be given to the child care
provider in charge, prior to, or immediately after removal.
(2) Ensure continued Safety - In all cases of child abuse, the child wel-
fare agency shall take the necessary measures to ensure the child(ren)'s
safety while the child(ren) is/are in temporary custody.
(b) Placement Recommendation - The child welfare or placement
agency that placed the child in the out-of-home care facility, shall make
a placement recommendation. This agency shall be responsible for mak-
ing an assessment and recommendation regarding the need for continued
protective custody, the revocation of placement or alternative placement,
and any other proper judicial relief which is warranted.
(c) Coordinate - The child welfare or placement agency that placed the
child in the out-of-home care facility, shall also make every effort to
coordinate its assessment with the appropriate law enforcement and li-
censing agencies. When a child welfare agency, receives an initial report
of serious abuse, the child welfare worker shall immediately contact law
enforcement and the licensing agency to coordinate efforts before con-
tact of-home care facility.
Note. Authority cited: Sections 1 11 74 and 11 1 74. 1 , Penal Code. Reference: Sec-
fions 11164, 11166, 11166.3, 11169 and 1 1170, Penal Code; Secfions 272, 300,
306, 309, 362, 16501 and 16504, Welfare and Institutions Code.
History
1. New secfion filed 2-22-9 1 ; operative 3-24-91 (Register 91, No. 16).
§ 930.53. Licensing Agency.
(a) Investigate complaints and general neglect - The appropriate li-
censing agency shall conduct an investigation whenever a report or com-
plaint of suspected child abuse alleges general neglect or a violation of
any statute, or regulation of this state, in a licensed out-of-home care fa-
cility. This investigation shall be done in accordance with the investiga-
tion procedures set forth in section 930.60, et seq., of this article.
(b) Coordinate and Cooperate - When suspected child abuse in a li-
censed out of-home care facility is also being investigated or assessed by
another agency, the licensing agency shall coordinate efforts with the
other investigating agency(ies). The licensing agency shall also provide
back-up assistance when requested by the investigating law enforcement
agency by conducting interviews, developing evidence, and sharing all
relevant information.
(c) On-Site monitoring - When there are children remaining at the fa-
cility being investigated and staff and administrarive personnel involve-
ment in the alleged abuse is suspected, the licensing agency shall, con-
duct on-site monitoring of the licensed facility until the investigation is
complete.
(d) Take Appropriate Action - The licensing agency shall have the di s-
cretion to take any appropriate action, including, but not limited to, con-
Page 27
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§ 930.54
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
ducting an administrative investigation, or revoking or suspending a fa-
cility's license. The licensing agency's authority to take appropriate
action is not diminished by the failure of law enforcement to take action.
However, to the extent possible, the licensing agency shall consult with
law enforcement prior to taking any action.
NOTE: Authority cited: Sections 1 1 174 and 1 1 1 74. 1 , Penal Code. Reference: Sec-
tions 11165.11, 11166.1, 11166.2, 11166.3 and 11167. Penal Code; Sections
1536.1, 1538 and 1596.853, Health and Safety Code.
History
1. New section fded 2-22-91; operative 3-24-91 (Register 91. No. 16).
§ 930.54. Conflict of Interests.
(a) Law enforcement, county probation, county welfare, and licensing
agencies shall ensure that the investigation of child abuse in an out-of-
hoine care facility is carried out in an unbiased and impartial manner.
(b) An individual child protective service worker or official who ac-
tually Places the alleged child abuse victim, or has a direct personal rela-
tionship with the facility, the suspected abuser, or the alleged child abuse
victim, which creates a conflict of interest, shall not be involved in or re-
sponsible for any part of the investigation or assessment of child abuse
in that facility.
(c) The child protective or licensing agency with primary jurisdiction
over the case shall disqualify itself from conducting an investigation pur-
suant to these regulations whenever a conflict of interest exists between
the agency and the suspected abuser, the facility, or the alleged victim.
(d) A conflict of interest exists under subsections (b), (c), or (e) of this
section when the circumstances evidence a reasonable possibility that the
agency, or the individual worker or official, may not exercise its/his/her
investigative functions in an evenhanded manner. Factors to be consid-
ered in determining whether the entire agency should be disqualified
from conducting the investigation as required by subsection (c), are the
size of the agency, the number of investigating officials within the
agency, and the nature of the relationship between the official and the
suspected abuser, facility, or victim with whom the conflict exists. This
last factor alone, is to be considered in determining whether an individual
child protective service worker or official should be disqualified from be-
ing involved in, or responsible for, the investigation as required by sub-
section (b).
(e) Child protective and licensing agencies shall develop agreements
with other child protective and licensing agencies to conduct child abuse
investigations where the agency with primary jurisdiction over the case
has been disqualified because of a conflict of interest between that
agency and the suspected abuser, child abuse victim, or facility, when a
conflict of interest does exist, the non-conflicted agency shall conduct
the investigation.
NOTE: Authority cited: Sections 1 1 174 and 11 174.1 , Penal Code. Reference: Sec-
tions 1424, 1 1 1 64 and 11 166. 3, Penal Code; People v. Hamilton ( 1988) 46 Cal.3d
123, 139-141; People v. McPartland (1988) 198 Cal.App.3d 569, 572-575.
History
1. New section fded 2-22-91; operative 3-24-91 (Register 91, No. 16).
Investigative Procedures
§ 930.60. Preliminary Investigation.
(a) Receipt of Initial Report - It is the responsibility of the individual
child protective official receiving the initial report to:
(1) gather the pertinent facts,
(2) conduct a preliminary assessment of the risk to the child(ren) in-
volved and determine the priority and level of response;
(3) coordinate response with other appropriate agencies;
(4) make appropriate cross-reports as required in section 930.40 of
this article.
(b) Preliminary Assessment - the priority and level of response by in-
vestigative personnel to allegations of child abuse in out-of-home care
facilities shall be determined by the:
(1) nature and seriousness of the allegation(s);
(2) present risk to the child(ren);
(3) credibility of the allegation(s);
(4) potential for loss and/or contamination of evidence;
(5) number of victims involved;
(6) need to protect the child care provider's rights and reputation in the
cominunity.
(c) Coordination - the first responding official shall, when possible,
notify child abuse investigators of the alleged child abuse prior to re-
sponding to the facility, in order to:
( 1 ) consider the need for surveillance;
(2) consider the need for a search warrant;
(3) consider the need for a multi-disciplinary team approach.
(d) Initial Investigative Visit to the Facility.
( 1 ) Procedure - the first investigator at the facility where the abuse was
alleged to have occuired shall complete, but not be limited to, the follow-
ing action:
(A) insure the safety of the children;
(B) determine the number of children placed in the facility and the
number of children present in the facility;
(C) make an immediate visual inspection of the condition of the facil-
ity and personnel;
(D) identify licensee, all employees and persons residing in the facil-
ity;
(E) note the degree of cooperation by persons contacted;
(F) conduct initial interviews.
(2) Initial Interviews - The first investigator on the scene shall assess
the risk to the child(ren) involved and determine whether a crime has
been committed by observing and conducting initial interviews. The in-
terviews shall be conducted using the techniques set forth in these regula-
tions, section 930.61(e). The initial interviews shall be conducted with
the following persons when appropriate:
(A) reporting party
(B) witnesses;
(C) victims;
(D) sibling(s);
(E) parents/caretakers;
(F) child care staff;
(G) director or administrator of the facility.
(e) Evidence and Documentation - The investigator shall gather and
preserve all evidence supporting and negating the allegation(s) of child
abuse. The preliminary investigative report shall contain all documenta-
tion relevant to the truth or falsity of the allegations, and the credibility
of the suspect and witnesses, including but not limited to:
( 1 ) statements of all parties and witnesses;
(2) the investigator's own observations,
(3) physical evidence noted and secured.
(f) Identification of Suspect/Custody Considerafions - The law en-
forcement officer shall seek to identify the suspect and determine wheth-
er or not to interview the suspect at the facility, as provided in section
930.6 1 (e)(2) of these regulations. The officer shall also determine wheth-
er or not to take the suspect into custody as provided in section
930.51(b)(4) of these regulations.
(g) Medical Examination - A medical examination shall be conducted
on the child abuse victim(s) as follows:
(1) Necessity - When serious abuse is suspected, or the child abuse
victim is an infant, a medical examination shall be conducted as soon as
possible after the initial report is made to a child protective agency by a
physician licensed to practice medicine in California. In determining the
proper time of the examination, the investigator shall consider the need
for prompt diagnosis and treatment of injuries, and the prompt collection
and documentation of any physical evidence. The exam shall be con-
ducted by a physician who has received training in conducting child
abuse examinations, or has had experience conducting child abuse ex-
aminations, if such a physician is available.
Page 28
Register 95, No. 14; 4-7-95
Title 11
Attorney General
§ 930.61
•
(A) Multiple Victims - The investigator shall consider using more
than one physician when possible, if there appear to be multiple victims
who are alleged to have suffered sexual or serious physical abuse.
(B) Sexual Abuse - Where the investigation involves allegations of
sexual abuse, the investigator shall consider using, when possible, a phy-
sician who has also received training in child sexual abuse examinations.
(2) Evidence - All evidence relevant to the alleged abuse, discovered
in the course of the medical examination, including but not limited to,
skeletal and dental x-rays, specimens, and blood samples, shall be col-
lected and properly preserved.
NOTE: Authority cited: Sections 11 174 and 1 11 74.1 , Penal Code. Reference: Sec-
tions 11164, 11166.1, 11166.2, 11166.3, 11167, 11167.5. 11168, 11169, 11170,
1 1171 and 1 1 171.5, Penal Code, People v. Hitch (1974) 12 Cal.3d 641.
History
1. New section filed 2-22-9 1 ; operative 3-24-91 (Register 91, No. 16).
2. Editorial correction of subsection (g)(1)(A) (Register 95, No. 14).
§ 930.61 . Follow-Up Investigation.
(a) Review - The investigator shall review the completeness of the
preliminary investigation to determine the scope and direction of the
follow-up investigation. This review shall include:
(1) confirmation of the elements of the crime or violation;
(2) determination of the need for further interviews;
(3) evaluation of all evidence to ensure that all statements are complete
and accurate, and all physical evidence has been identified and docu-
mented;
(4) determination of the need for a search warrant where the investiga-
tion is being conducted by a law enforcement investigator;
(5) determination of the need for confidentiality;
(6) determination of the custody status of the victim(s) sibling(s) and
alleged offender(s);
(7) coordination with the appropriate agencies; and
(8) determination of the necessity of a multi-disciplinary team, if it is
warranted by the complexity of the investigation.
(b) Records Check - An investigation by law enforcement upon alle-
gadons of serious abuse, shall include a thorough records check of the
suspect, including:
(1) local files;
(2) criminal history data;
(3) Department of Justice Child Abuse Central Index;
(4) Department of Justice Registrations and Compliance files (Penal
Code section 290); and
(5) California Department of Motor Vehicles.
(c) Background Check - A thorough background investigation shall
be conducted on the prime suspect(s) including:
(1) previous residences and employers to determine prior offenses in
other jurisdictions;
(2) previous reladonships - spouse, ex-spouse, live-in relations and
roommates;
(3) contacts with other agencies and/or jurisdictions,
(d) Corroboration - Corroborating information relevant to guilt or in-
nocence of the accused suspect shall be developed and gathered to in-
clude, but not be limited to, the following:
(1) medical examination and/or medical history of the victims;
(2) witness statements;
(3) physical evidence;
(4) incriminating statements made by suspect;
(5) whether access to the victim by the suspect was possible and if he/
she had the opportunity to commit the offense;
(6) modus operandi (M.O.) factors where relevant to prove serious
abuse in a criminal prosecution.
(e) Interview and Interrogation Techniques
(1) General Considerations - When conducting interviews and inter-
rogations, the investigating official shall:
(A) determine the purpose of the interview/interrogation and the inter-
viewee's role in the case. (i.e. victim, eye witness, expert, accused);
(B) plan and prepare for the interview/interrogation carefully;
(C) determine the functional and developmental level of the person to
be interviewed;
(D) determine the various relationships of all parties involved in the
alleged offense;
(E) determine if there are additional victims; witnesses, or suspects;
(F) review the existing evidence;
(G) protect the confidentiality of all parties involved in the offense;
(H) conduct all witness interviews/interrogations separately;
(1) avoid disclosure of case information to all parties involved in the
alleged offense to prevent contamination of evidence;
(J) instruct all parties involved in the alleged offense to maintain confi-
dentiality.
(2) Interview Interrogation of Suspect(s) - When conducting an inter-
view/interrogation with the alleged suspect, the investigating official
shall:
(A) establish rapport with the suspect;
(B) carefully select the setting for the interview/interrogation to ensure
that the interview is conducted in privacy and free from distraction.
(C) determine if and when the suspect had access to victim,
(D) note the demeanor of suspect at the time of the interview,
(E) encourage suspect to relate the incident in his/her own words, not-
ing any consistencies or inconsistencies in his/her statement.
(F) advise the suspect(s) of his/her constitutional rights and the nature
of the investigation, when constitutionally required;
(G) consider and evaluate all new information and alternative explana-
tions provided by the suspect;
(H) corroborate information already obtained through the investiga-
tion;
(I) document incriminating statements made by the suspect,
(3) Interview of Victim(s) - The child abuse victims shall be inter-
viewed as follows:
(A) Minimize the number of interviews - Every effort shall be made
to minimize the number of interviewers who interview a child victim and
the number of interviews with the child victim. Prior to the interview, the
interviewer shall consider contacting and consulting with other agencies,
including but not limited to:
1. a specialized law enforcement child abuse investigative unit, if
available,
2. child welfare services;
3. the licensing agency;
4. the prosecuting attorney;
(B) Sensitivity - The investigating official shall take care to be sensi-
tive to the needs of the child, and shall use the following techniques:
1 . take adequate time to establish trust and rapport with the child vic-
tim;
2. Provide a comfortable nonthreatening atmosphere for the child;
3. provide the child with emotional support by helping the child under-
stand that he/she is not alone, is not at fault, and is not in danger;
4. help the child identify a support person he/she can talk with after the
interview, if he/she wishes;
5. carefully select the setting for the interview to ensure that it is con-
ducted in privacy, free from distracting and intimidating influences.
6. use appropriate interview aids such as dolls, drawings, diagrams or
models of the facility, or other similar aids;
7. establish the child's developmental level;
8. interview in age-appropriate language;
9. identify and accommodate any special handicaps the child may
have;
10. be aware that the child may be blaming himself/herself for the of-
fense and address this problem when appropriate;
1 1. consider when and to whom the victim disclosed the incident;
12. be aware that the child may have been threatened and is fearful of
disclosing information and address this fear when appropriate ;
13. recognize when to discontinue the interview;
Page 28.1
Register 95, No. 14; 4-7-95
§ 930.62
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
14. be aware of cultural differences;
15. tell the child the purpose of the interview, what to expect during
the investigation, and be prepared to respond to the child's questions;
1 6. conclude the interview so that the victim feels free to recontact the
investigator,
(C) Special Considerations - When conducting child victim inter-
views, the investigator shall:
1. allow the child to describe the incident in his/her own words;
2. establish and use the child's terminology and language for body
parts and acts,
3. avoid using technical terminology,
4. avoid influencing the child's account of the alleged offense, e.g. by
tone of voice, mannerisms, or words and gestures of encouragement;
5. remain unbiased and avoid being judgmental when discussing the
alleged suspect;
6. establish lime frame(s) (i.e. dates, days, holidays, birthdays, sea-
sons) and jurisdiction(s) for all alleged offenses;
7. determine whether there are other possible victims,
8. avoid making promises or false reassurances; ensure that the suspect
is not present during the interview of the child.
(D) Multiple Victims - To prevent contamination of evidence and to
preserve witness credibility in cases involving multiple victims, the in-
vestigator shall use different interviewers, when possible, to interview
the children.
(4) Witness interviews - When conducting interviews with witnesses
to an alleged child abuse offense, the investigator shall:
(A) determine the sequence for witness interviews, interviewing key
witnesses first;
(B) consider the developmental level of the witness;
(C) determine the source of the witness's knowledge of the alleged of-
fense;
(D) determine if the witness could also be a victim;
(E) determine the witness's relationship to the victim and the suspect
and consider motivation of the witness;
(F) avoid influencing the witness's account of the alleged offense;
(5) Parent Interviews shall be conducted as follows:
(A) When notifying parents of an investigation involving an out-of-
home facility attended by their child, the investigator shall inform the
parents about the investigation in such a way that the notification will not
unduly alarm them and will not compromise the investigation.
(B) In child abuse investigations involving day-care facilities, investi-
gators shall advise parents of the importance of:
1 . maintaining confidentiality;
2. not questioning their child for details, but recording spontaneous
statements made by their child;
3. not sharing information from their child's disclosure with other par-
ents;
(C) Parents of a child who attended a suspect day-care facility shall
be interviewed regarding:
1 . dates and times the child attended the facility,
2. their observations of the facility's daily operational procedures;
3. any symptoms displayed by their child that might indicate abuse;
4. complaints the child made to them;
5. unexplained injuries or symptoms they may have observed;
6. names the child has been taught regarding body parts;
7. other facilities or persons who cared for the child;
8. any prior incidents of abuse the child may have experienced in
another setting;
9. what the parent has told the child, if anything, about the allegations
of abuse or the pending interview.
(6) Owner/director/administrator Interviews - The investigating offi-
cial shall interview the owner/director/administrator in charge of the fa-
cility' s operations. Where more than one person occupy these roles, all
such persons shall be interviewed. The interviewer shall determine, as-
sess, and obtain the following.
(A) owner/director/administrator's knowledge of the abuse and will-
ingness to take protective action;
(B) owner/director/administrator's response to allegations of abuse
and interview;
(C) appropriate records on the children and the suspect, i.e. enrol-
lment, attendance, and employment records.
(f) Liaison With the Media - Unless otherwise required by law, in or-
der to avoid compromising the confidentiality and integrity of the crimi-
nal investigation, the primary agency in charge of the investigating shall
be the agency responsible for- issuing any information to the media. This
shall be done through the agency' s media spokesperson, not the involved
investigators.
(g) Referral to Therapist
( 1 ) When to Refer - The investigator shall refer victims and their fami-
lies to qualified therapists under the following circumstances:
(A) if a child has disclosed serious abuse in an out of-home care facil-
ity,
(B) if a child was named by another victim as also having been victim-
ized, but is not disclosing;
(C) if a child displays symptoms indicating possible abuse, but appears
too timid or frightened to disclose abuse.
(2) Therapist Role -The role of the therapist shall be to evaluate, diag-
nose, and/or treat. A therapist shall not have any investigative responsibi-
lities, and the therapeutic interview shall not replace an investigative in-
terview by law enforcement. However, if the therapist obtains
information about a new incident or victim of abuse, a child abuse report
shall be made.
NOTE: Authority cited: Sections 11 174 and 1 11 74.1, Penal Code. Reference: Sec-
tions 11164, 11166. 11166.1, 11166.2, 11166.3, 11167, 11167.5, 11168, 11169,
11170, 11171 and 11171.5, Penal Code.
History
1. New section filed 2-22-91; operative 3-24-91 (Register91, No. 16).
§ 930.62. Final Report.
(a) A final review and report shall be made by the agency with the pri-
mary responsibility for investigating the case as required by section
930.51 of these regulations and shall include:
(1) final disposition of the case including any action taken by that
agency and the status of the victim(s) and suspect(s);
(2) all evidence identified and collected;
(3) completion of all mandated reporting requirement forms.
(b) A copy of the final report shall be made available upon request to
any person or agency authorized under subdivision (b) of Penal Code
sectionl 1167.5.
(c) Interested parties shall be informed, upon written request, of the
outcome of the investigation.
NOTE: Authority cited : Sections 1 1 1 74 and 1 1 1 74. 1 , Penal Code. Reference : Sec-
tions 1 1 166.1, 1 1 166.2, 1 1 166.3, 1 1 167.5, 1 1 168, 1 1 169 and 1 1 170, Penal Code.
History
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§ 930.70. Enforcement of Guidelines.
To ensure that every investigation of alleged child abuse in out-of-
home care facilities is conducted in accordance with the Guidelines set
forth in this article, the Department of Justice shall implement the follow-
ing procedures:
(a) The Department of Justice, Division of Law Enforcement, shall
monitor investigations of incidents of suspected child abuse in out-of-
home care facilities reported under section 1 11 69 of the Penal Code to
ensure that each incident is being investigated and that reasonable prog-
ress is made in the investigation. The Division shall maintain records
which shall include the case file name or report number of each such inci-
dent, the county and agency conducting the investigation, the date of the
incident and the date it was reported to the investigative agency, informa-
tion concerning any action taken upon completion of the investigation or
•
Page 28.2
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Title 11
Attorney General
§ 932.3
final disposition of the matter, and tiie notification submitted under sec-
tion 930.41.
( 1 ) The records required by this section shall be compiled from reports
submitted pursuant to section 11 1 69 of the Penal Code and sections
930.40 through 930.41 of this article, and may include information from
records maintained by the Department of Justice on arrest and convic-
tion.
(2) Records maintained by the Department of Justice on arrests for
child abuse related charges shall be used to verify whether or not reports
required by this article or the Child Abuse Reporting Law have been sub-
mitted. If such reports have not been submitted, the Department shall re-
quest that the appropriate child Protective agency in the county where the
arrest occurred submit the required reports.
(b) The Office of the Attorney General shall be notified by the Division
of Law Enforcement of any incidents of suspected child abuse in out-of-
home care facilities reported under section 1 1 169 of the Penal Code:
(1) where it appears reasonable progress is not being made in the in-
vestigation,
(2) where reports required by section 11 169 of the Penal Code or by
this article have not been submitted, or
(3) where any of the information required for the Division of Law En-
forcement to monitor the investigation is not made available by the ap-
propriate agencies.
Note: Authority cited: Sections 1 1 170(a), 1 1 174 and 1 1 174.1, Penal Code. Ref-
erence: Sections 11169, 11170(b), 11172(b), 11 174 and 11174.1, Penal Code.
History
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
2. Change without regulatory effect amending subsection (a)(1) filed 4-18-91
pursuant to section 1 00, title 1 , California Code of Reguladons (Register 9 1 , No.
16).
Chapter 10. In-
Home Child Care Provider
Registry
Article 1. Definitions
§931. Definitions.
For the purposes of this subchapter, the following terms shall apply:
(a) "Background examination" means a review by the Department of
Justice of information relating to the professional child care provider in
order to determine whether the provider has been convicted of a crime,
other than a minor traffic violation, or whether a report of substantiated
child abuse has been made concerning the provider. The information re-
viewed shall include, but is not limited to: the Department of Justice's
Criminal History System; the Department of Justice's Child Abuse Cen-
tral Index; the Department of Motor Vehicle's Automated Name Index
and the Federal Bureau of Investigation's Criminal History System.
(b) "Child" means a person who is under 18 years of age.
(c) "Child abuse" means child abuse as defined in Penal Code section
11165.6.
(d) "Conviction" means a plea of guilty or nolo contendere or a verdict
of guilty. Any action which the Department is permitted to take following
the establishment of a conviction may be taken when the time for appeal
has elapsed, or the judgment of conviction has been affirmed on appeal,
or when an order granting probation is made suspending the imposition
of sentence, notwithstanding a subsequent order pursuant to Penal Code
section 1203.4 or 1203.4a. A certified copy of the record of conviction
shall be conclusive evidence of conviction. A minor traffic violation is
not a conviction.
(e) "Department" means the Department of Justice.
(f) "Director" means the Director of the Division of Law Enforcement
of the Department of Justice.
(g) "Guardian" means a person appointed by the Superior Court pur-
suant to the provisions of sections 1500-1543 of the Probate Code to care
for the person, estate, or person and estate of another.
(h) "In-Home Child Care Provider Registry" or "Registry" means the
entries within the Automated Child Abuse System which contain the
names and California driver's license numbers or California photo iden-
tification numbers of professional child care providers who have applied
for registration and whose background examinations do not reveal dis-
qualifying information of criminal convictions or substantiated child
abuse.
(i) "Minor traffic violation" means a traffic infraction as defined in Ve-
hicle Code section 42001, subsection (a) (1).
(j) "Parent" means the natural or adoptive mother or father of a child.
(k) "Professional child care provider" or "provider" means a person 1 8
years of age or older who, at the request and consent of a parent or legal
guardian, legally provides care in a home during a part of any 24-hour
period for the children of, and is compensated by, the parent or guardian,
and who is not required to be licensed pursuant to Health and Safety Code
section 1596.80.
(/) "Specified counties" means the counties of Alameda, Contra Costa,
Santa Clara, San Diego and San Francisco.
(m) "Substantiated child abuse" means allegation(s) of child abuse
which a child protection agency or the Department determines are true
based on credible evidence which if presented at an administrative hear-
ing would form the basis for a finding of child abuse.
NOTE: Authority cited: Section 1597.83, Health and Safety Code. Reference: Sec-
tions 1597.80(a) and (b) and 1597.83, Health and Safety Code.
History
1. New secfion filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
Article 2. Application
§ 932. Who May Apply.
Professional child care providers who care for children within the spe-
cified counties and who possess a valid California driver's license or val-
id California photo identification card may initiate a background exami-
nation process by submitting an application form (SS-8604, Rev. 12/89)
provided by the Department, to:
DEPARTMENT OF JUSTICE
CHILD ABUSE UNIT
P. O. BOX 903417
SACRAMENTO, CA 94203-4170
ATTN: IN-HOME CHILD CARE PROVIDER REGISTRY
NOTE: Authority cited: Sections 1597.83 and 1597.86 Health and Safety Code.
Reference: Sections 1597.80(a) and 1597.86, Health and Safety Code.
History
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§ 932.3. Application information.
The application (SS-8604, Rev. 12/89) shall consist of the profession-
al child care provider's:
(a) Name.
(b) Address.
(c) Date of birth.
(d) Day and evening phone numbers.
(e) Social Security Number (voluntary).
(f) Physical description, including sex, height, weight, eye color, and
hair color.
(g) California driver's license.
(h) California photo identification number (in lieu of driver's license
number).
(i) Name(s) used since 1981.
(j) Signature for authorization to perform a background examination
and to enter the applicant's name and either his/her driver's license or
photo identification number in the In-Home Child Care Provider Regis-
try.
(k) Signature authorizing Department to make applicant's name and
phone number available to Resource and Referral and/or Nanny agencies
(optional).
Also to be included in the application package arc:
Page 28.3
Register 91, No. 16; 4-19-91
§ 932.5
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(/) Two fingerprint cards completed by a California law enforcement
agency or other appropriate agency. The fee for obtaining the fingerprints
is to be paid by the applicant.
(m) A $ 1 application fee. This is a fee separate from the fee for obtain-
ing fingerprints.
Note: Authority cited: Section 1597.83. Health and Safety Code. Reference: Sec-
tions 1597.80(a), 1597.81, 1597.83(c) and 1597.89, Health and Safety Code.
History
1. New section filed 5-18-90; operative 6-17-90 (Register 90. No. 27).
§ 932.5. Notification.
The Department shall notify the provider of the results of the back-
ground examination no later than 10 working days after the background
examination has been completed.
NOTE; Authority cited: Section 1597.83(a), Health and Safety Code. Reference:
Sections 1597.80(a) and 1597.83(a), Health and Safety Code'
History
1 . New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§ 932.7. Absence of Disqualifying Information.
If no reported criminal conviction or substantiated child abuse infor-
mation is found, the Director shall grant the application, notify the pro-
fessional child care provider in writing, and enter in the In-Home Child
Care Provider Registry the provider's name, along with either the Cali-
fornia driver's license number or California photo identification number.
NOTE: Authority cited: Section 1597.83(a), Health and Safety Code. Reference:
Sections 1597.80(a) and 1597.83(a), Health and Safety Code.
History
1 . New section filed 5-18-90; operative 6-17-90 (Register 90. No. 27).
§ 932.9. Presence of Disqualifying Information.
(a) If the provider has been convicted of any offense, other than those
specified in section 932. 1 1 of this subchapter, the Director may deny the
application and shall advise the provider of the reasons therefor. The pro-
vider may request an exemption from the denial as described in section
933 of this subchapter.
(b) If the provider has been convicted of any offense specified in sec-
tion 932. 1 1 of this subchapter, the Director shall deny the application and
advise the provider of the reasons therefor. The provider may not request
an exemption and has no right to any appeal.
(c) If the provider has a record of substantiated child abuse, the Direc-
tor shall deny the application and advise the provider of the reasons there-
for. The provider may request an exemption from the denial as described
in section 933 of this subchapter.
Note: Authority cited: Section 1597.83(a) and (b). Health and Safety Code. Ref-
erence: Section 1597.83(a), Health and Safety Code.
History
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§ 932.1 1 . Disqualifying Convictions.
(a) No appeal or request for exemption will be allowed if the provider
has been convicted of any of the following offenses:
( 1 ) Penal Code section 220 (assault with intent to commit mayhem,
rape, sodomy, oral copulation, rape in concert with another, lascivious
acts upon a child, or penetration of genitals or anus with foreign object).
(2) Penal Code section 243.4 (sexual battery).
(3) Penal Code section 264.1 (rape or penetration of genital or anal
openings by a foreign object).
(4) Penal Code section 273a, subdivision (1) (willful cruelty or unjusti-
fiable punishment of a child).
(5) Penal Code section 273d (corporal punishment or injury inflicted
upon a child).
(6) Penal Code section 288 (lewd or lascivious acts with a child under
the age of 14).
(7) Penal Code section 289 (penetration of genital or anal openings by
a foreign object).
(8) Penal Code section 368, subsection (a) or (b) (elder or dependent
adult abuse).
(9) Violent felonies, as defined in Penal Code secfion 667.5, subdivi-
sion (c) (murder, voluntary manslaughter, mayhem, rape, sodomy, oral
copulation, lewd acts on a child under the age of 14, or any felony punish-
able by death or life imprisonment).
NOTE: Authority cited: Section 1597.83(a)(2) and (b). Health and Safety Code.
Reference: Section 1597.83(a)(2), Health and Safety Code.
History
1 . New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§ 932.13. Pending Criminal Charges.
(a) An application cannot be granted while criminal charges, other
than for a minor traffic violation, are pending against the provider. The
Department may hold the application in abeyance for a 12-month period.
During that period, it is the provider' s responsibility to advise the Depart-
ment of the outcome of the criminal proceedings. If, after the criminal
proceedings are completed, the provider wishes to activate the applica-
tion, the provider must submit to the Department a copy of the court re-
cord(s) which reflects the disposition of the case. The Department may
destroy the application at the end of the 1 2-month period, retaining the
application fee, if the provider has not provided these records.
(b) Once the 1 2-month period has passed, the applicant must reapply
by submitting an application in accordance with section 932.3.
NOTE; Authority cited: Section 1597.83(a), Health and Safety Code. Reference:
Section 1597.83(a), Health and Safety Code.
History
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§ 932.15. Prior Denial; Cessation of Review.
If the Department determines during the application review process
that the provider has previously applied for registration and the applica-
tion was denied and the denial was upheld after opportunity for hearing,
the Department shall cease further review of the application until one
year has elapsed from the date of the decision upholding the denial. The
cessation of review shall not constitute a denial of the application.
NOTE; Authority cited: Section 1597.83(a), Health and Safety Code. Reference:
Section 1597.80(a), Health and Safety Code.
History
1. New section filed 5-18-90; operauve 6-17-90 (Register 90, No. 27).
Article 3. Appeal Process
§ 933. Exemption.
The provider may request an exemption by notifying the Department
in wridng of the request and presenting evidence that he/she has been re-
habilitated and is presently of such good character as to justify exemp-
tion. The request for exemption must be made within 15 days from re-
ceipt of the Director's denial letter. The Director may grant the
exemption if the Director has substantial and convincing evidence to sup-
port a reasonable belief that the provider is of such good character as to
justify the exemption. The Director shall render the decision to grant or
deny the request for exemption within 30 days of the receipt of the com-
pleted request for exemption.
NOTE; Authority cited: Section 1597.83(a) and (b). Health and Safety Code. Ref-
erence: Section 1597.83(a), Health and Safety Code.
History
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§ 933.3. Evidence of Rehabilitation.
(a) Factors which may be considered by the Director in determining
whether the provider is rehabilitated and of good character include, but
are not limited to, the following:
(1) The nature of the crime or substantiated child abuse.
(2) The period of time that has elapsed since the crime or substantiated
child abuse was committed and the number of offenses.
(3) The circumstances surrounding the commission of the crime or
substantiated child abuse that would demonstrate the unlikelihood of rep-
etition.
•
Page 28.4
Register 91, No. 16; 4-19-91
Title 11
Attorney General
§941
(4) Activities since the time of the conviction or substantiated child
abuse, including employment or participation in therapy or education,
that would indicate changed behavior.
(5) Granting by the Governor of a full and unconditional pardon.
(6) Character references.
(7) A certificate of rehabilitation from a superior court.
NOTE: Authority cited: Section 1597.83(a) and (b). Health and Safety Code. Ref-
erence: Section 1 397.83(a), Health and Safety Code.
History
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§ 933.5. Hearing.
(a) If the exemption is denied, the provider may appeal and request a
hearing by notifying the Department in writing within 15 days from re-
ceipt of the letter denying the exemption.
(b) The hearing on the appeal shall be conducted in accordance with
sections 1 1500 through 1 1528 of the Government Code.
(c) Upon receipt of the Notice of Defense from the provider pursuant
to Government Code section 1 1 506, a hearing date will be requested
from the Office of Administrative Hearings.
(d) In any hearing conducted in accordance with this subchapter, the
preponderance of the evidence standard shall apply.
NOTE: Authority cited: Section 1597.83(a)(3), Health and Safety Code. Refer-
ence: Section 1597.83(a)(3), Health and Safety Code.
History
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
Article 4. Removal from In-Home Child
Care Provider Registry
§ 934. Revocation of Registration.
(a) The Department may revoke a provider's registration upon either
of the following grounds:
(1) Conviction of a crime substantially related to the qualifications,
functions or duties of a professional child care provider.
(2) An act or acts resulting in a report of substantiated child abuse.
(b) The revocation hearing shall be conducted in accordance with the
provisions of section 933.5, subsections (b) through (d) of this subchapt-
er.
NOTE; Authority cited: Sections 1597.83(a) and 1597.84(b), Health and Safety
Code. Reference: Sections 1597.83(a) and 1597.84(b), Health and Safety Code.
History
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§ 934.3. Temporary Removal from In-Home Child Care
Provider Registry.
(a) The Director may temporarily remove an entry in the In-Home
Child Care Provider Registry pertaining to a particular provider if:
(1) A report of substantiated child abuse is made concerning the pro-
vider.
(2) In the opinion of the Director, the action is necessary to protect a
child from physical or mental abuse, abandonment, or any other substan-
tial threat to health or safety and the provider was criminally charged.
(b) The Department shall notify the provider of the temporary remov-
al.
(c) If the criminal proceedings do not result in any conviction, the entry
in the In-Home Child Care Provider Registry will be reinstated.
(d) If the criminal proceedings result in a conviction for any of the of-
fenses set forth in section 932. 1 1 of this subchapter, the entry will be per-
manently removed. The provider may not request an exemption and has
no right to any appeal.
(e) If the criminal proceedings result in a conviction for an offense not
set forth in section 932. 1 1 of this subchapter, the entry in the In-Home
Child Care Provider Registry will be reinstated. If the conviction is sub-
stantially related to the qualifications, functions or duties of a profession-
al child care provider, the Director shall initiate proceedings to revoke the
provider's registration pursuant to section 934 of this subchapter.
(f) If the temporary removal is the result of a report of substantiated
child abuse and no related criminal charges are filed, the Director shall
notify the provider of the temporary suspension and the effective date
thereof and at the same time shall serve the provider with an accusation.
Upon receipt of a Notice of Defense to the accusation, a hearing date will
be requested from the Office of Administrative Hearings; the hearing
shall be held as soon as possible. The temporary removal shall remain in
effect until such time as the hearing is completed and the Director has
made a final determination on the merits. However, the temporary re-
moval shall be deemed vacated if the Director fails to make a final deter-
mination on the merits within 45 days after the original hearing has been
completed.
Note; Authority cited; Sections 1597.83(a) and 1597.84(b), Health and Safety
Code. Reference: Sections 1597.83(a) and 1597.84(b). Health and Safety Code.
History
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§ 934.5. Prior Revocation; Cessation of Review.
If the Department determines during the application review process
that the provider was previously registered in the In-Home Child Care
Provider Registry and that the registration was revoked within the pre-
ceding two years, the Department shall cease any further review of the
application until two years have elapsed from the date of the revocation.
Cessation of review shall not constitute a denial of the application.
Note; Authority cited: Section 1597.83 (a). Health and Safety Code. Reference:
Sections 1597.80(a) and 1597.83(a), Health and Safety Code.
History
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
Article 5.
Access to In-Home Child Care
Provider Registry
§ 935. Registry Access.
(a) All interested parties, including parents, employment agencies,
child care referral groups, and registries, may check, via toll free tele-
phone number or in writing, to determine whether a child care provider
is listed on the Department's In-Home Child Care Provider Registry.
(b) The toll free telephone line will be maintained from 8:00 a.m. to
5:00 p.m., Monday through Friday, except on holidays.
(c) Written inquiries should be addressed to:
department of justice
p. O. BOX 903417
SACRAMENTO, CA 94203-4170
ATTN: IN-HOME CHILD CARE PROVIDER PROGRAM
CHILD ABUSE UNIT
NOTE; Authority cited: Section 1597.84(a), Health and Safety Code. Reference:
Section 1597.84(a), Health and Safety Code.
History
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
Chapter 11. Police Body Armor
Article 1. Certification of Bulletproof Vests
§941. Scope.
This article shall apply to body armor (formerly referred to as bullet-
proof vests) to be purchased for State law enforcement officers and shall
establish minimum requirements and testing methods to ensure ballistic
resistance for certification purposes. Police body armor submitted by
manufacturers for certification by the Department of Justice shall meet
the minimum standards specified in these regulations.
The test standards specified in this ardcle do not apply to design char-
acteristics such as weight, size, shape, comfort, concealability, and dura-
bility which shall be determined by the State Armor Committee as part
of the procurement specifications at the dme a purchase contract is re-
quested by a member agency of this committee.
Page 28.5
Register 91, No. 16; 4-19-91
§942
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
The State Armor Committee shall consist of representatives from the
following agencies: California Highway Patrol, State Police, Depart-
ment of Justice, and the Office of Procurement.
Only body armor that meets the current State requirements for acquisi-
tion and purchase at the time the State Office of Procurement announces
a need to bid a new purchase contract shall be accepted for ballistics certi-
fication testing by the Department of Justice.
Note: Authority cited: Section 12367, Penal Code. Reference: Sections
12360-12369. Penal Code.
History
1. New Subchapter 1 1 (Sections 941-957) filed 3-9-77 as an emergency; effec-
tive upon filing (Register 77, No. 1 1).
2. Certificate of Compliance filed 7-7-77 (Register 77, No. 28).
3. Amendment filed 9-25-81 as an emereency; effective upon filing (Register 81 ,
No. 40).
4. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant
to Government Code Section 1 1.349.6 (Register 81, No. 40).
5. Amendment filed 2-16-82; designated effective 4-1-82 (Register 82, No. 8).
§ 942. Definitions.
Wherever these terms are used in this article, the following definitions
shall apply:
(a) Angle of Incidence. The "angle of incidence" is the angle between
the line of flight of a bullet and a perpendicular to the vertical plane tan-
gent to the surface of the body armor at the point of impact (Figure 1 ).
(b) Approved Laboratory. An "approved laboratory" has facilities and
equipment for testing body armor according to the standards in this title
and has been accepted by the department for such testing after an on-site
inspection by a representative of the department or other departmental
designate.
(c) Backing Material. The material against which the armor specimen
is securely positioned for ballistic testing to allow an analysis and com-
parison of the backface deformation resulting from the impact of non-
penetrating rounds.
(d) Ballistic Panels. "Ballistic panels" are removable armor portions
of vests with carriers or entire vests that do not have carriers. Ballistic
panels are distinguished by type of materials, the treatment and/or condi-
tioning of the material for stiffness, ballistic resistance, or water repellen-
cy and the type of construction or assembly used in forming a complete
ballistic panel.
(e) Body Armor. "Body armor" is popularly called a "bulletproof
vest". For purposes of these regulations, "body armor" means those parts
of a complete armor that provide ballistic resistance to the penetration of
the test ammunition for which a complete armor is certified. In certain
models, the body armor consists of ballistic panels without a carrier. Oth-
er models have a carrier from which the balHstic panels may be removed
for cleaning or replacement.
(f) Carrier. A "carrier" is a washable cloth covering designed to hold
and position balUstic panels on the torso.
(g) Chronograph. A "chronograph" is an instrument that times projec-
tiles in flight. It consists of triggering screens and electronic time mea-
surement controls (Figure 2 ).
(h) Deformation. "Deformation" means the maximum momentary
change in the shape of the clay backing surface behind the armor test
specimen, caused by a fair hit that does not penetrate the armor.
(i) Fair Hit. A "fair hit" is an impact in which the bullet strikes the ar-
mor at an angle of incidence no greater than 5 deg and no closer to the
edge of the armor part, or to a prior hit, than 5 cm (2 in.), except as speci-
fied for the first three rounds at the approximate center of each front ar-
mor panel.
(j) Penetration. "Penetration" is complete perforation of an armor test
sample by a test bullet or bullet fragment, or fragments of the armor evi-
denced by the presence of the bullet or fragment in the backing material,
or by a hole that passes through a ballistic panel or vest.
(k) Strike Face. "Strike face" is the surface of an armor designated by
the manufacturer as the surface that the bullet should hit.
(/) Velocity. Acceptable "velocity" is the approximate average speed,
2.5%, attained by test bullets using common handguns of specified barrel
length and U.S. commercial ammunition. The powder charge of com-
mercial ammunition may be reloaded to achieve the precision specified.
History
1 . Amendment of subsections (c) and (i) filed 9-30-77 as an emergency: effective
upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
§ 943. Abbreviations.
The following abbreviations are used in this article:
AP
Armor Piercing
LRHV
Long Rifle High Velocity
BK
Buckshot
LRN
Lead Round Nose
FMJ
Full Metal Jacket
MAG
Magnum
(same as MC)
MC
Metal Case (same as FMJ )
HV
High Velocity
(or super velocity)
MJ
Metal Jacket (guilding metal.
JHP
Jacketed Hollow Point
90% copper alloy)
JSP
Jacketed Soft Point
L
Lead alloyed with
RF
Rimfire
hardening agents
RS
Rifled Slug
LHP
Lead Hollow Point
SWC
Semi-Wadcutter
LR
Long Rifle
WC
History
WadcutterB
1 . Amendment filed 9-30-77 as an
1 emergency; effecfive upon filing (Register 77.
No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
§ 944. Type of Armor Certified.
Police body armor is classified into four types, as determined by resis-
tance to gunfire (Table 1 ). The type of body armor submitted for ballistic
certification by the Department of Justice shall be specified by the State
Armor Committee and must:
(a) meet the current State requirements for acquisition and purchase
as determined by the State Office of Procurement in consultation with the
State user agencies represented on the State Armor Committee.
(b) be made by a manufacturer who has an established quality control
program acceptable to the State Office of Procurement as specified in
Secfion 954.
NOTE: Authority cited: Section 12367, Penal Code. Reference: Sections 12360
and 12361. Penal Code.
History
1. Amendment filed 9-25-81 as an emergency; effecfive upon filing (Register 81,
No. 40).
2. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant
to Government Code Section 1 1349.6 (Register 81, No. 40).
3. Amendment filed 2-16-82; designated effecfive 4-1-82 (Register 82, No. 8).
§ 945. Test Sequence.
Body armor certified by the department shall be examined for the re-
quirements of subsection (a) through (d). If the armor meets these re-
quirements, then they shall be tested for requirements in subsecfions (e)
through (g).
(a) Configuration. Body armor may be manufactured in various mod-
els, but every model shall be designed to protect the front and back torso
and may, in addition, protect the sides of the torso and the groin or a com-
bination of these.
(b) Protecfive carrier. If its ballistic panels can be damaged by wash-
ing, a vest shall have a washable carrier from which the panels can be re-
moved. If, however, laundering according to instructions does not impair
the ballistic resistance of a vest, no washable covering is required.
(c) Workmanship. Each armor vest shall be free from wrinkles, blis-
ters, cracks, fabric tears, crazing, chipped or sharp comers, stains and
other evidences of poor workmanship.
(d) Labeling. Each armor vest shall be clearly and durably marked to
provide the following informafion:
(1) Name, designation, or logo of manufacturer
(2) Type of armor, according to Section 944 of this fitle
(3) Size
(4) Serial number
(5) Month and year of manufacture, if not identifiable in the serial
number
Page 28.6
Register 91, No. 16; 4-19-91
Title 11
Attorney General
§947
(6) Strike face, if any
(7 ) Cleaning instructions for the armor panels and armor carrier, if any
(8) A warning, when applicable, that ballistic resistance may be se-
verely reduced when the armor is wet
(e) Ballistic Protection. Body armor shall protect against the standard
test rounds specified in Section 946 of this title. It shall also provide pro-
tection against the lesser threats listed in Table 1 for Type I, such as 12
gauge 00 buckshot, 22 caliber Long Rifle, High Velocity, 38 Special, and
most other factory loads in 357 Magnum and 9 mm rounds.
(f) Penetration. Body armor shall protect against penetration. Penetra-
tion by any fair hit shall constitute failure of the armor tested.
(g) Deformation. The maximum momentary change in the shape of the
back surface of the armor test specimens caused by a fair hit that does not
penetrate the armor.
History
1 . Amendment of subsections (b) and (g) filed 9-30-77 as an emergency; effective
upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
§ 946. Testing Equipment and Supplies.
The following equipment and supplies shall be used in ballistic testing
of body armor for approval by the department:
(a) Firearm. A test barrel or a firearm with a barrel length as recom-
mended in Table 2 shall be used to fire all test rounds within the velocities
specified for each test round required for each armor type (Table 2).
(b) Ammunition. Ammunition shall be manufactured in the United
States for commercial consumption. To insure uniformity, test ammuni-
tion is listed by a common manufacturer's order number, but any equiva-
lent ammunition or handloaded components may be substituted.
( 1 ) For Type I Armor:
(A) The 38 SPL test bullets shall be LEAD R.N. (Remington #3854)
with nominal mass of 10.2 grams (158 grains) and measured velocities
of 259 + 6 m/s (850 + 21 ft.) per sec.
(B) The 22 LRHV test bullet shall be LEAD R.N. with nominal mass
of 2.6 grams (40 grains) and measured velocities of 320 + 8 m/s (1050
+ 26 ft.) per sec.
(2) For Type IIA Armor:
(A) The 357 MAG test bullets shall be LEAD SWC or equivalent JSP
(Remington #357M5), with nominal mass of 10.2 grams (158 grains) and
measured velocities of 397 + 10 m (1300 + 33 ft.) per sec.
(B) The 9 mm test bullets shall be FMJ (Remington #R9MM2) with
nominal mass of 8 grams ( 1 24 grains) and with measured velocities of
336 -H 9 m (1 100 + 28 ft.) per sec.
(3) For Type II Armor:
(A) The 357 MAG test bullets shall be JSP (Remington #R57M3) with
nominal masses of 10.2 grams (158 grains) and with measured velocities
of 425 + 1 1 m/s (1395 + 35 ft.) per sec.
(B) The 9 mm test bullets shall be FMJ (Remington R9MM2) with
nominal masses of 8 grams ( 1 24 grains) and with measured velocities of
358 + 9 m/s (1 175 -I- 30 ft.) per sec.
(4) For Type III Armor: The 7.62 mm (308 Win) bullets shall be FJM
(U.S. Government Issue) with a nominal mass of 9.7 grams (150 grains)
and with measured velocities of 873 + 22 m/s (2863 -f- 72 ft.) per sec.
(5) For Type IV Armor: The 30-06 bullet shall be AP (U.S. Govern-
ment Issue) with a nominal mass of 10.8 grams (166 grains) and with
measured velocities of 838 -i- 21 m/s (2750 + 69 ft.) per sec.
(c) Optional Ammunition. The agencies for which armor is to be certi-
fied may elect to add agency issued ammunition used by the user agency
to the test ammunition specified for each armor type in determining the
minimum ballistic performance.
(d) Chronograph. The chronograph shall have a precision of 1 micro-
second and an accuracy of 2 microseconds. Its two triggering screens
shall be of either the photoelectric type or the conductive screen type.
(e) Backing Material. Backing material for ballistic tests shall be a
block of non-hardening, oil base modeling clay. 30 cm wide, 30 cm high,
and 10 cm thick (12 x 12 x 4 in.) placed in contact with the back of the
armor test specimen during ballistic testing.
(f) Steel Testing Cylinder. A steel cylinder with a mass of 1 kg (2.2 lb.),
diameter of 45 mm (1.75 in.), and a round striking end shall be used to
test the consistency of the clay backing material.
(g) Sheet of Cardboard. A large sheet of cardboard through which the
preliminary test round is fired shall be used as a "witness panel" for posi-
tioning test rounds on the armor.
NOTE: Authority cited: Section 12367, Penal Code. Reference: Sections 12360
and 12361, Penal Code.
History
1. Amendment of subsections (a), (b) and (d) filed 9-30-77 as an emergency; ef-
fective upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
3. Amendment of subsections (a)-(g) filed 9-25-81 as an emergency; effective
upon filing (Register 81, No. 40).
4. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant
to Government Code Section 1 1349.6 (Register 81, No. 40).
5. Amendment filed 2-16-82; designated effective 4-1-82 (Register 82, No. 8).
§ 947. Preparation for Tests.
Preliminary procedures for ballistic testing of bulletproof vests shall
include:
(a) Conditioning of Clay Backing. Clay backing material shall be con-
ditioned by being kept for at least 3 hr. at a temperature between 20 to 28
deg. C (68-82 deg F). Before testing, the clay shall be worked thoroughly
to eliminate any air pockets. Its pretest consistency shall be such that a
depression of 25? 3 mm (1 ? 0. 1 in.) results when the steel cylinder speci-
fied in Section 946(e) is dropped from a height of 2 m (6.5 ft.) onto the
45 cm-sq face of the clay. The steel cylinder shall be dropped three fimes.
[The next page is 29.]
Page 28.7
Register 91, No. 16; 4-19-91
Title 11
Attorney General
§953
and the center of each impact shall be at least 75 mm (3 in.) from a pre-
vious impact and from any edge of the block. The depth of penetration
of each impact shall be recorded as the distance between the point of
maximum depression and the undisturbed surface of the clay backing
material. After each impact is recorded, the clay shall be reshaped to its
specified dimensions and smoothed.
(b) Warm-up of Equipment. All electronic equipment shall be allowed
to warm up for 30 min or until stability is achieved, whichever time is
greater.
(c) Atmospheric Conditions. Throughout testing, the ambient temper-
ature shall be 18 to 28 deg C (65 to 82 deg F). and the relative humidity
30 to 70%.
§ 948. Test Procedure.
Test equipment for ballistic testing shall be positioned as diagrammed
in Figure 2.
(a) Test Weapon. The required test weapon or test barrel shall be firm-
ly clamped with barrel horizontal and in such a manner that the alignment
of the weapon does not alter when the weapon discharges. When a test
barrel is used, the barrel length and the muzzle to armor distance are not
critical as long as the specified velocity is attained at the chronograph
screen distances specified in Figure 2.
(b) Chronograph Screens. Two chronograph triggering screens shall
be placed 1.5 to 2.0 m (4.9 to 6.5 ft.) and 2.5 m (8.2 ft.) from the end of
the muzzle of the test weapon and perpendicular to the bullet's line of
flight. Distance between screens shall be measured within an accuracy
of 1 mm (0.04 in.).
(c) Cardboard Sheet. For the pretest rounds the cardboard witness pan-
el shall be positioned no more than 3 m ( 10 ft.) from the end of the muzzle
of the test weapon.
(d) Backing Material. The back face of the sample armor to be tested
shall be secured to the backing material with tape or other means that will
not interfere with the test.
History
1. Amendment of subsection (a) filed 9-30-77 as an emergency; effective upon
filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78. No. 4).
§ 949. Pretest.
Before the official tests, a pretest round shall be fired through a card-
board witness panel or the conductive screens of the chronograph to de-
termine the line of flight and the bullet's point of impact.
History
1 . Amendment filed 9-30-77 as an emergency; effective upon filing (Register 77,
No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
§ 950. Test A (Hardback Test).
History
1 . Repealer filed 9-30-77 as an emergency ; effective upon filing (Register 77, No.
40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
§ 951 . Dry Armor Ballistic Tests.
The front and rear ballistic panels of each armor type shall be tested
with the type of ammunition specified in Section 946(b) for each armor
type. The dry weight of each armor specimen (without a removable carri-
er) shall be determined and recorded prior to the start of ballistic testing.
Armor with separate removable carriers do not require that the carrier be
ballistically tested.
(a) Preparation. The assembly of the armor and the clay backing shall
be placed behind the cardboard witness panel with the armor strike face
perpendicular to the line of flight of the bullet so that the desired point of
impact touches the bullet hole in the cardboard or the line of sight through
the holes in the chronograph screens. Then the cardboard shall be re-
moved.
(b) Test Round. For each type of ammunition and starting with a front
armor panel positioned on the clay backing, a test round shall be llred
within a 2 in target area at the approximate center of the front armor panel.
(c) Recording. The time the bullet takes to pass between the two trig-
gering screens, as determined by the chronograph, and the calculated bul-
let velocity shall be recorded.
(d) Examination for Penetration. After each round the armor and the
backing material shall be examined to determine whether or not penetra-
tion occurred when a bullet traveling at an acceptable velocity ( Table 2
) made a fair hit.
(e) Examination for Deformation. After each nonpenetrating round,
the depression formed in the clay shall be examined and the depth, base
diameter, and general shape (i.e. hemispherical, elliptical, pyramidal,
etc.) shall be recorded for each fair hit.
(f) Repetition and Recording. The armor panel shall be repositioned
on the clay backing and test firing continued until at least five fair hits,
at acceptable velocities, have been recorded for each front and rear panel
tested. Rounds that strike the armor over previous hits or less than 1 in.
from any broken thread resulting from a previous round shall not be
counted as fair hits. The backing material shall be repositioned (as re-
quired) to prevent over-lapping of depressions in the clay.
NOTE: Authority cited: Section 12367, Penal Code. Reference: Sections 12360
and 12361, Penal Code.
History
1 . Amendment filed 9-30-77 as an emergency; effecfive upon filing (Reeister 77,
No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
3. Amendment filed 9-25-81 as an emergency; effective upon filing (Register 81 ,
No. 40).
4. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant
to Government Code Section 1 1349.6 (Register 81, No. 40).
5. Amendment filed 2-16-82; designated effective 4-1-82 (Register 82, No. 8).
§ 952. Wet Armor Ballistic Tests.
If no ballistic penetration occurs on the dry armor, additional armor of
the same specific type shall be tested wet. However, only armor that is
not enclosed in a permanent waterproof cover shall be subjected to ballis-
tic wet testing. All ballistic sections comprising either the front or back
torso (excluding any removable carrier) shall be treated as one unit and
tested as follows:
(a) Determining Dry Mass. Before immersion, the dry mass of each
front or back ballistic unit is determined to an accuracy of + 1 gm.
(b) Wet Armor Conditioning. Each unit shall be immersed in water of
25 + 5 deg C (77 ± 9 deg F) for 1 hour with one to two minutes of flexing
and agitation at about 10 minute intervals.
(c) Determining Wet Mass. Immediately on removal from the water,
the armor units are hung to drain and periodically weighed until each
front or back unit achieves a water retention (WR) value of 10 to 1 2% ex-
pressed as a percentage of the dry mass:
%WR = (WM - DM)/DM x 100
Ballistic units which do not achieve a 10 to 1 2% WR value shall be im-
mersed for an additional 30 minutes as described above. Ballistic units
which do not achieve a 10 to 12% WR after 90 minutes shall not be wet
tested.
(d) Testing. Each front or back ballistic unit shall be tested within 1
hour of achieving a WR of 1 to 1 2%. The %WR and the time it was de-
termined shall be recorded immediately before and after the test rounds
fired at each unit and referenced to the time of the first and last rounds.
Wet ballistic test procedures shall be the same as those specified for dry
armor.
History
1. Amendment filed 9-30-77 as an emergency; effective upon filing (Register 77,
No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
§ 953. Performance Requirements for Ballistic Tests.
To be certified, body armor tested shall meet the following minimum
requirements:
Page 29
(4-1-90)
§954
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(a) Each armor type shall evidence no sign of penetration after the
number of fair hits, by the rounds specified, for each armor type as speci-
fied in Table 2. when tested dry (Section 951). Non-penetrating rounds
that exceed the velocity ranges specified, but otherwise qualify as a fair
hit, shall be counted as fair hits.
(b) Armor that is not enclosed in a permanent water repellent cover,
shall in addition, evidence no sign of penetration after the number of fair
hits, by the rounds specified, for each armor type as specified in Table 2,
when tested wet (Section 952).
(c) Each torso front or back ballistic panel(s) shall not be used for more
than a total of eight hits wherein at least five out of the eight shall be fair
hits.
(d) The minimum performance requirements for ballistic deformation
have not been conclusively established. The deformation of all fair hits
shall be measured and reported for the consideration of prospective user.
The deformation performance standard recommended in the NILECJ
standard 0101.01 (Dec. 1978) is that the deformation shall not exceed an
average depth of 44 mm ( 1 .73 in.) for the number of fair hits required for
each armor type.
NOTE; Authority cited: Section 12367, Penal Code. Reference: Sections 12361
and 12367, Penal Code.
History
1 . Amendment filed 9-30-77 as an emergency; effective upon filing (Register 77,
No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
3. Amendment filed 9-25-81 as an emergency; effective upon filing (Register 81 ,
No. 40).
4. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant
to Government ode Section 11349.6 (Register 81, No. 40).
5. Amendment filed 2-16-82; designated effecUve 4-1-82 (Register 82, No. 8).
§ 954. Quality Control Program Requirements.
Manufacturers of body armor certified by the Department of Justice
shall establish a formal quality control program plan prior to procure-
ment of the vests by the State. The plan shall meet, in essence, the criteria
specified in "Inspection System Requirements", military specification
number MIL-I-45208A (December 16, 1963), except all references to
"government" or "military" shall read "State of California".
§ 955. Test Samples.
The approved laboratory selected by the Department of Justice to test
body armor in accordance with the requirements of this title shall deter-
mine the number of complete armors or armor panels needed for testing.
Certification of one specific design and construction of ballistic panels
or vest of a manufacturer shall convey certification to all armor of the
same manufacturer that incorporate ballistic panels with the same specif-
ic design and construction.
Additional samples of armor certified under these reguladons shall be
tested for conformance with the certification standards as part of the qual-
ity control requirements of any purchase contract issued by the State Of-
fice of Procurement.
History
1 . Amendment filed 9-30-77 as an emersency; effective upon filing (Reaister 77,
No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
§ 956. Submission of Test Samples.
The Department shall announce to all known domestic manufacturers
of police body armor a schedule for certification testing, sample submis-
sion requirements, and procedures contingent on the State Office of Pro-
curement's need to bid a new purchase contract to supply police body ar-
mor for State peace officers.
NOTE; Authority cited: Section 12367. Penal Code. Reference: Section 12364, Pe-
nal Code.
History
1 . Amendment filed 9-25-81 as an emergency; effecfive upon filing (Register 8 1 ,
No. 40).
2. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant
to Government Code Section 1 1349.6 '(Register 81, No. 40).
3. Amendment filed 2-16-82; designated effective 4-1-82 (Register 82, No. 8).
BULLET LINE OF
FLIGHT
ARMCR
FERFE3iDICULAR
TO PLANE
FIGUBE 1. ANCLE OF INCIDENCE
CF FLIGHT
BACKING MATERIAL
ARMCe
"CFF" TRIGGER
TEST WEAPON ^ CHROKCGRAPH
FIGUBE 2. BALUffnC TEST SETUP
Page 30
(4-1-90)
Title 11
Attorney General
§956
TABLE 1. PROTECTION AFFORDED BY POLICE BODY ARMOR
FOOTNOTE (1): Refer to Table 2 for specific rounds and velocities for type IIA and II armor.
History (Register 81 , No. 40).
1 . Repealer of Table 1 and new Table 1 filed 9-30-77 as an emergency; effective
upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No.4).
3. Amendment of Table 1 filed 9-25-81 as an emergency; effecfive upon filing 5. Amendment filed 2-16-82; designated effective 4-1-82 (Register 82, No. 8).
4. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant
to Government Code Section 11 349.6 (Register 81, No. 40).
TABLE I.
niaixcnoN afforded by fouce body armor
1
t\pu:al threat levels
BALUSnC PROTECTION AFFORDED |
TYPE I
TYPE IIA
TYPE n
TYPE III
TYPE IV
ARMOR
ARMOR
ARMOR
ARMOR
ARMOR
22 LBHV (Handgun)
YES
YES
YES
YES
YES
25 AUTO
YES
YES
YES
YES
YES
32 AUTO
YES
YES
YES
YES
YES
38 SPL LEAD
YES
YES
YES
YES
YES
12 CUACE #4 LEAD SHOT
YES
YES
YES
YES
YES
357 MAG. LEAD, or JSP
NO
YES'
YES'
YES
YES
9mm LUGER FMJ
NO
YES'
YES'
YES
YES
38 SPL HV
NO
YES
YES
YES
YES
22 LBHV (RIFLE)
NO
YES
YES
YES
YES
45 AUTO
NO
YES
YES
YES
YES
12 GUAGE OO BIC
NO
YES
YES
YES
YES
7.62 mm FMJ
NO
NO
NO
YES
YES
44 MAC. LEAD or JSP
NO
NO
NO
YES
YES
41 MAG.
NO
NO
NO
YES
YES
3(M)6JSP
NO
NO
NO
YES
YES
SO CARBINE
NO
NO
NO
YES
YES
12 GAUGE R.&
NO
NO
NO
YES
YES
30^ AP
NO
NO
NO
NO
YES
TABLE 2. TEST SUMMARY
TABLE 2. TEST SUMMARY |
ARNtOR
TYPE
TEST
AMMUNmON
TEST VARIABLES
PERFORMANCE REQUIREMENTS' \
NOMINAL
BULLET
MASS
SUGGESTED
BARREL
LENGTH
BULLET VELOCITY'
FAIR Hrrs i
PER
ARMOR
HIT
WITH NO
PENETRATION
I
38 SPL.
RNLEAD
22LRHV
LEAD
10.2 gm
158 gr
2.6gm
40 gr
15 to 16.5 cm
6to 6.5 in
259 ± 6m/s
850 ± 21ft/s
320 ± 8m/s
1050 ± 26ft/s
5*
5*
70 dry
10 wet
lOdry
10 wet
HA
357 MAG.
LEADSWC
9mm
FMJ
102 gm
158 gr
&Ogm
124 gr
10 to 12 cm
4 to 4. 75 in
397 ± lOm/s
1300 ± 33ft/$
336 ± 9m/s
1100 ± 28ft/s
5"
5*
70 dry
10 wet
10 dry
10 wet
II
357 MAG.
JSP
9mm
FM)
102 gm
158 gr
aogm
124 gr
15 to 16.5 cm
6 to 6.5 in
425 ± llm/s
1395 ± 35ft/s
358 ± 9m/s
1175 ± 30ft/s
5*
5"
70 dry
10 wet
10 dry
10 wet
III
7.62 mm
(308 WIN)
FMJ
9.7 gm
150 gr
oocin
22 in
873 ± 22m/s
2863 ± 72ft/s
5'
70 dry
10 wet
IV
3^06 AP
laSgm
166 gr
56 cm
22 in
838 ± 21m/s
2750 ± 69ft/s
Not Established
* The total hits per each armor part designed to cover the front or back torso shall not exceed eight, of which five may be fair hits
(1) Performance requirements for optional, agency issued, ammuni-
tion. Section 946(c), shall be specified as part of the certification testing
announcement and scheduled by the Department.
(2) Non-penetrating rounds that exceed the velocity range specified,
but otherwise qualify as a fair hit shall be counted as fair hits.
History
1 . Repealer of Table 2 and new Table 2 filed 9-30-77 as an emergency; effective
upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
3. Amendment of Table 2 filed 9-25-81 as an emergency; effecfive upon filing
(Register 81, No. 40).
4. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant
to Government Code Secfion 1 1349.6 (Regi.ster 81, No. 40).
5. Amendment filed 2-16-82; designated effective 4-1-82 (Register 82, No. 8).
6. Editorial Correcfion (Register 82, No. 11).
Page 31
Register 2006, No. 26; 6-30-2006
§957
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
§ 957. References-Publications.
These references are available from the U.S. Government Printing Of-
fice. Washington. DC 20402:
(a) Military specifications number M1L-I-45208A (12/16/63). See
Section 954 of this title.
(b) Informational publications of the National Institute of Law En-
forcement and Criminal Justice, Law Enforcement Assistance Adminis-
tration, U.S. Department of Justice:
( 1 ) Body Armor, Lightweight Body Armor for Law Enforcement Offi-
cials, May 1976 (Stock No. 027-000-00409-1 )
(2) Body Armor, Blunt Trauma Date, May 1976 (Stock No.
027-000-00408-3)(3) Body Armor, Medical Assessment, May 1976
(Stock No. 027-000-00407-5)
(c) NILCJ-STD-0101.01 "Ballistic Resistance of Body Armor", De-
cember 1978, available from National Bureau of Standards, Law En-
forcement Standards Laboratory.
Note: Authority cited: Section 12367, Penal Code. Reference: Sections 12360
and 12361. Penal Code.
History
1. Editorial correction in subsection (c) (Register 77, No. 40).
2. New subsection (d) filed 9-30-77 as an emereency; effective upon filing (Reg-
ister 77, No. 40).
3. Certificate of Compliance filed 1-24-78 (Register 78. No. 4).
4. Amendment of subsections (c) and (d) filed 9-25-81 as an emergency; effective
upon filing (Register 81, No. 40).
5. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant
to Government Code Section 1 1349.6 (Register 81, No. 40).
6. Amendment of subsections (c) and (d) filed 2-16-82; designated effective
4-1-82 (Register 82, No. 8).
Chapter 12. Tear Gas Weapons and
Training Institutions
Article 1. General Provisions
§961. Title.
NOTE: Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference:
Secfion 12403.7, Penal Code.
History
1 . New Subchapter 1 2 (Sections 96 1 -965 . 1 ) filed 1 2-6-77 ; effecti ve thirtieth day
thereafter (Register 77, No. 50).
2. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No.
27).
3. Amendment of NOTE filed 7-21-82; effective thirtieth day thereafter (Register
82, No. 30).
4. Change without regulatory effect repealing chapter 12 (articles 1-6, sections
961-966.2), article 1 (secdons 961-961.2) and section filed 6-28-2006 pur-
suant to secfion 100, title 1, California Code of Regulations (Register 2006, No.
26).
§961.1. Validity.
History
1. Change without regulatory effect repeahng section filed 6-28-2006 pursuant
to secfion 100, title 1, Cahfomia Code of Regulations (Register 2006, No. 26).
§961.2. Scope.
NOTE: Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference:
Section 12403.7, Penal Code.
History
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No.
27).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 2. Definitions
§ 962. General.
History
1. Change without regulatory effect repealing article 2 (sections 962-962.1 ) and
section filed 6-28-2006 pursuant to secfion 1 00, title 1 , California Code of Reg-
ulations (Register 2006, No. 26).
§962.1. Definitions.
Note: Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference:
Section 12403.7, Penal Code.
History
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No.
27).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1 . California Code of Regulations (Register 2006, No. 26).
Article 3. Sales Licenses
§ 963. General.
History
1. Amendment filed 7-21-82; effective thirtieth day thereafter (Register 82, No.
30).
2. Change without regulatory effect repealing article 3 (sections 963-963. 10) and
section filed 6-28-2006 pursuant to section 1 00, fitle 1 , California Code of Reg-
ulations (Register 2006, No. 26).
§ 963.1 . Misuse of License.
History
1. Amendment filed 7-21-82; effective thirtieth day thereafter (Register 82, No.
30).
2. Change without regulatory effect repealing secfion filed 6-28-2006 pursuant
to section 100, titled, California Code of Regulations (Register 2006, No. 26).
§ 963.2. License Duration.
History
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 963.3. Renewal.
History
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 963.4. Penalty.
History
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title'l , California Code of Regulations (Register 2006, No. 26).
§ 963.5. Expired License.
History
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 963.6. Duplicate License.
History
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 963.7. License Categories.
History
1 . Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 1 00, title 1, California Code of Regulations (Register 2006, No. 26).
§ 963.8. Cause for Revocation.
NOTE: Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference:
Sections 12403.7, and 12435, Penal Code.
History
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No.
27).
2. Amendment filed 7-21-82; effective thirtieth day thereafter (Register 82, No.
30).
3. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Page 32
Register 2006, No. 26; 6-30-2006
Title 11
Attorney General
§ 965.5
§ 963.9. Applications.
History
1 . Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 963.1 0. Cause for Denial.
History
1. Amendment of subsection (b) filed 7-21-82; effective thirtieth day thereafter
(Register 82, No. 30).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 4. Certification and Approval
§ 964. General.
History
1. Amendment filed 7-21-82; effective thirtieth day thereafter (Register 82, No.
30).
2. Change without regulatory effect repealing article 4 (sections 964-964.8) and
section filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Reg-
uladons (Register 2006, No. 26).
§ 964.1 . Purpose and Scope.
History
1. Amendment filed 7-21-82; effective thirtieth day thereafter (Register 82, No.
30).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 964.2. Technical Standards.
Note: Authority cited: Secfions 12403.7(a)(5)(B) and 12457, Penal Code. Refer-
ence: Sections 12403.7, 12450, 12451, and 12457.1, Penal Code.
History
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No.
27).
2. Amendment filed 7-21-82; effective thirtieth day thereafter (Register 82, No.
30).
3. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to secfion 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 964.3. Permissible Agents.
NOTE: Authority cited: Sections 12403.7(a)(5)(B) and 12457, Penal Code. Refer-
ence: Sections 12403.7, 12450, 12451, and 12457.1, Penal Code.
History
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No.
27).
2. Amendment of NOTE filed 7-21-82; effective thirtieth day thereafter (Register
82, No. 30).
3. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 964.4. Weapon Limitations.
NOTE: Authority cited: Sections 12403.7(a)(5)(B) and 12457, Penal Code. Refer-
ence: Sections 12403.7, 12450, 12451, and 12457.1, Penal Code.
History
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No.
27).
2. Amendment filed 7-21-82; effective thirtieth day thereafter (Register 82, No.
30).
3. Change without regulatory effect repeaUng section filed 6-28-2006 pursuant
to secfion 100, fitle 1, California Code of Regulafions (Register 2006, No. 26).
§ 964.5. Labeling Requirements.
NOTE: Authority cited: Sections 12403.7(a)(5)(B), 12403.7(a)(5)(C) and 12457,
Penal Code. Reference: Sections 12403.7, 12421, 12450, 12451 and 12457.1, Pe-
nal Code.
History
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No.
27).
2. Amendment of subsections (a)(5) and (b)(2) filed 7-21-82; effecfive thirtieth
day thereafter (Register 82, No. 30).
3. Amendment of subsection (a)(6) filed 12-21-83; designated effective 1-1-84
pursuant to Government Code Section 1 1346.2(a) (Register 83, No. 52).
4. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 964.6. Application for Certification.
NOTE: Authority cited: Sections 12403.7(a)(5)(B) and 12457, Penal Code. Refer-
ence: Sections 12403.7, 12450, 12451, and 12457.1, Penal Code.
History
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No.
27).
2. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No.
30).
3. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 964.7. Pre-Certification Possession.
History
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, tide 1 , California Code of Regulations (Register 2006, No. 26).
§ 964.8. Record Keeping.
NOTE: Authority cited: Sections 12403.7(a)(5)(B) and 12457, Penal Code. Refer-
ence: Sections 12403.7, 12450, 12451, 12455 and 12457.1, Penal Code.
History
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No.
27).
2. Amendment of NOTE filed 7-21-82; effective thirtieth day thereafter (Register
82, No. 30).
3. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1 , California Code of Regulations (Register 2006, No. 26).
Article 5.
Approval of Tear Gas Training
Institutions
§ 965. General.
Note: Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference:
Section 12403.7, Penal Code.
History
1. New Article 5 (Sections 965 through 965.7) filed 7-5-79; effective thirtieth day
thereafter (Register 79, No. 27). For prior history see Register 77, No. 50.
2. Amendment filed 2-24-82; designated effective 4-1-82 (Register 82, No. 9).
3. Change without regulatory effect repealing article 5 (sections 965-965.7) filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§965.1. Scope.
NOTE: Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference:
Section 12403.7, Penal Code.
History
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 965.2. Eligibility for Approval.
NOTE: Authority cited: Section 12403.7 and 12457, Penal Code. Reference: Sec-
tion 12403.7, Penal Code.
History
1 . Amendment of subsection (b) filed 2-24-82; designated effective 4-1-82 (Reg-
ister 82, No. 9).
2. Change without regulatoiy effect repealing section filed 6-28-2006 pursuant
to section 100, tide 1, California Code of Regulations (Register 2006, No. 26).
§ 965.3. Standards for Approval.
NOTE: Authority cited: Sections 12403.7(c) and 12457, Penal Code. Reference:
Section 12403.7, Penal Code.
History
1. Amendment filed 2-24-82; designated effective 4-1-82 (Register 82, No. 9).
2. Change without regulatory effect repeating section filed 6-28-2006 pursuant
to section 100, tide 1, California Code of Regulations (Register 2006, No. 26).
§ 965.4. Application for Approval.
NOTE: Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference:
Sections 12403.7, Penal Code.
History
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 965.5. Rescission of Approval.
NOTE; Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference:
Section 12403.7, Penal Code.
History
1 . New subsections (12) and (13) fled 2-24-82; designated effective 4-1-82 (Reg-
ister 82, No. 9).
Page 33
Register 2006, No. 26; 6-30-2006
§ 965.6
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 965.6. Training Course Standards.
Note; Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference:
Section 12403.7, Penal Code.
History
1 . Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, titlel , California Code of Regulations (Register 2006, No. 26).
§ 965.7. Collection of Fee.
NOTIi: Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference:
Section 12403.7, Penal Code.
History
1. Amendment filed 2-24-82; designated effective 4-1-82 (Register 82, No. 9).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
tosecTion 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 6. Violation of Regulations
§ 966. Violation of Regulations.
NOTE: Authority cited: Secfions 12403.7(a)(4)(ii) and 12457, Penal Code. Refer-
ence: Sections 12403.7, 12426, 12435, 12455, and 12456.
History
1 . New Anicle 6 (Sections 966 through 966.2) filed 7-5-79; effective thirtieth day
thereafter (Register 79, No. 27).
2. Change without regulatory effect repealing article 6 (sections 966-966.2) and
section filed 6-28-2006 pursuant to section 1 00, fitle 1 , California Code of Reg-
ulations (Register 2006, No. 26).
§ 966.1 . Training Use of Tear Gas Weapons.
NOTE: Authority cited: Sections 12403.7(a)(4)(ii) and 12457, Penal Code. Refer-
ence: Sections 12403.7 and 12420.
History
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, dtle 1, California Code of Regulations (Register 2006, No. 26).
§ 966.2. Disposal of Self-Defense Tear Gas Weapons.
NOTE: Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference:
Section 12403.7, Penal Code.
History
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Chapter 12.3. Department of Justice
Regulations for the Basic Firearms Safety
Certificate Program
Article 1. General
§967. Title.
NOTE: Authority cited: Sections 12800-12809, Penal Code. Reference: Sections
12800-12809, Penal Code.
History
1. New chapter 12.3 (articles 1-6), article 1 (sections 967-967.05) and section
filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing chapter 12.3 (articles 1-6, sections
967-967.85), article 1 (sections 967-967.05) and section filed 6-28-2006 pur-
suant to section 100, tide 1, California Code of Regulations (Register 2006, No.
26).
§ 967.05. Scope.
NOTE: Authority cited: Sections 12071, 12072, 12078, 12081, 12084 and
12800-12809, Penal Code. Reference: Sections 12071, 12072, 12078, 12081,
12084 and 12800-12809, Penal Code.
History
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, titie 1, California Code of Regulations (Register 2006, No. 26).
Article 2. Definitions
§ 967.1 0. Definition of Key Terms.
NOTE: Authority cited: Sections 12071, 12072, 12078, 12081 and 12800-12809,
Penal Code; Reference: Sections 12001. 12021, 12021.1. 12071, 12072, 12078,
12081 and 12800-12809. Penal Code; Sections 8100 and 8103, Welfare and Insti-
tutions Code; and Title 27, Part 178.32 of the Code of Federal Regulations.
History
1. New anicle 2 (section 967.10) and section filed 3-30-99; operative 4-29-99
(Register 99, No. 14).
2. Change without regulatory effect repealing article 2 (section 967.10) and sec-
tion filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regula-
tions (Register 2006. No. 26).
Article 3. Requirements, Qualifications,
and Revocation and Denial
§ 967.1 5. BFSC Applicant - Lost, Stolen, Destroyed, and
Replacement BFSC.
NOTE: Authority cited: Sections 12071(c)(1), 12072(a)(3)(A), 12078(c)(2) and
12800-12809, Penal Code. Reference: Sections 12071(c)(1), 12072(a)(3)(A),
12078(c)(2) and 12800-12809, Penal Code.
History
1. New article 3 (sections 967.15-967.40) and section filed 3-30-99; operative
4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing article 3 (sections 967.15-967.40)
and section filed 6-28-2006 pursuant to section 100, title 1 , California Code of
Regulations (Register 2006, No. 26).
§ 967.20. Firearms Dealer.
NOTE: Authority cited: Sections 12071(b)(8), 12072(c)(5), 12076(c)(3), 12081
and 12800-12809. Penal Code; and Title 18, Section 701, Federal Criminal Code.
Reference: Sections 12071(b)(8), 12072(c)(5), 12081 and 12800-12809, Penal
Code; and Title 18, Section 701, Federal Criminal Code.
History
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 967.25. DOJ Certified Instructor.
NOTE: Authority cited: Sections 12803, 12805 and 1 2808, Penal Code. Reference:
Sections 12021, 12021.1. 12803, 12805 and 12808, Penal Code; Sections 8100
and 8103, Welfare and Institutions Code; and Title 27, Part 178.32 of the Code of
Federal Regulations.
History
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 967.30. DOJ Course Provider.
NOTE: Authority cited: Sections 12071 and 12800-12809, Penal Code. Refer-
ence: Sections 12071 and 12800-12809, Penal Code.
History
1 . New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 967.35. DOJ BFSC Employee Proxy,
NOTE: Authority cited: Sections 1207 1(c)(1) and 12800-12809, Penal Code. Ref-
erence: Sections 12071 and 12800-12809, Penal Code.
History
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 967.40. Revocation and Denial of Certification.
NOTE: Authority cited: Sections 12803(c) and 12805(c), Penal Code. Reference:
Sections 12000 and 12805(c), Penal Code; and Chapter 5 (commencing with sec-
tion 11500) of Part 1 of Division 3 of Titie 2 Government Code.
History
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, tide 1, California Code of Regulations (Register 2006, No. 26).
Page 34
Register 2006, No. 26; 6-30-2006
Title 11
Attorney General
§ 968.20
Article 4. BFSC Test/Course Requirements
§ 967.45. DOJ Objective Test/DOJ Video Course.
NOTH: Authority cited: Sections 12072(e), 12803. 12805 and 12809, Penal Code.
Reference: Sections 12803(a), 12805 and 12808, Penal Code.
History
1. New article 4 (sections 967.45-967.50) and section filed 3-30-99; operative
4-29-99 (Register 99, No. 14).
2. Change without regulatoi^ effect repealing article 4 (sections 967.45-967.50)
and section filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of
Regulations (Register 2006, No. 26).
§ 967.50. DOJ Certified Course.
NOTE: Authority cited: Sections 12803, 12805 and 12808, Penal Code. Reference:
Sections 12803, 12805 and 12808, Penal Code.
History
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1 , California Code of Regulations (Register 2006, No. 26).
Article 5.
Security and Record Keeping
Requirements
§ 967.55. Security.
NOTE; Authority cited: Sections 12072(e), 12803 and 12809, Penal Code. Refer-
ence: Sections 12072(e), 12803 and 12809, Penal Code.
History
1. New article 5 (sections 967.55-967.60) and section filed 3-30-99; operative
4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing article 5 (sections 967.55-967.60)
and section filed 6-28-2006 pursuant to section 100, title 1, California Code of
Regulations (Register 2006, No. 26).
§ 967.60. Record Keeping.
NOTE: Authority cited: Sections 12071(b)(8), 12071(f), 12802(a), 12804 and
12802(a), Penal Code. Reference: Sections 12071(b)(8), 12071(f), 12802(a),
12804 and 12802(a), Penal Code.
History
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, fitle 1, California Code of Regulations (Register 2006, No. 26).
Article 6. Fees, Refunds, Replacements,
and Processing Time
§ 967.65. Fees.
NOTE; Authority cited: Sections 12806 and 12809, Penal Code. Reference: Sec-
tions 12806 and 12809, Penal Code.
History
1. New article 6 (sections 967.65-967.85) and section filed 3-30-99; operative
4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing article 6 (sections 967.65-967.85)
and section filed 6-28-2006 pursuant to secfion 100, title 1, California Code of
Regulations (Register 2006, No. 26).
§ 967.70. Refunds.
NOTE: Authority cited: Sections 12800-12809, Penal Code. Reference: Sections
12800-12809, Penal Code.
History
1. New section filed 3-30-99; operafive 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, fitle 1, California Code of Regulations (Register 2006, No. 26).
§ 967.75. Replacements.
NOTE: Authority cited: Section 12803, Penal Code. Reference: Sections
12800-12809, Penal Code.
History
1. New .section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, fitle 1, California Code of Regulafions (Register 2006, No. 26).
§ 967.80. Application Processing Time.
NOTE: Authority cited: Secdons 15376 and 15378, Government Code. Reference:
Secfions 15376 and 15378, Government Code.
History
1. New section filed 3-30-99; operafive 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to secfion 100, title 1, California Code of Regulations (Register 2006. No. 26).
§ 967.85. DOJ Certified Course Processing Time.
NOTE: Authority cited: Sections 1 5376 and 1 5378, Government Code. Reference:
Secfions 15376 and 15378, Government Code.
History
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Chapter 12.4. Department of Justice
Regulations for Laboratory Certification and
Handgun Testing
Article 1. General: Title; Scope; Extensions
for Compliance
§968.10. Title.
NOTE; Authority cited: Sections 12129-12131.5, Penal Code. Reference: Sec-
fions 12126-12133, Penal Code.
History
1. New chapter 12.4 (articles 1-10, secfions 968.10-968.95), article 1 (sections
968.10-968.12) and secfion filed 6-29-2000 as an emergency; operative
6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be trans-
mitted to OAL by 10-27-2000 or emergency language will be repealed by op-
eration of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of sec-
fion, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000,
No. 50).
3. Change without regulatory effect renumbering division 1 , chapter 1 2.4 (articles
1-10, sections 968.10-968.99), to division 5, chapter 5 (articles 1-10, sections
4046-4074) and renumbering section 968.10 to secfion 4046 filed 6-28-2006
pursuant to section 100, fifie 1, California Code of Regulations (Register 2006,
No. 26).
§968.11. Scope.
NOTE: Authority cited: Secfions 12125-12133, Penal Code. Reference: Sections
12126-12129, Penal Code.
History
1 . New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-27-2000 or emergency language will be repealed by operafion of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL
10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.1 1 to section 4047
filed 6-28-2006 pursuant to secfion 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 968.1 2. Extensions for Compliance.
Note; Authority cited: Secfions 12129-12131.5, Penal Code. Reference: Sec-
tions 12129-12131.5, Penal Code.
History
1 . New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL
10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.12 to section 4048
filed 6-28-2006 pursuant to secfion 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Article 2. Definition of Key Terms
§ 968.20. Definition of Key Terms.
Note: Authority cited: Sections 12126-12131.5, Penal Code. Reference: Sec-
fions 1001.6, 12021, 12071 and 12125-12133, Penal Code: Section 102(a), Cor-
porations Code; and Chapter 44 §§ 920 et seq.. Title 1 8 of the United States Code.
Page 35
Register 2006, No. 26; 6-30-2006
§ 968.30
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
History
1. New article 2 (section 968.20) and section filed 6-29-2000 as an emergency;
operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance
must be transmitted to OAL by 1 0-27-2000 or emergency language will be re-
pealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of sec-
tion, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000,
No. 50).
3. New subsections (s)-(v) filed 1-19-2005; operative 1-19-2005 pursuant to
Government Code section 1 1343.4 (Register 2005, No. 3).
4. Change without regulatory effect renumbering section 968.20 to section 4049
filed 6-28-2006 pursuant to section 1 00, title I , California Code of Reaulations
(Register 2006, No. 26).
Article 3. DOJ-Certification: Who Must Be
DOJ-Certified; Application for
DOJ-Certification; Pre-DOJ-Certification
Requirements; Grounds for Denial;
DOJ-Certification Period; Processing Times;
Appeal Process
§ 968.30. Who Must Be DOJ-Certified.
NOTE: Authority cited: Section 12130, Penal Code. Reference: Sections
12126-12128, 12130 and 12131.5, Penal Code.
History
1 . New article 3 (sections 968.30-968.36) and section filed 6-29-2000 as an emer-
gency; operative 6-29-2000 (Register 2000. No. 26). A Certificate of Com-
pliance must be transmitted to OAL by 10-27-2000 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of sec-
don, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000,
No. 50).
3. Change without regulatory effect renumbering section 968.30 to section 4050
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 968.31 . Application for DOJ-Certification.
NOTE: Authority cited: Secfion 12130, Penal Code. Reference: Sections 12001.6,
12021, 12026.1, 12071 and 12126-12131.5, Penal Code.
History
1 . New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of sec-
fion, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000,
No. 50).
3. Change without regulatory effect renumbering section 968.31 to section 4051
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 968.32. Pre-DOJ-Certification Requirements.
NOTE: Authority cited: Sections 12127, 12128, 12130 and 12131.5, Penal Code.
Reference: Sections 12071, 12126 and 12130, Penal Code.
History
1 . New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL
10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.32 to section 4052
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of RegulaUons
(Register 2006, No. 26).
§ 968.33. Grounds for Denial.
NOTE: Authority cited: Secfion 12130, Penal Code. Reference: Sections 12026.1,
12071, 12126-12128 and 12130, Penal Code; and Chapter 5 (commencing with
Section 1 1500), Part 1, Division 3, Title 2 of the Government Code.
History
1 . New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of sec-
tion, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000,
No. 50).
3. Change without regulatory effect renumbering section 968.33 to section 4053
filed 6-28-2006 pursuant to secfion 1 00, title 1 , California Code of Resulations
(Register 2006, No. 26).
§ 968.34. DOJ-Certification Period.
NOTE: Authority cited: Section 12130, Penal Code. Reference; Sections
12125-12128 and 12130, Penal Code.
History
1 . New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL
10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.34 to section 4054
filed 6-28-2006 pursuant to section 1 00, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 968.35. Processing Times.
NOTE: Authority cited: Secfions 15374-15378, Government Code. Reference:
Secfions 15374-15378, Government Code; and Secfion 12130, Penal Code.
History
1 . New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of sec-
fion, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000,
No. 50).
3. Repealer filed 1-19-2005; operative 1-1 9-2005 pursuant to Government Code
secfion 1 1343.4 (Register 2005, No. 3).
§ 968.36. Appeal Process
NOTE: Authority cited: Sections 15374-15378, Government Code. Reference;
Secfions 15374-15378, Government Code; and Section 12130, Penal Code.
History
1 . New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
1 0-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of sec-
fion, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000,
No. 50).
3. Change without regulatory effect renumbering section 968.36 to section 4055
filed 6-28-2006 pursuant to secfion 1 00, tifie 1 , California Code of Regulations
(Register 2006, No. 26).
Article 4. Operational Requirements:
Absence of Conflict of Interest; Security and
Safety Requirements; Licensing/Minimum
Standards Compliance; Which Handguns
Must Be Tested, Who May Submit
Handguns, Submission Requirements;
Testing Procedures; Test Reporting;
Required Records, Retention Periods,
Reporting Changes; Off-Site Locations;
Inspections
§ 968.40. Absence of Conflict of Interest.
NOTE: Authority cited: Secfion 12130, Penal Code. Reference: 12125, 12127 and
12128, Penal Code.
History
1 . New article 4 (secfions 968.40-968.48) and secfion filed 6-29-2000 as an emer-
gency; operafive 6-29-2000 (Register 2000, No. 26). A Certificate of Com-
pliance must be transmitted to OAL by 10-27-2000 or emergency language
will be repealed by operafion of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of sec-
tion, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000,
No. 50).
3. Change without regulatory effect renumbering section 968.40 to section 4056
filed 6-28-2006 pursuant to secfion 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Page 36
Register 2006, No. 26; 6-30-2006
Title 11
Attorney General
§ 968.60
§ 968.41 . Security and Safety.
NOTE; Authority cited: Section 12130, Penal Code. Reference: Sections 12026.1
and 12130, Penal Code.
History
1 . New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL
10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.41 to section 4057
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 968.42. Licensing/Minimum Standards Compliance.
NOTE: Authority cited: Section 12130, Penal Code. Reference: Section 12001.6,
12021, 12071, 12128 and 12130, Penal Code.
History
1 . New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. CerUficate of Compliance as to 6-29-2000 order transmitted to OAL
10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.42 to section 4058
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 968.43. Which Handguns Must Be Tested, Who May
Submit Handguns, Submission Requirements.
NOTE: Authority cited: Sections 1 2 1 27, 1 2 1 28 and 1 2 1 30. Penal Code. Reference:
Sections 12126-12131.5, Penal Code.
History
1 . New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
1 0-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Cerfificate of Compliance as to 6-29-2000 order transmitted to OAL
10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.43 to section 4059
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 968.44. Testing Procedures.
NOTE; Authority cited: Sections 12126, 12127, 12128 and 12130, Penal Code.
Reference: Sections 12125-12131.5, Penal Code.
History
1 . New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of sec-
tion, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000,
No. 50).
3. New subsection (c)(5), amendment of subsection (d)(4) and new subsections
(d)(6) and (f) filed 1-19-2005; operative 1-19-2005 pursuant to Government
Code section 1 1343.4 (Register 2005, No. 3).
4. New subsections (c)(l)-(d)(2) and (i), subsection relettering and amendment of
newly designated subsection (f)(2) filed 5-22-2006; operative 5-22-2006 pur-
suant to Government Code section 1 1343.4 (Register 2006, No. 21).
5. Change without regulatory effect renumbering section 968.44 to section 4060
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 968.45. Test Reporting.
NOTE; Authority cited: Section 12130, Penal Code. Reference: Sections
12127-12131.5, Penal Code.
History
1 . New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
1 0-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of sec-
tion, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000,
No. 50).
3. Change without regulatory effect renumbering section 968.45 to section 4061
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 968.46. Required Records, Retention Periods, Reporting
Changes.
NOTE: Authority cited: Sections 12126, 12129 and 12130, Penal Code. Reference:
Sections 12001.6, 12021 and 12125-12131.5, Penal Code.
History
1 . New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
1 0-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of sec-
tion, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000,
No. 50).
3. Amendment of subsection (a)(5), new subsection (a)(9) and subsection renum-
bering filed 5-22-2006; operative 5-22-2006 pursuant to Government Code
section 1 1343.4 (Register 2006, No. 21 ).
4. Change without regulatory effect renumbering section 968.46 to .section 4062
filed 6-28-2006 pursuant to section 100, title 1, California Code of Reeulations
(Register 2006, No. 26).
§ 968.47. Off-Site Location.
NOTE; Authority cited: Section 12130, Penal Code. Reference: Sections 12127,
12128 and 12130, Penal Code.
History
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL
10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.47 to section 4063
filed 6-28-2006 pursuant to section 100, titie 1 , California Code of Regulations
(Register 2006, No. 26).
§ 968.48. Inspections.
NOTE; Authority cited: Section 12130, Penal Code. Reference: Sections 12126,
12127, 12128 and 12130, Penal Code.
History
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of sec-
tion, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000,
No. 50).
3. Change without regulatory effect renumbering section 968.48 to section 4064
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Article 5. Application Fees
§ 968.50. Application Fees.
NOTE; Authority cited: Section 12130, Penal Code. Reference: Sections 12127,
12128 and 12130, Penal Code.
History
1. New article 5 (section 968.50) and section filed 6-29-2000 as an emergency;
operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance
must be transmitted to OAL by 10-27-2000 or emergency language will be re-
pealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of sec-
tion, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000,
No. 50).
3. Change without regulatory effect renumbering section 968.50 to section 4065
filed 6-28-2006 pursuant to section 1 00, title f, California Code of Regulations
(Register 2006, No. 26).
Article 6. DOJ-Certification Revocation
§ 968.60. DOJ-Certification Revocation.
NOTE; Authority cited: Section 12130, Penal Code. Reference: Sections 12127,
12128 and 12130, Penal Code; and Chapter 5 (commencing with section 1 1500),
Part 1, Division 3, Title 2 of the Government Code.
History
1. New article 6 (section 968.60) and section filed 6-29-2000 as an emergency;
operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance
must be transmitted to OAL by 10-27-2000 or emergency language will be re-
pealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of sec-
tion, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000,
No. 50).
Page 37
Register 2006, No. 28; 7-14-2006
§ 968.70
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
3. New subsection (a)(5) filed 1-19-2003; operative 1-19-2005 pursuant to Gov-
ernment Code section 1 1343.4 (Register 2005, No. 3).
4. Change without regulatory effect renumbering section 968.60 to section 4066
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register2006, No. 26).
Article 7. DOJ-Certification Renewal:
DOJ-Certification Renewal Procedures;
DOJ-Certificatlon After Expiration
§ 968.70. DOJ-Certification Renewal Procedures.
NOTE: Authority cited: Section 12130, Penal Code. Reference: Sections 12001.6.
12021, 12026.1, 12071 and 12126-12131.5, Penal Code.
History
1 . New article 7 (sections 968.70-968.7 1 ) and section filed 6-29-2000 as an emer-
gency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Com-
pliance must be transmitted to OAL by 10-27-2000 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of sec-
tion, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Reaister 2000,
No. 50).
3. Change without regulatory effect renumbering section 968.70 to section 4067
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 968.71 . DOJ-Certification After Expiration.
NOTE: Authority cited: Secfion 12130, Penal Code. Reference: Sections 12125,
12127, 12128 and 12130, Penal Code.
History
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
1 0-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL
10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.71 to section 4068
filed 6-28-2006 pursuant to section 1 00, tide 1 , California Code of Regulations
(Register 2006, No. 26).
Article 8.
Service of Notices, Orders, and
Communications
§ 968.80. Service of Notices, Orders, and
Communications.
NOTE: Authority cited: Sections 12129-12131.5, Penal Code. Reference: Sec-
tions 12126-12133, Penal Code.
History
1. New article 8 (section 968.80) and section filed 6-29-2000 as an emergency;
operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance
must be transmitted to OAL by 10-27-2000 or emergency language will be re-
pealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL
10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.80 to section 4069
filed 6-28-2006 pursuant to section 100, tide 1, California Code of Regulations
(Register 2006, No. 26).
Article 9. Roster of Certified Handguns;
Roster of Certified Handgun Listing Renewal
Procedures
3. Change without regulatory effect renumbering section 968.90 to section 4070
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Reeulations
(Register 2006, No. 26).
§ 968.91. Roster of Certified Handgun Listing Renewal
Procedures.
NOTE: Authority cited: Sections 12131 and 12131.5, Penal Code. Reference: Sec-
tions 12125-12133, Penal Code.
History
1 . New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register
2000, No. 26). A Certificate of Compliance must be transmitted to OAL by
1 0-27-2000 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 6-29-2000 order, includine amendment of sec-
tion, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000,
No. 50).
3. Change without regulatory effect renumbering section 968.91 to section 4071
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register2006, No. 26).
Article 10.
Fees for the Roster of Certified
Handguns
§ 968.95. Fees for the Roster of Certified Handguns.
NOTE: Authority cited: Sections 12131 and 12131.5, Penal Code. Reference: Sec-
tions 12126 and 12129-12131.5, Penal Code.
History
L New article 10 (section 968.95) and section filed 6-29-2000 as an emergency;
operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance
must be transmitted to OAL by 1 0-27-2000 or emergency language will be re-
pealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL
10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.95 to section 4072
filed 6-28-2006 pursuant to section 100, title \, California Code of Regulations
(Register 2006, No. 26).
§ 968.97. Annual Retest of up to 5 Percent of Certified
Handgun l\/lodels.
NOTE: Authority cited : Section 12131, Penal Code . Reference: Section 1 2 1 3 1 , Pe-
nal Code.
History
1. New section filed 1-19-2005; operative 1-19-2005 pursuant to Government
Code section 11343.4 (Register 2005, No. 3).
2. Change without regulatory effect renumbering section 968.97 to section 4073
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 968.99. Reinstatement of Handguns Removed from the
Roster of Certified Handguns.
NOTE: Authority cited: Section 12131, Penal Code. Reference: Section 12131, Pe-
nal Code.
History
1. New section filed 1-19-2005; operative 1-19-2005 pursuant to Government
Code section 11343.4 (Register 2005, No. 3).
2. Change without regulatory effect renumbering section 968.99 to section 4074
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
Chapter 12.5. Dangerous Weapons
Article 1. General Provisions
§ 968.90. Roster of Certified Handguns.
NOTE: Authority cited: Sections 12131 and 12131 .5, Penal Code. Reference: Sec-
tions 12125-12133, Penal Code.
History
1 . New article 9 (sections 968.90-968.91 ) and section filed 6-29-2000 as an emer-
gency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Com-
pliance must be transmitted to OAL by 1 0-27-2000 or emergency language
will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL
10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
§ 970. Title.
NOTE: Authority cited: Sections 12095, 12230, 12250, 12350 and 12306, Penal
Code. Reference: Sections 12095, 12230, 12250 and 12305, Penal Code.
History
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Gov-
ernment Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering division 1 , chapter 12.5 (articles
1-7, sections 970-976.4) to division 5, chapter 7 (articles 1-7, sections
4125-4153) and renumbering section 970 to section 4125 filed 6-28-2006 pur-
Page 38
Register 2006, No. 28; 7-14-2006
Title 11
Attorney General
§ 972.9
suant to section 100, title 1. California Code of Resjulations (Register 2006, No.
26).
§970.1. Scope.
NOTK: Authority cited: Sections 12093, 12230, 12250. 12303 and 12306, Penal
Code. Reference: Sections 12093. 12230, 12230 and 12303, Penal Code.
History
1. New section filed 4-29-88; operative 3-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operative 3-30-2003 pursuant to Gov-
ernment Code section 1 1343.4 (Register 2003. No. 13).
3. Change without regulatory effect renumbering section 970.1 to section 4126
filed 6-28-2006 pursuant to section 1 00. title 1 , California Code of Regulations
(Register 2006, No. 26).
2. Change without regulatory effect renumbering section 972.3 to section 4131
filed 6-28-2006 pursuant to section 100, title I, California Code of Regulations
(Register 2006, No. 26).
Article 2. Definitions
§ 971 . Definition of Key Terms.
NOTE: Authority cited: Sections 12095, 12200, 12230, 12250. 12286 and 12305,
Penal Code. Reference: Sections 12020. 12095, 12096, 12200, 12230, 12231,
12230, 12286 and 12305, Penal Code.
History
1. New section filed 4-29-88; operative 3-29-88 (Register 88, No. 19).
2. Amendment filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
3. Amendment of subsections (b), (d)-(f) and (j) and new subsections (q)-(u) filed
3-30-2005; operative 3-30-2003 pursuant to Government Code section
1 1343.4 (Register 2003, No. 13).
4. Change without regulatory effect renumbering section 971 to section 4127 filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
Article 3. Licenses and Permits
§ 972. General.
NOTE; Authority cited: Secfions 12095, 12230, 12250, 12286 and 12305, Penal
Code. Reference: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code.
History
1. New secfion filed 4-29-88; operafive 5-29-88 (Register 88, No. 19).
2. Amendment filed 12-29-89; operative 1-1-90 (Register 90. No. 2).
3. Amendment of subsections (c)(l )-(3) and (c)(6) and new subsections (c)(7)-(8)
filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section
11 343 .4 (Register 2005, No. 13).
4. Change without regulatory effect renumbering section 972 to section 4128 filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 972.1. Limited Term Permits/Licenses; Conditions.
NOTE: Authority cited: Sections 12095, 12230, 12250 and 12305, Penal Code.
Reference: Sections 12093, 12230, 12231, 12250 and 12305, Penal Code.
History
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of subsection (a) and amendment of Ncm- filed 3-30-2003; opera-
tive 3-30-2005 pursuant to Government Code section 1 1343.4 (Register 2005,
No. 13).
3. Change without regulatory effect renumbering section 972.1 to section 4129
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 972.2. Record Keeping.
NOTE: Authority cited: Sections 12095, 12097, 12230, 12250, 12286 and 12305,
Penal Code. Reference: Sections 12095, 12097, 12230, 12250, 12286 and 12305,
Penal Code.
History
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
3. Repealer and new section filed 3-30-2005; operative 3-30-2005 pursuant to
Government Code section 1 1343.4 (Register 2005, No. 13).
4. Change without regulatory effect renumbering section 972.2 to section 4130
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 972.3, Disposition of Trade-in Machine Guns.
NOTE: Authority cited: Sections 12250 and 12251, Penal Code. Reference: Sec-
fions 12250 and 12251, Penal Code.
History
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
Article 3.5. Documentation of Necessity
§ 972.4. Sales.
NOTE: Authority cited: Sections 12095, 12230, 12250, 12286, 12290 and 12305,
Penal Code. Reference: Secfions 12095, 12230, 12250, 12286, 12290 and 12305,
Penal Code.
History
1. New section filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
2. Editorial correction of article heading (Register 95, No. 14).
3. Amendment of section heading and subsection (a)(4) filed 3-30-2005; opera-
tive 3-30-2005 pursuant to Government Code section 1 1343.4 (Register 2005,
No. 13).
4. Change without regulatory effect renumbering section 972.4 to section 4132
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 972.5. Training; Research & Development; and/or
Manufacturing.
NOTE: Authority cited: Secfions 12095, 12230, 12250, 12286 and 12305, Penal
Code. Reference: Secfions 12095, 12230, 12250, 12286 and 12305, Penal Code.
History
1. New secfion filed 12-29-89; operafive 1-1-90 (Register 90, No. 2).
2. Amendment of secfion heading and subsections (a) and (a)(2) filed 3-30-2005;
operafive 3-30-2005 pursuant to Government Code section 1 1343.4 (Register
2005, No. 13).
3. Change without regulatory effect renumbering section 972.5 to section 4133
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 972.6. Commercial Motion Picture, Television
Production, or Other Commercial
Entertainment Event.
NOTE: Authority cited: Secfions 12093, 12230, 12230. 12286 and 12303, Penal
Code. Reference: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code.
History
1. New secfion filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
2. Amendment of secfion heading and subsection (a) and new subsecfion (b) filed
3-30-2005; operative 3-30-2005 pursuant to Government Code section
1 1343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering secfion 972.6 to secfion 4134
filed 6-28-2006 pursuant to secfion 1 00, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 972.7. Collection of Destructive Devices.
Note: Authority cited: Secfions 12095, 12230, 12250, 12286 and 12305, Penal
Code. Reference: Secfions 12095, 12230, 12230, 12286 and 12305, Penal Code.
History
1. New secfion filed 12-29-89; operafive 1-1-90 (Register 90, No. 2).
2. Amendment of subsection (a)(1) filed 3-30-2005; operafive .3-30-2005 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering secfion 972.7 to secfion 4133
filed 6-28-2006 pursuant to secfion 100, fitle 1, California Code of Regulations
(Register 2006, No. 26).
§ 972.8. Repair and Maintenance.
Note: Authority cited: Secfions 12095, 12230, 12250, 12286 and 12305, Penal
Code. Reference: Secfions 12093, 12230, 12250, 12286 and 12305, Penal Code.
History
1. New secfion filed 12-29-89; operafive 1-1-90 (Register 90, No. 2).
2. Change without regulatory effect renumbering secfion 972.8 to section 4136
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 972.9. Activities Sanctioned by Military — Assault
Weapons.
Note: Authority cited: Section 12286, Penal Code. Reference: Secfion 12286, Pe-
nal Code.
History
1. New section filed 12-29-89; operafive 1-1-90 (Register 90, No. 2).
2. Amendment of section heading, secfion and Note filed 3-30-2005; operative
3-30-2005 pursuant to Government Code secfion 1 1343.4 (Register 2005, No.
13).
3. Change without regulatory effect renumbering section 972.9 to secfion 4137
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Page 39
Register 2006, No. 26; 6-30-2006
§973
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Article 4. Investigations
§ 973. General.
NOTE:: Authority cited; Sections 12095, 12230, 12250 and 12305, Penal Code.
Reference: Sections 12050, 12095, 12230, 12250 and 12305, Penal Code; and
Sections 1 100, 1 101. 1102, 1103 and 1105, Evidence Code.
History
1. New section filed 4-29-88; operative 5-29-88 (Register 88. No. 19).
2. Amendment of N(m: filed 3-30-2005; operative 3-30-2005 pursuant to Gov-
ernment Code section 1 1343.4 (Register 2005. No. 13).
3. Change without regulatory effect renumbering section 973 to section 4138 filed
6-28-2006 pursuant to section 100, title 1. California Code of Regulations
(Register 2006, No. 26).
§ 973,1 . Investigation of New Information.
NOTE: Authority cited: Sections 12095, 12230, 12250 and 12305, Penal Code.
Reference; Sections 12095, 12230. 12250 and 12305, Penal Code.
History
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Gov-
ernment Code section 1 1343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 973.1 to section 4139
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulafions
(Register 2006, No. 26).
Article 5. Security
§ 974. General Compliance.
NOTE; Authority cited: Secfions 12095, 12230, 12250 and 12305, Penal Code.
Reference: Sections 12095, 12230, 12250 and 12305, Penal Code.
History
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of article heading and section heading, repealer and new section
and amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to
Government Code section 1 1343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 974 to section 4 1 40 filed
6-28-2006 pursuant to section 100, fitle 1, California Code of Regulations
(Register 2006, No. 26).
§ 974.1 . Security Requirements.
NOTE: Authority cited: Sections 12095, 12230, 12250, 12276 and 12305, Penal
Code. Reference: Sections 12095, 12230, 12250, 12276 and 12305, Penal Code.
History
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
3. Amendment of section heading, first paragraph, subsections (a)(3), (c) and
(c)(1) and Note filed 3-30-2005; operative 3-30-2005 pursuant to Govern-
ment Code section 1 1343.4 (Register 2005, No. 13).
4. Change without regulatory effect renumbering section 974.1 to section 4141
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Article 6. Application Forms, Processing
Time, Reporting Requirements, Renewals,
Fees, Denials, Revocations
§ 975. Application Forms.
NOTE: Authority cited: Sections 12096, 12231, 12250. 12286 and 12305, Penal
Code. Reference; Sections 12096, 12231, 12250, 12286 and 12305, Penal Code.
History
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment filed 12-29-89; operafive 1-1-90 (Register 90, No. 2).
3. Amendment of article heading, section heading and section filed 3-30-2005;
operative 3-30-2005 pursuant to Government Code secfion 1 1343.4 (Register
2005, No. 13).
4. Change without regulatory effect renumbering secfion 975 to secfion 4142 filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§975.1. Processing Time.
NOTE: Authority cited: Section 15376. Government Code. Reference: Sections
12095, 12230, 12250, 12305 and 12306. Penal Code.
History
1. New secfion filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Repealer filed 3-30-2005; operative 3-30-2005 pursuant to Government Code
section 1 1343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 975.1 to section 4143
filed 6-28-2006 pursuant to section 100, title 1 . California Code of Reeulations
(Register2006, No. 26).
§ 975.2. Renewal of Permit/License.
NOTE: Authority cited; Sections 12095. 12230, 12250 and 12305, Penal Code.
Reference; Sections 12095, 12096. 12230, 12231, 12250, 12286, 12287 and
12305, Penal Code.
History
1. New secfion filed 4-29-88; operative .5-29-88 (Register 88, No. 19).
2. Amendment of subsections (a), (c) and (d), repealer of subsections (d)-(d)(4)
and amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to
Government Code section 1 1343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering secfion 975.2 to secfion 4144
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 975.3. Fees.
NOTE: Authority cited; Sections 12096, 12231. 12250. 12286, 12287 and 12305,
Penal Code; and Stats. 2002, ch. 1 106 (Senate Bill 1312). Sec. 3, Stats. 2002, ch.
910 (Assembly Bill 2580), Sec. 3-7. Reference: Sections 12096, 12231, 12250,
12286, 12287 and 12305, Penal Code; and Stats. 2002, ch. 1106 (Senate Bill
1312), Sec. 3, Stats. 2002, ch. 910 (Assembly Bill 2580), Sec. 3-7.
History
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of section and Note filed 3-30-2005; operafive 3-30-2005 pur-
suant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering secfion 975.3 to secfion 4145
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 975.4. Denial of Application, Reasons, Reconsideration.
NOTE: Authority cited; Sections 12095, 12230, 12250 and 12305, Penal Code.
Reference; Sections 12095, 12098, 12230, 12233, 12250 and 12305, Penal Code.
History
1. New section filed 4-29-88; operafive 5-29-88 (Register 88, No. 19).
2. Amendment of subsection (b) and Note filed 3-30-2005; operative 3-30-2005
pursuant to Government Code secfion 1 1343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering secfion 975.4 to section 4146
filed 6-28-2006 pursuant to section 1 00, tide 1 , California Code of Regulations
(Register 2006, No. 26).
§ 975.5. Revocation and/or Denial of Renewal of
Permit/License, Reasons.
NOTE: Authority cited: Secfions 12095, 12098, 12230, 12250 and 12305. Penal
Code.
History
1. New secfion filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of section heading, subsecfion (a)(7) and Note filed 3-30-2005;
operative 3-30-2005 pursuant to Government Code section 1 1343.4 (Register
2005, No. 13).
3. Change without regulatory effect renumbering section 975.5 to section 4147
filed 6-28-2006 pursuant to secfion 1 00, title 1 . California Code of Regulations
(Register 2006, No. 26).
§ 975.6. Waiting Period.
NOTE: Authority cited; Secfions 12095, 12098, 12230, 12250 and 12305, Penal
Code. Reference; Sections 12095, 12098, 12230, 12250 and 12305, Penal Code.
History
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operafive 3-30-2005 pursuant to Gov-
ernment Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering secfion 975.6 to secfion 4148
filed 6-28-2006 pursuant to secfion 100, title 1, California Code of Regulations
(Register 2006, No. 26).
Article 7. Appeal Process
§ 976. Notice of Revocation or Notice of Denial of
Renewal.
NOTE; Authority cited: Sections 12095, 12098, 12230, 12250 and 12305, Penal
Code. Reference: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code.
Page 40
Register 2006, No. 26; 6-30-2006
Title 11
Attorney General
§ 977.30
History
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Ntm-; filed 3-30-2005; operative 3-30-2005 pursuant to Gov-
ernment Code section 1 1343.4 (Register 2005. No. 13).
3. Change without regulator}' effect renumbering section 976 to section 4149 filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 976.1 . Administrative Hearing.
NOTE; Authority cited: Secdons 12095, 12098, 12230, 12250 and 12305, Penal
Code. Reference: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code;
and Section 1 1512, Government Code.
History
1. New section filed 4-29-88: operative 5-29-88 (Register 88, No. 19).
2. Amendment of NoTK filed 3-30-2005; operative 3-30-2005 pursuant to Gov-
ernment Code section 1 1343.4 (Register 2005, No. 13).
3. Change without regulatory' effect renumbering section 976.1 to section 4150
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 976.2. Time and Place of Administrative Hearing.
NOTE: Authority cited: Sections 12095, 12098, 12230. 12250 and 12305, Penal
Code. Reference: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code.
History
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Gov-
ernment Code section 1 1343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 976.2 to section 4151
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 976.3. Evidence Rules.
NOTE; Authority cited: Sections 12095, 12098, 12230, 12250 and 12305, Penal
Code. Reference: Secdons 12095, 12098, 12230, 12250 and 12305, Penal Code;
and Section 11513, Government Code.
History
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operadve 3-30-2005 pursuant to Gov-
ernment Code secdon 11 343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 976.3 to section 4152
filed 6-28-2006 pursuant to section 1 00, dde 1 , California Code of Reguladons
(Register 2006, No. 26).
§ 976.4. Proposed Decision.
NOTE; Authority cited: Sections 12095, 12098, 12230, 12250 and 12305, Penal
Code. Reference; Sections 12095, 12098, 12230, 12250 and 12305, Penal Code.
History
1. New secdon filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operadve 3-30-2005 pursuant to Gov-
ernment Code section 1 1343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 976.4 to secdon 4153
filed 6^28-2006 pursuant to section 100, dtle 1, California Code of Reguladons
(Register 2006, No. 26).
Chapter 12.6. Department of Justice
Regulations for Certified Firearms Safety
Device Laboratories, Firearms Safety Device
Standards and Testing, and Standards for
Gun Safes
Article 1 .
General: Title; Scope; Extensions
for Compliance
§ 977.1 0. Title and Scope.
NOTE; Authority cited: Secdons 12088 and 12088.2, Penal Code. Reference: Sec-
dons 12088 and 12088.2, Penal Code.
History
I. New chapter 12.6 (articles 1-8, secdons 977.10-977.90), article 1 (secdons
977.10-977.15) and secdon filed 2-1-2001 as an emergency; operadve
2-1-2001 (Register 2001, No. 5). A Certificate of Comphance must be trans-
mitted to OAL by 6-1-2001 or emergency language will be repealed by opera-
tion of law on the following day. For prior history of section 977. 1 0. see Reeistcr
2000, No. 30.
2. New chapter 12.6 (articles 1-8, secdons 977.10-977.90). article 1 (.sections
977.10-977.15) and secdon refiled 5-18-2001 as an emergency; operative
5-18-2001 (Register 2001, No. 20). A Certificate of Comphance must be trans-
mitted to OAL by 9-1 7-2001 or emergency language will be repealed by opera-
tion of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatoiy effect renumbering division 1 , chapter 1 2.6 ( articles
1-8, secdons 977.10-977.90) to division 5, chapter 6 (articles 1-8, sections
4080-4109) and renumbering section 977.10 to section 4080 filed 6-28-2006
pursuant to secdon 100, title 1 , California Code of Regulations (Register 2006,
No. 26).
§ 977.15. Extensions for Compliance.
NOTE; Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
dons 12088 and 12088.2, Penal Code.
History
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day.
2. New secdon refiled 5-18-2001 as an emergency; operative 5-18-2001 (Regis-
ter 2001 , No. 20). A Certificate of Compliance must be transmitted to OAL by
9-17-2001 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL bv
8-14-2001 and filed 9-26-2001 (Register 2001, No, 39).
4. Change without regulatory effect renumbering section 977.15 to section 4081
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Reeulations
(Register 2006, No. 26).
Article 2. Definition of Key Terms
§ 977.20. Definition of Key Terms.
NOTE; Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
dons 12088 and 12088.2, Penal Code.
History
1 . New article 2 (section 977.20) and section filed 2-1-2001 as an emergency; op-
eradve 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be
transmitted to OAL by 6-1-2001 or emergency language will be repealed by
operadon of law on the following day. For prior history of section 977.20, see
Register 2000, No. 30.
2. New article 2 (secdon 977.20) and secdon refiled 5-1 8-2001 as an emergency;
operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance
must be transmitted to OAL by 9-17-2001 or emergency language will be re-
pealed by operation of law on the following day.
3. Certificate of Comphance as to 5-18-2001 order, includinc amendment of sub-
section (d), transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register
2001, No. 39).
4. Amendment of subsection (h) filed 12-4-2002 as an emergency; operative
12-4-2002 (Register 2002, No. 49). A Certificate of Compliance must be trans-
mitted to OAL by 4-3-2003 or emergency language will be repealed by opera-
tion of law on the following day.
5. Amendment of subsection (h) refiled 4-3-2003 as an emergency; operative
4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be trans-
mitted to OAL by 8-1-2003 or emergency language will be repealed by opera-
tion of law on the following day.
6. Certificate of Compliance as to 4—3-2003 order, including amendment of sub-
sections (a) and (n) and new subsection (y), transmitted to OAL 7-28-2003 and
filed 8-25-2003 (Register 2003, No. 35).
7. Change without regulatory effect renumbering secdon 977.20 to section 4082
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Article 3. Certified FSD Laboratories
§ 977.30. Who Must be a Certified FSD Laboratory.
NOTE; Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New article 3 (sections 977.30-977.36) and section filed 2-1-2001 as an emer-
gency; operative 2-1-2001 (Register 2001 . No. 5). A Certificate of Compliance
must be transnutted to OAL by 6-1-2001 or emergency language will be re-
pealed by operation of law on the following day.
2. New article 3 (sections 977.30-977.36) and section refiled 5-18-2001 as an
emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of
Page 41
Register 2006, No. 26; 6-30-2006
§ 977.31
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Compliance must be transmitted to OAL by 9-17-2001 or emergency language
will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.30 to section 4083
filed 6-28-2006 pursuant to section 100, title 1, California Code of Reeulations
(Register 2006, No. 26).
§ 977.31 . Application for Firearms Safety Device
Laboratory Certification.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day. For prior history, see Register 2000, No. 30.
2. New section refiled 5-1 8-2001 as an emergency; operative 5-1 8-2001 (Regis-
ter 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-17-2001 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.31 to section 4084
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register2006, No. 26).
§ 977.32. Pre-Certification Requirements.
NOTE: Authority cited: Secfions 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day. For prior history, see Register 2000, No. 30.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Regis-
ter 2001. No. 20). A Certificate of Compliance must be transmitted to OAL by
9-17-2001 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.32 to section 4085
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 977.33. Grounds for Denial.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day. For prior history, see Register 2000, No. 30.
2. New section refiled 5-18-2001 as an emergency, including amendment of sub-
section (a); operative 5-18-2001 (Register 2001 , No. 20). A Certificate of Com-
pliance must be transmitted to OAL by 9-1 7-2001 or emergency language will
be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.33 to section 4086
filed 6-28-2006 pursuant to section 1 00, title 1 , Cahfomia Code of Regulations
(Register 2006, No. 26).
§ 977.34. Certification Period for Certified FSD
Laboratories.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day. For prior history, see Register 2000, No. 30.
2. New secfion refiled 5-18-2001 as an emergency; operative 5-18-2001 (Regis-
ter 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-17-2001 or emergency language will be repealed by operafion of law on the
following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.34 to section 4087
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 977.35. Processing Times.
NOTE: Authority cited: Section 15376. Government Code; and Sections 12088
and 12088.2. Penal Code. Reference: Section 15376, Government Code; and Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day. For prior history, see Register 2000, No. 30.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Regis-
ter 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-17-2001 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.35 to section 4088
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 977.36. Appeal Process.
NOTE: Authority cited: Section 15378, Government Code; and Sections 12088
and 12088.2, Penal Code. Reference: Section 15378, Government Code; and Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Ceitificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day. For prior history, see Register 2000, No. 30.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Regis-
ter 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-1 7-2001 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.36 to section 4089
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
Article 4. Operational Requirements,
Firearms Safety Device Standards, Gun Safe
Standards, Proof of Purchase or Ownership
of a Gun Safe, Affixation of Required
Warning
§ 977.40. Absence of Conflict of Interest.
NOTE: Authority cited: Secdons 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1 . New article 4 (sections 977.40-977.51 ) and section filed 2-1-2001 as an emer-
gency; operative 2-1-2001 (Register2001,No. 5). A Certificate of Compliance
must be transmitted to OAL by 6-1-2001 or emergency language will be re-
pealed by operation of law on the following day.
2. New article 4 (sections 977.40-977.55) and secfion refiled 5-18-2001 as an
emergency, including amendment of article heading and subsections
(b)-(b)(3); operative 5-18-2001 (Register 2001, No. 20). A Certificate of Com-
pliance must be transmitted to OAL by 9-1 7-200 1 or emergency language will
be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.40 to section 4090
filed 6-28-2006 pursuant to section 1 00, tide 1 , California Code of Regulations
(Register 2006, No. 26).
§ 977.41 . Security and Safety.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New secfion filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day.
2. New secfion refiled 5-1 8-2001 as an emergency, including amendment of sub-
section (a)(5); operative 5-18-2001 (Register 2001, No. 20). A Certificate of
Page 42
Register 2006, No. 26; 6-30-2006
Title 11
Attorney General
§ 977.48
Compliance must be transmitted to OAL by 9-17-2001 or emergency language
will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatoi^ effect renumbering section 977.41 to section 4091
filed 6-28-2006 pursuant to section 100. title 1. California Code of Regulations
(Register2006, No. 26).
§ 977.42. Licensing/Minimum Standards Compliance.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 5-1 8-2001 as an emergency; operative 5-1 8-2001 (Regis-
ter 2001 , No. 20). A Certificate of Compliance must be transmitted to OAL by
9-17-2001 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.42 to section 4092
filed 6-28-2006 pursuant to section 100, dtle 1, California Code of Regulations
(Register 2006, No. 26).
§ 977.43. Firearms Safety Devices Testing and Submission
Requirements.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Regis-
ter 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-17-2001 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Amendment of subsections (a), (c)(2)(B) and (c)(3)(D) filed 12-4-2002 as an
emergency; operative 12-4-2002 (Register 2002, No. 49). A Certificate of
Compliance must be transmitted to OAL by 4-3-2003 or emergency language
will be repealed by operation of law on the following day.
5. Amendment of subsections (a), (c)(2)(B) and (c)(3)(D) refiled 4-3-2003 as an
emergency; operative 4-3-2003 (Register 2003, No. 14). A Certificate of Com-
pliance must be transmitted to OAL by 8-1-2003 or emergency language will
be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-3-2003 order transmitted to OAL 7-28-2003
and filed 8-25-2003 (Register 2003, No. 35).
7. Change without regulatory effect renumbering section 977.43 to section 4093
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 977.44. Firearms Safety Device Standards.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 5-1 8-2001 as an emergency, including new subsection (e);
operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance
must be transmitted to OAL by 9-17-2001 or emergency language will be re-
pealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order, including amendment of sub-
section (d), transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register
2001, No. 39).
4. Amendment of subsections (b) and (e) filed 12-4-2002 as an emergency; opera-
tive 12-^2002 (Register 2002, No. 49). A Certificate of Compliance must be
transmitted to OAL by 4-3-2003 or emergency language will be repealed by
operafion of law on the following day.
5. Amendment of subsections (b) and (e) refiled 4-3-2003 as an emergency; op-
erative 4-3-2003 (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.
6. Certificate of Compliance as to 4-3-2003 order, including further amendmcnl
of subsection (b), transmitted to OAL 7-28-2003 and filed 8-25-2003 (Regis-
ter 2003, No. 35).
7. Change without regulatory effect renumbering section 977.44 to section 4094
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 977.45. Testing Procedures.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New secnon filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 5-18-2001 as an emergency, including amendment of sec-
tion; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Com-
pliance must be transmitted to OAL by 9-1 7-2001 or emergency language will
be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order, including amendment of sec-
tion, transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001.
No. .39).
4. Amendment filed 12-4-2002 as an emergency; operative 12-4-2002 (Register
2002, No. 49). A Certificate of Compliance must be transmitted to OAL by
4-3-2003 or emergency language will be repealed by operation of law on the
following day.
5. Amendment refiled 4-3-2003 as an emergency; operative 4-3-2003 (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.
6. Certificate of Compliance as to 4-3-2003 order, including further amendment
of section, transmitted to OAL 7-28-2003 and filed 8-25-2003 (Register 2003,
No. 35).
7. Change without regulatory effect renumbering section 977.45 to section 4095
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 977.46. Test Reporting.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 5-18-2001 as an emergency; operative 5-1 8-2001 (Regis-
ter 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-17-2001 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.46 to section 4096
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 977.47. Required Records, Retention Periods, Reporting
Changes.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New secfion filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 5-18-2001 as an emergency; operative 5- 18-2001 (Regis-
ter 2001 , No. 20). A Certificate of Compliance must be transmitted to OAL by
9-17-2001 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.47 to section 4097
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 977.48. Off-Site Location.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference; Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
Page 43
Register 2006, No. 26; 6-30-2006
§ 977.49
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
6-1-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 3-1 8-2001 as an emergency; operative 5-1 8-2001 (Regis-
ter 2001 . No. 20). A Certificate of Compliance must be transmitted to OAL by
9-17-2001 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001. No. 39).
4. Change without regulatory effect renumbering section 977.48 to section 4098
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 977.49. Inspections.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Regis-
ter 2001, No. 20). A Certificate of Comphance must be transmitted to OAL by
9-17-2001 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.49 to section 4099
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
.2, Penal Code. Reference: Sec-
§ 977.50. Gun Safe Standards.
NOTE; Authority cited: Sections 12088 and 12(
Uons 12088 and 12088.2, Penal Code.
History
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Regis-
ter 2001 , No. 20). A Certificate of Compliance must be transmitted to OAL by
9-17-2001 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 5-1 8-2001 order, including amendment of sec-
tion, transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001,
No. 39).
4. Amendment of subsection (b) filed 12-4-2002 as an emergency; operative
12-4-2002 (Register 2002, No. 49). A Certificate of Compliance must be trans-
mitted to OAL by 4-3-2003 or emergency language will be repealed by opera-
tion of law on the following day.
5. Amendment of subsection (b) refiled 4-3-2003 as an emergency; operative
4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be trans-
mitted to OAL by 8-1-2003 or emergency language will be repealed by opera-
tion of law on the following day.
6. Certificate of Comphance as to 4-3-2003 order, including further amendment
of subsections (a)(4) and (b). transmitted to OAL 7-28-2003 and filed
8-25-2003 (Register 2003, No. 35).
7. Change without regulatory effect renumbering secfion 977.50 to section 4100
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulafions
(Register 2006, No. 26).
§ 977.51 . Gun Safe — Proof of Ownership of an
Acceptable Gun Safe.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New secfion filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 5-18-2001 as an emergency; operafive 5-18-2001 (Regis-
ter 2001 , No. 20). A Certificate of Compliance must be transmitted to OAL by
9-17-2001 or emergency language will be repealed by operation of law on the
following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Amendment of subsection (a)(2) filed 12-4—2002 as an emergency; operative
12-4-2002 (Register 2002. No. 49). A Certificate of Compliance must be trans-
mitted to OAL by 4-3-2003 or emergency language will be repealed by opera-
tion of law on the following day.
5. Amendment of subsection (a)(2) refiled 4-3-2003 as an einergency; operative
4-3-2003 (Register 2003. No. 14). A Certificate of Compliance must be trans-
mitted to OAL by 8-1-2003 or emergency language will be repealed by opera-
tion of law on the following day.
6. Certificate of Compliance as to 4-3-2003 order transmitted to OAL 7-28-2003
and filed 8-25-2003 (Register 2003, No. 35).
7. Change without regulatory effect renumbering section 977.51 to section 4101
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 977.52. Lock Box — Proof of Ownership of an
Acceptable "Lock Box" Type Firearms Safety
Device.
Note: Authority cited: Sections 12088. 12088.1 and 12088.2, Penal Code. Refer-
ence: Sections 12088 and 12088.2. Penal Code.
History
1. New section filed 12-4—2002 as an emergency; operative 12^-2002 (Register
2002, No. 49). A Certificate of Compliance must be transmitted to OAL by
4-3-2003 or emergency language will be repealed by operation of law on the
following day.
2. New secfion refiled 4-3-2003 as an emergency; operafive 4-3-2003 (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.
3. Certificate of Compliance as to 4-3-2003 order transmitted to OAL 7-28-2003
and filed 8-25-2003 (Register 2003. No. 35).
4. Change without regulatory effect renumbering section 977.52 to section 4102
filed 6-28-2006 pursuant to section 100, fitle 1, California Code of Regulations
(Register 2006, No. 26).
§ 977.55. Required Warning Notice — Affixation to
Firearms Sold Without Accompanying
Packaging.
Note: Authority cited: Secfion 12088.3, Penal Code. Reference: Section 12088.3,
Penal Code.
History
1 . New section filed 5-18-2001 as an emergency; operative 5-18-2001 (Register
2001, No. 20). A Certificate of Comphance must be transmitted to OAL by
9-17-2001 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
3. Change without regulatory effect renumbering section 977.55 to section 4103
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Article 5. DOJ Suspension or Revocation
of FSD Laboratory Certification
§ 977,60. DOJ Suspension or Revocation of FSD
Laboratory Certification.
Note: Authority cited: Secfions 12088 and 12088.2, Penal Code. Reference: Sec-
lions 12088 and 12088.2, Penal Code.
History
1 . New art:icle 5 (secfion 977.60) and section filed 2-1-2001 as an emergency; op-
erative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be
transmitted to OAL by 6-1-2001 or emergency language will be repealed by
operation of law on the following day.
2. New article 5 (section 977.60) and section refiled 5-1 8-2001 as an emergency;
operafive 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance
must be transmitted to OAL by 9-17-2001 or emergency language will be re-
pealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering secfion 977.60 to section 4104
filed 6-2 8-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Page 44
Register 2006, No. 26; 6-30-2006
Title 11
Attorney General
§ 978.20
Article 6. FSD Laboratory Certification
Renewal; FSD Laboratory Certification After
Expiration
§ 977.70. FSD Laboratory Certification Renewal
Procedures.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
lions 12088 and 12088.2. Penal Code.
History
1. New article 6 (sections 977.70-977.71) and section filed 2-1-2001 as an emer-
gency; operative 2-1-2001 (Register 2001 , No. 5). A Certificate of Compliance
must be transmitted to OAL by 6-1-2001 or emergency language will be re-
pealed by operation of law on the following day.
2. New article 6 (sections 977.70-977.71) and section refiled 5-18-2001 as an
emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of
Compliance must be transmitted to OAL by 9-17-2001 or emergency language
will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.70 to secfion 4105
filed 6-28-2006 pursuant to section 100, title 1 , Cahfomia Code of Regulations
(Register 2006, No. 26).
§ 977.71 . FSD Laboratory Certification After Expiration.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
fions 12088 and 12088.2, Penal Code.
History
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register
2001, No. 5). A Certificate of Compliance must be transmitted to OAL by
6-1-2001 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 5-1 8-2001 as an emergency; operative 5-18-2001 (Regis-
ter 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by
9-17-2001 or emergency language will be repealed by operadon of law on the
following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.71 to section 4106
filed 6-28-2006 pursuant to section 1 00, fitle 1 , California Code of Regulations
(Register 2006, No. 26).
Article 7.
Service of Notices, Orders, and
Communications
§ 977.80. Service of Notices, Orders, and
Communications.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1 . New article 7 (section 977.80) and section filed 2-1-2001 as an emergency; op-
eradve 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be
transmitted to OAL by 6-1-2001 or emergency language will be repealed by
operation of law on the following day.
2. New article 7 (secdon 977.80) and section refiled 5-1 8-2001 as an emergency;
operadve 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance
must be transmitted to OAL by 9-17-2001 or emergency language will be re-
pealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.80 to secdon 4107
filed 6-28-2006 pursuant to section 100, dtle 1, California Code of Regulations
(Register 2006, No. 26).
Article 8. Roster of Approved Firearms
Safety Devices, Appeal Process
§ 977.85. Roster of Approved Firearms Safety Devices.
NOTE: Authority cited: Secdons 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. New article 8 (secdon 977.85-977.90) and section refiled 5-18-2001 as an
emergency, including amendment of article heading and renumbering and
amendment of former section 977.90 to new section 977.85; operative
5-1 8-2001 (Register 2001 , No. 20). A Certificate of Compliance must be trans-
mitted to OAL by 9-1 7-2001 or emergency language will be repealed by opera-
don of law on the following day.
2. Ceilificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
3. Change without regulatory effect renumbeiing section 977.85 to section 4108
filed 6-28-2006 pursuant to secdon 1 00, tide 1 , California Code of Regulations
(Register2006, No. 26).
§ 977.90. Appeal Process for DOJ Exclusion of a Firearms
Safety Device l\/lodel from the Roster of
Approved Firearms Safety Devices.
Note: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
dons 12088 and 12088.2, Penal Code.
History
1. New article 8 (section 977.90) and section filed 2-1-2001 as an emergency; op-
erative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be
transmitted to OAL by 6-1-2001 or emergency language will be repealed by
operadon of law on the following day.
2. New section refiled 5-18-2001 as an emergency, including renumbering and
amendment of former section 977.90 to section 977.85 and new section 977.90;
operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance
must be transmitted to OAL by 9-17-2001 or emergency language will be re-
pealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by
8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.90 to section 4109
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
Chapter 12.7. Department of Justice
Emergency Regulations for the SKS Sporter
Buy-Back Program
History
1. New chapter 12.7 (articles 1-3, secdons 977.10-977.36), article 1 (secdons
977.10-977. 1 1) and secdon filed 9-27-99 as an emergency; operadve 9-27-99
(Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL
by 1-25-2000 or emergency language will be repealed by operadon of law on
the following day.
2. Repealer of chapter 12.7 (articles 1-3, secdons 977.10-977.36), article 1 (sec-
tions 977.10-977.11) and section by operation of Government Code section
11346.1(g) (Register 2001, No. 5).
Chapter 12.8. Department of Justice
Regulations for Assault Weapons and Large
Capacity Magazines
Article 1. General
§ 978.1 0. Title and Scope.
Note: Authority cited: Secdons 12079, 12276.5(i) and 12285, Penal Code. Ref-
erence: Sections 12020, 12079, 12276.1, 12276.5 and 12285, Penal Code.
History
1. New chapter 12.8 (articles 1^, secdons 978.10-978.44), article 1 (section
978.10) and secdon filed 12-1-2000; operative 12-1-2000 pursuant to Gov-
ernment Code secdon 1 1343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering division 1 , chapter 1 2.8 (articles
1^, secdons 978.10-978.44) to division 5, chapter 39 (articles 1-4, secdons
5459-5484) and renumbering section 978.10 to section 5459 filed 6-28-2006
pursuant to section 100, tide 1, California Code of Regulations (Register 2006,
No. 26).
Article 2. Definitions of Terms Used to
Identify Assault Weapons
§ 978.20. Definitions.
Note: Authority cited: Secdon 12276.5(i), Penal Code. Reference: Secdons
12276.1, 12280 and 12285, Penal Code.
Page 45
Register 2006, No. 26; 6-30-2006
§ 978.30
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title II
History
1. New article 2 (section 978.20) and section filed 12-1-2000; operative
12-1-2000 pursuant to Goveminent Code section 1 1343.4(d) (Register 2000,
No. 48).
2. Change without regulatory effect renumbering section 978.20 to section 5469
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Article 3. Assault Weapon Registration
§ 978.30. Requirements for Assault Weapon Registrations
Pursuant to Penal Code Section 12285.
NOTE: Authority cited: Section 12276.5(1), Penal Code. Reference: Sections
12285(a) and (e). Penal Code.
History
1. New article 3 (sections 978.30-978.33) and section filed 12-1-2000; operative
12-1-2000 pursuant to Government Code section 1 1343.4(d) (Register 2000,
No. 48).
2. Change without regulatory effect renumbering section 978.30 to section 5470
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§978.31. Fees.
NOTE: Authority cited: Section 12276.5(i), Penal Code. Reference: Section
12285(a), Penal Code.
History
1. New secfion filed 12-1-2000; operative 12-1-2000 pursuant to Government
Code section 1 1343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering section 978.31 to section 5471
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 978.32. Processing Times.
NotE: Authority cited: Sections 15376 and 15378, Government Code. Reference:
Sections 15376 and 15378, Government Code.
History
1. New section filed 12-1-2000; operative 12-1-2000 pursuant to Government
Code secdon 1 1343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering section 978.32 to section 5472
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 978.41 . Processing Times.
Note: Authority cited; Sections 15376 and 15378, Government Code. Reference:
Sections 15376 and 15378, Government Code.
History
1. New section filed 12-1-2000; operative 12-1-2000 pursuant to Government
Code section 1 1343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering section 978.41 to section 5481
filed 6-28-2006 pursuant to section 100. title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 978.42. Term Length of Large Capacity Magazine
Permits.
NOTE: Authority cited: Secdon 12079, Penal Code. Reference: Sections 12020
and 12079, Penal Code.
History
1. New section filed 12-1-2000; operative 12-1-2000 pursuant to Government
Code section 1 1343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering section 978.42 to section 5482
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 978.43. Large Capacity Magazine Permit Record
Keeping.
NOTE: Authority cited: Secdon 12079, Penal Code. Reference: Section 12079, Pe-
nal Code.
History
1. New section filed 12-1-2000; operative 12-1-2000 pursuant to Government
Code section 1 1343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering secdon 978.43 to secdon 5483
filed 6-28-2006 pursuant to secdon 100, tide 1, California Code of Regulations
(Register 2006, No. 26).
§ 978.44. Large Capacity Magazine Permit Revocations.
NOTE; Authority cited: Secdon 12079, Penal Code. Reference: Section 12079, Pe-
nal Code.
History
1. New secdon filed 12-1-2000; operative 12-1-2000 pursuant to Government
Code section 11343.4(d) (Register 2000. No. 48).
2. Change without regulatory effect renumbering section 978.44 to section 5484
filed 6-28-2006 pursuant to secdon 100, title 1, California Code of Regulations
(Register 2006, No. 26).
Chapter 12.9. Assault Weapons
Identification
§ 978,33. Voluntary Cancellations.
Note: Authority cited: Section 12276.5(1), Penal Code. Reference: Section
12285, Penal Code.
History
1. New section filed 12-1-2000; operadve 12-1-2000 pursuant to Government
Code section 1 1343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering secdon 978.33 to secdon 5473
filed 6-28-2006 pursuant to secdon 1 00, dtle 1 , California Code of Reguladons
(Register 2006, No. 26).
Article 4. Large Capacity Magazine Permits
§ 978.40. Requirements for Large Capacity Magazine
Permits Pursuant to Penal Code Section 12079.
Note: Authority cited: Secdon 12079, Penal Code. Reference: Secdons 12020
and 12079, Penal Code.
History
1. New article 4 (secdons 978.40-978.44) and secdon filed 1 2-1-2000; operative
12-1-2000 pursuant to Government Code secdon 1 1343.4(d) (Register 2000,
No. 48).
2. Change without regulatory effect renumbering section 978.40 to secdon 5480
filed 6-28-2006 pursuant to secdon 1 00, dtle 1 , California Code of Reguladons
(Register 2006, No. 26).
§ 979.10. California Penal Code Section 12276(a)-(c)
Assault Weapons List.
NotE: Authority cited; Secdon 12276.5(h), Penal Code. Reference; Section
12276(a)-(c), Penal Code.
History
1. New chapter 12.9 (secdons 979.10-979.1 1) and section filed 10-25-2000; op-
eradve 10-25-2000. Submitted to OAL for printing only pursuant to Penal
Code section 12276.5(h) (Register 2000, No. 43).
2. Change without regulatory effect renumbering division 1 , chapter 12.9 (sections
979. 1 0-979. 1 1 ), to division 5, chapter 40 (sections 5495-5499) and renumber-
ing section 979. 10 to section 5495 filed 6-28-2006 pursuant to section 100, title
1, California Code of Regulations (Register 2006, No. 26).
§ 979.1 1 . California Penal Code Section 1 2276(e) Assault
Weapons List.
Note: Authority cited: Section 12276.5(h), Penal Code. Reference: Section
12276(e), Penal Code.
History
1. New section filed 10-25-2000; operative 10-25-2000. Submitted to OAL for
printing only pursuant to Penal Code section 12276.5(h) (Register 2000, No.
43).
2. Editorial correction inserting inadvertentiy omitted "(all)" following Knights
SR-15 (Register 2000, No. 48).
3. Change without regulatory effect renumbering section 979.1 1 to section 5499
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Page 46
Register 2006, No. 26; 6-30-2006
Title 11
Attorney General
§985
•
Chapter 13. Department of Justice
Regulations on Non-Dealer Sales or
Transfers of Firearms Through Licensees or
Dealers and Issuance of Certificates of
Eligibility Pursuant to Penal Code Sections
12070, 12071, 12071.1, and 12082
Article 1. General
§ 980. Scope.
NOTE: Authority cited: Sections 12070, 12071, 12071.1 and 12082, Penal Code.
Reference: Sections 12001, 12070, 12071, 12071.1, 12072 and 12082, Penal
Code.
History
1. New section filed 4-2-90; operative 5-2-90 (Register 90. No. 14).
2. Amendment of chapter heading, new article 1, amendment of section and re-
pealer and new Noxt; filed 8-2-94; operative 9-1-94 (Register 94, No. 3 1 ).
3. Editorial coiTection of chapter heading (Register 97, No. 3).
4. Change without regulatory effect renumbering division 1, chapter 13 (articles
1-4, sections 980-985), to division 5, chapter 3 (articles 1-4, sections
4030-4041 ) and renumbering section 980 to section 4030 filed 6-28-2006 pur-
suant to secfion 100. title 1, California Code of Regulations (Register 2006, No.
26).
Article 2. Definitions
§ 981 . Definition of Key Terms.
NOTE; Authority cited: Sections 12070, 12071, 12071.1 and 12082, Penal Code.
Reference: Sections 12001. 12021, 12021.1, 12070, 12071, 12071.1, 12072 and
12082. Penal Code; Sections 8 100 and 8103. Welfare and Institutions Codes; Sec-
tion 1798.3, Civil Code; and Title 27, Part 178, Subchapters 32 and 41, Code of
Federal Regulations.
History
1. Renumbering of former subchapter 13 (section 981) to subchapter 1.5 (section
20), and new section filed 4-2-90; operative 5-2-90 (Register 90, No. 14). For
prior history, see Register 87, No. 15.
2. New article 2, amendment of subsections (a)-(e), new subsections (g)-(i) and
repealer and new Note filed 8-2-94; operative 9-1-94 (Register 94, No. 31).
3. Change without regulatory effect renumbering section 98 1 to section 403 1 filed
6-28-2006 pursuant to secUon 100, title 1, California Code of Regulations
(Register 2006, No. 26).
Article 3. Transfers
§ 982. Transfers of Concealable Firearms.
NOTE: Authority cited: Sections 12072 and 12082, Penal Code. Reference: Sec-
tions 12071, 12072, 12078, 12082 and 12084, Penal Code.
History
1. New section filed 4-2-90; operative 5-2-90 (Register 90, No. 14).
2. New article 3, amendment of section and repealer and new Note filed 8-2-94;
operative 9-1-94 (Register 94, No. 31).
3. Change without regulatory effect renumbering section 982 to section 4032 filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 982.1 . Criteria for Processing Section 1 2082
Transactions.
NOTE: Authority cited: Section 12082, Penal Code. Reference; Section 12071,
12072, 12073, 12076 and 12077, Penal Code.
History
1. New section filed 4-2-90; operative 5-2-90 (Register 90, No. 14).
2. Change without regulatory effect renumbering section 982.1 to section 4033
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 982.2. Dealer Fees.
NOTE; Authority cited: Section 1 2082, Penal Code. Reference: Section 12082, Pe-
nal Code.
History
1. New section filed 4-2-90; operative 5-2-90 (Register 90, No. 14).
2. Change without regulatory effect renumbering section 982.2 to section 4034
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 982.3. Confidentiality of Records.
NOTE; Authority cited: Section 12082, Penal Code. Reference: Section 1798.24,
Civil Code.
History
1. New section filed 4-2-90; operative 5-2-90 (Register 90, No. 14).
2. Change without regulatory effect renumbering section 982.3 to section 4035
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
Article 4. Certificate of Eligibility
§ 983. Qualifications.
NOTE; Authority cited: Sections 12070, 12071 and 12071.1, Penal Code. Refer-
ence: Sections 12021, 12021.1, 12070, 12071, 12071.1 and 12072, Penal Code;
Sections 8 100 and 81 03, Welfare and Institutions Codes; and Title 27, Part 1 78.32,
Code of Federal Regulations.
History
1 . New article 4 and section filed 8-2-94; operative 9-1-94 (Register 94, No. 3 1 ).
2. Change without regulator effect renumbering section 983 to secfion 4036 filed
6-28-2006 pursuant to secUon 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 983.1 . Application for Certificate of Eligibility.
Note; Authority cited: Secdons 11105(i), 12070. 12071 and 12071.1. Penal
Code. Reference: Sections 12021, 12021.1, 12070, 12071, 12071.1 and 12072,
Penal Code; and Secdons 8100 and 8103, Welfare and Institutions Codes; and
Title 27, Part 178, Code of Federal Regulations.
History
1. New section filed 8-2-94; operative 9-1-94 (Register 94, No. 31).
2. Change without regulatory effect renumbering section 983.1 to section 4037
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 983.2. Processing Time.
NOTE; Authority cited: Sections 1 5376 and 1 5378, Government Code. Reference:
Sections 15376 and 15378, Government Code.
History
1. New section filed 8-2-94; operative 9-1-94 (Register 94, No. 31).
2. Change without regulatory effect renumbering section 983.2 to section 4038
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 984. Term of Certificate of Eligibility.
NOTE; Authority cited: Sections 12070, 12071 and 12071.1, Penal Code. Refer-
ence: Sections 12070, 12071 and 12071.1, Penal Code.
History
1. New section filed 8-2-94; operative 9-1-94 (Register 94, No. 31).
2. Change without regulatory effect renumbering section 984 to section 4039 filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 984.1 . Fees.
NOTE; Authority cited: Section 12071, Penal Code. Reference: Sections 12071,
12071.1 and 12086, Penal Code; and Section 12101, Health and Safety Code.
History
1. New section filed 8-2-94; operative 9-1-94 (Register 94, No. 31).
2. Amendment of section and Note filed 1 1-1-2004 as an emergency; operative
1 1-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be trans-
mitted to OAL by 3-1-2005 or emergency language will be repealed by opera-
tion of law on the following day.
3. Certificate of Compliance as to 1 1-1-2004 order transmitted to OAL 3-1 -2005
and filed 4-1 1-2005 (Register 2005, No. 15).
4. Change without regulatory effect renumbering section 984.1 to section 4040
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 985. Applicant Denial Review Process.
NOTE: Authority cited: Sections 12070, 12071 and 12071.1, Penal Code. Refer-
ence: Sections 11121, 11126, 12070, 12071 and 12071.1, Penal Code.
History
1. New section filed 8-2-94; operative 9-1-94 (Register 94, No. 31).
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§986
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
2. Change without regulatory effect renumbering section 985 to section 4041 filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
Chapter 13.4. Department of Justice
Regulations for the Centralized List of
Firearms Dealers
2. Change without regulatory effect renumbering section 987.3 to section 4021
filed 6-28-2006 pursuant to section 1 00, title 1 . California Code of Resulations
(Register 2006, No. 26).
Article 1. Title, Scope, and Definitions
§ 986. Title and Scope.
NoTE: Authority cited; Section 12071, Penal Code. Reference: Sections 12071,
12073, 12076, 12077, 12078 and 12081, Penal Code; and Sections 178.124,
178.124a and 178.125, Code of Federal Regulations.
History
1. New chapter 13.4 (articles 1-4. sections 986-989), article 1 (sections
986-986.1) and section filed 7-28-99; operative 8-27-99 (Reeister 99, No.
31).
2. Change without regulatory effect renumbering division 1 , chapter 13.4 (articles
1-4, sections 986-989) to division 5, chapter 2 (articles 1-4, sections
4016-4024) and renumbering section 986 to section 4016 filed 6-28-2006 pur-
suant to section 100, title 1, California Code of Regulations (Reeister 2006, No.
26).
§ 986.1 . Definition of Key Terms.
NOTE: Authority cited; Section 12071, Penal Code. Reference; Sections 12071,
12073, 12076, 12077, 12078 and 12081, Penal Code; and Sections 178.124,
178.124a and 178.125, Code of Federal Regulations.
History
1. New section filed 7-28-99; operative 8-27-99 (Register 99, No. 31).
2. Change without regulatory effect renumbering section 986.1 to section 4017
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register2006, No. 26).
Article 2. Centralized List Applications,
Fees, and Placement Terms
§ 987. Applicant Information.
Note: Authority cited; Section 12071, Penal Code. Reference; Section 12071, Pe-
nal Code.
History
1. New article 2 (sections 987-987.3) and section filed 7-28-99; operative
8-27-99 (Register 99, No. 31).
2. Change without regulatory effect renumbering section 987 to section 401 8 filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§987.1. Fees.
NOTE: Authority cited: Section 12071(f) and (g). Penal Code. Reference: Section
12071(f) and (g). Penal Code.
History
1. New section filed 7-28-99; operative 8-27-99 (Register 99, No. 31).
2. Amendment of subsection (b) filed 6-27-2002; operative 7-27-2002 (Register
2002, No. 26).
3. Change without regulatory effect renumbering section 987.1 to section 4019
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 987.2. Processing Times.
NOTE: Authority cited: Sections 15376and 15378, Government Code. Reference:
Secdons 15376 and 15378, Government Code.
History
1. New section filed 7-28-99; operative 8-27-99 (Register 99, No. 31).
2. Change without regulatory effect renumbering section 987.2 to section 4020
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 987.3. Term of Centralized List Placement.
Note; Authority cited; Section 1 207 1 , Penal Code. Reference: Section 1207 1 , Pe-
nal Code.
History
1. New section filed 7-28-99; operative 8-27-99 (Register 99, No. 31).
Article 3. Compliance Inspections
§ 988. Firearms Dealer Inspections.
NOTE: Authority cited: Section 12071, Penal Code. Reference: Sections 12070,
12071, 12072, 12073, 12076. 12077, 12078, 12081 and 12082. Penal Code; and
Sections 178.124. 178.124a and 178.125, Code of Federal Regulations.
History
1. New article 3 (secfions 988-988.1) and section filed 7-28-99; operative
8-27-99 (Register 99, No. 31 ).
2. Change without regulatory effect renumbering section 988 to section 4022 filed
6-28-2006 pursuant to section 100. title 1. California Code of Reeulations
(Register2006, No. 26).
§ 988.1 . Notification of Inspection Results and Corrective
Action.
NOTE: Authority cited :Secdon 12071, Penal Code. Reference: Section 12071, Pe-
nal Code.
History
1. New secfion filed 7-28-99; operafive 8-27-99 (Register 99, No. 31).
2. Change without regulatory effect renumbering section 988.1 to section 4023
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Article 4. Removal from Centralized List
§ 989. Removal from Centralized List.
NOTE: Authority cited: Secfion 1207 1 , Penal Code. Reference: Section 1207 1 , Pe-
nal Code; and Chapter 5 (commencing with Section 1 1500) of Part 1 of Division
3 of Title 2 of the Government Code.
History
1 . New article 4 (section 989) and secfion filed 7-28-99; operative 8-27-99 (Reg-
ister 99, No. 31).
2. Change without regulatory effect renumbering secfion 989 to section 4024 filed
6-28-2006 pursuant to section 100, title 1, California Code of Reeulafions
(Register 2006, No. 26).
Chapter 13.5. Department of Justice
Regulations for the Check Cashers Permit
Program.
Article 1. Title, Scope and Definitions
§ 990. Title.
This chapter shall be known as the "Department of Justice Regulations
for the Check Cashers Permit Program," may be cited as such and will
be refeired to herein as "these regulations."
NOTE: Authority cited: Section 1789.37(1), Civil Code. Reference: Section
1789.37(f), Civil Code.
History
1. New chapter 13.5 (articles 1-4, sections 990-993.7), arficle 1 (secfions
990-990.2) and secfion filed 4-30-96; operative 5-30-96 (Register 96, No.
18).
§990.1. Scope.
The provisions of these regulations apply to the issuance and renewal
of permits to conduct a check casher's business pursuant to Civil Code
Section 1789.37.
NOTE; Authority cited; Secfion 1789.37(f), Civil Code. Reference: Section
1789.37(f), Civil Code.
History
1. New secfion filed 4-30-96; operafive 5-30-96 (Register 96, No. 18).
§ 990.2. Definitions of Key Terms.
(a) "Check Cashers Law" refers to Title 1.6F of the Civil Code.
(b) "Attorney General" means the Attorney General of the State of
California.
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Register 2006, No. 26; 6-30-2006
Title 11
Attorney General
§ 991.5
(c) "Department" means the Department of Justice of the State of Cali-
fornia.
(d) "Director" means the Director of the Division of Criminal Justice
Information Services. Department of Justice, State of California.
(e) "Administrative Hearing Officer" means an individual designated
by the Director to conduct the hearing.
(f) "Mobile unit" means a vehicle or other movable means from which
the business of cashing checks is conducted.
(g) "Permit" refers to both a check casher permit where business is
conducted from a fixed location and a mobile check casher permit where
business is conducted from a mobile unit.
(h) "Applicant" means any individual, partnership, or corporation ap-
plying to obtain or renew a permit.
(i) "Principal corporate officers" means the President, Vice-President,
Secretary, and Treasurer of a corporation or persons with equivalent titles
and duties.
(j) "Permittee" means any individual, partnership, or corporation
holding a valid permit issued by the Department.
NOTE: Authority cited: Section 1789.37(f), Civil Code. Reference: Section
1789.37(0. Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Article 2.
Application for Permits and
Renewals
•
§991. General.
No person shall conduct a check casher' s business in tliis state unless
he or she has been granted a permit by the Department.
NOTE: Authority cited: Section 1789.37(a), Civil Code. Reference: Section
1789.37(a), Civil Code.
History
1. New article 2 (sections 991-991.5) and section filed 4-30-96; operative
5-30-96 (Register 96, No. 18).
§ 991 .1 . Initial Application.
(a) An initial application for a permit (Form BCIA 4130, Rev. 4/96)
shall be in writing, under oath, and shall contain identifying and back-
ground information for the applicant and the business, as well as the fol-
lowing where applicable: identifying and background information for
the co-owner spouse; identifying and background information for every
partner; identifying and background information for every principal offi-
cer and persons owning or controlling, directly or indirectly, 10 percent
or more of the outstanding equity securities of the corporation.
(b) If the business is to be conducted from a mobile unit, the applicant
shall also complete and file a supplemental application (Form BCIA
4000, Rev. 4/96) which shall contain the California Department of Motor
Vehicles registration number and other identifying information for such
mobile unit.
NOTE: Authority cited: Sections 1789.37(b) and 1789.37(f), Civil Code. Refer-
ence: Sections 1789.37(b) and 1789.37(f). Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§ 991.2. Fingerprints Required.
Every initial or first-time application for a permit shall be accompa-
nied by a completed ten-print fingerprint card for each individual who
has an ownership interest in the business. For purposed of this section,
individuals who have an ownership interest in the business include sole
proprietors, co-owner spouses, partners, principal corporate officers and
persons owning or controlling, directly or indirectly, 10 percent or more
of the outstanding equity securities of a corporation.
NOTE: Authority cited: Sections 1789.37(b) and 1789.37(f), Civil Code. Refer-
ence: Sections 1789.37(b) and 1789.37(f). Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§991.3. Fees; Nonrefundability.
(a) Each application for a permit shall be accompanied by the appro-
priate fee as follows:
(1) Initial Application:
(A) Processing fee of $50 for each business location, and
(B) Fingerprint card processing fee of $32 for each individual.
(2) Renewal Application: Processing fee of $50 for each business loca-
tion.
(b) The fees are not refundable if an application is denied or with-
drawn.
NOTE: Authority cited: Sections 1789.37(c), 1789.37(d) and 1789.37(f), Civil
Code. Reference: Sections 789.37(c), 1789.37(d) and 1789.37(f), Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§ 991 .4. Renewal of Permit.
(a) Each applicant for renewal of a permit shall complete and file with
the Department, not less than 30 days prior to expiration of the permit,
a renewal application for check casher permit (Form BCIA 4132, Rev.
4/96) or a renewal application for mobile check casher permit (Form
BCIA 4001 , Rev. 4/96), and shall include any changes in information in-
dicated on the initial application.
(b) A penalty of 50 percent of the the permit renewal fee shall be as-
sessed in cases where, the renewal application is not received in the De-
partment's office or does not have a first postmark dated on or before 30
days prior to expiration of the existing permit.
(c) An application for renewal of a permit may be denied for any of the
reasons listed under Sections 993 and 993.1.
(d) If the Department denies renewal of a permit, the Department shall
provide the permittee with a Notice of Denial Of Renewal in accordance
with Section 993.2.
NOTE: Authority cited: Sections 1789.37(d), 1789.37(e) and 1789.37(0, Civil
Code. Reference: Sections 789.37(d), 1789.37(e) and 1789.37(f), Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§991.5. Processing Time.
(a) The following time standards apply to the processing of applica-
tions for issuance or renewal of a permit.
( I ) Within 30 days after the date of receipt of an initial or renewal
application, the Department shall either inform the applicant in writing
that the application is complete and accepted for processing, or return the
application as deficient and specify what additional information is re-
quired.
(2)(A) Within 120 days from the date of receipt of a completed initial
or first-time application for a permit, the Department shall complete the
processing of the application.
(B) Within 60 days from the date of receipt of a completed application
for a renewal of a permit, the Department shall complete the processing
of the application.
(b) If the Department fails to meet the Ume period for the processing
of an initial or a renewal permit, the applicant, within 30 days from the
date of the notice of the final decision granting or denying the application,
may apply in writing for a full reimbursement of all application fees. The
Department shall respond within 1 days of receipt of a request for reim-
bursement; and, if the reimbursement is denied by the Department, the
applicant may directly appeal the denial in writing to the Attorney Gener-
al. The appeal shall set forth a concise statement of facts and chronology
of events regarding the application.
(c) An appeal concerning an application in which reimbursement is de-
nied must be filed within 30 days from the date of the notice of denial.
The appeal shall promptly be reviewed and a decision shall be issued,
within 30 days from the date of receipt of the appeal, after conducting any
investigation of the matter which the Attorney General deems appropri-
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§992
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
ate. This appeal shall be decided in the applicant's favor if the Depart-
ment has exceeded its maximum time period for the issuance or denial
of the permit and the Department has failed to establish good cause for
exceeding the time period. The Department shall include the information
regarding this appeal process with all permit applications.
NOTE: Authority cited: Sections 1 5376 and 1 5378, Government Code. Reference:
Sections 15376 and 15378, Government Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Article 3. Permits
§ 992. Information Stated on Permit.
(a) On the approval of an application for a check casher permit where
business is conducted from a fixed location, the Department shall issue
an original permit endorsed to show the name of the permittee, and if the
permittee is a partnership, the names of its general partners, and if a cor-
poration, its incorporation name. In all cases, the permit shall show the
business name, the street address, the permit number, and the expiration
date.
(b) On the approval of an application for a mobile check casher permit
where business is conducted from a mobile unit, the Department shall is-
sue an original permit endorsed to show name of the permittee, and if the
permittee is a partnership, the names of its general partners, and if a cor-
poration, its incorporation name. In all cases, the permit shall show the
business name, the California Department of Motor Vehicles registration
number, the vehicle identification number, the manufacturer, the model,
the year of manufacturing, the permit number, and the expiration date.
NOTE: Authority cited: Section 1789.37(f), Civil Code. Reference: Section
1789.37(f), Civil Code.
History
1. New article 3 (sections 992-992.8) and section filed 4-30-96; operative
5-30-96 (Register 96, No. 18).
§ 992.1 . Posting or Safekeeping of Permit.
(a) The check casher permit for a fixed business location shall be con-
spicuously posted in the place of business authorized by the permit.
(b) The mobile check casher permit for a mobile unit shall be kept with
the California Department of Motor Vehicles registration in the vehicle.
NOTE: Authority cited: Section 1789.37(f), Civil Code. Reference: Section
1789.37(f), Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§ 992.2. Duration of Permit.
Permits issued under these regulations remain in effect for one year
from the date of issuance or until they are surrendered or revoked.
NOTE: Authority cited: Section 1789.37(d), Civil Code. Reference: Section
1789.37(d), Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§ 992.3. Duplicate Permits.
The Department may issue a duplicate of a permit that has been lost,
stolen, or for a certificate which the permittee desires to replace, upon
written notice and satisfactory proof of such loss, theft, or destruction, or
upon surrender of a certificate for replacement and the payment of a fee
of five dollars ($5).
NOTE; Authority cited: Section 1789.37(f), Civil Code. Reference: Section
1789.37(f), Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§ 992.4. Transaction of Business under Name, Location, or
Mobile Unit Not Named in Permit.
No permittee shall transact the business under any other name, at any
place of business or from any mobile unit other than that named in the
permit.
NOTE: Authority cited: Sections 1789.37(a) and 1789.37(f). Civil Code. Refer-
ence: Sections 1789.37(a) and 1789.37(f), Civil Code.
§ 992.5. Nontransferability of Permit.
The permit is not transferable or assignable.
NOTE; Authority cited: Sections 1789.37(a) and 1789.37(f), Civil Code. Refer-
ence: Sections 1789.37(a) and 1789.37(f), Civil Code.
History
1 . New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§ 992.6. Change of Business Location or Mobile Unit;
Notice to Department,
Whenever a permittee desires to change his or her place of business to
a street address or from a mobile unit other than that designated on his
or her permit, he or she shall give written notice to the Department at least
ten days prior to the change. Upon receipt of the notice and payment of
a fee of five dollars ($3), the Department shall issue a new permit reflect-
ing the changes.
NOTE; Authority cited; Section 1789.37(f), Civil Code. Reference: Section
1789.37(f), Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§ 992.7. Notice of Termination.
Within ten days after the termination of business from a fixed location
or a mobile unit, a permittee shall inform the Department of the name and
address of the business location terminated or the California Department
of Motor Vehicles registration number of the mobile unit terminated, to-
gether with the permit number and a statement of the reasons for the ter-
mination.
NOTE; Authority cited: Secdon 1789.37(f), Civil Code. Reference: Section
1789.37(f), Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§ 992.8. Surrender of Permit.
Any permittee may surrender any permit by submitting to the Depart-
ment written notice that the permittee surrenders that permit. Surrender
of the permit does not affect the permittee's civil or criminal liabiHty for
acts committed prior to surrender of permit.
NOTE; Authority cited; Secfion 1789.37(f), Civil Code. Reference; Section
1789.37(f), Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Article 4.
Denial, Revocation, and Appeal
Process
§ 993. Denial of Application; Failure to Respond;
Opportunity to be Heard.
(a) The Department may, upon reasonable notice and opportunity to
be heard, deny an application for reasons including, but not limited to:
( 1 ) A false statement of a material fact has been made in the applica-
tion.
(2) The applicant violates any provisions of the Check Cashers Law
or regulations.
(3) The applicant or any partner, co-owner spouse, officer, or person
owning or controlling, directly or indirectly, 10 percent or more of the
outstanding interests or equity securities of the applicant's corporation
has been convicted of a felony described in Civil Code Section
1789.37(e).
(b) The application shall be considered withdrawn within the meaning
of this section if the applicant fails to respond within 90 days of the date
of the notification.
(c) When an application is denied, the Department shall provide the
applicant with a notice which specify all causes which the denial of appli-
cation is based.
(d) When an application is denied, the applicant may file, within 30
days from the date of the notice of denial, a written request for reconsider-
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Title 11
Attorney General
§ 993.7
ation by an Administrative Hearing Officer. Sucli request may include
any and all evidence and legal arguments which applicant feels is rele-
vant to a reconsideration of the application. The Department shall pro-
vide the applicant with a written notice of its final decision within 60 days
of the time the request for reconsideration is received.
NOTE: Authority cited: Sections 1789.37(b), 1789.37(e) and 1789.37(f), Civil
Code. Reference: Sections 1789.37(b), 1789.37(e) and 1789.37(f), Civil Code.
History
1. New article 4 (sections 993-993.7) and section filed 4-30-96; operative
5-30-96 (Register 96. No. 18).
§ 993.1. Revocation of Permit; Reasons.
(a) The Department may, upon reasonable notice and opportunity to
be heard, suspend or revoke any permit issued pursuant to this division.
Reasons for revocation of permit include, but are not limited to:
( 1 ) The permittee or any partner, co-owner spouse, officer, or person
owning or controlling, directly or indirectly, 10 percent or more of the
outstanding interests or equity securities of the permittee's corporation
is convicted of a felony described in Civil Code Section 1789.37(e).
(2) Any fact or condition exists which, if it had existed at time of the
original application for such permit, reasonably would have warranted
the Department in refusing originally to issue such permit.
(3) The permittee violates any provisions of the Check Cashers Law
or regulations.
NOTE: Authority cited: Sections 1789.37(b), 1789.37(e) and 1789.37(f), Civil
Code. Reference: Sections 1789.37(b), 1789.37(e) and 1789.37(f), Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
2. Editorial correction of section number (Register 2008, No. 18).
§ 993.2. Notice of Revocation or Notice of Denial of
Renewal.
(a) The Department shall provide the permittee with a Notice of Intent
to Revoke or Notice of Denial of Renewal which shall specify all causes
on which the revocation or denial of renewal is based.
(b) A permittee who has been served with a Notice of Intent to Revoke
or Notice of Denial of Renewal may file, within 30 days from the date of
the notice, a written answer to the notice, which answer shall be deemed
a denial of all the allegations in the notice not expressly admitted.
(c) A permittee may request a hearing in his or her answer to the notice
or no later than 30 days from the date of Notice of Revocation or Notice
of Denial of Renewal. If a hearing is requested, the Department shall take
no revocation action until completion of hearing proceedings pursuant to
Section 993.4 of these regulations.
(d) Failure to make a written request for a hearing within the time peri-
od specified in subdivision (b) constitutes a waiver of the right to a hear-
ing.
(e) If the permittee fails to answer within the time specified in subdivi-
sion (b) or, after answer, withdraws his appeal, the action taken by the
Department shall be final.
NOTE: Authority cited: Section 1789.37(f), Civil Code. Reference: Section
1789.37(0, Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§ 993.3. Reapplying After Denial or Revocation of Permit.
An applicant whose permit was denied or revoked may reapply at such
time as he or she can provide satisfactory proof that the reason(s) for de-
nial or revocation is no longer valid or has been corrected.
NOTE: Authority cited: Sections 1789.37(e) and 1789.37(f), Civil Code. Refer-
ence: Sections 1789.37(e) and 1789.37(f), Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§ 993.4. Administrative Hearing.
(a) If a hearing is requested by the permittee, a hearing shall be held
within 30 days unless time is waived by the permittee. The hearing shall
be conducted by the Department's Administrative Hearing Officer. The
hearing officer shall not have participated in the decision to grant, deny.
or revoke the permit that is the subject of a hearing before him or her.
(b) The permittee shall be given the opportunity to be heard and to be
represented by counsel during any hearing proceedings.
(c) An Administrative Hearing Officer shall voluntarily disqualify
himself or herself and withdraw from any case in which he or she cannot
accord a fair and impartial hearing or consideration. Any party may re-
quest the disqualification of the Administrative Hearing Officer by filing
an affidavit, prior to the taking of evidence at a hearing, stating with par-
ticularity the grounds upon which it is claimed that a fair and impartial
hearing cannot be accorded. The issue shall be deterinined by another
Administrative Hearing Officer.
(d) The proceedings at the hearing shall be reported by a phonographic
reporter, except that, upon the consent of all the parties, the proceedings
may be reported electronically.
NOTE: Authority cited: Section 1789.37ff), Civil Code. Reference: Section
1789.37(0, Civil Code; sections 11512(c) and 11512(d), Government Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§ 993.5. Time and Place of Administrative Hearing.
The Department shall notify the permittee of the time and place of
hearing. Failure of the permittee to appear at the hearing shall be deemed
a withdrawal of his answer and the action of the Department shall be fi-
nal.
NOTE: Authority cited: Secdon 1789.37(0, Civil Code. Reference: Section
1789.37(0, Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§ 993.6. Evidence Rules.
(a) Oral evidence shall be taken only on oath or affirmation.
(b) Each party shall have these rights: to call and examine witnesses;
to introduce exhibits; to cross-examine opposing witnesses on any mat-
ter relevant to the issues even though that matter was not covered in the
direct examination; to impeach any witness regardless of which party
first called him or her to testify; and to rebut the evidence against him or
her. If respondent does not testify in his own behalf he or she may be
called and examined as if under cross-examination.
(c) The hearing need not be conducted according to technical rules re-
lafing to evidence and witnesses. Any relevant evidence shall be admitted
if it is the sort of evidence on which responsible persons are accustomed
to rely in the conduct of serious affairs, regardless of the existence of any
common law or statutory rule which might make improper the admission
of the evidence over objection in civil actions. Hearsay evidence may be
used for the purpose of supplementing or explaining other evidence but
shall not be sufficient in itself to support a finding unless it would be ad-
missible over objection in civil actions.
NOTE: Authority cited: Secfion 1789.37(0, Civil Code. Reference: Section
1789.37(0, Civil Code; Sections 11513(a), 11513(b) and 11513(c), Government
Code.
History
1. New section filed 4-30-96; operadve 5-30-96 (Register 96, No. 18).
§ 993.7. Proposed Decision.
The Administrative Hearing Officer shall prepare a Proposed Deci-
sion in such a form that it may be adopted as the decision in the case. A
copy of the proposed decision shall be furnished to the permittee and the
Director no later than 20 days after the hearing. The Director may adopt
the decision in its entirety or may decide the case upon the record with
or without taking additional evidence. The permittee shall be notified of
the Director's decision with 30 days of the hearing or within 30 days of
the taking of additional evidence, whichever is later.
NOTE: Authority cited: Section 1789.37(0, Civil Code. Reference; Section
1789.37(0, Civil Code.
History
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Page 48.3
Register 2008, No. 18; 5-2-2008
§994
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Chapter 13.6. Department of Justice
Regulations for the Certification of
Non-Exempted Individuals Who Take
Fingerprint Impressions
Article 1. General
§ 994. Title.
This chapter shall be known as the "Department of Justice Regulations
for the Certification of Non-Exempted Individuals Who Take Finger-
print Impressions," may be cited as such and will be referred to herein as
"these regulations."
NOTE: Authority cited: Section 1 11 02.1, Penal Code. Reference: Section 11 102.1,
Penal Code.
History
1 . New chapter 1 3.6 (articles 1-5), ailicle 1 (sections 994-994.2) and section filed
11-12-2003; operative 11-12-2003 pursuant to Government Code section
1 1343.4 (Register 2003, No. 46).
§994.1. Scope.
The provisions of these regulations implement, interpret, and make
specific the mandate in California Penal Code section 1 1 102. 1 which be-
came effective January 1, 2003. The mandate requires the Department to
certify individuals who take fingerprint impressions for criminal offend-
er record information (CORI) clearances for employment, licensing, and
certification purposes. Individuals who are law enforcement personnel,
or who are state employees who have received training pertaining to ap-
plicant fingerprinting and have undergone a criminal offender record in-
formation background investigation are exempted from these regula-
tions. These regulations also establish procedures for the application for,
and for the issuance of the required certification and set forth appeal pro-
cedures if the application is denied or revoked.
NOTE: Authority cited : Section 1 11 02. 1 , Penal Code . Reference : Section 1 1 1 02 . 1 ,
Penal Code.
History
1 . New section filed 1 1-12-2003; operative 1 1-12-2003 pursuant to Government
Code section 11 343 .4 (Register 2003, No. 46).
§ 994.2. Definitions of Key Terms.
(a) "Administrative Hearing Officer" means an individual designated
by the Director to conduct any hearing required under these regulations.
(b) "Applicant Live Scan" means a system for the electronic submis-
sion of applicant fingerprints and the subsequent automated background
check and response.
(c) "Attorney General" means the Attorney General of the State of
California.
(d) "CDL or California Driver's License" means a license to drive a
vehicle issued by the California Department of Motor Vehicles, which
may be used as evidence of identity, age, and residence.
(e) "CA ID or California Identification" means a form of identification
issued by the California Department of Motor Vehicles, which may be
used as evidence of identity, age, and residence.
(f) "CORI or Criminal Offender Record Information" means the same
as defined in Penal Code section 13102.
(g) "Director" means the Director/Chief Information Officer of the Di-
vision of California Justice Information Services, Department of Justice,
State of California.
(h) "DMV" means the California Department of Motor Vehicles.
(i) "DOJ" or "the Department" means the California Department of
Justice,
(j) "Non-Exempted Individuals" means those individuals not ex-
empted from the certification requirements of these regulations as speci-
fied in Penal Code section 1 1 102. 1 (a).
(k) "SSN" means the Social Security Number as issued by the United
States Social Security Administration.
NOTE: Authority cited: Section 11 102.1, Penal Code. Reference: Section 17520,
Family Code: Section 1 1425.30, Government Code; and Sections 11102.1, 13102
and 13125, Penal Code.
History
1 . New section filed 1 1-12-2003; operative 1 1-12-2003 pursuant toGovemment
Code section 1 1343.4 (Register 2003, No. 46).
Article 2.
Qualifications and Application for
Certification
§ 994.3. Qualifications for Certification.
Every applicant for certification pursuant to these regulations shall
meet the qualifications criteria as specified in Penal Code section
11102.1.
NOTE: Authority cited: Section 1 1 1 02. 1 , Penal Code. Reference: Section 1 1 1 02. 1 ,
Penal Code.
History
1 . New article 2 (sections 994.3-994.5) and section filed 1 1-12-2003; operative
11-12-2003 pursuant to Government Code section 11343.4 (Register 2003,
No. 46).
§ 994.4. Application for Certification.
Any individual who desires to apply for certification under these regu-
lations should contact the DOJ and request form BCIA 8372 (rev. 09/03)
"Application for Certification for Non-Exempted Individuals to Take
Fingerprint Impressions." The application form and a package of pre-
certification materials will be forwarded.
The application form shall contain the following information:
(a) The full name, date of birth, address, including the city, county and
zip code, and telephone number of the person applying for certification.
(b) The California Driver' s License number on a valid California Driv-
er' s License issued by the DMV. or a California ID number on a valid
identification card issued by the DMV.
(c) The SSN of the person applying for certification.
(d) A yes or no answer to the following questions. Except in item (1),
in any case where a yes answer is given, an explanation must be provided
in the space provided on the application:
( 1 ) Are you a California resident?
(2) Have you ever used a name other than the one on this application?
(3) Have you ever been convicted by any court of a felony or misde-
meanor offense in California or any other state?
(4) Have you ever been arrested in California or any other state and/or
are you awaiting adjudication for any offense for which you were ar-
rested?
(5) Have you ever been denied a professional license or had such li-
cense revoked, suspended, or restricted?
(6) Have you ever been adjudged liable for damages in any suit
grounded in fraud, misrepresentation, or in violation of state regulatory
laws?
(7) Have you ever failed to satisfy any court ordered money judgment
including restitution?
(e) Applicant must sign under penalty of perjury and certify on the ap-
plication to the following: "I certify that I have read the pre-certification
materials provided by the DOJ. I certify under penalty of perjury under
the laws of the State of California to the truth and accuracy of all state-
ments, answers, and representations made in the foregoing application,
including all supplementary statements."
(f) All applications for certification must be notarized by a Notary
Public appointed by the California Secretary of State.
(g) Misrepresentation or failure to disclose requested information on
the application for certification is cause for denial or revocation of certifi-
cation.
NOTE: Authority cited: Section 1 1 102.1, Penal Code. Reference: Section 17520,
Family Code; and Sections 11102.1 and 13125, Penal Code.
•
Page 48.4
Register 2008, No. 18; 5-2-2008
Title 11
Attorney General
§ 994.11
History
1 . New section filed 1 1-12-2003; operative 1 1-12-2003 pursuant to Government
Code section 11 343.4 (Register 2003, No. 46).
§ 994.5. Submission of Application, Fingerprints and Fees.
(a) The applicant shall send a completed and notarized application to
the DOJ.
(b) The applicant shall have two sets of fingerprints taken either
through the applicant live scan process or manually. The fingerprints
must be taken by:
( 1 ) A law enforcement agency,
(2) A state agency that provides fingerprinting services to the public,
or
(3) The DOJ.
(c) Manually rolled fingerprints must be submitted to the DOJ by the
applicant along with his or her notarized application.
(d) The applicant shall also submit with his or her notarized applica-
tion, a check or money order in the amount of $8 1 .00 made payable to
the "California Department of Justice" for the certification processing
fee.
Note: Authority cited: Section 1 1 102.1, Penal Code. Reference: Section 1 1 102.1 ,
Penal Code.
History
1 . New section filed 1 1-1 2-2003; operative 1 1-1 2-2003 pursuant to Government
Code section 11343.4 (Register 2003, No. 46).
Article 3. Certification Letter
§ 994.6. Certification by the DOJ.
(a) When the fingerprints have been processed and the application for
certification has been approved, a letter will be sent to the applicant stat-
ing the application has been accepted and the applicant is certified. The
letter will include a certification number. The letter and certification
number will serve as confirmation that the person named has been certi-
fied by the DOJ to take fingerprint impressions of individuals for em-
ployment, licensing, and certification purposes.
(b) The certification number assigned in (a) above will be required on
all fingerprints submitted by the certified individual, whether submitted
manually or electronically.
NOTE: Authority cited: Section 1 1 102.1, Penal Code. Reference: Section 1 1 102.1,
Penal Code.
History
1. New article 3 (sections 994.6-994.9) and section filed 11-12-2003; operative
11-12-2003 pursuant to Government Code section 11343.4 (Register 2003,
No. 46).
§ 994.7. Duration of Certification.
Certifications issued pursuant to these regulations remain in effect for
the lifetime of the individual certified or until they are surrendered, re-
voked, or suspended for cause.
NOTE: Authority cited: Section 1 1 1 02 . 1 , Penal Code. Reference : Section 1 1 1 02 . 1 ,
Penal Code.
History
1. New section filed 1 1-12-2003; operative 11-12-2003 pursuant to Government
Code section 11343.4 (Register 2003, No. 46).
§ 994.8. Non-Transferability of Certification.
The certification is not transferable or assignable to another individual
or to an entity.
NOTE: Authority cited: Section 1 1 102.1, Penal Code. Reference: Section 1 1 102.1,
Penal Code.
History
1 . New section filed 1 1-12-2003; operative 1 1-12-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 46).
§ 994.9. Duplicate Certification Letter.
The Department may issue a duplicate certification letter if the original
has been lost or stolen, or for replacement of a damaged or destroyed let-
ter. The DOJ will issue the duplicate letter upon written notice and satis-
factory proof of such loss, theft, or destruction, or upon surrender of a
damaged letter of certification for replacement. Such request for a dupli-
cate certification letter must be accompanied by a fee of five dollars
($5.00) in the form of a check or money order.
NOTE: Authority cited: Section 1 1 102.1 , Penal Code. Reference: Section 1 1 1 02. 1 ,
Penal Code.
History
1 . New section filed 1 1-12-2003; operative 1 1-12-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 46).
Article 4. Processing Times and Appeals
§994.10. Processing Time.
The following time standards will apply to the processing of applica-
tions for certification of individuals who take fingerprint impressions:
(a) Within 30 days after the date of receipt of an application for certifi-
cation, the Department shall notify the applicant in writing that the ap-
plication has been received and is being processed as complete, or that
the application is deficient. If the application is deficient, the written no-
tice will specify what specific additional information is required.
(b) Within 120 days after the receipt of a completed application, and
other documents as specified in §994.5 of these regulations, the Depart-
ment shall complete the processing of the application and forward a certi-
fication letter as specified in §994.6 of these regulations. If after proces-
sing the application the applicant has been determined to not meet the
requirements for certification, the Department shall notify the applicant
that the application has been denied along with a statement of reasons on
which the denial is based.
NOTE: Authority cited: Section 1 1 102.1. Penal Code; and Section 15376, Govern-
ment Code. Reference: Section 1 1 1 02. 1 , Penal Code; and Section 15376, Govern-
ment Code.
History
1. New article 4 (sections 994.10-994.11) and section filed 11-12-2003; opera-
tive 11-12-2003 pursuant to Government Code section 11343.4 (Register
2003, No. 46).
§ 994.1 1 . Processing Time Appeal Process.
(a) If the Department fails to meet the time period for concluding the
processing of an application for certification, the applicant may apply in
writing for a full refund of all applicable fees. The request must be re-
ceived by the Department within 30 days from the date of service of the
final decision granting or denying the certification.
(b) The Department shall respond within 10 days from the date of re-
ceipt of a request for refund.
(c) If the refund is denied by the Department, the applicant may direct-
ly appeal the denial in writing to the Attorney General. The appeal must
be filed within 20 days from the date of service of the refund denial from
the Department. The appeal shall set forth a concise statement of facts
and chronology of events regarding the application for certification.
(d) An appeal in subsection (c) of this section will promptly be re-
viewed, and a decision will be issued within 30 days from the completion
of any investigation which the Attorney General deems appropriate. The
appeal in subsection (c) of this section will be decided in the applicant's
favor if the Department has exceeded its maximum time period for the
issuance or denial of the application for certification, and the Department
has failed to establish good cause for exceeding this time period.
(e) The Department shall include information regarding this appeal
process with all denial letters.
NOTE: Authority cited: Section 11102.1, Penal Code: and Sections 15376 and
15378, Government Code. Reference: Section 1 1 102.1, Penal Code; and Sections
15376 and 15378, Government Code.
Page 48.4(a)
Register 2006, No. 26; 6-30-2006
§ 994.12
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
History
1. New section filed 1 1-12-2003; operative 1 1-1 2-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 46).
Article 5. Procedures for Denial of an
Application, and Suspension or Revocation
of an Existing Certification
§ 994.12. Denial, Revocation or Suspension of Existing
Certification.
(a) The Department may deny an application for certification, or may
suspend or revoke an existing certification, for reasons as specified in Pe-
nal Code section 11 102.1.
(b) When an application is denied, or an existing certification is sus-
pended or revoked, the Department shall provide the applicant with a
written notice which will specify all causes on which the denial, suspen-
sion, or revocation is based.
(c) When an application is denied, or when an existing certification
is suspended or revoked, the applicant may file, within 30 days from the
date of the written notification of the denial, suspension, or revocation,
a written request for reconsideration by an Administrative Hearing Offi-
cer. Such request may include any and all evidence and legal arguments
which the applicant feels is relevant to a reconsideration of the applica-
tion, suspension or revocation. The Department shall provide the appli-
cant with a written notice of its final decision within 60 days of the time
the request for reconsideration is received.
NOTE: Authority cited: Section 1 1 102. 1, Penal Code; and Section 1 1400.20, Gov-
ernment Code. Reference: Section 11102.1, Penal Code; and Sections
1 1445. 10- 11 445 .60, Government Code.
History
1. New article 5 (sections 994.12-994.16) and section filed 11-12-2003; opera-
tive 11-12-2003 pursuant to Government Code section 11343.4 (Register
2003, No. 46).
§ 994.14. Time and Place of Administrative Hearing.
The Department shall notify the person requesting the hearing of the
time and place of the hearing. Failure of the person requesting the hear-
ing to appear at the hearing shall be deemed a withdrawal of the request
for the hearing and the action of the Department shall be final.
NOTE: Authority cited: Section 1 1 102.1, Penal Code; and Section 1 1400.20, Gov-
ernment Code. Reference: Section 11102.1, Penal Code; and Sections
1 1445.10-1 1445.60, Government Code.
History
1. New section filed 1 1-12-2003; operative 1 1-12-2003 pursuant to Government
Code section 1 1343.4 (Register 2003. No. 46).
§ 994.15. Evidence Rules.
(a) Oral evidence shall be taken only on oath or affirmation.
(b) Each party shall have these rights: to call and examine witnesses;
to introduce exhibits; to cross-examine opposing witnesses on any mat-
ter relevant to the issues even though that matter was not covered in the
direct examination; to impeach any witness regardless of which party
first called him or her to testify; and to rebut the evidence against him or
her. If the person requesting the hearing does not testify on his or her own
behalf, he or she may be called and examined as if under cross-examina-
tion.
(c) The hearing need not be conducted according to technical rules re-
lating to evidence and witnesses. Any relevant evidence shall be admitted
if it is the sort of evidence on which responsible persons are accustomed
to rely in the conduct of serious affairs, regardless of the existence of any
common law or statutory rule which might make improper the admission
of the evidence over objection in civil actions. Hearsay evidence may be
used for the purpose of supplementing or explaining other evidence but
shall not be sufficient in itself to support a finding unless it would be ad-
missible over objection in civil actions.
NOTE: Authority cited: Section 1 1 102. 1 , Penal Code; and Section 1 1400.20, Gov-
ernment Code. Reference: Section 11102.1, Penal Code; and Sections
11445.10-11445.60, Government Code.
History
1. New section filed 1 1-12-2003; operative 1 1-12-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 46).
§ 994.13. Administrative Hearing.
(a) If an administrative hearing is requested by the applicant, or the
person with an existing certification that has been suspended or revoked,
a hearing shall be held within 30 days unless a later date is requested by
the person requesting the hearing. The hearing shall be conducted by an
Administrative Hearing Officer appointed by the Department. The hear-
ing officer shall not have participated in the decision to deny the applica-
fion for cerfification or in suspending or revoking the existing cerfifica-
fion that is the subject of the hearing before him or her.
(b) The person whose application has been denied or whose existing
certification has been suspended or revoked shall be given the opportuni-
ty to be heard and to be represented by counsel during any hearing pro-
ceedings.
(c) An Administrative Hearing Officer shall disqualify himself or her-
self and withdraw from any case in which he or she cannot accord a fair
and imparfial hearing or consideradon. Any party may request the dis-
qualification of the AdministraUve Hearing Officer by filing an affidavit,
prior to the taking of evidence at a hearing, stating with particularity the
grounds upon which it is claimed that a fair and impartial hearing cannot
be accorded. The issue shall be determined by another Administrative
Hearing Officer appointed by the Department.
(d) The proceedings at the hearing shall be reported by a certified
shorthand reporter, except that, upon the consent of all the parties, the
proceedings may be reported electronically.
NOTE: Authority cited: Section 1 1 102. 1, Penal Code; and Section 1 1400.20, Gov-
ernment Code. Reference: Section 11102.1, Penal Code; and Sections
11445.10-11445.60, Government Code.
History
1 . New section filed 11-1 2-2003; operative 1 1-12-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 46).
§ 994.16. Proposed Decision.
The Administrative Hearing Officer shall prepare a Proposed Deci-
sion in such a form that it may be adopted as the decision in the case. A
copy of the proposed decision shall be furnished to the person requesting
the hearing and the Director no later than 20 days after the hearing. The
Director may adopt the decision in its entirety or may decide the case
upon the record with or without taking additional evidence. The person
requesfing the hearing shall be nofified of the Director's decision within
30 days of the hearing or within 30 days of the taking of addifional evi-
dence, whichever is later.
NOTE: Authority cited: Section 1 1 102.1, Penal Code; and Section 1 1400.20, Gov-
ernment Code. Reference: Section 11102.1, Penal Code; and Sections
1 1445.10-1 1445.60, Government Code.
History
1 . New section filed 1 1 - 1 2-2003 ; operati ve 1 1 - 1 2-2003 pursuant to Government
Code secfion 1 1343.4 (Register 2003, No. 46).
Chapter 13.7. Regulations for Olympic
Pistol Exemptions
§ 995. Exemption of Olympic Pistols.
NOTE: Authority cited: Sections 12132 and 12276.1, Penal Code. Reference: Sec-
tions 12125, 12126, 12132 and 12276.1, Penal Code.
History
1. New chapter 13.7 (section 995) and section filed 10-1-2003; operative
10-1-2003 pursuant to Government Code section 1 1343.4 (Register 2003, No.
40).
2. Change without regulatory effect renumbering division 1, chapter 13.7 (section
995) to division 5, chapter 38 (section 5455) filed 6-28-2006 pursuant to sec-
tion 100, title 1, California Code of Regulations (Register 2006, No. 26).
Page 48.4(b)
Register 2006, No. 26; 6-30-2006
Title 11
Attorney General
§999.1
Chapter 13.8. Evidence of Residency
Documentation
§ 996. Definitions and Requirements.
Note: Authority cited: Section 12071, Penal Code. Reference: Sections 12071
and 12072, Penal Code.
History
1. New chapter 13.8 (section 996) and section filed 3-15-2005; operative
4-14-2005 (Register 2005, No. 11).
2. Change without regulatory effect renumbering division 1 , chapter 1 3.8 (section
996) to division 5, chapter 4 (section 4045) filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
Chapter 14.
Forensic Alcohol and Drug
Analysis
§ 997. Collection and Disbursement of Fines.
(a) Scope. This section shall apply to the method of collection and dis-
bursement of fines pursuant to Penal Code Section 1463. 14 to be used ex-
clusively to pay for the cost of performing for the county, or a city within
the county, analysis of blood, breath or urine for alcohol content or for
the presence of controlled substances, or for services related to such test-
ing.
(b) Collection of Fines. Commencing on November 1, 1978, and for
each monthly period thereafter, the administrative officer or clerk of each
court shall advise the county auditor of the number of convictions for vio-
lations of Vehicle Code Section 23 101 , 23 102, 23 1 03, 23 104, 23 1 05, and
23106, which have occurred in that court on or after September 18, 1978,
and have not been previously reported, together with sufficient informa-
tion pertaining to the underlying arrest to permit distribution of remain-
ing funds as authorized by Penal Code Section 1463.14.
(c) Establishing a Special Account. Commencing on November 1,
1978, and for each monthly period thereafter, from the funds received by
the county auditor pursuant to Penal Code Section 1463, the county audi-
tor shall deposit to the special account estabhshed by Penal Code Section
1463. 14 a sum equal to twenty-five dollars ($25) for each conviction for
violations of Vehicle Code Sections 23101, 23102, 23103, 23104,
23105, and 23106, which have occurred in the courts of that county on
or after September 18, 1978, and have not been previously reported.
(d) Disbursement of Fines. Any forensic alcohol laboratory licensed
under Title 17 of the California Code of Regulations which has per-
formed for the county, or a city within the county, analysis of blood,
breath or urine for alcohol content or for the presence of controlled sub-
stances, or for services related to such testing, shall submit its bill to the
county auditor in conformity with the normal rules and/or regulations es-
tablished by that auditor, or by any other administrative body within that
county. Such bills or charges shall be submitted no more frequently than
once a month.
NOTE: Authority cited: Section 1463.14, Penal Code. Reference: Section 1463. 14,
Penal Code.
History
1. New Subchapter 14 (Sections 997 and 998) filed 1 1-21-78 as an emergency;
effective upon filing (Register 78, No. 47).
2. Certificate of Compliance filed 1-20-79 (Register 79, No. 3).
§ 998. Laboratory Services and l\/lethod of Cost
Assessment.
(a) Scope. This section shall apply to how the laboratory may deter-
mine what services it will provide and its costs for providing such ser-
vices.
(b) Implementation. The county and the Ucensed forensic alcohol lab-
oratory, or laboratories, with which it enters into an agreement for ser-
vices may determine:
( 1 ) The scope of the services to be rendered to the county by the labora-
tory including both direct and related costs of testing incurred by the lab-
oratory.
(2) The method of cost assessment, including, but not limited to:
(A) Actual costs per test;
(B) A flat-rate charge determined by the total cost of performing anal-
ysis of blood, breath or urine for alcohol content, or for the presence of
controlled substances, and for services related to such testing, which
costs have been incurred by that laboratory over a specified period of
time;
(C) Adoption of a flat-rate charge established by any other licensed
forensic alcohol laboratory pursuant to paragraph (2)(B) where such oth-
er laboratory performs the same or similar services.
NOTE: Authority cited: Section 1463.14, Penal Code. Reference: Section 1463.14,
Penal Code.
Chapter 15. Attorney General Regulations
Under Nonprofit Corporation Law
§ 999.1 . General Provisions and Definitions.
(a) Giving Notice to and Submitting Requests to Attorney General;
When Notice or Request is Deemed "Filed with Attorney General."
For purposes of giving notice to the Attorney General or submitting
requests for approval or other action to the AttoiTiey General pursuant to
any of the subsections contained in sections 999.2 through 999.5 of these
regulations, all notices and requests shall be submitted in writing at the
office listed below which is located nearest to the principal office of the
corporation on whose behalf the notice or request is submitted.
ATTORNEY GENERAL. CHARITABLE TRUSTS SliCTION
455 GOLDEN GATE AVENUE, SUITE 11000
SAN FRANCISCO, CALIFORNIA 94102-7004
ATTORNEY GENERAL, CHARITABLE TRUSTS SECTION
300 SOUTH SPRING STREET
LOS ANGELES, CALIFORNIA 90013-1230
ATTORNEY GENERAL, CHARITABLE TRUSTS SECTION
1300 I STREET
P.O. BOX 944255
SACRAMENTO. CALIFORNIA 94244-2550
Written nofices or requests shall be deemed filed with the Attorney
General when the notices or requests are received at the Office of the At-
torney General with the information required by sections 999.2(e),
999.3(e), 999.4 and 999.5 of these regulations.
(b) Attorney General's Acknowledgment of Receipt of Notice or Re-
quest.
A conformed copy of the notice or request to the Attorney General, or
of the transmittal letter accompanying such notice or request, along with
a self-addressed, postage prepaid envelope may be submitted with the
original, to be stamped "Received" with the date of receipt stamped
thereon and returned to the sender.
(c) Definition of "Material Facts" for Purposes of Disclosure to Attor-
ney General.
Unless otherwise indicated, wherever disclosure of "material facts" to
the Attorney General is required pursuant to the subsecfions contained
in sections 999. 1 through 999.5 of these regulations, material facts shall
include a description of the services or goods to be provided to or by the
corporation pursuant to the transaction, the price for such services or
goods to be paid by or to the corporafion, the estimated fair market value
of the goods or services, the benefit such transaction will confer upon the
corporation, whether the board of directors of the corporation has ap-
proved the transaction, the factual basis of the board's determination if
it has approved the transaction, the disclosure made to the board by the
interested director, and a description of the alternative transactions, if
any, considered by the board and why any such alternative transactions
were not adopted.
(d) Response by Attorney General to Request for Approval of Self-
Dealing Transactions, Loans and Guaranty Agreements, Articles,
Amendments to Arficles of Incorporafion.
The Attorney General shall respond to requests for approval of self-
dealing transactions, loans and guaranty agreements, and amendments to
the articles of incorporation by issuing to the requesting person either a
written statement of approval of the proposed acUon, a written statement
Page 48.4(c)
Register 2006, No. 28; 7-14-2006
§ 999.2
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
of disapproval of the proposed action, or a written statement that the At-
torney General declines to comment on the proposed action. In addition,
the Attorney General may provide such comments in writing concerning
the proposed action as the Attorney General finds appropriate under the
circumstances. As a matter of internal policy, the Attorney General will
attempt to respond to requests for approval of self-dealing transactions,
loans and guaranty agreements, and amendments to the articles of incor-
poration within 60 days after receipt of all material facts related to the
proposed action.
(e) Public Files, Notices, and Requests for Approval by Attorney Gen-
eral To Be Maintained in Public Files; Attorney General's Responses To
Be Maintained in Public Files.
A "Public File" is the file of a nonprofit corporation which contains
public documents, including registration and financial reporting forms
filed pursuant to Government Code sections 12585 and 12586, and
which is maintained at the Registry of Charitable Trusts, Office of the At-
torney General, P.O. Box 903447, Sacramento, California 94203-4470.
All notices and requests for approval submitted to the Attorney Gener-
al pursuant to the subsections of sections 999.2 through 999.5 of these
regulations shall become a part of the Public File of the corporation af-
fected by the proposed action. In the discretion of the Attorney General,
exceptions shall be made in the case of documents of a confidential or
personal nature (i.e. individual tax returns, legitimate trade secret infor-
mation, personal resumes, personal loan applications, etc.). where the
corporation or person submitting the confidential documents requests
that such documents not be maintained in the Public File.
The Attorney General's responses to notices and requests for approval
issued pursuant to the subsections of sections 999.2 through 999.5 of
these regulations shall become a part of the Public File of the corporation
affected by the proposed action.
(f) Mutual Benefit Corporations; Application of Regulations Limited
to Assets Held in Charitable Trust.
For purposes of applying the subsections of sections 999. 1 and 999.3
of these regulations to mutual benefit corporations, these regulations ap-
ply only to the extent that a mutual benefit corporation holds assets in
charitable trust.
(g) Commencement of Statute of Limitations for Self-Dealing Trans-
actions.
The two-year Statute of Limitations for an action seeking remedies for
a self-dealing transaction pursuant to Corporations Code sections
5233(e), 7238 and 9243(e), shall commence to run from the date that the
written Notice of the Self-Dealing Transaction is filed with the Attorney
General, and any such action brought after the date marking the expira-
tion of the second year after such filing shall be barred. "Filed with the
Attorney General" shall mean the time when the written notice is re-
ceived at one of the addresses of the Attorney General listed in subsection
999.1(a) of these regulations. "Year" shall mean a 365/366 day calendar
year, as the case may be.
NOTE; Authority cited: Sections 5914(b) and 5918, Corporations Code. Refer-
ence: 5142. 5223. 5225, 5226, 5233, 5236, 5238(c)(3), 5617, 5820, 5913, 5914(b),
591 8, 6010. 6510(d). 661 1(a), 6612(a), 6613(c). 6617(b), 6716(b) and (c), 6721(a)
and (b), 7142. 7223, 7225, 7238, 7616, 7913, 8010, 8510, 861 1. 8612, 8613. 8616,
8723, 9230, 9680, Corporations Code.
History
1. New subchapter 15 (Sections 999.1-999.4) filed 4-18-80; effective thirtieth
day thereafter (Register 80, No. 16).
2. Amendment of subsection (a) and Note filed 5-22-96; operative 6-21-96
(Register96. No. 21).
3. Amendment of subsections (a), (c) and (e) and amendment of Note filed
1-17-97 as an emergency; operative 1-17-97 (Register 97, No. 3). A Certifi-
cate of Compliance must be transmitted to OAL by 5-19-97 or emergency lan-
guage will be repealed by operation of on the following day.
4. Certificate of Compliance as to 1-1 7-97 order transmitted to OAL 5-7-97 and
filed 6-19-97 (Register 97, No. 25).
5. Change without regulatory effect amending section filed 1-9-2006 pursuant to
secfion 100. dtle 1. California Code of Regulafions (Register 2006, No. 2).
§ 999.2. Public Benefit Corporations.
(a) Written Notice to Attorney General of Self-Dealing Transaction.
Corporations Code section 5233(e) provides that an action under sec-
tion 5233(c) seeking remedies for a self-dealing transaction must be filed
within two years after written notice setting forth the material facts of the
transaction and the director's interest is filed with the Attorney General
in accordance with regulations adopted by the Attorney General.
For purposes of section 5233(e). a written notice of a self-dealing
transaction shall be deemed filed with the Attorney General when it is
submitted in accordance with subsection 999.1(a) of these regulations.
The written notice of a self-dealing transaction to the Attorney Gener-
al shall contain the following:
( 1 ) A letter signed on behalf of the corporation by an authorized direc-
tor or officer thereof, or by or on behalf of a director or officer of the cor-
poration setting forth a detailed description of the self-dealing transac-
tion, the extent to which any director has a material financial interest in
the self-dealing transaction, and all material facts concerning the self-
dealing transaction. "Material facts" are defined in subsection 999.1(c)
of these regulations.
(2) A copy of the corporation's current financial statement as of a date
within ninety days preceding the filing of the notice or request, except to
the extent already on file with the Registry of Charitable Trusts.
(3) A copy of the articles of incorporation and amendments thereto,
except to the extent already on file with the Registry of Charitable Trusts.
(b) Written Request for Attorney General's Approval of Self-Dealing
Transaction.
Corporations Code section 5233(d) provides that no remedies shall be
granted in any action for a self-dealing transaction if the Attorney Gener-
al or the court has approved the transaction before or after it was consum-
mated.
A request for approval by the Attorney General of a self-dealing trans-
action shall be submitted in writing in accordance with subsection
999. 1(a) of these regulations.
A request for approval by the Attorney General of a self-dealing trans-
action shall contain the following:
( 1 ) A letter signed on behalf of the corporation by an authorized direc-
tor or officer thereof, or by or on behalf of a director of the corporation,
setting forth a detailed description of the self-dealing transaction, the ex-
tent to which any director has a material financial interest in the self-
dealing transaction, and all material facts concerning the self-dealing
transaction. "Material facts" are defined in subsection 999.1(c) of these
regulations.
(2) A copy of the corporation's current financial statement as of a date
within ninety days preceding the fihng of the notice or request, except to
the extent already on file with the Registry of Charitable Trusts.
(3) A copy of the articles of incorporation and amendments thereto,
except to the extent already on file with the Registry of Charitable Trusts.
(4) A copy of the bylaws and amendments thereto, except to the extent
already on file with the Registry of Charitable Trusts.
(5) Copies of all minutes of meetings of the board of directors and
committees of the board of directors that reflect any discussions or evalu-
ations of the self-dealing transaction.
(6) A letter signed by the interested director setting forth a description
of the director's material financial interest in the self-dealing transaction,
listing all material facts, as defined in subsection 999. 1 (c) of these regula-
tions, concerning the transaction, and all facts disclosed by the interested
director to the board of directors concerning the transaction. (Note: Dis-
closure of this information in the corporation's letter, pursuant to subsec-
tion 999.2(b)( I), may eliminate the need for the letter from the interested
director, to the extent the information in the interested director's letter
would duplicate information in the corporation's letter.)
(7) The Attorney General may require submission of additional infor-
mation by the corporation and its directors in order to complete an analy-
sis of the self-dealing transaction.
(c) Attorney General's Approval of Loans or Guarantees to a Direc-
tor.
Page 48.4(d)
Register 2006, No. 28; 7-14-2006
Title 11
Attorney General
§ 999.2
•
•
Corporations Code section 5236 prohibits a public benefit corporation
from making any loan or guaranty to any director or officer, unless ap-
proved by the Attorney General.
For purposes of section 5236, a request for the Attorney General's ap-
proval of a loan or guaranty to a director or officer shall be submitted in
writing in accordance with subsection 999. 1(a) of these regulations.
The written request for Attorney General" s approval of a loan or guar-
anty shall contain the following:
( 1 ) A letter signed on behalf of the corporation by an authorized direc-
tor or officer thereof, or by or on behalf of a director or officer of the cor-
poration, setting forth a detailed description of the loan or guaranty and
all material facts concerning the loan or guaranty. "Material facts" are de-
fined in subsection 999.1(c) of these regulations.
(2) Copies of the loan or guaranty agreement, note and related security
agreements;
(3) A copy of the corporation's current financial statement as of a date
within ninety days preceding the filing of the notice or request, except to
the extent already on file with the Registry of Charitable Trusts.
(4) A copy of the articles of incorporation and amendments thereto,
except to the extent already on file with the Registry of Charitable Trusts.
(5) A copy of the bylaws and amendments thereto, except to the extent
already on file with the Registry of Charitable Trusts.
(6) Copies of all minutes of meetings of the board of directors and
committees of the board of directors that reflect any discussions or evalu-
ations of the loan or guaranty.
(7) A letter signed by the interested director setting forth a description
of the director's material financial interest in the loan or guaranty, listing
all material facts, as defined in subsection 999. 1(c) of these regulations,
concerning the transaction, and all facts disclosed by the interested direc-
tor to the board of directors concerning the transaction. (Note: Disclosure
of this information in the corporation's letter, pursuant to subsection
999.2(c)(1), may eliminate the need for the letter from the interested di-
rector, to the extent the information in the interested director's letter
would duplicate information in the corporation's letter.)
(8) The Attorney General may require submission of additional infor-
mation by the corporation and its directors in order to complete an analy-
sis of the loan or guaranty.
(d) Request for Attorney General's Ruling on Amendment of Corpo-
rate Articles of Incorporation.
Corporations Code section 5820 provides that the Attorney General
may, at the corporation's request, give rulings as to whether the Attorney
General will or may oppose a proposed amendment to the articles of in-
corporations, as inconsistent with or proscribed by the requirement of a
charitable trust.
For purposes of section 5820, a request for the Attorney General' s rul-
ing on a proposed amendment to the articles of incorporation shall be
submitted in writing in accordance with section 999. 1 (a) of these regula-
tions.
The written request for the Attorney General's ruling shall contain the
following:
( 1 ) A letter signed on behalf of the corporation by any officer or direc-
tor thereof setting forth a detailed description of the proposed amend-
ment to the articles of incorporation and all material facts concerning the
amendment. Material facts shall include the reasons for the amendment,
the benefit such amendment will confer upon the corporation, whether
the board of directors has approved the amendment, and the criteria used
by the board to evaluate and approve the amendment.
(2) A copy of the corporation's current financial statement as of a date
within ninety days preceding the filing of the notice or request, except to
the extent already on file with the Registry of Charitable Trusts.
(3) A copy of the articles of incorporation and amendments thereto,
except to the extent already on file with the Registry of Charitable Trusts.
(4) A copy of the bylaws and amendments thereto, except to the extent
already on file with the Registry of Charitable Trusts.
(5) Copies of all minutes of meetings of the board of directors and
committees of the board of directors that reflect any discussions or evalu-
ations of the article amendment to the articles of incorporation.
(6) The Attorney General may require submission of additional infor-
madon by the corporation and its directors in order to complete an analy-
sis of the article amendment.
(e) Giving Notice to the Attorney General; Attorney General's In-
volvement.
The following sections of the Corporations Code provide for the in-
volvement of the Attorney General, and, where appropriate, for notice to
the Attorney General, in certain actions and proceedings by, or relating
to, a public benefit corporation:
Corp. Code § 5142 (action for breach of trust)
Corp. Code § 5223 (removal for fraud)
Corp. Code § 5225 (deadlock)
Corp. Code § 5226 (resignation by last director)
Corp. Code § 5233 (self-dealing)
Corp. Code § 5236 (loan to a director or officer)
Corp. Code § 5238(c)(3) (indemnity)
Corp. Code § 5617(b) (validity of election)
Corp. Code § 5913 (sale of assets)
Corp. Code § 5914 (proposed transfer of health facihdes)
Corp. Code § 5920 (proposed transfer of health faciUties)
Corp. Code § 6010 (merger)
Corp. Code §§ 6510(d), 6716(b)(c) (involuntary dissolution)
Corp. Code §§661 1(a), 6612(a),6613(c), 6617(b). 6716(b)(c) (volun-
tary dissolution)
Corp. Code § 6721(a) and (b) (recovery of distribution)
Communicadons and nodces to the Attorney General pursuant to the
foregoing sections shall be submitted in writing in accordance with sub-
secdon 999.1(a) of these reguladons.
In addidon to the informadon required in the Corporadons Code and
in these reguladons for communicadons and nodces to the Attorney Gen-
eral under specific circumstances, nodce to the Attorney General pur-
suant to the foregoing secdons of the Corporadons Code shall contain
written informadon sufficient to enable the Attorney General to review
and evaluate the acdon or proceeding, the dme, date and place at which
the acdon or proceeding will occur, or has occurred, and a statement indi-
cating whether an approval, ruling, waiver or other action by the Attorney
General is sought.
NOTE: Authority cited: Sections 5914(b) and 5918, Corporations Code. Refer-
ence: Sections 5142, 5223, 5225, 5226, 5233, 5236, 5238(c)(3), 5617, 5820, 5913,
5914(b), 5918, 6010, 6510(d), 6611(a), 6612(a), 6613(c), 6617(b), 6716(b)and(c)
and 6721(a) and (b), Corporadons Code.
History
1. Amendment of last paragraph and Note filed 5-22-96; operative 6-21-96
(Register96, No. 21).
2. New subsecdon (e), subsection relettering, and amendment of newly designated
subsecdon (f) and Note filed 1-17-97 as an emergency; operadve 1-17-97
(Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL
by 5-1 9-97 or emergency language will be repealed by operadon of on the fol-
lowing day.
3. Certificate of Compliance as to 1-17-97 order transmitted to OAL 5-7-97 and
filed 6-19-97 (Register 97, No. 25).
4. Repealer of subsection (e) (reserved) and amendment of subsection (f) filed
2-4-2000 as an emergency; operative 2-4-2000 (Register 2000, No. 5). A Cer-
dficate of Compliance must be transmitted to OAL by 6-5-2000 or emergency
language will be repealed by operation of law on the following day.
5. Repealer of subsection (e) (reserved) and amendment of subsection (0 refiled
6-5-2000 as an emergency; operative 6-5-2000 (Register 2000, No. 23). A
Certificate of Compliance must be transmitted to OAL by 10-3-2000 or emer-
gency language will be repealed by operation of law on the following day.
6. Repealer of subsection (e) (reserved) and amendment of subsection (0 refiled
10-2-2000 as an emergency; operative 10-2-2000 (Register 2000, No. 40). A
Certificate of Compliance must be transmitted to OAL by 1-30-2001 or emer-
gency language will be repealed by operation of law on the following day.
7. Repealer of subsecdon (e) (reserved) and amendment of subsection (f) refiled
1-30-2001 as an emergency; operative 1-30-2001 (Register 2001, No. 5). A
Page 48.4(e)
Register 2006, No. 28; 7-14-2006
§ 999.3
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
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.
8. Certificate of Compliance as to 1-30-2001 order transmitted to OAL 3-9-2001
and filed 4-20-2001; operafive 5-20-2001 (Register 2001, No. 16).
9. Change without regulatory effect amending section filed 1-9-2006 pursuant to
section 100, title 1, California Code of Regulations (Register 2006, No. 2).
10. Change without regulatory effect repealing subsection (e) [Reserved] and re-
lettering subsection (f) to subsection (e) fifed 7-12-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 28).
§ 999.3. Mutual Benefit Corporations.
(a) Written Notice to Attorney General of Self-Dealing Transaction.
Corporations Code section 7238 provides that where a mutual benefit
corporation holds assets in charitable trust, the conduct of its directors
shall be governed by the standards of conduct for directors of public
benefit corporations, in respect to the assets held in charitable trust. Thus,
Corporations Code section 7238 applies the provisions of section 5233
to self-dealing transactions by a mutual benefit corporation in respect to
assets held in charitable trust.
Corporations Code section 5233(e) provides that an action under sec-
tion 5233(c) seeking remedies for a self-dealing transaction must be filed
within two years after written notice setting forth the material facts of the
transaction and the director's interest is filed with the Attorney General
in accordance with regulations adopted by the Attorney General.
For purposes of sections 7238 and 5233(e), a written notice of a self-
dealing transaction shall be deemed filed with the Attorney General
when the written notice of the self-dealing transaction is submitted in ac-
cordance with subsection 999.1(a) of these regulations.
The written notice of a self-dealing transaction to the Attorney Gener-
al shall contain the following:
( 1 ) A letter signed on behalf of the corporation by an authorized direc-
tor or officer thereof, or by or on behalf of a director or officer of the cor-
poration, setdng forth a detailed description of the self-dealing transac-
fion, the extent to which any director has a material financial interest in
the self-dealing transaction, and all material facts concerning the self-
dealing transaction. "Material facts" are defined in subsection 999.1(c)
of these regulations.
(2) A copy of the corporation's current financial statement as of a date
within ninety days preceding the filing of the notice or request, except to
the extent already on file with the Registry of Charitable Trusts.
(3) A copy of the articles of incorporation and amendments thereto,
except to the extent already on file with the Registry of Charitable Trusts.
(b) Written Request for Attorney General' s Approval of Self-Deahng
Transaction. Corporations Code section 7238 provides that where a mu-
tual benefit corporation holds assets in charitable trust, the conduct of its
directors shall be governed by the standards of conduct for directors of
public benefit corporations in respect to the assets held in charitable trust.
Thus, Corporations Code section 7238 applies the provisions of section
5233 to self-dealing transactions by a mutual benefit corporation in re-
spect to assets held in charitable trust.
Corporations Code section 5233(d) provides that no remedies shall be
granted in any action for a self-dealing transaction if the Attorney Gener-
al or the court has approved the transaction before or after it was consum-
mated.
A request for approval by the Attorney General of a self-dealing trans-
action shall be submitted in writing in accordance with subsection
999.1(a) of these regulafions.
A request for approval by the Attorney General of a self-dealing trans-
action shall contain the following:
( 1 ) A letter signed on behalf of the corporation by an authorized direc-
tor or officer thereof, or by or on behalf of a director of the corporation,
setting forth a detailed descripdon of the self-dealing transaction, the ex-
tent to which any director has a material financial interest in the self-
dealing transacfion, and all material facts concerning the self-dealing
transacfion. "Material facts" are defined in subsecfion 999.1(c) of these
regulafions.
(2) A copy of the corporation' s current financial statement as of a date
within ninety days preceding the filing of the notice or request, except to
the extent already on file with the Registry of Charitable Trusts.
(3) A copy of the articles of incorporation and amendments thereto,
except to the extent already on file with the Registry of Charitable Trusts.
(4) A copy of the bylaws and amendments thereto, except to the extent
already on file with the Registry of Charitable Trusts.
(5) Copies of all minutes of meedngs of the board of directors and
committees of the board of directors that reflect any discussions or evalu-
ations of the self-dealing transacfion.
(6) A letter signed by the interested director setting forth a description
of the director's material financial interest in the self-dealing transaction,
lisdng all material facts, as defined in subsection 999. 1 (c) of these regula-
tions, concerning the transaction, and all facts disclosed by the interested
director to the board of directors concerning the transacfion. (Note: Dis-
closure of this informadon in the corporation's letter, pursuant to subsec-
tion 999.3(b)( 1), may eliminate the need for the letter from the interested
director to the extent the information in the interested director's letter
would duplicate informadon in the corporation's letter.)
(7) The Attorney General may require submission of addidonal infor-
madon by the corporation and its directors in order to complete analysis
of the self-dealing transaction.
(c) Attorney General's Approval of Loans or Guaranties to a Director.
Corporadons Code secdon 7238 provides that where a mutual benefit
corporadon holds assets in charitable trust, the conduct of its directors
shall be governed by the standards of conduct for directors of public
benefit corporations in respect to the assets held in charitable trust. Thus,
Corporadons Code secdon 7238 applies the provisions of secdon 5236
to director or officer loans or guaranties by a mutual benefit corporation,
if such loans or guaranfies consist of, or are secured by, assets held in
charitable trust.
Corporadons Code secdon 5236 prohibits a public benefit corporadon
from making any loan or guaranty to any director or officer, unless ap-
proved by the Attorney General.
For purposes of sections 7238 and 5236, a request for the Attorney
General's approval of a loan or guaranty to a director or officer shall be
submitted in writing in accordance with subsection 999. 1 (a) of these reg-
ulations.
The written request for Attorney General' s approval of a loan or guar-
anty shall contain the following:
( 1 ) A letter signed on behalf of the corporation by an authorized direc-
tor or officer thereof, or by or on behalf of a director or officer of the cor-
poration, setting forth a detailed description of the loan or guaranty and
all material facts concerning the loan or guaranty. "Material facts" are de-
fined in subsection 999.1(c) of these regulations.
(2) Copies of the loan or guaranty agreement, note and related security
agreements.
(3) A copy of the corporation's current financial statement as of a date
within ninety days preceding the filing of the notice or request, except to
the extent already on file with the Registry of Charitable Trusts.
(4) A copy of the arficles of incorporation and amendments thereto,
except to the extent already on file with the Registry of Charitable Trusts.
(5) A copy of the bylaws and amendments thereto, except to the extent
already on file with the Registry of Charitable Trusts.
(6) Copies of all minutes of meetings of the board of directors and
committees of the board of directors that reflect any discussions or evalu-
ations of the loan or guaranty.
(7) A letter signed by the interested director setting forth a description
of the director's material financial interest in the loan or guaranty, listing
all material facts, as defined in subsection 999.1(c) of these regulations,
concerning the transaction and all facts disclosed by the interested direc-
tor to the board of directors concerning the transaction. (Note: Disclosure
of this information in the corporation's letter, pursuant to subsection
999.3(c)(1) may eliminate the need for the letter from the interested di-
•
Page 48.4(f)
Register 2006, No. 28; 7-14-2006
Title 11
Attorney General
§ 999.5
•
rector to the extent the information in the interested director's letter
would duplicate information in the corporation's letter.)
(8) The Attorney General may require submission of additional infor-
mation by the corporation and its directors in order to complete an analy-
sis of the loan or guaranty.
(d) Request for Attorney GeneraFs Ruling on Amendment of Corpo-
rate Articles of Incorporation. Corporations Code section 7820 provides
that the Attorney General may, at the corporation's request, give rulings
as to whether the Attorney General will or may oppose a proposed
amendment to the articles of incorporation, as inconsistent with, or pro-
scribed by, the requirement of a charitable trust.
For purposes of section 7820, a request for the Attorney General's rul-
ing on a proposed amendment to the articles of incorporation shall be
submitted in writing in accordance with subsection 999. 1(a) of these reg-
ulations.
The written request for the Attorney General's ruling shall contain the
following:
( 1 ) A letter signed on behalf of the corporation by any officer or direc-
tor thereof setting forth a detailed description of the proposed amend-
ment to the articles of incorporation and all material facts concerning the
amendment. Material facts shall include the reasons for the amendment,
the benefit the amendment will confer upon the corporation, whether the
board of directors has approved the amendment, and the criteria used by
the board to evaluate and approve the amendment.
(2) A copy of the corporation's current financial statement as of a date
within ninety days preceding the filing of the notice or request, except to
the extent already on file with the Registry of Charitable Trusts.
(3) A copy of the articles of incorporation and amendments thereto,
except to the extent already on file with the Registry of Charitable Trusts.
(4) A copy of the bylaws and amendments thereto, except to the extent
already on file with the Registry of Charitable Trusts.
(5) Copies of all minutes of meetings of the board of directors and
committees of the board of directors, that reflect any discussions or eval-
uations of the amendments to the articles of incorporation.
(6) The Attorney General may require submission of additional infor-
mation by the corporation and its directors in order to complete an analy-
sis of the amendments to the articles of incorporation.
(e) Giving Notice to the Attorney General; Attorney General's In-
volvement. The following sections of the Corporations Code provide for
the involvement of the Attorney General, and, where appropriate, for no-
tice to the Attorney General, in certain actions and proceedings by or re-
lating to a mutual benefit corporation:
Corp. Code § 7142(a) (action for breach of charitable trust)
Corp. Code § 7223(b) (action to remove director for fraud)
Corp. Code § 7225(c) (appointment of provisional director where
board deadlocked)
Corp. Code § 5233 (through § 7238) (self-dealing)
Corp. Code § 5236 (through § 7238) (loan to a director or officer)
Corp. Code § 7238(c)(3) (indemnity)
Corp. Code § 7616(b) (action to determine validity of election)
Corp. Code § 7913 (disposal or sale of assets)
Corp. Code § 8010 (merger with public benefit, religious corporation)
Corp. Code §§ 8510(e), 8611(a), 8612(a), 8613(a), 8617(b),
8716(b)(c) (dissolution)
Corp. Code § 8723(b) (suit against corporation after dissolution)
Communications and notices to the Attorney General pursuant to the
foregoing sections shall be submitted in writing in accordance with sub-
section 999.1(a) of these regulations.
In addition to the information required in the Corporations Code and
in these regulations for communications and notices to the Attorney Gen-
eral under specific circumstances, notice to the Attorney General pur-
suant to the foregoing sections of the Corporations Code shall contain
written information sufficient to enable the Attorney General to review
and evaluate the action or proceeding, the time, date and place at which
the action or proceeding will occur, or has occurred, and a statement indi-
cating whether an approval, ruling, waiver or other action by the Attorney
General is sought.
NOTE: Authority and references cited: Sections 7142, 7223, 7225, 7238. 7616,
7913. 8010, 8510, 8611, 8612, 8613, 8617, 8716, 8723, Corporations Code.
History
1. Amendment of last paragraph and NoTi-; filed 5-22-96; operative 6-21-9h
(Register 96, No. 21).
2. Change without regulatory effect amending section filed 1-9-2006 pursuant to
section 100, title 1, California Code of Regulations (Register 2006. No. 2).
§ 999.4. Religious Corporations.
Giving Notice of dissolution to the Attorney General.
Communications and notices to the Attorney General pursuant to Cor-
porations Code section 9680 (dissolution) shall be submitted in writing
in accordance with subsection 999.1(a) of these regulations.
In addition to the information required in the Corporations Code and
in these regulations for communications and notices to the Attorney Gen-
eral under specific circumstances, notice to the Attorney General pur-
suant to section 9680 of the Corporations Code shall contain written in-
formation sufficient to enable the Attorney General to review and
evaluate the disposition of assets pursuant to the dissolution.
NOTE: Authority and references cited: Sections 9230, 9680(a) and (e). Corpora-
tions Code.
History
1. Repealer of subsections (a)-(c)(6) and subsection (d) designator and amend-
ment of former subsection (d) and Noth filed 5-22-96; operative 6-21-96
(Register96, No. 21).
2. Change without regulatory effect amending section filed 1-9-2006 pursuant to
section 100, title 1, California Code of Regulations (Register 2006, No. 2).
§ 999.5. Attorney General Review of Proposals to Transfer
Health Facilities Under Corporations Code
Sections 5914 et seq. and 5920 et seq.
(a) Written Notice to Attorney General of Proposed Transfer of Health
Facility; Waiver of Notice.
(1) Any nonprofit corporation that is defined in Corporations Code
section 5046 and operates or controls a health facility or a facility that
provides similar health care, shall provide written notice to, and obtain
the written consent of, the Attorney General prior to entering into any
agreement or transaction to do either of the following:
(A) Sell, transfer, lease, exchange, option, convey, or otherwise dis-
pose of its assets either to a for-profit corporation or entity or to another
nonprofit corporation or entity when a material amount of the assets of
the nonprofit corporation are involved in the agreement or transaction.
(B) Transfer control, responsibility, or governance of a material
amount of the assets or operations of the nonprofit corporation either to
any for-profit corporation or entity or to another nonprofit corporation
or entity.
(2) For purposes of section 999.5 of these regulations, an agreement
or transaction involves a "material amount of the assets or operations" if
either:
(A) The agreement or transaction directly affects more than 20% of the
value of the health facilities or facilities that provide similar health care
that are operated or controlled by the nonprofit corporation; or
(B) The agreement or transaction involves the sale, transfer, exchange,
change in control or governance of, or otherwise disposes of any health
facility or facility that provides similar health care that is operated or con-
trolled by the nonprofit corporation and that has a fair market value that
exceeds $3 million; or
(C) The agreement or transaction involves the sale, transfer, exchange,
change in control or governance of, or otherwise disposes of any general
acute care hospital as defined in Health and Safety Code section 1 250(a).
(3) For purposes of section 999.5 of these regulations, an agreement
or transaction will "transfer control, responsibility, or governance" if:
(A) There is a substitution of a new corporate member or members that
transfers the control of, responsibility for, or governance of the nonprofit
corporation; or
Page 48.4(g)
Register 2006, No. 28; 7-14-2006
§ 999.5
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(B) There is a substitution of one or more members of the governing
body, or any arrangement, written or oral, that would transfer voting con-
trol of the members of the governing body.
(4) Written notice to, and the written consent of, the Attorney General
shall not be required under section 999.5 of these regulations if the agree-
ment or transaction is in the usual and regular course of the activities of
the nonprofit corporation.
(5) Written notice to, and the written consent of, the Attorney General
shall not be required under section 999.5 of these regulations if the Attor-
ney General has given the nonprofit corporation a written waiver of the
proposed agreement or transaction.
(A) A corporation may request such a waiver by submitting, in writing.
a description of the proposed agreement or transaction, a copy of all doc-
uments that effectuate any part of the proposed transaction, a description
of the proposed use by the nonprofit corporation of any sales proceeds,
and an explanation of why the waiver should be granted.
(B) TTie Attorney General shall grant or deny such request within thirty
(30) days after all of the information needed to evaluate the waiver re-
quest has been submitted to the Attorney General. In determining wheth-
er to grant a waiver, the Attorney General shall consider whether any of
the decisional factors set forth in Corporations Code sections 5917 and
5923 are applicable to the proposed agreement or transaction. A waiver
shall be denied if any of these decisional factors require full Attorney
General review of the proposed agreement or transaction. The Attorney
[The next page is 48.5.]
Page 48.4(h)
Register 2006, No. 28; 7-14-2006
Title 11
Attorney General
§ 999.5
General may condition the grant of a waiver in a manner that eliminates
the need for full Attorney General review.
(C) Copies of the waiver request and the Attorney General's decision
to grant or deny the waiver shall be made available to any person upon
request, including any person who has previously requested such notice
in writing.
(6) Section 999.5(a)( 1 ) of these regulations shall apply to any foreign
nonprofit corporation that operates or controls a health facility or a facil-
ity that provides similar health care.
(7) Section 999.5(a)(1) of these regulations shall not apply to any
agreement or transaction described in Corporations Code section 5920
if, prior to the proposed agreement or transaction, the other party to the
agreement or transaction is an "affiliate," as defined in Corporations
Code section 503 1 , of the transferring nonprofit corporation or entity,
and the transferring corporation or entity provides the Attorney General
with twenty (20) days advance notice of the agreement or transaction.
(8) Written notice to. and the written consent of, the Attorney General
shall not be required under section 999.5 of these regulations unless the
agreement or transaction involves a health facility or facility that pro-
vides similar care that is located within California.
(9) If a nonprofit corporation has engaged in multiple agreements or
transactions, in a manner designed to avoid Attorney General review un-
der section 999.5 of these regulations, all of the multiple agreements or
transactions shall be considered and analyzed as a single transaction for
any purpose under these regulations.
(b) Definitions
(1) "Applicant" means any corporation or entity that is required by
section 999.5(a)( 1 ) of these regulations to submit written notice to the At-
torney General.
(2) "Entity" means any form of business enterprise other than a corpo-
ration.
(3) The phrase "facility that provides similar health care" means any
facility operated in California whose primary purpose is to provide medi-
cal services to patients requiring admission for more than 24 hours and
that is otherwise similar in nature to the type of facilities defined in the
provisions of Health and Safety Code section 1250.
(4) "Health facility" means any facility located in California that satis-
fies the definition of health facility set forth in section 1 250 of the Health
and Safety Code.
(5) "Potential transferee" means any corporation or entity with which
an applicant has engaged in discussions, or from which an applicant has
received a written proposal, concerning a possible agreement or transac-
tion for which written notice is required by section 999.5(a)(1) of these
regulations if such discussions or written proposal occurred within the
twelve ( 1 2) months preceding the decision to transfer assets or control to
a transferee.
(6) "Transferee" means any corporation or entity that is the recipient
of assets or control through any transaction or agreement for which writ-
ten notice to the Attorney General is required by section 999.5(a)(1) of
these regulations.
(c) Notice and Availability of Information
(1) The applicant shall submit five copies of the notice to the Attorney
General to any location set forth in section 999.1(a) of these regulations.
The notice shall contain the information required by section 999.5(d) of
these regulations and such additional information that the applicant be-
lieves is necessary for the Attorney General to review.
(2) The Attorney General may request an applicant to provide such
additional information as the Attorney General deems reasonably neces-
sary to decide whether to consent to, give conditional consent to or not
to consent to a proposed agreement or transaction under Corporations
Code sections 591 5 and 5921 . As set forth in Corporations Code sections
5917(g) and 5923(d), failure to provide the Attorney General with suffi-
cient information and data to evaluate adequately the proposed agree-
ment or transaction or the effects thereof on the public may be grounds
for denying consent.
(3) All of the information provided to the Attorney General by the ap-
plicant shall be treated as a public record unless such information is a
trade secret or unless the public interest in maintaining the confidentiality
of that information clearly outweighs the public interest in disclosure.
(A) The applicant shall have the sole burden of designating, at the time
of its submission, any specific information that it believes should be
treated as confidential and the reasons therefor. The Attorney General
shall determine the validity of the confidentiality claim and communicate
that determination to the applicant prior to any public disclosure of the
information.
(B) The public disclosure provisions of section 999.5(c)(4) of these
regulations shall not apply to information determined to be confidential.
(C) If the applicant designates any of the information in the notice as
confidential, five additional copies of the notice shall be submitted to the
Attorney General with the confidential information identified and re-
dacted.
(4) Every applicant shall maintain a copy of the notice and any addi-
tional information submitted by the applicant to the Attorney General in
an appropriate reading room in the community being affected by the
agreement or transaction for review by the public during normal business
hours. The applicant shall publicize the location at which the documents
are available for review. Upon written request, the Attorney General
shall make available without cost the nofice and any additional informa-
tion provided to the Attorney General to members of the public in written
form as soon as practicable after its receipt.
(5) The applicant shall provide to the Attorney General a CD-ROM
in PDF format containing the information submitted to the Attorney Gen-
eral under section 999.5(c)(1) and (c)(2) of these regulations. The CD-
ROM shall not include any information designated as confidential or any
signatures appearing on documents.
(d) Contents of Notice
(1) The written notice of any proposed agreement or transaction set
forth in section 999.5(a)( 1 ) of these regulations shall include a secfion en-
titled "Description of the Transaction" that contains the following in-
formation:
(A) A full description of the proposed agreement and transaction.
(B) A complete copy of all proposed written agreements or contracts
to be entered into by the applicant and the transferee that relate to or effec-
tuate any part of the proposed transaction.
(C) A statement of all of the reasons the board of directors of applicant
believes that the proposed agreement or transaction is either necessary
or desirable.
(2) The written notice of any proposed agreement or transaction set
forth in section 999.5(a)( 1 ) of these regulations shall include a section en-
titled "Fair Market Value" that contains the following information:
(A) The estimated market value of all cash, property, stock, notes, as-
sumption or forgiveness of debt, and any other thing of value that the ap-
plicant would receive for each health facility covered by the proposed
agreement or transaction.
(B) The estimated market value of each health facility or other asset
to be sold or transferred by the applicant under the proposed agreement
or transacfion.
(C) A description of the methods used by the applicant to determine
the market value of any assets involved in the proposed agreement or
transaction. This description shall include a description of the efforts
made by the applicant to sell or transfer each health facility that is the sub-
ject of the proposed agreement or transaction.
(D) Reports, analysis, Requests for Proposal, and any other documents
that refer or relate to the valuation of any asset involved in the agreement
or transaction.
(E) For joint venture transactions, all asset contribution agreements
and related valuafions, all limited liability corporation or limited liability
partnership operating agreements, management contracts, and put option
agreements.
Page 48.5
Register 2005, No. 7; 2-18-2005
§ 999.5
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(3) The written notice of any proposed agreement or transaction set
forth in section 999.5(a)( 1 ) of these regulations shall include a section en-
titled "Inurement and Self-Dealing" that contains the following informa-
tion:
(A) Copies of any documents or writings of any kind that relate or refer
to any personal financial benefit that a proposed affiliation between ap-
plicant and the transferee would confer on any officer, director, em-
ployee, doctor, medical group or other entity affiliated with applicant or
any family member of any such person as identified in Corporations
Code section 5227(b)(2).
(B) The identity of each and every officer, trustee or director of appli-
cant (or any family member of such persons as identified in Corporations
Code section 5227(b)(2)) or any affiliate of applicant who or which has
any personal financial interest in any company, firm, partnership, or busi-
ness entity (other than salary and directors/trustees' fees) currently doing
business with applicant, any affiliate of applicant, or the transferee or any
affiliate of the transferee.
(C) A statement describing how the board of directors of the nonprofit
corporations involved in the transaction are complying with the provi-
sions of Health and Safety Code sections 1260 and 1260.1.
(4) The written notice of any proposed agreement or transaction set
forth in section 999.5(a)( 1 ) of these regulations that will result in the non-
profit corporation receiving sales proceeds shall include a section en-
titled "Charitable Use of Assets" that contains the following information:
(A) The applicant's articles of incorporation and all amendments
thereto and current bylaws, any charitable trust restrictions, and any other
information necessary to define the charitable trust purpose of the appli-
cant" s assets.
(B) Applicant's plan for use of the net proceeds after the close of the
proposed transaction together with a statement explaining how the pro-
posed plan is as consistent as possible with existing charitable purposes
and complies with all applicable charitable trusts that govern use of appli-
cant' s assets. The plan must include any proposed amendments to the ar-
ticles of incorporation or bylaws of the applicant or any entity related to
the applicant that will control any of the proceeds from the proposed
transfer.
(5) The written notice of any proposed agreement or transaction set
forth in section 999.5(a)( 1 ) of these regulations shall include a section en-
titled "Impacts on Health Care Services" that contains the following in-
formation:
(A) A copy of the two most recent "community needs assessments"
prepared by applicant for any health facility that is the subject of the
agreement or transaction.
(B) A description of all charity care provided in the last five years by
each health facility that is the subject of the agreement or transaction.
This description shall include annual total charity care spending; inpa-
tient, outpafient and emergency room charity care spending; a descrip-
tion of how the amount of charity care spending was calculated; annual
charity care inpafient discharges, outpatient visits, and emergency visits;
a description of the types of charity care services provided annually; and
a descripfion of the policies, procedures, and eligibility requirements for
the provision of charity care.
(C) A descripfion of all services provided by each health facility that
is the subject of the agreement or transaction in the past five years to
Medi-Cal patients, county indigent patients, and any other class of pa-
tients. This description shall include but not be limited to the type and
volume of services provided, the payors for the services provided, the
demographic characteristics of and zip code data for the pafients served
by the health facility, and the costs and revenues for the services pro-
vided.
(D) A descripfion of any community benefit program provided by the
health facility during the past five years with an annual cost of at least
$10,000.
(E) For each health facifity that is the .subject of the agreement or trans-
acfion, a description of current poUcies and procedures on staffing for pa-
fient care areas; employee input on health quality and staffing issues; and
employee wages, salaries, benefits, working conditions and employment
protections. Such description shall include a list of all existing staffing
plans, policy and procedure manuals, employee handbooks, collective
bargaining agreements or similar employment-related documents.
(F) For each health facility that is the subject of the agreement or trans-
action, all existing documents setting forth any guarantees made by any
entity that would be taking over operation or control of the health facility
relating to employee job security and retraining, or the continuation of
current staffing levels and policies, employee wages, salaries, benefits,
working conditions and employment protections.
(G) A statement describing all material effects that the proposed agree-
ment or transaction may have on delivery of health care services to the
communities served by each facility proposed to be transferred, and a
statement of how the proposed transaction will affect the availability and
accessibility of health care in the affected communities.
(H) A description of each measure proposed by the applicant to miti-
gate or eliminate any significant adverse effect on the availability or ac-
cessibility of health care services to the affected community that may re-
sult from the agreement or transaction.
If any of the quanfitative information required by subsections (B) and
(C) is not available, the applicant shall so indicate and provide a reason-
able estimate.
(6) The written notice of any proposed agreement or transaction set
forth in section 999.5(a)( 1 ) of these regulations shall include a section en-
titied "Possible Effect on Competition" that contains the following in-
formation:
(A) For any agreement or transaction for which a Premerger Notifica-
tion and Report Form is required to be submitted to the Federal Trade
Commission under the Hart-Scott-Rodino Anfitrust Improvement Act
of 1976, a brief analysis of the possible effect of any proposed merger or
acquisifion of each health care facility that is the subject of the agreement
or transaction on competition and market share in any relevant product
or geographic market.
(B) The appficant shall provide the Premerger Notification and Report
Form and any attachments thereto as filed with the Federal Trade Com-
mission pursuant to the Hart-Scott-Rodino Antitrust Improvement Act
of 1976 and 16 C.F.R. Parts 801-803. The procedure for designating in-
formation as confidential set forth in section 999.5(c)(3) of these regula-
tions shall apply to any information submitted under this subsection.
(7) The written notice of any proposed agreement or transaction set
forth in section 999.5(a)( 1 ) of these regulations shall include a section en-
titled "Other Public Interest Factors" that contains any other information
the applicant believes the Attorney General should consider in deciding
whether the proposed agreement or transaction is in the public interest.
(8) The written notice of any proposed agreement or transaction set
forth in section 999.5(a)( 1 ) shall include a resolution of the board of di-
rectors of the applicant authorizing the filing of the written nofice and a
statement by the chair of the board that the contents of the written notice
are true, accurate and complete.
(9) The written nofice of any proposed agreement or transaction set
forth in section 999.5 (a)( 1 ) shall include a list of the officers and directors
of the transferee and the most recent audited financial statement for the
transferee.
(10) The written notice of any proposed agreement or transaction set
forth in section 999.5(a)(1) shall include a description of the applicant's
efforts to inform local governmental entities, professional staff and em-
ployees of the health facility, and the general public of the proposed
transaction. This description shall include any comments or reaction to
this effort.
(11) The written notice of any proposed agreement or transaction set
forth in section 999.5(a)(1) of these regulations shall include the follow-
ing attachments if they are available and if they are not included in anoth-
er section of the written notice:
(A) Any board minutes or other documents relating or referring to con-
sideration by the board of directors of the applicant and any related entity,
or any committee thereof of the agreement or transaction or of any other
Page 48.6
Register 2005, No. 7; 2-18-2005
Title 11
Attorney General
§ 999.5
possible transaction involving any of the health facilities that are the sub-
ject of agreement or transaction.
(B) Copies of all documents relating or referring to the reasons why
any potential transferee was excluded from further consideration as a po-
tential transferee for any of the health facilities that are the subject of the
agreement or transaction.
(C) Copies of all Requests for Proposal sent to any potential transferee,
and all responses received thereto.
(D) All documents reflecting the deliberative process used by the ap-
plicant and any related entity in selecting the transferee as the entity to
participate in the proposed agreement or transaction.
(E) Copies of each Proposal received by the applicant from any poten-
tial transferee suggesting the terms of a potential transfer of applicant's
health facilities, and any analysis of each such Proposal.
(F) The applicant's prior two annual audited financial statements, the
applicant's most current unaudited financial statement, business projec-
tion data and current capital asset valuation data.
(G) Any requests for opinions to the Internal Revenue Service for rul-
ings attendant to this transaction and any Internal Revenue Service re-
sponses thereto.
(H) Pro forma post-transaction balance sheet for the surviving or suc-
cessor nonprofit corporation.
(e) Procedure for Review of Notice
(1) Within 60 days of receipt of the notice as set forth in section
999.5(c)(1) of these Regulations, the Attorney General shall notify the
applicant in writing of its decision to consent to, give conditional consent
to, or not consent to the agreement or transaction. A copy of the written
decision shall be made available to any person or entity who has re-
quested a copy.
(A) For purposes of this section, the notice shall be deemed received
on the date when substantially all of the information required by section
999.5(d) of these regulations has been submitted to the Attorney General.
(B) If an independent health care impact statement is required for the
agreement or transaction under section 999.5(e)(5), the notice shall not
be deemed received until all of the information required by section
999.5(d)(5) has been submitted to the Attorney General.
(2) The Attorney General may extend the 60-day deadline for a deci-
sion by an additional 45-day period for the reasons set forth in Corpora-
tions Code sections 59 1 5 and 5921 . Nothing in this section shall preclude
the Attorney General and the applicant from mutually agreeing to a fur-
ther extension of the deadline.
(3) Prior to issuing a written decision, the Attorney General shall con-
duct one or more public meetings on the proposed agreement and trans-
action to receive comments from interested parties. At least one of the
public meetings shall be in the county in which any health or similar facil-
ity that is affected by the agreement or transacdon is located.
(A) At least 14 days prior to the public meeting, the Attorney General
shall provide notice of the time and place of the meeting to the board of
supervisors of the affected county, to any person who has requested such
notice in writing, and through publication in a newspaper of general cir-
culation in the affected community.
(B) Nothing in this secdon shall preclude the Attorney General from
holding additional public hearings as necessary to ensure full consider-
ation of the proposed agreement or transaction. Nothing in this section
shall preclude the applicant or any other party from holding public meet-
ings to discuss the proposed agreement or transaction.
(C) If a substantive change in the proposed agreement or transaction
is submitted to the Attorney General after the initial public meeting, the
Attorney General shall conduct an additional public meeting if it is
deemed necessary to ensure adequate public comment regarding the pro-
posed change.
(D) If an independent health care impact statement is prepared for the
agreement or transaction under section 999.5(e)(5), a public meeting
shall be held no earlier than 10 days after the completed statement has
been made available for public review.
(4) Within the time periods set forth in this secdon and relating to the
factors set forth in section 999.5(f). the Attorney General may contract
with experts or consultants to review any aspect of the proposed agree-
ment or transaction or receive information or expert opinion from any
state agency. The Attorney General shall make publicly available any
written report from any such expert, consultant, or state agency.
(5) The Attorney General shall prepare an independent health care im-
pact statement for any agreement or transaction that satisfies either of the
following conditions:
(A) The agreement or transaction directly affects a general acute care
hospital as defined in Health and Safety Code section 1250(a) that has
more than 50 acute care beds; or
(B) There is a fair argument that the agreement or transaction may re-
sult in a significant effect on the availability or accessibility of existing
health care services.
Nothing in this secdon shall preclude the Attorney General from pre-
paring an independent health care impact statement or any other report
that may be necessary for a complete review and evaluation of the agree-
ment or transaction.
(6) The independent health care impact statement shall contain the fol-
lowing information:
(A) An assessment of the effect of the agreement or transaction on
emergency services, reproductive health services and any other health
care services that the hospital is providing.
(B) An assessment of the effect of the agreement or transaction on the
level and type of charity care that the hospital has historically provided.
(C) An assessment of the effect of the agreement or transaction on the
provision of health care services to Medi-Cal patients, county indigent
patients, and any other class of patients.
(D) An assessment of the effect of the agreement or transaction on any
significant community benefit program that the hospital has historically
funded or operated.
(E) An assessment of the effect of the agreement or transaction on staf-
fing for patient care areas as it may affect availability of care, on the likely
retention of employees as it may affect continuity of care, and on the
rights of employees to provide input on health quality and staffing issues.
(F) An assessment of the effectiveness of any midgation measure pro-
posed by the applicant to reduce any significant adverse effect on health
care services identified in the impact statement.
(G) A discussion of alternatives to the proposed agreement or transac-
tion including closure of the hospital.
(H) Recommendations for additional feasible mitigation measures
that would reduce or eliminate any significant adverse effect on health
care services identified in the impact statement.
The information contained in the independent health care impact state-
ment shall be used in considering whether the agreement or transaction
may create a significant effect on the availability or accessibility of health
care services as set forth in section 999.5(f)(8) of the regulations. Copies
of the health care impact statement shall be made available to any person
or entity that has requested a copy.
(7) It is the policy of the Attorney General to receive and consider all
relevant information concerning the proposed agreement or transaction.
Any interested person may submit written comments, or electronic mail
if feasible, regarding any aspect of the proposed agreement or transac-
tion. The written comments shall be addressed to the Attorney General,
Charitable Trusts Section, 1300 1 Street, P.O. Box 944255, Sacramento,
California 94244-2550, Attn: Hospital Conversion. Written comments
should be submitted no later than 10 days before the applicable deadline
for the decision.
(f) Factors To Be Considered in Making a Decision
(1) In making a determination on whether to consent to any agreement
or transaction for which written consent is required by section
999.5(a)(1) of these regulations, the Attorney General shall consider
Page 48.7
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§ 999.5
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
whether the terms and conditions of the agreement or transaction are fair
and reasonable to the selling nonprofit corporation.
(2) In making a determination on whether to consent to any agreement
or transaction for which written consent is required by section
999.5(a)(1) of these regulations, the Attorney General shall consider
whether the agreement or transaction will result in inurement to any pri-
vate person or entity.
(A) As used in this subsection, "inurement" means that an individual
or entity has received some special benefit which is unreasonable under
the circumstances because of his, her or its relationship to any nonprofit
corporation involved in the transaction. "Inurement" also includes exces-
sive compensation to directors, officers or employees of any nonprofit
corporation involved in the transaction.
(B) In determining whether the agreement or transaction will result in
inurement, the Attorney General shall assess, among other things, wheth-
er any officer, director, employee, or spouse or family member as de-
scribed in Corporations Code section 5227(b)(2) of an officer or director
of any nonprofit corporation involved in the agreement or transaction
will receive stock options, performance bonuses, increased compensa-
tion, excessive salaries and benefits, or corporate loans as a result of the
agreement or transaction.
(C) An agreement or transaction will result in inurement if there is a
violation of Health and Safety Code sections 1260 and 1260.1.
(3) In making a determination on whether to consent to any agreement
or transaction for which written consent is required by section
999.5(a)( 1) of these regulations, the Attorney General shall consider the
fair market value of the agreement or transaction as the term "fair market
value" is defined in Corporations Code sections 5917(c) and 5923(c).
(A) The Attorney General may review some or all of the following fac-
tors to determine the fair market value of the agreement or transaction:
1. The fair market value of tangible and intangible assets proposed to
be sold or transferred by the applicant in the transaction;
2. Anticipated future earnings or other income from the facilities and
other assets being sold or transferred;
3. The fair market value of tangible and intangible assets proposed to
be received by the applicant in the transaction;
4. If the nonprofit corporation is receiving notes rather than cash for
the sale or transfer of a health facility or other assets, such factors as the
type and value of any security or collateral, the present value of the note,
the marketability of the note, and tax consequences may be evaluated in
determining the value of the note;
5. Whether the facilities or assets being sold or transferred have been
aggressively marketed by investment bankers or other relevant profes-
sionals in an attempt to generate multiple bidders and maximum value;
6. Whether there are competing offers;
7. Whether formal and professional valuation appraisals have been ob-
tained;
8. Whether the nonprofit corporation thoroughly considered all realis-
tic alternatives, including mergers and/or strategic alliances with other
nonprofit entities (both locally and regionally based) and transaction al-
ternatives (e.g., sales of assets, leases, joint ventures, etc.) with for-profit
partners; and
9. If an applicant has filed for protection under the United States Bank-
ruptcy Code, the extent to which the bankruptcy court proceeding will set
a fair market value for the assets involved in the transaction.
(B) If written notice and consent is required by the provisions of Cor-
porations Code section 5914, the Attorney General shall also consider
whether the agreement or transaction is at fair market value. This require-
ment shall not apply if the written notice and consent is required by the
provisions of Corporations Code section 5920.
(4) In making a determination on whether to consent to any agreement
or transaction for which written consent is required by section
999.5(a)(1) of these regulations, the Attorney General shall consider
whether the market value has been manipulated by the parties to the
agreement or transaction in a manner that causes the value of the assets
to decrease
(5) In making a determination on whether to consent to any agreement
or transaction for which written consent is required by section
999.5(a)(1) of these regulations, the Attorney General shall consider
whether the proposed use of the proceeds from the agreement or transac-
tion is consistent with the charitable trust on which the assets are held by
the health facility or affiliated nonprofit health system.
(A) If the agreement or transaction involves the sale of any charitable
trust assets, the nonprofit corporation that receives the sale proceeds shall
utilize those proceeds for a like charitable purpose benefitting the same
class of beneficiaries. If the charitable trust assets that are sold or trans-
ferred involve restricted funds, the proceeds received must remain segre-
gated and used for their restricted purposes.
(B) If the agreement or transaction will result in a redirection of chari-
table trust assets from an operational use to a grant-making use, every
effort shall be made to insure that a constancy of purpose is maintained.
A court-validating procedure will be required for any transaction de-
scribed in this subsection.
(6) In making a determination on whether to consent to any agreement
or transaction for which written consent is required by section
999.5(a)(1) of these regulations, the Attorney General shall consider
whether the agreement or transaction involves or constitutes any breach
of trust.
(7) In making a determination on whether to consent to any agreement
or transaction for which written consent is required by section
999.5(a)(1) of these regulations, the Attorney General shall consider
whether sufficient information and data has been provided by the appli-
cant to evaluate adequately the agreement or transaction or the effects
thereof on the public.
(8) In making a determination on whether to consent to any agreement
or transaction for which written consent is required by section
999.5(a)(1) of these regulations, the Attorney General shall consider
whether the agreement or transaction may create a significant effect on
the availability or accessibility of health care services to the affected
community.
(A) Potential adverse effects on availability or accessibility of health
care may be mitigated through provisions negotiated between the parties
to the transaction, through conditions adopted by the Attorney General
in consenting to the proposed transaction, or through any other appropri-
ate means.
(B) It is the policy of the Attorney General, in consenting to an agree-
ment or transaction involving a general acute care hospital, to require for
a period of at least five years that a minimum level of annual charity care
costs be incurred by the hospitals that are the subject of the agreement or
transaction. The minimum level of annual charity care costs should be
based on the historic level of charity care that the hospital has provided.
The definition and methodology for calculating charity care costs should
be consistent with the definitions and methodology established by the
Office of Statewide Health Planning and Development. The Attorney
General shall retain complete discretion to determine whether this poUcy
shall be applied in any specific transaction under review.
(C) It is the policy of the Attorney General, in consenting to an agree-
ment or transaction involving a general acute care hospital, to require for
a period of at least five years the continuation at the hospital of existing
levels of essential healthcare services, including but not limited to emer-
gency room services. The Attorney General shall retain complete discre-
tion to determine whether this policy shall be applied in any specific
transaction under review.
(9) In making a determination on whether to consent to any agreement
or transaction for which written consent is required by section
999.5(a)(1) of these regulations, the Attorney General shall consider
whether the effect of the agreement or transaction may be substantially
to lessen competition or tend to create a monopoly.
(10) In making a determination on whether to consent to any agree-
ment or transaction for which written consent is required by section
999.5(a)(1) of these regulations, the Attorney General shall consider the
Page 48.8
Register 2005, No. 7; 2-18-2005
Title 11
Attorney General
§ 999.5
•
cxienl of independence that the nonprofit corporation retains as a result
of the agreement or transaction.
(A) The Attorney General will closely scrutinize any agreement or
transaction in which the sale proceeds to the nonprofit corporation are
tied to the provision of services by the acquiring for-profit entity such as
providing health services to the poor in lieu of cash or guaranteed pay-
ments by the nonprofit corporation to the acquiring entity for indigent
services.
(B) Acquiring for-profit entities shall not control sale proceeds or as-
sets through such methods as creation of a new nonprofit foundation or
through appointments to the board of directors of the nonprofit corpora-
tions.
(11) Except for transactions set forth in Corporations Code section
5233(b), the Attorney General shall not consent to any agreement or
transaction to which one or more directors of any nonprofit corporation
involved in the agreement or transaction has a material financial interest
unless the facts set forth in Corporations Code section 5233(d)(2) or
(d)(3) are established.
(12) In making a determination on whether to consent to any agree-
ment or transaction for which written consent is required by section
999.5(a)(1) of these regulations, the Attorney General shall consider
whether the agreement or transaction is in the public interest.
(13) As provided by Corporations Code section 5917.5, the Attorney
General shall not consent to any agreement or transaction in which the
seller restricts the type or level of medical services that may be provided
at the health facility that is the subject of the agreement or transaction.
(g) Compliance Program
( 1 ) The Attorney General shall monitor compliance with any terms or
conditions of any agreement or transaction for which the Attorney Gen-
eral has given written consent or conditional consent under Corporations
Code sections 5915 and 5921. Upon request of the Attorney General, par-
ties to any such agreement or transaction shall provide to the Attorney
General such information as is reasonably necessary to monitor com-
pliance.
(2) The Attorney General may contract with experts and consultants
as reasonable and necessary to review and evaluate compliance as pro-
vided in section 999.5(g)(1) of these regulations.
(3) For any agreement or transaction for which the Attorney General
has given written consent or conditional consent under Corporations
Code section 5915, the Attorney General shall be entitled to reimburse-
ment of all actual, reasonable and direct costs, including contract and ad-
ministrative costs, incurred in monitoring compliance as provided in sec-
tion 999.5(g)(1) of these regulations.
(4) For any agreement or transaction for which the Attorney General
has given written consent or conditional consent under Corporations
Code section 5921 and for a period not to exceed two years after the end
of the time period for performance of any obligation specified by the
agreement or transaction, the Attorney General shall be entitled to reim-
bursement of all actual, reasonable and direct costs, including contract
and administrative costs, incurred in monitoring compliance as provided
in section 999.5(g)(1) of these regulations.
(5) Except as otherwise prohibited by law or as necessary to protect
privileged communications, the Attorney General shall make available
to the public all documents relating to compliance with any terms or
conditions of any agreement or transaction for which the Attorney Gen-
eral has given consent or conditional consent under Corporations Code
section 5915 and 5921.
(h) Amendment of Consent Terms and Conditions
( 1 ) Either the selling or acquiring corporation or entity, or their succes-
sors in interest, may request Attorney General approval of any amend-
ment of the terms and conditions of any agreement or transaction for
which the Attorney General has given consent or conditional consent un-
der Corporations Code section 5915 or 5921. The sole basis for such a
request shall be a change in circumstances that could not have reasonably
been foreseen at the time of the Attorney General's action.
(2) A request for an amendment shall include a description of each pro-
posed amendment, a description of the change in circumstance requiring
each such amendment, a description of how each such amendment is con-
sistent with the Attorney General's consent or conditional consent to the
transaction, and a description of the efforts of the entity making the re-
quest to avoid the need for amendment.
(3) The Attorney General shall issue a decision on the proposed
amendments within 90 days of the submission of all of the information
set forth in section 999.5(h)(2) of these regulations. The Attorney Gener-
al shall provide public notice of the proposed amendments. A public
meeting shall be held before the decision is made either at the discretion
of the Attorney General or upon the request of any person within 7 days
of the public notice.
(4) In approving proposed amendments to conditions relating to the
operation of a health facility such as required levels of charity care and
continuation of essential services, the Attorney General shall consider
the effect of the proposed amendments on the availability or accessibility
of health care services to the affected community. The Attorney General
shall approve proposed amendments of the use of sales proceeds only if
the proposed amendments are necessary to carry out charitable trust pur-
poses, or in the case of a proposed change in charitable purpose only if
that change complies with the principles of the rv pres doctrine.
(5) The provisions of section 999.5(g)(2), (3), (4) and (5) shall apply
to Attorney General review of proposed amendments of the terms and
conditions of any agreement or transaction for which the Attorney Gen-
eral has given consent or conditional consent under Corporations Code
section 5915 and 5921.
(6) Unless otherwise provided in the decision consenting to an agree-
ment or transaction, the approval of the Attorney General shall not be re-
quired for modifications to the agreement or transaction that are not ma-
terial to the Attorney General's consent. The provisions of section
999.5(h) shall not limit the authority of the Attorney General to interpret
the terms and conditions of any consent decision.
(i) Attorney General Cost Reimbursements
(1) The applicant shall reimburse the Attorney General for the follow-
ing costs incurred in the review and evaluation of any written notice sub-
mitted under section 999.5(a) of these regulations:
(A) All actual contract costs that are reasonable and necessary to con-
duct the review and evaluation, and
(B) All actual, reasonable, direct costs, including administrative costs,
incurred in reviewing, evaluadng, and ruling upon the written notice.
(2) The Attorney General shall also be entitled to reimbursement for
the costs set forth in sections 999.5(g)(2), (3) and (4) and section
999.5(h)(5) of these regulafions. Such reimbursement shall be provided
by either the selling or the acquiring corporation, depending upon which
one the burden of compliance falls or which one submitted the proposed
amendment.
(3) As used in sections 999.5(g)(3) and (4), and 999.5(i)(l)(B) of these
regulations, "actual, reasonable and administrative costs" includes, but
is not limited to, the cost for all Attorney General's office personnel and
employee time at the billing rates used by the Department of Justice for
budgeting purposes, costs of travel, printing costs, and all costs incurred
in the noticing and conduct of public meetings.
(4) The Attorney General shall maintain an adequate record of any re-
imbursable costs, which shall, upon request, be made available to the
party from whom reimbursement is being sought.
NOTE: Authority cited: Sections 5914(b), 5918, 5920(b), 5924(d) and 5925, Cor-
porations Code. Reference: Sections 5914-5925, Corporations Code.
History
1. New section filed 1-17-97 as an emergency; operative 1-17-97 (Register 97,
No. 3). A Certificate of Compliance must be transmitted to OAL by 5-19-97
or emergency language will be repealed by operation of on the following day.
2. Certificate of Compliance as to 1-17-97 order, including amendment, trans-
mitted to OAL 5-7-97 and filed 6-19-97 (Register 97. No. 25).
3. New subsections (e)-(e)(3)(G)(iii) filed S-14-97 as an emergency, operative
8-14-97 (Register 97, No. 33). A Certificate of Compliance must be transmitted
Page 48.9
Register 2007, No. 22; 6-1-2007
§ 999.6
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
to OAL by 12-12-97 or emergency language will be repealed by operation of
law on the following day.
4. Certificate of Compliance as to 8-14-97 order, including amendments, trans-
mitted to OAL 1 1-25-97 and filed 1-12-98 (Register 98, No. 3).
5. Repealer and new section filed 2-4—2000 as an emergency; operative 2-4-2000
(Register 2000, No. 5). A Certificate of Compliance must be transmitted to OAL
by 6-5-2000 or emergency language will be repealed by operation of law on
the following day.
6. Amendment of subsection (a)(3) and new subsections (a)(3)(A) and (a)(3)(B)
filed 3-16-2000 as an emergency; operative 3-l(-)-2000 (Register 2000. No.
11 ). A Certificate of Compliance must be transmitted to OAL by 7-14-2000 or
emergency language will be repealed by operation of law on the following day.
7. Repealer and new section contained in 2-4-2000 order and amendment of sub-
section (a)(3) and new subsections (a)(3)(A) and (a)(3)(B) contained in
3-1 6-2000 order refiled 6-5-2000 as an emergency; operative 6-5-2000 (Reg-
ister 2000, No. 23). A Certificate of Compliance must be transmitted to OAL
by 10-3-2000 or emergency language of both orders will be repealed by opera-
fion of law on the following day.
8. Repealer and new section contained in 2-4-2000 order and amendment of sub-
section (a)(3) and new subsections (a)(3)(A) and (a)(3)(B) contained in
3-16-2000 order refiled 10-2-2000 as an emergency; operative 10-2-2000
(Register 2000. No. 40). A Certificate of Compliance must be transmitted to
OAL by 1-30-2001 or emergency language will be repealed by operation of
law on the following day.
9. Repealer and new section contained in 2-4-2000 order and amendment of sub-
section (a)(3) and new subsections (a)(3)(A) and (a)(3)(B) contained in
3-16-2000 order refiled 1-30-2001 as an emergency; operative 1-30-2001
(Register 200 1 , 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.
10. Certificate of Comphance as to 1-30-2001 orders, including further amend-
ment of section, transmitted to OAL 3-9-2001 and filed 4-20-2001 ; operative
5-20-2001 (Register 2001, No. 16).
11. Amendment of section and Note filed 2-16-2005; operative 3-18-2005
(Register 2005, No. 7).
§ 999.6. Charitable Entity Registration Refusal, Revocation
or Suspension.
(a) The Attorney General may refuse to register, or revoke, or suspend
the registration of a charitable corporation, trustee, commercial
fundraiser, fundraising counsel, and coventurer, for the reasons as speci-
fied in Section 12598, subdivision (e), of the Government Code.
(b) When a registration is refused, revoked, or suspended, the Attorney
General shall provide written notice which specifies the reasons for the
action.
(c) If the registrant seeks to appeal a registration action, it must request
a hearing by filing a written appeal with the Registrar of Charitable Trusts
within thirty (30) calendar days of the written notice's issue date.
( 1 ) The written appeal shall contain the name and entity affiliation (if
any), address and phone number of the person appealing, the registration
number (if any), and a statement of the basis of appeal.
(2) Notice of the hearing date, time and place shall be provided in ac-
cordance with the procedures set out in Chapter 5 (commencing with sec-
tion 1 1500) of Part 1 of Division 3 of Title 2 of the Government Code.
The failure of the person or entity who has appealed to appear at the time
and place of the hearing shall be deemed a withdrawal of the appeal, and
the written notice of the registration refusal, revocation, or suspension
shall constitute the Attorney General's final order subject to no further
administrative review.
(d) All hearings provided for under this regulation shall be conducted
by an administrative hearing officer appointed by the Attorney General.
The hearing officer shall not have participated in the decision concerning
the registration that is the subject of the hearing and is otherwise subject
to the disqualification provisions of sections 1 1425.30 and 1 1425.40 of
the Government Code.
(e) All hearings under this regulation shall be conducted in accordance
with the procedures set out in Chapter 5 (commencing with section
1 1500) of Part 1 of Division 3 of Title 2 of the Government Code, except
where as applicable those provisions requiring the designation of admin-
istrative law judges.
(f) Except as otherwise prohibited by law, the Attorney General may
delegate any of the powers and duties under Section 12598, subdivision
(e), of the Government Code and under these regulations to Department
of Justice staff.
NoTE: Authority cited: Section 12598(e), Government Code. Reference: Sections
1 1400, et seq. and 1 1500, et seq.. Government Code.
History
1. New section filed 6-1-2007; operative 7-1-2007 (Register 2007, No. 22).
§ 999.7. Review of Hearing Officer's Proposed Decision.
(a) Within 15 days after service of the hearing officer's proposed deci-
sion as provided for in Chapter 5 (cominencing with section 1 1500) of
Part 1 of Division 3 of Title 2 of the Government Code, any party to a reg-
istration action may file a written brief served on all parties seeking re-
view by the Attorney General of the proposed decision. Failure of a party
to timely file such a brief waives the party's right to such a review.
(b) Briefing Procedure
( 1 ) No later than 15 days after service of the written brief requesting
review of the proposed decision, an opposition to the request (if any)
must be filed and served on the parties.
(2) The parties' briefing may address the following:
(A) Whether the facts stated in the proposed decision are consistent
with the evidence presented;
(B) Whether the proposed decision contains an accurate statement
and/or application of the law; and
(C) Whether additional evidence exists that could not, with reasonable
diligence, have been discovered and presented at the administrative hear-
ing.
(3) The Attorney General may in his/her discretion upon a showing of
good cause, extend the time requirements set forth herein unless irrepara-
ble harm would result from granting such an extension.
NoTE: Authority cited: Section 12598(e), Government Code. Reference: Sections
11517, 11518.5 and 1 1519, Government Code.
History
1. New section filed 6-1-2007; operative 7-1-2007 (Register 2007, No. 22).
§ 999.8. Final Attorney General Decisions.
(a) Upon completion of the briefing process or after 1 5 days of service
of the proposed decision, the Attorney General may do any of the follow-
ing:
(1) Adopt the proposed decision in its entirety.
(2) Reduce or otherwise mitigate the proposed decision in its entirety.
(3) Make technical or non-substantive changes which do not affect the
factual or legal basis of the proposed decision and adopt it as the final de-
cision.
(4) Non-adopt the proposed decision. If the proposed decision is not
adopted, the Attorney General may decide the case upon the record, in-
cluding the transcript, or may refer the case back to the hearing officer
to take additional evidence. If the case is remanded back to the hearing
officer for taking additional evidence, another proposed decision shall be
prepared based upon this additional evidence. The proposed decision
shall be subject to the review and adoption procedures set out in these
regulations.
(A) Before deciding any case on the record, the Attorney General shall
give the parties the opportunity to present further written argument.
(B) If the record and/or the parties' arguments reveal the need for addi-
tional evidence, the Attorney General in his/her discretion may order the
taking of additional evidence either by the Attorney General or by the
hearing officer. Following the receipt of any additional evidence, the At-
torney General may require further written or oral argument before
deeming the case submitted for final decision.
(b) The proposed decision shall be deemed adopted by the Attorney
General 100 days after service of the proposed decision by the hearing
officer, unless within that time: ( 1) the Attorney General notifies the par-
ties that the proposed decision is or is not adopted or is otherwise modi-
fied, or (2) the matter is referred to the hearing officer to take additional
evidence.
(c) The decision shall become effective 30 days after it is mailed to the
parties, unless reconsideration of the decision is ordered within that time
or the Attorney General orders that the decision shall become effective
sooner.
(d) The Attorney General may designate as precedent the decision or
any part thereof that contains a significant legal or policy determination
that is likely to recur.
Page 48.10
Register 2007, No. 22; 6-1-2007
Title 11
Attorney General
§ 999.10
•
( 1 ) Once a decision is designated as precedent, parties may cite to such
decisions in their briefs to the Attorney General, hearing officer, and the
courts.
(2) If the Attorney General decides to designate precedent decisions
under this regulation, then an index of significant legal and policy deter-
minations made in these decisions shall be maintained and made avail-
able to the public at the Charitable Trust Registry as well as publicized
annually in the California Regulatory Notice Register. The index shall be
maintained at least annually, unless no precedent decisions have been
designated since the last preceding update.
NoTi:: Authority cited: Section 12598(e), Government Code. Reference: Sections
11425.10(a)(7), 11425.60, 11517, 11518.5 and 11519, Government Code.
History
1. New section filed 6-1-2007; operative 7-1-2007 (Register 2007, No. 22).
Chapter 16. Attorney General Regulations
Under Master Settlement Agreement with
Tobacco Product Manufacturers and
Non-Participating Tobacco Product
Manufacturer Law (Health & Safety Code
Sections 104555-104557)
§ 999.10. Scope and Purpose, Definitions, and Written
Confirmation of Compliance witii Reserve
Fund Requirements by Non-Participating
Tobacco Product Manufacturers.
(a) Scope and Purpose
The purpose of these regulations is to implement California's Reserve
Fund Statute (codified at Health and Safety Code sections 104555,
104556 and 104557) by providing Tobacco Product Manufacturers clear
definitions, instructions, guidance and forms to comply with the require-
ment to establish a reserve fund for tobacco-related illness and other po-
tential liabilities. The Legislature imposed the reserve fund requirements
to ensure a source of compensation for the financial burdens imposed
upon the State by cigarette-smoking related illness and other health
conditions. Health and Safety Code sections 104555-104557 essentially
require Tobacco Product Manufacturers to provide a surety bond against
future liability for cigarette-smoking related healthcare costs. This sure-
ty bond is imposed upon manufacturers which choose to avoid the con-
duct restrictions that apply if they sign the Master Settlement Agreement
("MSA")- Government Code sections 1 1 1 10-1 1113 require the Attor-
ney General to adopt regulations to provide forms for surety bonds which
are approved by the Attorney General as conforming with applicable law.
Revenue and Taxation Code section 30165. l(o) also authorizes the At-
torney General to adopt emergency rules and regulations regarding the
reserve fund requirements of Tobacco Product Manufacturers.
The Legislature also intended to prevent the unfair competition that
would occur if Tobacco Product Manufacturers who did not sign the
MSA and did not incur the financial obligation under the MSA were al-
lowed to derive large short-term profits to the disadvantage of those
manufacturers participating in the MSA. These regulations are also in-
tended to protect tobacco Distributors and Wholesalers from the finan-
cial risk of accepting orders for tobacco products or purchasing tobacco
products that may be banned from sale by a court or are not listed on
California's Directory of Tobacco Product Manufacturers and Brand
Families because the Tobacco Product Manufacturer failed to make the
required deposits or otherwise comply with the Reserve Fund Statute and
Revenue and Taxation Code seed on 30165.1.
Through the definitions, instructions, guidance and forms provided,
these regulations also make available to the public and local and state
government officials the Attorney General's enforcement policy and in-
terpretation of how Tobacco Product Manufacturers should comply with
the reserve fund requirements to avoid unfair and unlawful business con-
duct and activity. Toward that end, these regulations are intended to de-
scribe the meaning of compliance with the reserve fund requirements, the
proper interpretation of the statutory requirements and the enforcement
policy designed to protect those manufacturers which do comply from
unfair competition by those manufacturers which might otherwise fail to
comply with the reserve fund requirements without the definitions,
instructions, guidance and forms provided.
The purpose of regulations 999.16 through 999.23 is also to imple-
ment Revenue and Taxation Code section 30165. 1 by prescribing proce-
dures to be followed by all Tobacco Product Manufacturers who wish to
sell Cigarettes in California. Section 301 65. 1 requires the Attorney Gen-
eral to develop, publish and maintain on his internet website a Directory
of Tobacco Product Manufacturers and Brand Families that are in com-
pliance with the statute. Any person who sells, distributes, acquires,
holds, owns, possesses, transports, imports, or causes to be imported Cig-
arettes or Roll-your-own tobacco that the person knows or should know
are not included on the Directory commits a misdemeanor, as well as a
violation of California's Unfair Competition Law, and is subject to civil
penalties, license suspension and revocation, and criminal prosecution.
Regulations 999.16 through 999.23 set forth the certification process
for inclusion on California's Directory of Tobacco Product Manufactur-
ers and Brand Families, as well as the conditions under which a Tobacco
Product Manufacturer must provide supplemental certifications. The
regulations also specify the circumstances under which Tobacco Product
Manufacturers must certify and make escrow deposits more frequently
than on an annual basis. The regulations state the requirements for re-
cords retention and production of documents by Tobacco Product
Manufacturers, Distributors and Wholesalers. The regulations set forth
additional requirements on Non-Participating Manufacturers who are
non-resident or foreign and who are not registered to do business in
California. The regulations clarify the requirements and protections of
California Distributors under Section 30165.1. Finally, the regulations
delineate the conditions a Tobacco Product Manufacturer, which has
been removed from the Directory, must satisfy if it seeks to be relisted
with its Brand Families.
(b) Definitions
All terms used in these regulations, which are defined in Revenue and
Taxation Code section 30165.1 and/or Health and Safety Code sections
104555-104557, shall have the same meaning in these regulations.
The definitions contained in this subdivision shall govern the
construction of this chapter.
(1) "Board" means the State Board of Equalization.
(2) "Brand Family" shall have the same meaning as in Revenue and
Taxation Code section 30165.1(a)(2).
(3) "Cigarette" shall have the same meaning as in Health and Safety
Code section 104556(d).
(4) "Distributor" shall have the same meaning as in Revenue and
Taxation Code section 3001 1.
(5) "Non-participating tobacco product manufacturer (NPM)" means
any Tobacco Product Manufacturer selling Cigarettes to consumers
within the state, whether directiy or through a Distributor, retailer or sim-
ilar intermediary or intermediaries, which has not become a participating
[The next page is 48.11.
Page 48.10(a)
Register 2007, No. 22; 5-1-2007
Title 11
Attorney General
§ 999.10
manufacturer as that term is defined in section II(jj) of the Master Settle-
ment Agreement (MSA) or has become a participating manufacturer but
does not generally perform its financial obligations under the MSA.
(6) "Original Participating Manufacturer (0PM)" mean the compa-
nies specified in section Il(hh) of the MSA which are generally perform-
ing their obligations under the MSA.
(7) "Qualified Escrow Fund" shall have the same meaning as in Health
and Safety Code section 104556(0.
(8) "Reserve Fund Statute" means Chapter 1 of Part 3 of Division 103
of the Health and Safety Code (sections 104555-104557).
(9) "Roll-your-own" or "RYO" tobacco means any tobacco which,
because of its appearance, type, packaging, or labeling is suitable for use
and likely to be offered to, or purchased by, consumers as tobacco for
making Cigarettes.
(10) "Tobacco Product Manufacturer" shall have the same meaning as
in Health & Safety Code section 104556(1).
(11) "Units sold" means the number of individual Cigarettes, includ-
ing the amount of "Roll-your-own" tobacco (.09 ounces of "roU-your
own" constitutes one Cigarette) sold in California by a Non-Participat-
ing Tobacco Product Manufacturer, whether directly or through a Dis-
tributor, retailer or similar intermediary or intermediaries, during the
year in question, as measured by excise taxes collected by the State Board
of Equalization on Cigarette packs or "Roll-your-own" tobacco contain-
ers.
(12) "Wholesaler" shall have the same meaning as in Revenue and
Taxation Code section 30016.
(c) Confirmation of Compliance with Reserve Fund Requirements
( 1 ) Before an NPM sells or ships Cigarettes or Roll-your-own tobacco
to a Distributor or Wholesaler for sale in California, the NPM shall pro-
vide written confirmation to the Distributor or Wholesaler that said
manufacturer has either become a participating manufacturer under the
MSA and is generally performing its financial obligations under the
MSA, or has made the requisite escrow deposits and certification of com-
pliance required of NPMs by Health and Safety Code section 104557 and
these regulafions. A copy of the CERTIFICATION OF COMPLIANCE
AND AFFIDAVIT BY NON-PARTICIPATING TOBACCO PROD-
UCT MANUFACTURER REGARDING DEPOSIT OF RESERVE
FUNDS INTO ESCROW ("Certificate of Compliance" JUS-T0B3 rev.
3/04) filed with the Attorney General by an NPM or an equivalent nota-
rized statement which has been approved by the Attorney General pur-
suant to section 999. 1 1 is adequate written confirmation for the purposes
of this section.
(2) An NPM which has not sold tobacco products in California before
these regulations become effective shall not sell or ship Cigarettes or
Roll-your-own tobacco to a Distributor or Wholesaler purchasing or ac-
cepting orders for any Cigarettes or Roll-your-own tobacco for sale in
California, unless the NPM has provided written confirmation to the Dis-
tributor or Wholesaler that the NPM has received and reviewed a copy
of Health and Safety Code sections 104555-104557 and these imple-
menting regulations. During the first quarter year of sales in California,
an NPM must provide written confirmation of compliance either by pro-
ducing a copy of the ACKNOWLEDGMENT OF RECEIPT & REVIEW
OF NPM RESERVE FUND STATUTE, IMPLEMENTING REGULA-
TIONS & FORMS ("Acknowledgment of Receipt & Review" form—
JUS-T0B5 rev. 4/04), or an equivalent notarized statement which has
been approved by the Attorney General, filed with the Attorney General.
An NPM shall complete and file the Acknowledgment of Receipt &
Review (JUS-TOB5 rev. 4/04) with the Attorney General within thirty
(30) days of receipt. Thereafter, the NPM shall provide copies of the
form, as filed with the Attorney General, to Wholesalers and Distributors
before the NPM sells or ships its tobacco products to a Wholesaler or Dis-
tributor until the end of the first quarter year in which the NPM began sel-
ling in California, when it must file its first Certificate of Compliance
(JUS-TOB3 rev. 3/04). The filed Acknowledgment of Receipt & Review
(JUS-T0B5 rev. 4/04) shall constitute adequate written confirmation of
compliance only until the end of the first quarter year in which the NPM
began selling tobacco products in California. No deviation from the Ac-
knowledgment of Receipt & Review shall be permitted without the prior
written approval of the Attorney General.
(3) If an NPM fails to provide the requisite written confirmation of
compliance, the Wholesaler or Distributor shall request the NPM to pro-
vide written confirmation of compliance prior to the manufacturer selling
or shipping its tobacco products to the Wholesaler or Distributor. If the
Distributor or Wholesaler does not receive any written confirmation
prior to the NPM shipping or offering to sell its tobacco products, or re-
ceives inadequate confirmation, the Distributor or Wholesaler shall re-
port the lack of prior confirmation or inadequate confirmation to the At-
torney General (attention: Tobacco Litigation & Enforcement Section)
within fourteen (14) business days after the failure to provide confirma-
tion or the provision of inadequate confirmation. The report shall be in
writing and include the name, address and telephone number of the NPM
and details of the request for confirmation pursuant to this section and the
inadequacies in the confirmation, or details of the failure to provide the
requested written confirmation. The report shall also specify whether the
failure to provide confirmation or inadequate confirmation may be be-
cause the NPM has not sold tobacco products in California.
(4) Upon request of the Attorney General, the Distributor or Wholesal-
er shall provide such further information as may be required by the Attor-
ney General to confirm compliance by the Tobacco Product Manufactur-
er or to seek a court order barring the NPM from further sales of tobacco
products pending proof of compliance or other enforcement action by the
Attorney General.
(5) Tobacco Product Manufacturers shall provide such information as
required by the State Board of Equalization ("Board"), or requested by
Distributors, Wholesalers, retailers or other intermediaries required to re-
port to the Board, when the reports required by the Board are to assist the
Board to determine the number of units sold in California. NPMs shall
also provide such information as required by the Attorney General or re-
quested by Distributors or Wholesalers, as required by this section, to
confirm and enforce compliance with the requirements of Health and
Safety Code sections 104555-104557 and prevent the unfair competition
resulting from non-compliance. The information required by the Board
and the Attorney General includes, but is not limited to:
(A) Brand names;
(B) Unit sales of each brand;
(C) Corporate or business name, and address of importer;
(D) Corporate or business name, and address of manufacturer;
(E) Whether the seller was the manufacturer, and;
(F) Whether the seller was the first importer for resale in the United
States.
For the purposes of information reports required by the Attorney Gen-
eral, Distributors and Wholesalers shall deem any brand, which is not on
the list of brands of participating manufacturers provided by the Board
or the Attorney General, to be the brand of an NPM and provide the in-
formation and reports required of such NPM brands. The Board may also
require such reports pursuant to Revenue and Taxation Code section
30454 or Health and Safety Code section 104556(j) or other authority.
NOTE: Authority cited: Section 30165. l(o). Revenue and Taxation Code; Sec-
tions 11110-11113, Government Code; Section 104557(c), Health and Safety
Code; and Article 5, Section 13 of the California Constitution. Reference: Section
30165.1(a), Revenue and Taxation Code; and Sections 104555, 104556 and
104557, Health and Safety Code.
History
1. New chapter 16 (sections 999.10-999.14 and Appendix A) and section filed
4-15-2002 as an emergency; operative 4- 1 5-2002 (Register 2002, No. 16). A
Certificate of Compliance must be transmitted to OAL by 8-13-2002 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-15-2002 order, including further amendment
of section, transmitted to OAL 5-10-2002 and filed 6-19-2002 (Register 2002,
No. 25).
3. Amendment of section and Note and repealer of Appendix A filed 4-26-2004
as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate
of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Reve-
nue and Taxation Code section 30165.1 or emergency language will be repealed
by operation of law on the following day.
Page 48.11
Register 2005, No. 7; 2-18-2005
§ 999.11
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
4. Editorial correction of History 3 (Register 2004, No. 49).
5. Certificate of Compliance as to 4-26-2004 order transmitted to OAL
10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
§ 999.1 1 . Certificate of Compliance Form.
(a) The certification required of NPMs by Health and Safety Code sec-
tion 104557(c) shall be on the Certificate of Compliance ((JUS-TOB3
rev. 3/04)). The completed form shall be signed under oath before a
notary public and include the following information:
(1) The escrow account number and the amount held in the account;
(2) A copy of the receipt or other proof of escrow deposit from the fi-
nancial institution;
(3) A copy of the escrow agreement; and
(4) Date and signature of a notary public.
(b) No deviation from the Certificate of Compliance ((JUS-TOB3 rev.
3/04)) shall be permitted without the prior written approval of the Attor-
ney General. Except when more frequent escrow deposits and certifica-
tions are required by 999.20 or directed by the Attorney General, the
completed Certificate of Compliance must be received by the Attorney
General on or before April 30 of the year following the sales year that is
the subject of the certificate. A BRAND FAMILIES UNIT SALES
SCHEDULE (JUS-T0B4 rev. 2/04, or "Schedule 1 ") must be completed
and attached to the completed Certificate of Compliance.
NOTE; Authority cited: Section 30165. l(o), Revenue and Taxation Code; Sec-
tions 11110-11113, Government Code; Section 104557(c), Health and Safety
Code: and Article 5, Section 13 of the California Constitution. Reference: Section
301 65. 1 (a). Revenue and Taxation Code; and Section 1 04557(c), Health and Safe-
ty Code.
History
1 . New section filed 4-1 5-2002 as an emergency; operative 4-1 5-2002 (Register
2002, No. 16). A Certificate of Compliance must be transmitted to OAL by
8-13-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 4-1 5-2002 order, including further amendment
of secdon, transmitted to OAL 5-10-2002 and filed 6-19-2002 (Register 2002,
No. 25).
3. Amendment of section and Note filed 4-26-2004 as an emergency; operative
4-26-2004 (Register 2004, No. 1 8). A Certificate of Compliance must be trans-
mitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code secfion
30165.1 or emergency language will be repealed by operafion of law on the fol-
lowing day.
4. Editorial correction of History 3 (Register 2004, No. 49).
5. Certificate of Compliance as to 4-26-2004 order transmitted to OAL
10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
§ 999.12. Escrow Agreement for Non-Participating
IVIanufacturer.
(a) Health and Safety Code section 104556(f) establishes the follow-
ing conditions for the escrow accounts to be established by a NPM:
(1) The financial institufion may not be affiliated with any Tobacco
Product Manufacturer and must have assets of at least $ 1 ,000,000,000.
(2) The escrow agreement must require that the financial institution
hold the escrowed funds' principal for the benefit of the State of Califor-
nia and other releasing parties under the MSA; and,
(3) The escrow agreement must also state that the company is prohib-
ited from accessing or directing the use of the funds' principal inconsis-
tent with Health and Safety Code section 104557.
(b) These provisions shall be included in the escrow agreement even
when the Attorney General approves an escrow agreement that deviates
the ESCROW AGREEMENT (JUS-T0B6 rev. 2/04.)
NOTE: Authority cited: Section 30165. l(o), Revenue and Taxation Code; Sec-
tions 11110-11113, Government Code; Secfion 104557(c), Health and Safety
Code; and Article 5, Secfion 13 of the California Consfitution. Reference: Secfion
30165.1(a), Revenue and Taxation Code; and Sections 104556(f) and 10455,
Health and Safety Code.
History
1. New section filed 4-15-2002 as an emergency; operafive 4-15-2002 (Register
2002, No. 16). A Certificate of Compliance must be transmitted to OAL by
8-13-2002 or emergency language will be repealed by operation of law on the
following day.
2. Cerfificate of Compliance as to 4-15-2002 order transmitted to OAL
5-10-2002 and filed 6-19-2002 (Register 2002, No. 25).
3. Amendment of section and Noth filed 4-26-2004 as an emergency; operative
4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be trans-
mitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section
30165.1 or emergency language will be repealed by operation of law on the fol-
lowing day.
4. Editorial correction of History 3 (Register 2004, No. 49).
5. Certificate of Compliance as to 4-26-2004 order transmitted to OAL
10-22-2004 and filed 12-6-2004 (Register 2004. No. 49).
§ 999.13. Escrow Agreement Form.
(a) All NPMs with Cigarette or RoU-your-own sales in the State must
make deposits into a Qualified Escrow Fund. California's ESCROW
AGREEMENT (Form JUS-TOB6 rev. 2/04) inust be used in connection
with establishing a Qualified Escrow Fund. After January 1, 2004, all
NPMs, including those NPMs who have already established an escrow
agreement, must execute an ESCROW AGREEMENT (JUS-T0B6 rev.
2/04.) No deviation froin the Escrow Agreement (JUS-TOB6 rev. 2/04)
shall be permitted without the prior written approval of the Attorney Gen-
eral. In the event that a deviation is approved, the proposed escrow agree-
ment shall include each of the following provisions:
( 1 ) The escrow agent shall provide 30 days' written notice to the Attor-
ney General prior to any release of funds from the escrow to pay a judg-
ment or settleinent and allow the Attorney General or the Board to object
to the release.
(2) The objecdon of the Attorney General or the Board must be re-
solved under applicable state law, procedures, and remedies before any
funds are released.
(3) Requests for refund of "excess" deposits by the NPMs pursuant to
Health and Safety Code section 104557(b)(2), if disputed by the State,
are to be determined by a court of competent jurisdiction. Section
104557(b)(2) allows a refund if the NPM demonstrates that the escrow
deposits exceed what the manufacturer would have been required to
make had it been a participating manufacturer under the MSA.
(4) The escrow agent shall notify the Attorney General of the first de-
posit, provide a copy of the escrow agreement, all relevant instructions
from the NPM and the amount of deposit made.
(5) Except when more frequent escrow deposits and certifications are
required by 999.20 or directed by the Attorney General, each year after
the initial year, the escrow agent shall notify the Attorney General of the
amount of deposit made by the NPM.
NOTE: Authority cited: Secfion 30165. l(o). Revenue and Taxation Code; Sec-
fions 11110-11113, Government Code; Section 104557(c), Health and Safety
Code; and Article 5, Section 13 of the California Constitution. Reference: Section
30165.1(0), Revenue and Taxation Code; and Secfions 104556 and 104557,
Health and Safety Code.
History
1 . New section filed 4-15-2002 as an emergency; operafive 4-15-2002 (Register
2002, No. 16). A Certificate of Compliance must be transmitted to OAL by
8-1 3-2002 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 4-1 5-2002 order, including further amendment
of secfion, transmitted to OAL 5-1 0-2002 and filed 6-1 9-2002 (Register 2002,
No. 25).
3. Amendment of section and Note filed 4-26-2004 as an emergency; operative
4-26-2004 (Register 2004, No. 18). A Certificate of CompUance must be trans-
mitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section
301 65. 1 or emergency language will be repealed by operation of law on the fol-
lowing day.
4. Editorial correction of History 3 (Register 2004, No. 49).
5. Certificate of Compliance as to 4-26-2004 order transmitted to OAL
10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
§ 999.14. Escrow Adjustments and Release Requests.
(a) Introduction; grounds
The Reserve Fund Statute authorizes the release of funds from escrow
only under certain circumstances. Section 104557(b) authorizes the re-
lease of funds from escrow to the extent that an NPM "establishes that
the amount it was required to place into escrow in a particular year was
greater than the Master Settlement Agreement payments, as determined
pursuant to section IX(i) of the agreement including after the final deter-
mination of all adjustments, that the manufacturer would have been re-
quired to make in that year under the Master Settlement Agreement had
it been a participating manufacturer." (Health & Saf. Code, §
Page 48.12
Register 2005, No. 7; 2-18-2005
Title 11
Attorney General
§ 999.15
104557(b)(2).) To establish entitlement to an escrow adjustment on this
ground, an NPM must calculate the total payments that it would have
made as a participating manufacturer during a particular year absent cer-
tain adjustments, offsets and reductions.
Adjustments to escrow accounts deposited pursuant to Health & Safe-
ty Code sections 104555-104557, including balances due for deposit,
may occur upon a showing that the adjustment is authorized pursuant to
Health & Safety Code section 104557(b)(2) in response to requests for
adjustments (i) by the tobacco manufacturer or (ii) by the Board or the
Attorney General as a result of additional information not known to the
Attorney General when the initial, or most recent, deposit was deemed
sufficient or when a release from escrow was authorized and implement-
ed.
(b) Time for filing request
Requests for adjustments must be filed in a timely manner and no later
than three years after the initial deposit was due for the relevant year of
sales. (See Code Civ. Proc, §338(a)(c).)
(c) Form and contents of request
To be eligible for consideration, a request for an adjustment by an
NPM must be made in writing and must be accompanied by supporting
documentation which establishes compliance with all other aspects of the
reserve fund requirements and the basis for the escrow release request.
The supporting documentation, at a minimum, must include:
(1) A timely filed Certification of Compliance (JUS-TOB3 rev. 3/04)
or timely filed Acknowledgment of Receipt & Review (JUS-TOB5 rev.
4/04), a timely filed Schedule 1 (JUS-TOB4 rev. 2/04), an Escrow
Agreement (JUS-T0B6 rev. 2/04) and an affidavit idendfying all current
officers, owners and agents for service of process for the manufacturer
and all cigarette brands owned or made by the manufacturer. When a
manufacturer does not own the trademark(s) for the cigarette brand(s)
that it makes or imports or sells, the affidavit shall identify the trademark
owner(s) of the cigarette brand(s) sufficiently to enable regular contact
and communication with the brand owner(s) by the State. These forms
must be completed and timely filed in compliance with Health & Safety
Code sections 104555-104557.
(2) An affidavit, signed by the executive officer of the manufacturer
responsible for escrow compliance, setting forth the officer's authority
to bind and act on behalf of the manufacturer and demonstrating the facts
which support the adjustment requested;
(3) All records and/or other documentation demonstrating the facts of-
fered in support of the requested adjustment, as well as documentation
evidencing timely and full deposit into escrow prior to a request for ad-
justment; and any legal argument or analysis in support of the requested
adjustment. The NPM shall submit a proposed calculation of the annual
deposit due, a proposed calculation of the refund amount and a draft letter
of instructions to the Escrow Agent concerning the proposed refund. To
document its national unit sales, the NPM shall include copies of the
NPM' s bi-monthly Excise Tax Returns filed with the U.S. Treasury, To-
bacco Tax Bureau (TTB), formerly the Bureau of Alcohol, Tobacco &
Firearms (BATE). To document its unit sales in California (as measured
by excises taxes paid), the NPM shall include copies of filed Cahfornia
excise tax returns for its tobacco products or arrange for equivalent excise
tax payment documentation from the State of California.
The State may request such further information as is required in light
of the specific facts, including, but not limited to, information on com-
pliance with reserve fund requirements and the basis for any adjustment
requested.
(d) Data to Be Used
Requests for adjustments to escrow must use the most recent data
available for the Original Participating Manufacturers' (0PM) aggregate
percentage of the total market and total payment due from the OPMs. The
only data which will be accepted in such submittals is the data provided
to the State from the Independent Auditor under the MSA. An NPM sub-
mitting a request for an adjustment to escrow may obtain this information
from the State.
(e) Preliminary requests for review
Preliminary requests for releases from escrow may be submitted for
review and consideration by the Board and the Attorney General. Prelim-
inary requests for release must satisfy all the requirements for requests
for adjustments to escrow, including but not limited to the timeliness,
forms, content, data and documentation requirements in these regula-
tions. The NPM is responsible for ensuring that all information and docu-
mentation necessary for a determination is provided. If all the foregoing
requirements are satisfied and all the required information and dt)cumcn-
tation is provided, and the Attorney General makes a determination on
a preliminary request for a release from escrow before the initial escrow
payment is made, the Attorney General shall authorize an adjustment to
escrow consistent with that determination as soon as practicable within
thirty (30) days of the receipt of confirmation of the escrow deposit to the
Board and the Attorney General. The Attorney General shall notify the
submitting manufacturer by April 1st if the determination of a prelimi-
nary request for release from escrow will not be made by April 15th.
(f) Independent review
The Board and the Attorney General may initiate an adjustment to es-
crow should additional facts become available during the three-year pe-
riod after the initial deposit was due for the relevant year of sales showing
that the escrow amount paid or escrow amount released was incorrect.
Bases for adjustment include, but are not limited to, new information
showing inaccurate reporting of the number of units or a change in the
0PM market share or any other failure by the NPM to comply with these
regulations or Health and Safety Code sections 104555, 104556 and
104557.
NOTE: Authority cited: Section 30165. l(o). Revenue and Taxation Code; Sec-
tions 11110-11113, Government Code; Section 104557(c), Health and Safety
Code; and Aiticle 5, Section 13 of the California Constitution. Reference: Section
30165.1(a), Revenue and Taxation Code; and Sections 104556 and 104557,
Health and Safety Code.
History
1. New section and Appendix A filed 4-15-2002 as an emergency; operative
4-15-2002 (Register 2002, No. 15). A Certificate of Compliance must be trans-
mitted to OAL by 8-1 3-2002 or emergency language will be repealed by opera-
tion of law on the following day.
2. Certificate of Compliance as to 4-15-2002 order, including further amendment
of section and appendix A, transmitted to OAL 5-1 0-2002 and filed 6-19-2002
(Register 2002, No. 25).
3. Amendment of section and Note filed 4-26-2004 as an emergency; operative
4-26-2004 (Register 2004, No. 1 8). A Certificate of Compliance must be trans-
mitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section
301 65. 1 or emergency language will be repealed by operation of law on the fol-
lowing day.
4. Editorial correction of History 3 (Register 2004, No. 49).
5. Certificate of Compliance as to 4-26-2004 order transmitted to OAL
10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
§ 999.15. Notice of Decision on Requests for Release.
(a) Except as provided in subsection (f) of 999. 14, a request for an ad-
justment of escrow account will be decided within sixty (60) days of the
submission of all of the information necessary for its determination. The
Attorney General will send a copy of the release determination to the
manufacturer and, if the release request has been allowed in whole or in
part, to the financial institution holding the funds in escrow.
(b) Decisions to deny escrow release requests in whole or in part must
contain (1) a statement of reasons for the denial; and (2) a statement of
the means and deadline by which review of the decision may be obtained.
NOTE: Authority cited: Section 30165.1(0), Revenue and Taxation Code; Sec-
tions 11110-11113, Government Code; Section 104557(c), Health and Safety
Code; and Article 5, Section 13 of the California Constitution. Reference: Section
30165.1(a), Revenue and Taxation Code; and Sections 104556 and 104557,
Health and Safety Code.
History
1. New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register
2004, No. 18). A Certificate of Compliance must be transmitted to OAL by
10-25-2004 pursuant to Revenue and Taxation Code section 301 65. 1 or emer-
gency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004. No. 49).
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL
10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
Page 48.13
Register 2005, No. 7; 2-18-2005
§ 999.16
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
§ 999.16. Certifying for Listing on Directory of Tobacco
Product Manufacturers and Brand Families.
(a) Certification Process
A Tobacco Product Manufacturer shall apply for listing on the Direc-
tory established by the Attorney General by submitting a complete, time-
ly and accurate Certification with supporting documentation in the man-
ner specified and on forms required by the Auomey General. A Tobacco
Product Manufacturer and its Brand Families will not be listed on the Di-
rectory, or will be removed from the Directory, if the Tobacco Product
Manufacturer or any of its Brand Families are not in full compliance with
the terms and requirements of the Reserve Fund Statute, Revenue and
Taxation Code section 30165.1 and any regulations adopted pursuant
thereto.
(1) Timing: No later than April 30, 2004, all Tobacco Product
Manufacturers whose Cigarettes are sold in California shall submit a
completed CERTIFICATION FOR LISTING ON CALIFORNIA DI-
RECTORY (JUS-TOBl rev.3/04, or "Certification"), with supporting
documentation as specified.
After April 30, 2004, Tobacco Product Manufacturers which intend to
sell Cigarettes in California shall complete and submit a Certification and
be listed on the Directory prior to any sales in California.
Thereafter, all Tobacco Product Manufacturers listed on the Directory
must execute and submit a Certification with supporting documentation
on or before April 30th each year.
(2) Only Authorized Individuals Can Sign
All forms required by these regulations shall be signed by an officer
or other authorized individual of the Tobacco Product Manufacturer who
certifies that the responses and disclosures in the forms are true and accu-
rate and that the individual completing the forms is authorized to bind the
Tobacco Product Manufacturer.
(b) Required Documentation Tobacco Product Manufacturers must
complete and submit the following documents with their annual Certifi-
cation:
( 1 ) All Tobacco Product Manufacturers must submit samples of pack-
aging and labeling for all Brand Families and styles.
(2) Non-Participating Manufacturers (NPMs) must also submit:
(A) CERTIFICATION OF COMPLIANCE AND AFFIDAVIT BY
NON-PARTICIPATING MANUFACUTURER REGARDING DE-
POSIT OF RESERVE FUNDS INTO ESCROW (JUS-TOB3 rev. 3/04,
or "Certification of Compliance"): This form is required to comply with
California's Reserve Fund Statute (Health and Saf. Code, §§
104555-104557). The Certification (JUS-TOBl rev. 3/04) required by
Revenue and Taxation Code section 30165.1 does not replace this form
(JUS-TOB3 rev. 3/04). Both forms must be filed on or before April 30th
of each year, unless the NPM is required by regulation or directed by the
Attorney General to submit this form (JUS-T0B3 rev. 3/04) more fre-
quently.
(B) BRAND FAMILIES UNIT SALES SCHEDULE 1 (JUS-TOB4
rev. 2/04, or "Schedule 1 "): This form is required to comply with Califor-
nia" s Reserve Fund Statute.
(C) NOTICE OF APPOINTMENT OF REGISTERED AGENT AND
REGISTERED AGENT'S STATEMENT (JUS-T0B2 rev. 2/04): If a
non-resident or foreign NPM is not registered to do business in Califor-
nia, the NPM shall complete, sign and file with the Attorney General a
NOTICE OF APPOINTMENT OF REGISTERED AGENT AND REG-
ISTERED AGENT'S STATEMENT (JUS-T0B2 rev. 2/04). (See
999.21 for requirements upon the termination of the appointed agent for
service.)
(D) Copies of all current licenses, if any, issued by the Board pursuant
to Division 8.6 (commencing with section 22970) of the Business and
Professions Code.
(E) If the NPM is a corporation, ( 1 ) a current copy of its corporate char-
ter or certificate of corporate existence or incorporation and (2) docu-
ment(s) identifying officers and directors and each person who holds
more than ten percent of the stock of such corporation.
(F) If the NPM is a partnership or association, a current copy of its ar-
ticles of partnership or association, if any, or the certificate of partnership
or association where required to be filed by any nation, state, county, or
municipality.
(G) Documents filed under the federal Jenkins Act: Copies of all re-
ports, if any, filed with the Board to comply with the Jenkins Act (15
U.S.C. 375) for sales in the preceding 12 months.
(H) For each Brand Family, a copy of the Federal Trade Commission's
written approval of the annual cigarette health warning rotation plan
prior to distribution in the United States (15 U.S.C. 1333).
(I) A copy of all certificates of compliance received by the NPM from
the U.S. Department of Health and Human Services for the annual ingre-
dient reporting required by the Federal Cigarette Labeling and Advertis-
ing Act ( 1 5 US.C. 1 335a).
(J) A copy of the NPM's current permit as a manufacturer or importer
of tobacco products obtained from the United States Treasury, Tobacco
Tax Bureau (TTB), formerly Bureau of Alcohol Tax and Firearms
(BATE), pursuant to 26 U.S.C. Chapter 52, and regulations issued there-
under.
(K) For each Brand Family that is imported into the United States, co-
pies of the following documents:
1 . the sworn statement(s) of the original manufacturer that it will time-
ly submit ingredients to the Secretary of Health and Human Services as
required by 19 U.S.C. 1681a.
2. the importer's certificate(s) under penalty of perjury as required by
19 U.S.C. 1681a regarding the precise format of warnings and the rota-
tion plan for health warnings.
3. the trademark holder's certificate(s) under penalty of perjury that it
has not withdrawn consent to import into the United States as required
by 1 9 U.S.C. 1 68 1 a OR the importer' s certificate(s) under penalty of per-
jury that the trademark owner has not withdrawn consent to import into
the United States as required by 19 U.S.C. 1681a.
(c) Changes in Ownership or Control Requiring New Certification
An NPM must submit a new Certification (JUS-TOBl rev. 3/04)
whenever there are changes in ownership or control, including but not
limited to:
(1) Transfer of Ownership
Where there is a transfer of ownership of the business (including a
change of any member of a partnership or association) of a Tobacco
Product Manufacturer, the successor shall submit a new Certification
within thirty (30) days after the transfer of ownership occurs.
(2) Change in Control of Corporation
Where the issuance, sale, or transfer of the stock of a corporation re-
sults in a change in the identity of the principal stockholders exercising
actual or legal control of the operations of the corporation, the corpora-
tion shall submit a new Certification within thirty (30) days after the
change occurs.
(3) Fiduciary Successor
When an administrator, executor, receiver, trustee, assignee, or other
fiduciary takes over the business of a Tobacco Product Manufacturer as
a continuing operation, such fiduciary shall submit a new Certification
within thirty (30) days thereafter.
NOTE; Authority cited: Section 30165. l(o). Revenue and Taxation Code. Refer-
ence: Section 30165.1(b), (c), (f) and (g). Revenue and Taxation Code.
History
1 . New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register
2004, No. 18). A Certificate of Comphance must be transmitted to OAL by
10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emer-
gency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL
10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
§ 999.17. Supplemental Certifications.
(a) In those instances in which a supplemental Certification is required
by Revenue and Taxation Code section 30165.1(b)(1) or section
30165.1(b)(2)(D), a Tobacco Product Manufacturer shall submit a sup-
Page 48.14
Register 2005, No. 7; 2-18-2005
Title 11
Attorney General
§ 999.20
plemental Certification (JUS-TOB 1 rev. 3/04) with the Attorney Gener-
al no later than thirty (30) days prior to the specified changes.
(b) A Tobacco Product Manufacturer shall also submit a supplemental
Certification where information in a previously submitted Certification
is no longer accurate and complete. The supplemental Certification
(JUS-TOB 1 rev. 3/04) must be submitted no later than thirty (30) days
after the information has become inaccurate or incomplete.
(c) The Tobacco Product Manufacturer shall check the box marked
"supplemental" at the top of the form, enter only the changed information
and sign and date tlie form.
(d) The failure to fimely submit supplemental Certifications may sub-
ject the Tobacco Product Manufacturer and its Brand Families to removal
from the Directory.
NOTE: Authority cited: Section 30165. l(o). Revenue and Taxation Code. Refer-
ence: Section 30165.1(b), Revenue and Taxation Code.
History
1 . New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register
2004, No. 18). A Certificate of Compliance must be transmitted to OAL by
10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emer-
gency language will be repealed by operation of law on the following day.
2. Editorial correction of History I (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL
10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
§ 999.18. Records Retention by Tobacco Product
Manufacturers and Availability for Review,
Inspection and Copying.
(a) A Tobacco Product Manufacturer shall retain copies of all docu-
ments filed with the Attorney General's Office in connection with the
Certification and annual certification process, as well as all documents
relied upon in completing documents filed with the Attorney General's
Office, including invoices, calculations and documentation of sales.
(b) A Tobacco Product Manufacturer shall maintain all of the docu-
ments in one designated location for a minimum of five years and shall
make such documents available for review, inspection, and copying
upon request of the Attorney General's Office or the Board.
(c) If any Tobacco Product Manufacturer refuses or neglects to retain
or make available the foregoing documents for inspection and copying
within thirty (30) days of such request, the Tobacco Product Manufactur-
er and its Brand Families are subject to removal from the Directory until
all requested documents are provided or production is waived by the At-
torney General.
NOTE: Authority cited: Section 30165. l(o), Revenue and Taxation Code. Refer-
ence: Section 30165.1(b) and (g), Revenue and Taxation Code.
History
1 . New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register
2004, No. 18). A Certificate of Compliance must be transmitted to OAL by
10-25-2004 pursuant to Revenue and Taxation Code section 301 65. 1 or emer-
gency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL
10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
§ 999.19. Records Retention by Distributors and
Wholesalers and Availability for Review,
Inspection, and Copying.
(a) Records Retenfion
A Wholesaler or Distributor of Cigarettes or tobacco products shall
maintain in one designated location the following documents;
( 1 ) Copies of all written acknowledgments of receipt by the Attorney
General's Office of a Tobacco Product Manufacturer's Certification
(JUS-TOB 1 rev. 3/04), stamped Certifications of Compliance (JUS-
TOB3 rev. 3/04) or Acknowledgments of Receipt & Review (JUS-
TOB5 rev. 4/04) provided to the Distributor or Wholesaler by a Tobacco
Product Manufacturer;
(2) Copies of all requests by the Distributor or Wholesaler for a copy
of written acknowledgments of receipt by the Attorney General's Office
of a Tobacco Product Manufacturer's Certificafion (JUS-TOB 1 rev.
3/04), stamped Certifications of Compliance (JUS-T0B3 rev. 3/04), or
Acknowledgments of Receipt & Review (JUS-TOB5 rev. 4/04) when
not provided by the Tobacco Product Manufacturer;
(3) Copies of all reports by the distributor or wholesaler to the Attorney
General of the failure of a Tobacco Product Manufacturer to provide co-
pies of written acknowledgments of receipt by the Attorney General's
Office of a Tobacco Product Manufacturer's Certification (JUS-TOB 1
rev. 3/04), stamped Certification of Compliance (JUS-TOB3 rev. 3/04)
or Acknowledgment of Receipt & Review (JUS-TOB5 rev. 4/04);
(4) All sales invoices and receipts issued by a Tobacco Product
Manufacturer, Distributor or Wholesaler related to the sale of Cigarettes
or RYO;
(5) Copies of all certifications, reports, notices and documents as iden-
tified in Revenue and Taxation Code secfion 30165.1, subdivisions
(g)(1) and (i).
(6) All documents or communications to and from a Tobacco Product
Manufacturer regarding its compliance with the Master Settlement
Agreement and the Reserve Fund Statute for Cigarettes sold in Califor-
nia.
(7) Copies of all reports of the Cigarette excise taxes or surcharges paid
by the Distributor or Wholesaler.
(b) The Distributor or Wholesaler shall maintain all of the foregoing
documents in one designated location for a minimum of five years and
shall make such documents available for review, inspection and copying
upon request of the Attorney General" s Office or the Board. Any Distrib-
utor or Wholesaler who refuses or neglects to retain or make available the
foregoing documents for inspection and copying within thirty (30) days
of such request, shall be subject to license suspension, license revocation,
and civil and criminal penaUies as provided by law.
NOTE: Authority cited: Section 30165.1(o), Revenue and Taxation Code. Refer-
ence: Section 30165.1(b) and (g). Revenue and Taxation Code.
History
1 . New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register
2004, No. 18). A Certificate of Compliance must be transmitted to OAL by
10-25-2004 pursuant to Revenue and Taxation Code section 30165. 1 or emer-
gency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Certificate of CompUance as to 4-26-2004 order, including amendment of sub-
sections (a)(3) and (a)(7), transmitted to OAL 1 0-22-2004 and filed 12-6-2004
(Register 2004, No. 49).
§ 999.20. More Frequent Installment Escrow Deposits for
Certain Non-Participating Manufacturers.
(a) Quarterly or More Frequent Installments and Certifications: When
directed by the Attorney General, an NPM shall make quarterly or more
frequent deposits into a Qualified Escrow Fund and certify compliance
to the Attorney General. Quarterly deposits are due on or before the fol-
lowing dates: April 21, July 20, October 21, and January 21. The NPM
shall instruct the financial institution where its Qualified Escrow Fund is
maintained to provide quarterly or more frequent reports of all the escrow
transactions, including all deposits, withdrawals, or transfers made that
quarter. Where the NPM is required to make quarterly or more frequent
escrow deposits, the NPM shall also complete and file a Certification of
Compliance (JUS-T0B3 rev. 3/04) and Schedule 1 (JUS-TOB4 rev.
2/04) for each such reporting period.
(b) Under one or more of the following circumstances, an NPM shall
make quarterly deposits and certifications for two years, unless other-
wise directed by the Attorney General:
(1) New NPMs: The NPM did not sell Cigarettes in California in the
preceding calendar year or did not make escrow deposits pursuant to the
Reserve Fund Statute in the preceding calendar year;
(2) New Brand Families: The NPM lists a Brand Family on an initial,
annual or supplemental Certification or other document, or sells a Brand
Family in California which it did not sell in California in the preceding
calendar year or did not make escrow deposits pursuant to the Reserve
Fund Statute for that Brand Family;
(3) New Manufacturer: When there is a change in manufacturer (i.e.,
fabricator) of any brand of Cigarettes;
(4) Internet, Mail Catalog or other Delivery Sellers: The NPM adver-
tises or sells its Cigarettes or RYO tobacco via the internet or through cat-
alogs and ships them through the mail or other delivery service to Califor-
nia consumers;
Page 48.15
Register 2007, No. 5; 2-2-2007
§ 999.21
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(5) Failure to Timely Comply with Reserve Fund Requirements Be-
fore Establishment of California Directory or Anytime Thereafter: The
NPM failed to timely comply with California's Reserve Fund Statute
prior to the establishment of the Directory, or at any time thereafter;
(6) NPMs or Brand Families Previously Denied Listing or Removed
from Directory: The NPM or Brand Family was previously denied listing
or was removed from the Directory for any reason;
(7) Banned or Enjoined Sales: The NPM is enjoined or banned from
selling any tobacco products by court order, state or federal agency ruling
or determination or its Brand Family is enjoined from sale in that state
by a court of that state, a state agency or a federal court;
(8) Judgment or Conviction that the NPM Engaged in Unfair Business
Practice or Unfair Competition: A state or federal court has entered a
judgment finding that the NPM engaged in an unfair business practice or
unfair competition;
(9) Large Sales Volume: The NPM has sold more than 1 ,600,000 of
its Cigarettes in California during any quarter.
( 1 0) Failure to Timely Submit Forms and Other Documents: The NPM
fails to submit and/or complete any required forms, documents, certifica-
tion, or notices, in a timely manner and/or to the satisfaction of the Attor-
ney General.
(11) Other: The NPM is directed to make quarterly or more frequent
deposits by the Attorney General.
Note: Authority cited: Section 30165.1(h) and (o), Revenue and Taxation Code.
Reference: Section 30165.1(g) and (h), Revenue and Taxation Code.
History
1 . New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register
2004, No. 18). A Certificate of Compliance must be transiuitted to OAL by
10-25-2004 pursuant to Revenue and Taxafion Code section 30165.1 or emer-
gency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order, including amendment of sub-
section (a), transmitted to OAL 10-22-2004 and filed r2-6-2004 (Register
2004, No. 49).
§ 999.21 . Notices of Appointment or Termination of Agent
for Service of Process.
(a) Every non-resident or foreign NPM that has not registered to do
business in California must appoint and continuously engage the services
of a California registered agent to receive service of process on behalf of
the NPM and submit proof of the appointment and availability of the
agent to the Attorney General by completing and filing a NOTICE OF
APPOINTMENT OF REGISTERED AGENT AND REGISTERED
AGENT'S STATEMENT (JUS-TOB2 rev. 2/04).
(b) A non-resident or foreign NPM shall provide at least thirty (30)
days notice prior to termination of the appointment by the NPM of its res-
ident agent for service of process in California by completing and filing
with the Attorney General a notice of the termination of the agent (JUS-
TOB2 rev. 2/04). The NPM shall further provide proof of the appoint-
ment of a new agent at least 5 days before termination by the NPM of the
existing appointment (JUS-TOB2 rev. 2/04).
(c) In the event the designated agent for service terminates its agency
relationship with the NPM, the non-resident NPM shall provide notice
to the Attorney General of the termination within five days of receiving
notice of the termination and shall include with such notice proof of the
appointment of a new service agent by completing and filing a notice of
the termination for service of process and appointment of new service
agent (JUS-T0B2 rev. 2/04).
Note-. Authority cited: Section 30165. l(o), Revenue and Taxation Code. Refer-
ence: Section 30165.1(f), Revenue and Taxation Code.
History
J . New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register
2004, No. 18). A Certificate of Compliance must be transmitted to OAL by
10-25-2004 pursuant to Revenue and Taxation Code section 301 65. 1 or emer-
gency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3 . Certificate of Compliance as to 4-26-2004 order, including amendment of sub-
sections (b) and (c), transmitted to OAL 10-22-2004 and filed 12-6-2004
(Register 2004, No. 49).
§ 999.22. Duties and Defenses of California Distributors.
(a) Distributor Duties. Every Distributor shall complete and submit a
DISTRIBUTOR ELECTRONIC MAIL REGISTRATION (JUS-T0B8
rev. 2/04) for the purpose of receiving any notifications as may be re-
quired by Revenue and Taxation Code section 30165. 1 and these regula-
tions.
Every Distributor shall also maintain, for a period of five years, and
make available to the Attorney General all invoices and documentation
of sales and any other information relied upon in reporting to the Attor-
ney General and as further specified in 999.19.
(b) Distributor Defenses. In order to have the defense described in
Revenue and Taxation Code section 30165. 1 (i)(2), a Distributor shall, at
the time of the violation,
( 1 ) possess a copy of the Attorney General's Office most recent writ-
ten acknowledgment of receipt of the Certification (JUS-TOBl rev.
3/04) required as a condition of including the Brand Family on the Direc-
tory;
(2) have verified that the Brand Family was listed on the Directory; and
(3) have previously provided its electronic mail ("e-mail") address to
the Attorney General for the purpose of receiving notifications of exclu-
sions or removals from the Directory as required by section
30165.1(c)(4).
NOTE: Authority cited: Section 30165.1(0), Revenue and Taxation Code. Refer-
ence: Section 3()165.](c), (g) and (i). Revenue and Taxation Code.
History
1 . New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register
2004, No. 18). A Certificate of Compliance must be transmitted to OAL by
10-25-2004 pursuant to Revenue and Taxafion Code section 30165.1 or emer-
gency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL
10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
§ 999.23. Applying for Relisting of Brand Families and
Tobacco Product Manufacturers.
If a Tobacco Product Manufacturer and its Brand Families have been
removed from the Directory, the Tobacco Product Manufacturer may ap-
ply for relisting by:
(a) complying with all of the Certification requirements of 999.16,
999.17, 999.18, 999.20 and 999.21, and
(b) submitting the following documentation:
(1) Written confirmation from all Distributors to which the Tobacco
Product Manufacturer's Cigarettes were sold that the Tobacco Product
Manufacturer has reimbursed those Distributors for the cost to the Dis-
tributors of the Cigarettes or tobacco product to which the stamp or meter
impression was affixed, or the tax paid, during the removal period;
(2) Written confirmation from the escrow agent of the amounts held
on deposit and any other account information required to enable the At-
torney General to determine that all escrow deposits required pursuant to
Health and Safety Code section 104557 for the Brand Family removed
from the Directory have been deposited into a Qualified Escrow Fund;
and
(3) Written confirmation that any outstanding final judgments, includ-
ing interest thereon, for violations of Article 3 (commencing with section
104555) of Chapter 1 of Part 3 of Division 103 of the Health and Safety
Code have been fully satisfied for the Non-Participating Manufacturer
and Brand Family removed from the Directory.
NOTE: Authority cited: Secfion 30165.1(o), Revenue and Taxation Code. Refer-
ence: Secfion 30165.1(b), (c), (f), (g), (h) and (j). Revenue and Taxation Code.
History
1 . New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register
2004, No. 18). A Certificate of Compliance must be transmitted to OAL by
10-25-2004 pursuant to Revenue and Taxafion Code section 30165.1 or emer-
gency language will be repealed by operation of law on the following day.
2. Editorial correcfion of History 1 (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order, including amendment of sub-
secfion (b)(2), transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register
2004, No. 49).
Page 48.16
Register 2007, No. 5; 2-2-2007
Title 11
Attorney General
§ 999.108
Chapter 17. Attorney General Regulations
Regarding Health Care Districts Under
Health and Safety Code Sections 32121 and
32126
§ 999.40. Report of Transaction.
(a) Pursuant to Health and Safety Code sections 32121 and 32126, a
health care district shall report to the Attorney General, within 30 days
of any transfer or lease of district assets to one or more corporations, the
type of transaction and the entity (including the address and telephone
number) to whom the assets were transferred or leased.
(b) For purposes of giving notice to the Attorney General pursuant to
subdivision (a), all reports shall be submitted in writing to the office listed
below which is located nearest to the principal office of the health care
district on whose behalf the notice is submitted.
ATTORNEY CiHNERAL, CHARITABLE-: TRUSTS SECTION
455 (iOLDEN CiATE AVENUE. SUITE 11000
SAN FRANCISCO, CALIFORNIA y4102-7004
ATTORNI-Y (GENERAL, CHARITABLE TRUSTS SECTION
.^00 SOUTH SPRlMi STREET
LOS an(;i;li-:s. California 90013-1230
ATTCmNEY GENERAL, CHARITABLE TRUSTS SECTION
1300 I STREET
P.O. BOX 944255
SACRAMENTO, CALII-ORNIA 94244-2550
(c) The written report shall be deemed filed with the Attorney General
when the report is received at the Office of the Attorney General with the
information required by subdivision (a).
NOTE; Authority cited: Sections 3212Up)(12) and 32126(c), Health and Safety
Code. Reference: Sections 32121(p)(12) and 32126(c), Health and Safety Code.
History
1. New chapter 17 (section 999.40) and section filed 2-2-2007; operative
3-4-2007 (Register 2007, No. 5).
Chapter 18.
Electronic Recording Delivery
System
Article 1. Scope
§999.100. Scope.
(a) This Chapter shall be known as Department of Justice (DOJ) regu-
lations for Electronic Recording Delivery System (ERDS) and is referred
to as these regulations.
(b) These regulations establish guidelines, procedures, and standards
following the enactment of the Electronic Recording Delivery Act
(ERDA) of 2004, which authorizes a County Recorder, upon approval by
resolution of the Board of Supervisors and system certification by the
ERDS Program, to establish an ERDS for the deHvery, and, when appli-
cable, return of specified digitized and digital electronic records, subject
to specified conditions, including system certification, regulation, and
oversight by the ERDS Program.
(c) These regulations may not be construed to administer the processes
or procedures relating to the business of a County Recorder.
(d) These regulations do not address prevention for tampering or
fraudulent documents prior to transmitting into or after retrieving from
an ERDS.
(e) The Attorney General finds that this Chapter is consistent with the
Electronic Signatures in Global and National Commerce Act (15 U.S.C.
Sections 7001, et seq., and 47 U.S.C. Section 231) as contemplated in
Section 7002(a)(2)(A). As provided in the Electronic Signatures in Glob-
al and National Commerce Act (E-SIGN), these regulations do not re-
quire, or accord greater legal effect to, the implementation or application
of a specific technology or technical specification for performing the
functions of creating, storing, generating, receiving, communicating, or
authenticating electronic signatures. The performance standards speci-
fied in this Chapter are to assure the accuracy, record integrity, and acces-
sibility of records delivered by a participating County Recorder via an
ERDS.
NOTE: Authority cited: Sections 27393 and 27399(a), Government Code. Refer-
ence: Sections 27391(a), 27392(a), 27393(a), 27393(b), 27393(c) and 27399.
Government Code; 15 U.S.C. Sections 7001, et seq.; and 47 U.S.C. Sections 231
and 7002(a)(2)(A).
History
1. New chapter 18 (articles 1-9, sections 999.100-999.223), article 1 (sections
999.100-999.101) and section filed 7-31-2007; operative 8-30-2007 (Regis-
ter 2007, No. 31).
§999.101. ERDS Documentation.
Information provided on documentation submitted to the ERDS Pro-
gram shall be exempt from disclosure to ensure that an individual's right
to privacy is enforced and that confidential information is protected from
threat of potential risk in the indiscriminate collection, maintenance, and
dissemination of that information.
NOTE; Authority cited: Section 27393, Government Code. Reference: Sections
27393(b)(2) and 27393(b)(ll), Government Code.
History
1. New section filed 7-31-2007; operafive 8-30-2007 (Register 2007. No. 31).
§999.102. Severability.
If any article, section, subsection, sentence, clause or phrase of these
regulations contained in this Chapter is for any reason held to be uncon-
stitutional, contrary to statute, exceeding the authority of the Attorney
General, or otherwise inoperative, such decision shall not affect the va-
lidity of the remaining portion of these regulations.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27390 and 27393, Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Article 2. Definitions
§999.108. Definitions.
(a) The following definitions shall apply throughout all the articles
within these regulations:
(1 ) "Agent" means a representative and his/her employees who are au-
thorized to submit documents on behalf of an Authorized Submitter who
has entered into a contract with a County Recorder, and, assigned a role
by the County Recorder, to deliver, and, when applicable, return the sub-
mitted ERDS payloads via an ERDS. An Agent may not be a Computer
Security Auditor, County Recorder Designee, ERDS Account Adminis-
trator, ERDS System Administrator, or Vendor of ERDS Software.
(2) "Approved Escrow Company" means an escrow company ap-
proved pursuant to California Code of Regulations, Title 2, Division 7,
Chapter 6, Article 3, D, List of Approved Companies and Facilities, Sec-
tion 20639.
(3) "Attorney General" means the Attorney General of the State of
California.
(4) "Authorized Access" means a role assigned by the County Record-
er to an Authorized Submitter and Agent, if any, who is authorized to use
ERDS for only Type 2 instruments. This level of access does not require
fingerprinting.
(5) "Authorized Submitter" means a party and his/her employees that
has entered into a contract with a County Recorder, and, assigned a role
by the County Recorder, to deliver, and. when applicable, return the sub-
mitted ERDS payloads via an ERDS. An Authorized Submitter may not
be a Computer Security Auditor, County Recorder Designee, ERDS Ac-
count Administrator, ERDS System Administrator or Vendor of ERDS
Software.
(6) "Certificate Authority" means a cerfificate authority that issues
digital certificates for the purpose of establishing secure Internet sessions
between an Authorized Submitter and an ERDS. Certificate authorities
also validate digital certificates presented as proof of identity.
(7) "Computer Security Auditor" means: 1) DOJ approved computer
security personnel hired by the County Recorder to perform independent
Page 48.17
Register 2007, No. 31; 8-3-2007
§ 199.108
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
audits, and 2) A role assigned by the County Recorder to tlie Computer
Security Auditor who is authorized to review transaction logs and con-
duct tests on computer security mechanisms. A Computer Security Audi-
tor may not be an Authorized Submitter, Agent, County Recorder Desig-
nee, ERDS Account Administrator, ERDS System Administrator or
Vendor of ERDS Software. This role requires fingerprinting. A Comput-
er Security Auditor shall be issued a certificate of approval by the ERDS
Program.
(8) "County Recorder" means a public official responsible for admin-
istering an ERDS, ensuring that all ERDS requirements are met and who
oversees the assignment and delegation of the responsibilities by deter-
mining the necessary resources and means.
(9) "'County Recorder Designee" means a secure access role assigned
by the County Recorder to retrieve, and, when applicable, return of sub-
mitted ERDS payloads. A County Recorder Designee may not be a Com-
puter Security Auditor, Authorized Submitter, Agent or Vendor of ERDS
Software. This role requires fingerprinting.
(10) "Developer" has the same meaning as "Vendor".
(11) "Digital Electronic Record" means a record containing informa-
tion that is created, generated, sent, communicated, received, or stored
by electronic means, but not created in original paper form.
(12) "Digital Signature" means a set of electronic symbols attached to,
included in, or logically associated with one or more digital electronic re-
cords and/or digitized electronic records, inclusive of information related
to and intended for association with the digital electronic records and/or
digitized electronic records, that is the result of a process, or processes,
designed and employed for the purpose of verifying the integrity, accura-
cy or authenticity of the digital electronic records and/or digitized elec-
tronic records with related information. For the purpose of an ERDS, a
digital signature is generated by encrypting the hash value of an ERDS
payload.
(13) "Digitized Electronic Record" means a scanned image of the orig-
inal paper document.
(14) "DOJ" means the California Department of Justice.
(15) "Electronic Signature of the Notary" means a field, or set of fields,
containing information about the electronic signature of the notary who
notarized a digital electronic record or digitized electronic record.
( 1 6) "ERDA" means the Electronic Recording Delivery Act of 2004.
(17) "ERDS" means an ERDS Program certified Electronic Recording
Delivery System to deliver digitized electronic records and/or digital
electronic records to a County Recorder, and, when applicable, return to
the Authorized Submitter.
(18) "ERDS Account Administrator" means a secure access role as-
signed by the County Recorder to an individual who is authorized to con-
figure accounts, assign roles, and issue credentials. An ERDS Account
Administrator may not be a Computer Security Auditor, Authorized Sub-
mitter, Agent or Vendor of ERDS Software. This role requires finger-
printing.
(19) "ERDS Payload" means an electronic structure designed for the
purpose of delivering digital electronic records or digitized electronic re-
cords to a County Recorder via an ERDS. The structure is also used to
return, when applicable, digital electronic records or digitized electronic
records to an Authorized Submitter via an ERDS.
(20) "ERDS Program" means the program within DOJ designated by
the Attorney General to certify, implement, regulate and monitor an
ERDS.
(21) "ERDS Server" means computer hardware, software and storage
media used by the County Recorder to implement an ERDS. The ERDS
Server executes the primary funcfionality of the application software
associated with an ERDS. The ERDS Server includes software for en-
crypting, decrypting, hashing, submitting, and, when applicable, return-
ing ERDS payloads. It also includes storage media for ERDS payloads
in the process of being delivered to the County Recorder or, when appH-
cable, being returned to the Authorized Submitter. Separate physical
servers dedicated to performing ERDS server functions are not required
provided that ERDS server functions can be isolated from other server
functions, as evidenced by audit.
(22) "ERDS System Administrator" means a secure access role as-
signed by the County Recorder to an individual who is authorized to con-
figure hardware, software, network settings, and to maintain ERDS secu-
rity functions. An ERDS System Administrator may not be a Computer
Security Auditor, Authorized Submitter, Agentor Vendor of ERDS Soft-
ware. This role requires fingerprinting.
(23) "FIPS" means Federal Informafion Processing Standard.
(24) "HMAC" means Hash Message Authenticafion Code.
(25) "Incident" means an event that may have compromised the safety
or security of an ERDS.
(26) "Instrument" means: (1) A Type 1 instrument affecting a right,
title, or interest in real property. Type 1 instruments shall be delivered as
digitized electronic records. Individuals given role-based privileges for
a Type 1 instrument shall be fingerprinted; and (2) A Type 2 instrument
of reconveyance, substitution of trustee, or assignment of deed of trust.
Type 2 instruments may be delivered as digifized electronic records or
digital electronic records. Individuals given role-based privileges for a
Type 2 only instrument shall not be fingerprinted.
(27) "Lead County" means the County Recorder in a Multi-County
ERDS responsible for administering an ERDS, ensuring that all ERDS
requirements are met and who oversees the assignment and delegation
of the responsibilities by determining the necessary resources and means.
(28) "Live Scan" means a DOJ system used for the electronic submis-
sion of applicant fingerprints. This system is outside of the ERDS Pro-
gram.
(29)"Logged" means an auditable ERDS event.
(30) "Logical" means the way data or systems are organized. For ex-
ample, a logical description of a file is that it is a collection of data stored
together.
(31) "MAC" means Message Authentication Codes.
(32) "Muld-County" means an ERDS application where County Re-
corders collaborate and make use of a single ERDS serving multiple
counties.
(33) "NIST" means Nafional Institute of Standards and Technology.
(34) "Non-Substantive Modification" means a change that does not
affect the funcfionality of an ERDS.
(35) "ORI" means Originating Agency Identifier.
(36) "Physical Access" means access granted to an individual who has
physical access to an ERDS server. This level of access requires finger-
printing with the exception of a county data center or an outsourced
county data center in which physical access is already managed by secu-
rity controls.
(37) "Public Entity" includes the State, the Regents of the University
of California, a county, city, district, public authority, public agency, and
any other political subdivision or public corporation in the State. As pro-
vided in this chapter, "public entity" includes federal government enti-
ties.
(38) "PKI" means a Public Key Infrastructure which is a framework
for creating a secure method for exchanging information based on public
key cryptography. The foundation of a PKI is the certificate authority,
which issues digital certificates that authenticate the identity of organiza-
fions and individuals over a public system such as the Internet. The certif-
icates are also used to sign messages, which ensure that messages have
not been tampered with.
(39) "Reportable" means an incident that has resulted in the compro-
mise of the safety or security of an ERDS and shall be reported to the
ERDS Program.
(40) "RSA" means a public-key encryption technology developed by
Rivest, Shamir and Adelman (RSA). The RSA algorithm has become the
de facto standard for industrial-strength encryption especially for data
sent over the Internet.
Page 48.18
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Title 11
Attorney General
§ 999.121
(41) "Role" means a security mechanism, method, process or proce-
dure that defines specific privileges dictating the level of access to an
ERDS.
(42) "Secure Access" means a role assigned by the County Recorder
to an individual which requires fingerprinting to: 1 ) An Authorized Sub-
mitter and Agent, if any, who are authorized to use an ERDS for both
Type 1 and 2 instruments (excludes Type 2 instruments only) or Type 1
instruments only; 2) A Computer Security Auditor hired by the County
Recorder to perform independent audits; 3) An ERDS System Adminis-
trator who is authorized to configure hardware, software and network set-
tings; 4) An ERDS Account Administrator who is authorized to config-
ure accounts, assign roles, and issue credentials; 5) An individual who is
granted physical access to an ERDS server; 6) A County Recorder Desig-
nee authorized to retrieve, and, when applicable, return of submitted
ERDS payloads.
(43) "Security Testing" means an independent security audit by a
Computer Security Auditor, including, but not limited to, attempts to
penetrate an ERDS for the purpose of testing the security of that system.
(44) "SHA" means Secure Hash Algorithm.
(45) "Source Code" means a program or set of programs, readable and
maintainable by humans, translated or interpreted into a form that an
ERDS can execute,
(46) "Source Code Materials" means, but is not limited to, all of the
following; 1) A copy of all source code that implements ERDS function-
ality; 2) A copy of the compiler needed to compile the ERDS source code
in escrow; 3) Instructions for installation and use of the ERDS source
code compiler; and 4) Instructions that facilitate reviews, modification
and/or recompiling the source code.
(47) "Sub-County" means the collaborating County Recorder(s) in a
Multi-County ERDS operafion.
(48) "Substantive Modification" means a change that affects the func-
tionality of an ERDS.
(49) "TLS" means Transport Layer Security.
(50) "Uniform Index Information" means information collected by a
County Recorder in the recording process. Every digital electronic re-
cord and digitized electronic record delivered through an ERDS shall be
capable of including uniform index information. The County Recorder
shall decide on the content of uniform index information.
(51) "User" means a person who uses a computer to access, submit,
retrieve, or, when applicable, return an ERDS payload.
(52) "Vendor (or Developer)" means a person and personnel, support-
ing and/or acting on behalf of the certified Vendor of ERDS Software
who sells, leases, or grants use of, with or without compensation there-
fore, a software program for use by counties for establishing an ERDS.
A Vendor of ERDS Software may not be a Computer Security Auditor,
Authorized Submitter, Agent, ERDS Account Administrator, ERDS
System Administrator, County Recorder Designee or internal county re-
sources used as a Developer of an ERDS in lieu of a Vendor. This role
requires fingerprinting.
(53) "Workstation" means a computer used to connect to, and interact
with, an ERDS.
NOTE; Authority cited: Section 27393, Government Code. Reference: Sections
27390(b), 27393(b)(4), 27395(f), 811.2, 15000 and 12510, Government Code.
History
1. New article 2 (section 999.108) and section filed 7-31-2007; operative
8-30-2007 (Register 2007, No. 31).
Article 3. Fees
§ 999.1 1 4. Vendor of ERDS Software Fees.
(a) A Vendor seeking approval of software and other services as part
of an ERDS shall be charged a fee for initial certification and a renewal
certificafion fee every three years. These fees may be increased at a rate
not to exceed the legislatively approved cost-of-living adjustment for
the DOJ. The ERDS Program non-refundable fees for certification of a
Vendor of ERDS Software are as follows:
(1) Initial certificafion by the ERDS Program is $500.
(2) Renewal certification by the ERDS Program is $300.
(b) All fees shall be processed prior to certification.
(c) Fees shall be paid by check or money order made payable to the
"Department of Jusfice — ERDS Program".
Note: Authority cited: Section 27393, Government Code. Reference: Section
27397(b), Government Code.
History
]. New article 3 (sections 999.1 14-999.1 15) and section filed 7-31-2007; opera-
tive 8-30-2007 (Register 2007. No. 31).
§ 999.1 1 5. System Administration Fee.
(a) A County Recorder establishing an ERDS shall pay for the direct
cost of regulafion and oversight by the ERDS Program. A System Ad-
ministration Fee, developed in consultation with the interested County
Recorders, has been established to meet this requirement.
(b) On an annual basis, the System Administration Fee shall be com-
puted based on all of the following:
(1) DOJ's esdmated annual costs.
(2) The number of counties parficipating in the System Administration
Fee.
(3) The total documents recorded and filed by the participating coun-
ties as reported to the Office of the Insurance Commissioner pursuant to
Section 27296 of the Government Code, for the previous calendar year.
(4) A percentage figure will be calculated by dividing the total docu-
ments recorded per participating county by the total documents recorded
for all parUcipafing counties.
(5) The percentage figure by county is applied to the esfimated annual
costs of the ERDS Program to arrive at each participating county's fig-
ure.
(c) A County Recorder shall enter into a Memorandum of Understand-
ing with the ERDS Program before system certification agreeing to the
computed System Administration Fee and annually thereafter by an ad-
dendum to the Memorandum of Understanding.
(d) All fees shall be processed prior to certificafion.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27391(a), 27296 and 27397(a), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Article 4.
Fingerprinting and Criminal
Record Checks
§ 999.1 21 . Fingerprinting and Criminal Record Checks.
(a) Individuals in an ERDS role that requires fingerprinting shall sub-
mit fingerprint images and all related information to the DOJ for the pur-
pose of obtaining information as to the existence and nature of a record
of state and federal level convictions and arrests or whether the applicant
was released on bail or his own recognizance pending trial.
(b) If the state or federal criminal records contain a conviction of a
felony, or a misdemeanor related to theft, fraud, or a crime of moral turpi-
tude, or a pending criminal charge for any of these crimes shall be justifi-
cation for denial to an individual to serve in an ERDS role that requires
fingerprinting. A plea of guilty or no contest, a verdict resulting in con-
viction, or the forfeiture of bail, shall be a conviction pursuant to Govern-
ment Code section, 27395(a), irrespective of a subsequent order under
section 1203.4 of the Penal Code. All other state or federal criminal re-
cords containing a felony or misdemeanor conviction involving dishon-
esty, fraud or deceit, "moral turpitude" [People v. Castro (1985) 38 Cal.
3d 301], including pending charges, shall be justification for denial to an
individual to serve in an ERDS role that requires fingerprinting.
(c) The DOJ shall respond to the ERDS Program for criminal offender
record information as delineated in subdivision (/) of section 1 1 105 of the
Penal Code.
Page 48.19
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§ 999.122
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(d) The ERDS Program shall deliver written notification of an individ-
ual's ineligibility for access to an ERDS to the individual, his or her
known employer, the Computer Security Auditor, and the County Re-
corder.
(e) The ERDS Program shall request subsequent arrest notification
service, pursuant to section 1 1 105.2 of the Penal Code, for individuals
assigned an ERDS role that requires fingerprinting.
(f) If the ERDS Program is notified of a subsequent arrest, the individ-
ual, his or her known employer, the Computer Security Auditor, and the
County Recorder shall be notified within 10 business days of the individ-
ual's ineligibility for access to an ERDS, if applicable,
(g) Re-fingerprinting of Individuals Changing Roles and/or Agencies
(1) When an individual who was previously approved for an ERDS
role that requires fingerprinting, changes roles and/or agencies, changes
employment, or is designated additional secure access roles within the
same agency; or if an employee or agent of an Authorized Submitter sub-
mits to one county and now submits to multiple counties re-fingerprint-
ing is not required. However, for such an individual, proof of fingerprint-
ing shall be provided to the ERDS Program by submission of a Change
of ERDS Role form #ERDS 0008 (February 2007), consistent with pro-
cedures outlined within these regulations.
(h) Proof of fingerprint submission can be met as follows:
( 1 ) Electronic fingerprint submissions. A notarized applicant copy of
the Request for Live Scan Services form # BCII 8016ERDS (Febmary
2007) shall be provided as proof of fingerprint submission. If a notarized
copy cannot be provided, the individual shall be fingerprinted.
(2) Manual fingerprint submissions. If an individual initially used the
manual method of fingerprinting, the individual shall be fingerprinted.
NOTE; Authority Cited: Sections 27393, 27395(a), 27395(b), 27395(c), 27395(d)
and 27395(e), Government Code. Reference: Sections 27393(b), 27393(b)(9) and
27395, Government Code; and Sections 1203.4, 1 1 105 and 1 1105.2, Penal Code.
History
1. New article 4 (sections 999.121-999.122) and section filed 7-31-2007; opera-
tive 8-30-2007 (Register 2007, No. 31).
§ 999.122. Role-Based Fingerprinting Requirement.
(a) The following ERDS roles assigned secure access to both Type 1
and 2 instruments, (excludes Type 2 instruments only), require the sub-
mission of fingerprints to the DOJ, and require clearance based on the
state and federal criminal record checks, prior to the individual serving
in the role as an/a:
( 1 ) Agent or representaUve and his/her employees who are authorized
to submit documents on behalf of an Authorized Submitter.
(2) Authorized Submitter and his/her employees is a party that has en-
tered into a contract with a County Recorder.
(3) Computer Security Auditor.
(4) County Recorder Designee.
(5) ERDS Account Administrator.
(6) ERDS System Administrator.
(7) An individual who is authorized physical access to an ERDS server
with the exception of a county data center or an outsourced county data
center in which physical access is already managed by security controls.
(8) Vendor (or Developer) personnel, supporting and/or acting on be-
half of the certified Vendor of ERDS Software.
(9) Internal county resources used as a Developer of ERDS in lieu of
a Vendor of ERDS Software.
NOTE: Authority Cited: Sections 27393, 27395(d) and 27395(e), Government
Code. Reference: Sections 27393(b)(9) and 27395, Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Article 5. Baseline Requirements and
Technology Standards
§ 999.128. Basis for tlie Baseline Requirements and
Technology Standards.
(a) To meet the intent of the ERDA, the minimum standards and guide-
lines established within these regulations are based on information secu-
rity "best practices" designed to offer a layered security approach
through the use of the following security objectives:
(1 ) Availability (of systems and data for intended use only). Availabil-
ity is a requirement intended to assure that systems work promptly and
service is not denied to authorized users, i.e, accessible and usable upon
demand. This objective protects against intentional or accidental at-
tempts to either perform unauthorized deletion of data or otherwise cause
a denial of service or data.
(2) Integrity (of system and data). Integrity has two facets:
(A) Data integrity (the property that data has not been altered or de-
stroyed in an unauthorized manner while in storage, during processing,
or while in transit), or
(B) System integrity (the quality that a system has when performing
the intended function in an unimpaired manner, free from unauthorized
manipulation).
(3) Confidentiality (of data and system information). Confidentiality
is the requirement that private or confidential information not be dis-
closed to unauthorized individuals, entities or procesess. Confidential
protection applies to data in storage, during processing, and while in tran-
sit.
NOTE: Authority cited: Section 27393, Government Code. Reference: Section
27393(b), Government Code.
History
1. New article 5 (sections 999.128-999.154) and section filed 7-31-2007; opera-
tive 8-30-2007 (Register 2007, No. 31).
§ 999.129. Standards and Guidelines.
Standards and guidelines contained in these regulations are based on
NIST and FTPS publications including: NIST Special Publication
800-88. Guidelines for Media Sanitization (publication date September
2006); HPS 180-2, Secure Hash Standard (publication date August 2002
with change notice dated February 2004); FIPS 140-2, Security Require-
ments for Cryptographic Modules (publication date May 2001 with a
change notice dated December 2002); FIPS 197, Advanced Encryption
Standard (publication date November 2001); FIPS 198, The Keyed-
Hash Message Authentication Code (HMAC) (publication date March
2002); NIST Special Publication 800-63, Electronic Authentication
Guideline (publication date April 2006 Version 1.0.2); NIST Special
Publication 800-70, Security Configuration Checklists Program for IT
Products (publication date May 2005). The ERDS Program shall make
available any update, revision or replacement of a reference cited.
NOTE: Authority cited: Section 27393, Government Code. Reference: Section
27393(b), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.1 30. Instrument Type.
(a) The ERDA refers to two types of instruments that may be deliv-
ered, and, when applicable, returned as digital electronic records and/or
digitized electronic records. For the purposes of ERDS, these instru-
ments are classified as follows:
(1) Type 1 is an instrument affecting a right, tide, or interest in real
property. Type 1 instruments shall be delivered as digitized electronic re-
Page 48.20
Register 2007, No. 31; 8-3-2007
Title 11
Attorney General
§ 999.137
cords. Individuals given role-based privileges for a Type J instrument
shall be fingerprinted.
(2) Type 2 is an instrument of reconveyance, substitution of trustee,
or assignment of deed of trust. Type 2 instruments may be delivered as
digitized electronic records or digital electronic records. Individuals giv-
en role-based privileges for a Type 2 only instmment shall not be finger-
printed.
(b) ERDS shall be designated as Type 1 or Type 2 or Type 1 and 2. The
delivery, and, when applicable, return of these instrument types through
an ERDS shall meet the requirements specified in these regulations.
NOTE: Authority cited: Section 27393. Government Code. Reference: Sections
27393(b)(2), 27397.5(a) and 27397.5(a), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.1 31 . Operating Procedures.
(a) The County Recorder shall have ERDS operating procedures pre-
pared, maintained and followed that explain the proper operation, man-
agement, administration, content restrictions and use of their ERDS,
(b) The County Recorder shall establish ERDS operating procedures
and/or incorporate features within the ERDS design in order to restrict
the instrument type and content to meet the requirements of these regula-
tions.
(c) ERDS operating procedures shall be sufficient for a Computer Se-
curity Auditor to conduct computer security audits.
Note; Authority cited: Sections 27392(a), 27393, 27394(c) and 27397.5(a), Gov-
ernment Code. Reference: Sections 27392(a), 27393, 27394(c) and 27397.5(a),
Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.132. System Implementation.
(a) ERDS may consist of hardware, software, storage media and net-
work connections that securely exchange messages and data. The hard-
ware, software and storage media shall be designated by the County Re-
corder establishing the ERDS and shall be included in system
certifications, audits, local inspections and reviews.
(b) ERDS shall be designated as "Single-County" or "Multi-County",
and identified as a Type 1 or Type 2 or Type 1 and 2, and return, when
applicable. Single-County ERDS shall be dedicated to serving a single
county. Multi-County ERDS shall serve more than one county as estab-
lished by mutual agreement among County Recorders.
(c) An Authorized Submitter may be granted access to more than one
ERDS; however, access to each ERDS shall remain under management
control of the County Recorder establishing the ERDS.
(d) ERDS shall have no capabilities to modify, manipulate, insert or
delete information in the public record.
(e) ERDS shall protect the confidentiality and integrity of digital elec-
tronic records and/or digitized electronic records during the process of
transmission and storage.
(f) ERDS capable of returning digital electronic records and/or digi-
tized electronic records shall meet the requirements established within
these regulations.
Note: Authority cited; Sections 27392(a) and 27393, Government Code. Refer-
ence: Sections 27392(a), 27393, 27396(a) and 27397.5(a), Government Code.
History
1. New secfion filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.133. Payload Structure, Content and Usage.
(a) All ERDS for either Type 1 or Type 2 instruments shall contain an
ERDS payload structure. An ERDS payload structure does not restrict
the content within a digital electronic record and/or digitized electronic
record. A County Recorder shall list any restrictions on content in each
contract with an Authorized Submitter. At a minimum, the ERDS pay-
load structure shall contain a component for all of the following:
(1) Uniform Index Information.
(2) One or more digital electronic records or digitized electronic re-
cords.
(3) Information about the electronic signature of a notary.
(b) Each ERDS payload will be used to generate the Digital Signature
of the individual preparing the ERDS payload. When ERDS payloads arc
being prepared for delivery to a County Recorder, the Digital Signature
shall be of the Authorized Submitter. When ERDS payloads are being re-
turned to an Authorized Submitter through ERDS, the Digital Signature
shall be of the County Recorder Designee.
(c) ERDS payloads may be used to deliver a file format acceptable to
the County Recorder.
(d) ERDS payloads submitted by an Authorized Submitter shall be re-
trievable by a County Recorder Designee.
(e) Multiple digital electronic records or digitized electronic records
within the same payload is allowed; however. Type 1 and Type 2 instru-
ments may not be included in the same ERDS payload.
NOTE: Authority cited; Section 27393, Government Code. Reference: Sections
27391(e), 27392(b) and 27393(b)(10), Government Code.
History
1. New section filed 7-31-2007; operafive 8-30-2007 (Register 2007, No. 31).
§ 999.134. Uniform Index Information.
A digital electronic record or digitized electronic record delivered
through an ERDS shall be capable of including uniform index informa-
tion in the ERDS payload. The County Recorder shall decide on the con-
tent of uniform index information.
NOTE: Authority cited: Section 27393, Government Code. Reference; Section
27393(b)(10), Government Code.
History
I. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No, 31).
§ 999.135. Electronic Signature of a Notary.
(a) ERDS payloads shall be capable of including information about the
electronic signature of the notary regardless of how the electronic signa-
ture of a notary is affixed by the notary according to other applicable
laws. When a signature is required to be accompanied by a notary's seal
or stamp, that requirement is satisfied if the electronic signature of the
notary contains all of the following:
( 1 ) The name of the notary.
(2) The words "Notary Public".
(3) The name of the county or other administrative district of a state
where the bond and oath of office of the notary are filed.
(4) The sequential identification number assigned to the notary, if giv-
en.
(5) The sequential identification number assigned to the manufacturer
or vendor of the notary's physical and/or electronic seal, if available.
NOTE; Authority cited: Section 27393, Government Code. Reference: Section
27391(e), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.136. Security Requirements for Data Integrity.
(a) All ERDS for either Type 1 or Type 2 instruments shall assure sub-
mitted documents do not contain content that draws data or images from
sources external to the digital electronic record and/or digitized electron-
ic record, including, but not limited to: viruses, worms, Trojan Horses,
spyware, adware, ActiveX components, Java script, Java components,
HTML encoded hyperlinks, and any other executable software.
(b) Active content detected by anti-malware shall be removed as soon
as it is detected. Active content that cannot be removed shall be disabled.
NotE; Authority cited: Secfion 27393, Government Code. Reference: Sections
27392(b), 27393(b)(2) and 27397.5(a), Government Code.
History
1. New secfion filed 7-31-2007; operative 8-30-2007 (Register 2007. No. 31).
§ 999.137. Security Requirements for Payload Protection.
(a) All ERDS for either Type 1 or Type 2 instruments shall employ en-
cryption, both in transmission and storage, until decrypted by the in-
tended recipient to protect the confidentiality of ERDS payloads. Once
decrypted by the intended recipient, the security of the contents shall be-
come the responsibility of the intended recipient. Two payload encryp-
tion algorithms are approved for ERDS:
( 1 ) The RSA Algorithm using a minimum key-length of 1024 bits; and
Page 48.21
Register 2007, No. 31; 8-3-2007
§ 999.138
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(2) The Advanced Encryption Algorithm using a minimum key-
length of 1 28 bits as defined in FIPS 1 97, Advanced Encryption Standard
(publication date November 2001).
(b) All ERDS for either Type 1 or Type 2 instruments shall use hashing
to protect the integrity of ERDS payloads. The hash function approved
for ERDS payloads is the Secure Hash Algorithm defined in FIPS 1 80-2,
Secure Hash Standard (publication date August 2002 with change notice
dated February 2004), using a message digest size of at least 224 bits.
(c) All ERDS for either Type 1 or Type 2 instruments shall use Digital
Signatures to assure the authenticity of ERDS payloads. The signing
function approved for ERDS payloads is the RSA algorithm, using a
minimum key-length of 1024 bits.
(d) All ERDS for either Type 1 or Type 2 instruments shall use a Public
Key Infrastructure (PKI) established by the County Recorder to ensure
all ERDS users are uniquely identified and to protect the integrity and au-
thenticity of ERDS payloads. The public/private key-pair shall consti-
tute the user's PKI identity credentials. Cryptographic modules used for
generating encryption keys shall meet the requirements of Security Level
2 defined in FIPS 140-2, Security Requirements for Cryptographic Mod-
ules (publication date May 2001 with a change notice dated December
2002).
(e) ERDS for Type 1 instruments: The private key in the pair shall be
issued to the user and employed to create digital signatures, both for use
during login and for assuring the integrity of ERDS payloads. The public
key shall be used to authenticate the user during login and to verify the
integrity and authenticity of ERDS payloads.
(0 ERDS for Type 2 instruments: The private key in the pair shall be
issued to the user and employed to create digital signatures and for assur-
ing the integrity of ERDS payloads. The public key shall be used to au-
thenticate the user and to verify the integrity and authenticity of ERDS
payloads.
(g) ERDS for Type 1 instruments: Authentication shall consist of two
factors: the user ID and password associated with an approved user ac-
count and the user's PKI identity credentials.
(h) ERDS for Type 2 instruments: Authentication shall be based on the
user's PKI identity credentials.
(i) All ERDS for either Type 1 or Type 2 instalments: Resources and
means for estabhshing a PKI shall be at the discretion of the County Re-
corder, but commercially available certificate authorities, if employed,
shall be on the list of certification authorities approved by the California
Secretary of State.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27393(b) and 27397.5, Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.138. Security Requirements for Computer
Workstations.
(a) All ERDS that serve either Type 1 or Type 2 instruments: The
County Recorder shall ensure that all endpoints are secure. As such,
workstations used to submit, retrieve, or, when applicable, return ERDS
payloads are protected from unauthorized use and access. As a minimum,
workstations shall meet all of the following requirements:
( 1 ) Anti-malware software configured to start on system boot-up.
(2) Operating system software with the most up-to-date patches and
hot-fixes.
(3) Host based firewall configured to restrict inbound and outbound
connections.
(b) For Type 1 instruments only, installed applications shall be limited
to the purpose of performing the necessary operational needs of the re-
cording process as defined by the County Recorder.
(c) The County Recorder shall include provision (a) and (b) as a man-
datory requirement in all contracts with Authorized Submitters whom
shall ensure that an Agent, if any, complies with these regulations. The
contents of the contract provision are subject to audit and local inspec-
tion.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27393(b)(2) and 27397.3, Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.139. Security Requirements for Computer Media.
(a) ERDS payloads and encryption keys for either Type 1 or Type 2
instruments shall be encrypted when stored on storage media. The en-
cryption employed for protecting ERDS payloads and encryption keys
in storage shall conform to the standards for transmitting ERDS pay-
loads.
(b) Fixed and removable disks for either Type 1 or Type 2 instruments
shall be sanitized as defined in NIST Special PubUcation 800-88, Guide-
lines for Media Sanitization (publication date September 2006), prior to
reallocating ERDS hardware or storage media to other purposes.
NotE: Authority cited: Section 27393, Government Code. Reference: Sections
27393(b)(2) and 27397.5, Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.140. ERDS Identification Security Requirements.
(a) ERDS that serve Type 1 and 2 instruments shall be required to meet
the additional identification security requirements required for Type 1
instruments as follows:
( I ) User accounts may be implemented as part of a network authenti-
cation and authorization system available to the County Recorder, as an
integral part of an ERDS server, or by other means at the discretion of the
County Recorder as long as all of the following requirements are met:
(A) Each ERDS user shall be uniquely identified.
(B) Shared user accounts and identity credentials shall be prohibited.
(C) User IDs shall either be based on the verified name of the user or
a pseudonym approved by the County Recorder.
(D) User accounts shall be associated with ERDS roles.
NOTE: Authority cited: Secfion 27393(b), Government Code. Reference: Sections
27393(b)(2) and 27397.5, Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.1 41 . ERDS Authentication Security Requirements.
(a) ERDS that serve Type 1 and 2 instruments shall be required to meet
all of the additional authentication security requirements required for
Type 1 instruments as follows:
(1) The standard for electronic authentication shall employ a token
containing a cryptographic key, for example, a digital certificate issued
to the user and a password associated with the user ID.
(2) Authentication assurance shall meet Level 3 or higher, as defined
by the NIST Special Publication 800-63. Electronic Authentication
Guideline (publication date April 2006 Version 1.0.2).
(3) The token methods described by the NIST may be used, provided
that authentication assurance Level 3 or higher, as defined by the NIST
Special Publication 800-63, Electronic Authentication Guideline (publi-
cation date April 2006 Version 1 .0.2), is achieved.
(b) Password creation, protection, maintenance, processing and han-
dling shall adhere to the Password Policy contained in the California
Counties Best Practices Information Security Program (pubhcation date
March 2002).
NOTE: Authority cited: Secdon 27393(b), Government Code. Reference: Sections
27393(b)(2) and 27397.5, Government Code.
History
1. New section filed 7-31-2007; operafive 8-30-2007 (Register 2007, No. 31).
§ 999.1 42. ERDS Role-Based Security Requirements.
(a) All ERDS that serve either Type 1 or Type 2 instruments shall be
required to meet all of the role-based security requirements as follows:
( 1 ) ERDS access shall be controlled by the County Recorder using a
role-based access control system. Textual disclaimers or verbal dis-
claimers alone shall not be sufficient to control access to digital electron-
ic records and digitized electronic records under the control of an ERDS.
The role-based access control system shall control all of the following
characteristics:
Page 48.22
Register 2007, No. 31; 8-3-2007
Title 11
Attorney General
§ 999.144
(A) Whether or not a session may be established with an ERDS.
(B) What ERDS payloads will be displayed.
(C) Whether or not ERDS payloads may be submitted, retrieved, and,
when applicable, returned.
(D) Whether Type 1 instruments or Type 2 instalments may be in-
cluded within an ERDS payload.
(2) The County Recorder shall also be responsible for controlling the
assignment of user accounts and identity credentials. User accounts and
identity credentials shall be issued to the person, and a role shall be as-
signed to control transactions performed under that user account. The se-
curity system shall be capable of controlling this electronic access based
on the roles authorized at the time a user successfully logs into an ERDS.
(3) Shared user accounts may not be issued. At no time shall more than
one person be authorized access to an ERDS using a single ERDS user
account or set of identity credentials. Each person shall be uniquely iden-
tified.
(4) If a user's status changes so that access to ERDS is no longer re-
quired, the user's ERDS account and identity credentials shall be dis-
abled and revoked for the purposes of ERDS. ERDS user accounts and
identity credentials may not be transferable.
(5) Identity credentials shall be recognized across ERDS provided that
the County Recorders involved have consented, by mutual agreement, to
recognize the credentials. The details of the agreements shall be at the
discretion of the County Recorders; however, the agreement shall be
made part of the ERDS operating procedures of all County Recorders
who are party to the agreement.
(6) The security system of a Multi-County ERDS shall be capable of
controlling access based on the county to which ERDS payloads are to
be delivered, and, when applicable, returned.
(7) With the exception of a county data center or an outsourced county
data center in which physical access is already managed by security con-
trols, persons granted physical access to an ERDS server shall be subject
to fingerprinting, but may not be assigned a login role and may not be
granted access to ERDS payloads unless authorized by the County Re-
corder.
(8) An Authorized Submitter and Agent, if any, shall be hmited to
those privileges granted by the County Recorder. The Authorized Sub-
mitter and Agent are prohibited from submitting ERDS payloads on be-
half of another Authorized Submitter, or Agent, unless the details of the
agreement are specified in contracts with the County Recorder. Regard-
less of the details of the agreement, shared user accounts may not be is-
sued.
(9) An Agent named in more than one contract shall be required to in-
dicate which Authorized Submitter is represented in a transaction.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27390(b)(1), 27391 and 27393(b)(2), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.143. ERDS Server Security Requirements.
(a) ERDS that employ one or more servers that serve Type 1 or Type
1 and 2 instruments shall be required to meet all of the additional server
security requirements for Type 1 instruments as follows:
(1) Separate physical servers dedicated to performing ERDS server
functions are not required provided that ERDS server functions can be
isolated from other server functions, as evidenced by audit.
(2) ERDS shall employ an ERDS proxy server.
(3) The proxy server shall do all of the following:
(A) Establish secure Internet sessions.
(B) Authenticate user ID and password credentials.
(C) Transfer and/or relay ERDS requests received via authenticated
secure Internet sessions to the ERDS server.
(D) Be physically and logically separated from the ERDS server.
(4) Proxy servers may not execute an ERDS functionality except as de-
scribed above.
(5) The ERDS server shall communicate via secure sessions through
the proxy server when interoperating via the Internet. As a minimum, ses-
sions between the proxy server and the ERDS server shall be protected
using a secure protocol. Direct logins from the Internet to an ERDS server
shall be prohibited.
(6) The ERDS server shall am ERDS application software, store
ERDS payloads, authenticate ERDS credentials, control ERDS access
based on assigned roles, and log ERDS transactions.
(7) ERDS servers shall be configured to prevent unauthorized access,
modification or use.
(8) At a minimum, servers shall be hardened according to the stan-
dards established by the County Recorder. The County Recorder shall
ensure that all county servers used for ERDS are "hardened" according
to one of the following checklists or guidelines:
(A) NIST Special Publication 800-70, Security Configuration Check-
lists Program for IT Products (publication date May 2005).
(B) Manufacturer's recommended guideUnes for securing their prod-
ucts to afford the highest level of protection.
(9) All county servers used for ERDS shall have a host-based file in-
tegrity checking system configured to alert the ERDS System Adminis-
trator of an operating system file change to the ERDS server and have
anti-malware software installed and operating to protect the server.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27393(b)(2) and 27397.5, Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.1 44. ERDS Security Requirements for Network
Security.
(a) ERDS that serve Type I or Type 1 and 2 instruments shall be re-
quired to meet all of the additional network security requirements for
Type 1 instruments as follows:
(1) ERDS transactions via a network shall be protected using encryp-
tion.
(2) Prior to beginning a login sequence, a secure connection shall be
estabhshed in order to protect passwords. ERDS may not employ "Basic"
or "Hypertext Transport Protocol" referred to commonly as "HTTP" au-
thentication to transmit passwords. Secure connections shall be termi-
nated if the authenticated user logs out or after a preset timeout limit of
not more than 30 minutes, whichever occurs first.
(3) The standard for establishing secure connection is the TLS proto-
col as described in NIST Special PubHcation 800-63, Electronic Authen-
tication (publication date April 2006 Version 1.0.2). As a minimum,
128-bit encryption shall be used to establish secure TLS sessions, as de-
scribed in FIPS 197, "Advanced Encryption Standard", (publication
date, November 2001).
(4) ERDS shall employ MAC to assure the authendcity of encrypted
ERDS payloads. Each MAC shall conform to the standard defined in
FIPS 198, "The Keyed-Hash Message AuthenticaUon Code (HMAC)",
(publicafion date March 2002).
(5) The County Recorder shall ensure digital certificates are available
to establish secure connections between users and the proxy server, and
between the proxy server and ERDS server.
(6) Network security controls shall be implemented to prevent unau-
thorized network traffic from reaching ERDS components.
(7) ERDS components shall be protected from unauthorized network
access. Network perimeter security controls shall be implemented to pre-
vent unauthorized network traffic from reaching ERDS components. At
a minimum, network devices shall do all of the following:
(A) Employ stateful packet inspection.
(B) Block unauthorized connections by limiting connection attempts
addressed to ERDS components to those necessary for ERDS operation.
(C) Be designed and configured to fail "closed" rather than open.
(D) Detect possible intrusions and, if a possible intrusion is detected,
alert the ERDS System Administrator and take action to prevent the in-
trusion.
Page 48.23
Register 2007, No. 31; 8-3-2007
§ 999.145
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Note-. Authority cited: Section 27393, Government Code. Reference: Sections
27393(b)(2) and 27397.5, Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.145. Physical Security.
(a) With the exception of a county data center or an outsourced county
data center in which physical access is already managed by security con-
trols, including fingerprinting, the site housing the ERDS server shall be
protected from unauthorized physical access. The server shall be locked
in a manner as to prevent unauthorized physical access.
(b) All ERDS that serve either Type 1 or Type 2 instruments shall be
required to meet all of the physical security requirements as follows:
(1) The County Recorder shall ensure precautions are employed to
protect the ERDS server, software and data from theft, damage and/or un-
authorized access or use. Precautions may be defined in the County Re-
corder ERDS operating procedures or may be established by mutual
agreement between the County Recorder and the entity housing the
ERDS server.
(2) During audits, the Computer Security Auditor shall be allowed to
inspect all access requests and inventory reports that occurred within the
2-year period prior to the start of an audit.
(3) During local inspections, ERDS Program staff shall be allowed to
inspect all access requests and inventory reports that occurred within the
2-year period prior to the start of a local inspection.
(c) ERDS that serve Type 1 or Type 1 and 2 instruments shall be re-
quired to meet all of the additional network security requirements for
Type 1 instruments as follows:
( 1 ) Persons who are authorized physical access to an ERDS server re-
quire fingerprinting.
(2) All requests for physical access to an ERDS server are subject to
disapproval by the County Recorder. For an ERDS involving a shared,
multi-purpose server, the County Recorder may not have overall author-
ity to approve physical access; however, the County Recorder shall retain
disapproval authority in an agreement involving shared multi-purpose
servers.
(3) An inventory that accounts for all keys, whether physical or elec-
tronic used for locking and unlocking physical access to an ERDS server,
software and/or data shall be completed at least every 90 calendar days.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27393(b)(2), 27393(c) and 27397.5, Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.146. Auditable Events, Incidents and Reporting.
(a) Auditable ERDS events shall be logged for purposes of audit, local
inspection and review, incident response, and reporting. Auditable
events may be logged using automated or manual processes. Logs shall
be safely stored and maintained in a manner that ensures their availability
for (1) a period of at least 24 months, or (2) at least 1 computer security
audit, whichever occurs later.
(b) The County Recorder shall establish ERDS operating procedures
for handling and responding to an incident as defined by these regula-
tions.
(c) Incident reporting shall comply with provisions contained within
these regulations.
(d) All of the following are auditable ERDS events for both Type 1 or
Type 2 instruments, unless otherwise stated, that shall be logged, and,
when applicable, processed only as an incident or processed as an inci-
dent and reported.
(1) For Type 1 only, login successes and failures.
(2) For Type 1 only, session starts and ends.
(3) For Type 1 only, session timeout.
(4) For Type 1 only, ERDS payload submittals, retrievals and returns,
when applicable.
(5) For Type 1 only, ERDS transaction not conducted within a preset
timeout limit. Criteria for setting the timeout shall be estabhshed by the
County Recorder; however, the maximum preset timeout limit is 30 min-
utes.
(6) For Type 1 only, ERDS session is terminated within a preset time-
out limit without receiving a logout coinmand.
(7) For Type 1 only, unauthorized access attempts, including, but not
limited to: unauthorized users attempting access, either physical or log-
ical, to ERDS storage areas; or any user attempting to use ERDS software
and/or interfaces in a non-ERDS inanner. This is an incident and shall
be reported if fraud is suspected.
(8) Use of expired or revoked credentials. This is an incident and shall
be reported if fraud is suspected.
(9) For Type 1 only, privilege elevation. This is an incident and shall
be reported.
(10) For Type I only, unauthorized visitor access to an ERDS server
or a logged-in session. This is an incident and shall be reported if fraud
is suspected.
(11) For Type 1 only, unauthorized user gaining access to an ERDS
server or ERDS payload storage area by using ERDS credentials. This is
an incident and shall be reported.
( 1 2) Any user gaining access using expired or revoked credentials.
This is an incident and shall be reported.
(13) Authentication failures.
(14) ERDS accounts locked out and/or disabled due to failed consecu-
tive login attempts. This is an incident and shall be reported if intrusion
is suspected.
(15) Auditable events overwrite other logged events. This is an inci-
dent and shall be reported if intrusion is suspected.
(16) Auditable events cannot be logged. This is an incident.
( 1 7) Logs consume 95% or more of the storage space allocated for log-
ging. This is an incident.
(18) Logs cannot be safely stored. This is an incident
(19) For Type 1 only, ERDS account creation, modification, deletion,
suspension, termination or revocation, whether authorized or not. This
is an incident only if not authorized and shall be reported if fraud is sus-
pected.
(20) For Type 1 only, hardware or software configuration changes.
This is an incident only if not authorized and shaU be reported.
(2 1 ) Unique name of the ERDS payload. This is an incident only if out
of sequence.
(22) Dates and times the ERDS payload was submitted, retrieved or,
when applicable, returned. This is an incident only if the dates and times
are not current.
(23) Identity of the individual, who submitted, retrieved or, when ap-
plicable, returned the ERDS payload. This is an incident only if not au-
thorized,
(24) Name of the organization that the individual represented while
submitting, retrieving or, when applicable, returning the ERDS payload.
This is an incident only if not authorized.
(25) For Type 1 only, a transmission failure.
(26) For Type 1 only, a storage failure.
(27) A decryption failure. This is an incident and shall be reported if
fraud is suspected.
(28) A hash failure. This is an incident and shall be reported if fraud
is suspected.
(29) A validity check failure. This is an incident and shall be reported
if fraud is suspected.
(30) Type 1 or Type 2 instrument submitted unencrypted. This is an
incident and shall be repotted.
(3 1 ) Type 1 instrument submitted as a Type 2 instrument or vice versa.
This is an incident and shall be reported if fraud is suspected.
(32) Type 1 instrument submitted via an Authorized Access ERDS.
This is an incident and shall be reported if fraud is suspected.
(33) For Type 1 only, unauthorized digital electronic record in a digi-
tized electronic record, or vice versa. This is an incident and shall be re-
ported if fraud is suspected.
Page 48.24
Register 2007, No. 31; 8-3-2007
Title 11
Attorney General
§ 999.150
(34) Unauthorized components that draw data or images from sources
external to the digital electronic record or digitized electronic record.
This is an incident and shall be reported if intrusion is suspected.
( 35 ) Unauthorized transactions submitted via ERDS. including but not
limited to, instruments that are neither Type 1 nor Type 2. This is an inci-
dent and shall be reported if fraud is suspected.
(36) For Type 1 only, server failures, including, but not limited to,
hardware, software, and network component failures, that cause the
ERDS to be unavailable or that expose the ERDS server directly to the
Internet. This is an incident and shall be reported if intrusion is suspected.
(37) Events for which an ERDS System Administrator is alerted of
possible or actual intrusion. This is an incident and shall be reported if
intrusion is suspected.
(38) For Type 1 only, unauthorized changes to the ERDS operational
configuration. This is an incident and shall be reported if fraud or intni-
sion is suspected.
(39) For Type 1 only, network failures that cause the ERDS to be un-
available or that expose the ERDS server directly to the Internet. This is
an incident and shall be reported if intrusion is suspected.
(40) For Type 1 only, events for which an ERDS System Administra-
tor is alerted of possible or actual intrusion. This is an incident and shall
be reported if intrusion is suspected.
(41) For Type 1 only, unauthorized changes to the ERDS operational
configuration. This is an incident and shall be reported.
(42) Inability to obtain and employ up-to-date anti-malware soft-
ware.
(43) Inability to obtain and employ cryptography, including hashing,
encryption and decryption. This is an incident and shall be reported.
(44) Use of either compromised or weak encryption algorithms. This
is an incident and shall be reported.
(45) For Type 1 only, discovery of newly pubUshed vulnerability ex-
isting on a certified ERDS. This is an incident and shall be reported if in-
trusion is suspected.
(46) Discovery of susceptibility to newly published exploit. This is an
incident and shall be reported if intrusion is suspected.
(47) Inability to obtain and employ the most up-to-date patches and
hot-fixes.
(48) Unauthorized access or changes to storage media, and improper
sanitization of storage media. This is an incident and shall be reported if
compromise is suspected.
(49) Any other event that compromises the safety or security of an
ERDS. This is an incident and shall be reported.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27392(b), 27393(b)(2), 27394 and 27396, Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.147. Proprietary Software.
(a) The Computer Security Auditor may not be required to conduct a
source code review on any software identified as proprietary by the Ven-
dor of ERDS Software unless such software affects the safety and securi-
ty of ERDS.
(b) Prior to conducting a source code review, the County Recorder
shall ensure all of the following:
(1) The County Recorder has agreed to allow the Vendor of ERDS
Software to include proprietary source code as part of the ERDS.
(2) The Vendor of ERDS Software has identified proprietary source
code as part of the ERDS.
(3) The Computer Security Auditor advises the County Recorder that
the safety and security of ERDS cannot be verified without a source code
review.
(4) The Computer Security Auditor shall agree to abide by confiden-
tiality requirements of the Vendor of ERDS Software.
(5 ) The Vendor of ERDS Software shall agree that the Computer Secu-
rity Auditor shall reveal any results of the source code review, conclu-
sions as to the safety and security of ERDS, findings and recommenda-
tions in the audit report.
(6) The County Recorder, Computer Security Auditor and Vendor of
ERDS Software shall all agree on methods for including the results, con-
clusions and recommendations about proprietary source code reviews
made by the Computer Security Auditor in the audit report.
NOTE: Authority cited: Sections 27393, 27394(e) and 27394(f). Government
Code. Reference: Sections 27393(b)(2). 27393(b)( 11 ) and 27394(e), Government
Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007. No. 31 ).
§999.148. Escrow Requirements.
(a) ERDS source code materials shall be placed into an approved es-
crow facility when an ERDS is developed for a County Recorder. For
each submission, the materials placed in escrow shall be sufficient to
maintain ERDS of every County Recorder that employs those source
code materials. Source code materials include, but are not limited to, all
of the following:
(1) A copy of all source code materials that implements ERDS func-
tionality.
(2) A copy of the compiler needed to compile the ERDS source code
in escrow.
(3) Instructions for installation and use of the ERDS source code com-
piler.
(4) Instructions that facilitate source code reviews, modification and/
or recompiling the ERDS source code.
(b) A County Recorder shall select an escrow company from the cur-
rent Secretary of State's list as obtained from the County's Board of Su-
pervisors.
(c) Source code materials shall be submitted to an approved escrow
company for placement in the escrow facility. The content of source code
materials shall be in a form, and include the tools and docuinentation, to
allow complete and successful restoration of an ERDS in its production/
operational environment with confirmation by a verification test by qual-
ified personnel using only this content.
NOTE: Authority cited: Sections 27393 and 27394(e), Government Code. Refer-
ence: Sections 27393(b)(5) and 27394(e), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.149. Deposit of Software Modification into Escrow.
Substantive modifications shall require updates to source code materi-
als in escrow. Prior to being used to deliver Type 1 or Type 2 instruments
in an ERDS, all source code changes or modifications shall be submitted
into escrow in the same manner and under the same conditions in which
the source code materials were originally placed in escrow.
NOTE: Authority cited: SecUon 27393, Government Code. Reference: Sections
27393(b)(2), 27393(b)(5) and 27393(c), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.1 50. Letter of Deposit.
(a) Within a timeframe established by the County Recorder of a sub-
mission of original, changed or modified source code to an approved es-
crow facility, the Vendor of ERDS Software shall norify, in wriring, each
affected County Recorder that the source code has been placed in escrow.
The letter of deposit shall include a description of submitted materials
sufficient to distinguish them from all other submissions. The letter of de-
posit shall state all of the following:
(1) That all source code materials are included in the deposit.
(2) The name of the approved escrow company and the location of the
escrow facility where the source code materials have been placed in es-
crow.
(3) The escrow company, its officers, and directors, may not hold or
exercise a direct or indirect financial interest(s) in the Vendor of ERDS
Software or the County Recorder.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27393(b)(2), 27393(b)(5) and 27393(c), Government Code.
History
1. New secfion filed 7-31-2007; operadve 8-30-2007 (Register 2007, No. 31).
Page 48.25
Register 2007, No. 31; 8-3-2007
§ 999.151
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
§ 999.1 51 . Integrity of Materials.
No person having access to ERDS source code materials shall interfere
with or prevent the escrow representative tVom monitoring the security
and integrity of the ERDS source code materials.
NOTE: Authority cited: Section 27393. Government Code. Reference: Sections
27393(b)(2), 27393(b)(5) and 27393(c). Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007. No. 31).
§ 999.152. Retention and. Disposition of Materials.
Records maintained by the escrow company pursuant to these regula-
tions and other applicable law shall be retained for the term of the escrow
agreement. The escrow agreement shall provide for the disposition of
source code materials in the event the escrow agreement terminates.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27393(b)(5) and 27393(c), Government Code.
History
1. New section filed 7-31-2007; operafive 8-30-2007 (Register 2007, No. 31).
§ 999.1 53. Access to Materials.
Escrow agreements shall allow for access to ERDS source code mate-
rials by a Computer Security Auditor hired for the purpose of conducting
computer security audits.
NOTE: Authority cited: Sections 27393 and 27394(e), Government Code. Refer-
ence: Sections 27393(b)(5), 27393(c) and 27394(e), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.154. Escrow Agreement State Non-Responsibility.
(a) Neither the Attorney General nor the State of California shall be
responsible for the fees claimed by the Vendor of ERDS Software, the
County Recorder, or the escrow company to establish the escrow con-
tract.
(b) Neither the Attorney General nor the State of California is a party
to the agreement and may not incur a liability for the actions of the parties
involved in the escrow agreement.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27393(a), 27393(b), 27393(b)(5), 27393(c), 27394(a) and 27397, Government
Code.
History
1. New secdon filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Article 6. Electronic Recording Delivery
System Certification
§ 999.1 65. Establishing an ERDS.
(a) A County Recorder may establish an ERDS upon approval by the
Board of Supervisors and system certification by the ERDS Program.
(b) A County Recorder establishing an ERDS shall include in the
County's ERDS a secure method for accepting for delivery, and, when
applicable, return of a digital electronic record or digitized electronic re-
cord that has been defined as an instrument within these regulations.
(c) A County Recorder establishing an ERDS shall be responsible for
overall safety and security of an ERDS.
(d) A County Recorder establishing an ERDS shall assign responsibil-
ity by contract or agreement to all Authorized Submitters whom shall en-
sure that an Agent, if any, complies with these regulations.
(e) A County Recorder shall be responsible for ensuring an ERDS
meets the requirements of these regulations.
(f) A County Recorder shall enter into a contract with a Computer Se-
curity Auditor, who has a valid Computer Security Auditor Certificate is-
sued by the ERDS Program, for the purpose of meeting the audit and
oversight requirements as contained within these regulations.
(g) A County Recorder shall be required to verify, prior to entering into
a contract with a Vendor of ERDS Software, if any, that the Vendor has
a valid Vendor of ERDS Software Certificate issued by the ERDS Pro-
gram.
(h) The County Recorder shall be responsible for administering an
ERDS, and establishing and following ERDS policies and procedures
that include all of the following:
( 1 ) Define roles and responsibilities to ensure digital electronic re-
cords and digitized electronic records are correctly and securely sub-
mitted, delivered, and, when applicable, returned to the intended recipi-
ents. Textual disclaimers or verbal disclaimers alone shall not be
sufficient to control access to digital electronic records and digitized
electronic records under the control of an ERDS.
(2) Maintain a list of all individuals designated as having secure access
and/or authorized access to operate the ERDS and informing the ERDS
Program of role changes for those individuals requiring fingerprinting by
submitting the Change of ERDS Role form # ERDS 0008 (February
2007) to the ERDS Program. A copy of the list of all users with secure
access and/or authorized access is to be maintained for review during au-
dits and local inspections.
(3) Ensure users with roles authorized to access and operate the ERDS
understand and sign the Acknowledgement of Responsibilities form
# ERDS 0012 (February 2007) and that a copy is maintained for review
during audits and local inspections.
(4) The County Recorder shall establish ERDS operating procedures
and/or incorporate features within the ERDS design in order to restrict
the instrument type and content to meet the requirements of these regula-
tions.
NOTE: Authority cited: Sections 27393, 27394(a) and 27394(c), Government
Code. Reference: Sections 27391(a), 27391(b), 27392(a), 27394(a), 27394(c),
27394(0 and 27397.5, Government Code
History
1. New article 6 (sections 999.165-999.179) and section filed 7-31-2007; opera-
tive 8-30-2007 (Register 2007, No. 31).
§ 999.166. Certification Application Procedure.
(a) A County Recorder wanting, either in his or her official capacity
or by delegation of responsibility, to establish an ERDS for the delivery,
and, when applicable, return of a digital electronic record or digitized
electronic record shall contact the ERDS Program and request an ERDS
Certification application.
(b) A County Recorder may apply for the initial certification of an
ERDS as either a Single-County or Muld-County operafion and shall
designate as either a Type 1 or Type 2 or a Type 1 and 2 operation, and,
when applicable, return function via an ERDS. An ERDS may not be im-
plemented prior to receipt of ERDS Program's approval of the applica-
tion.
(c) An ERDS may not be implemented prior to the approval of the
ERDS Program and receipt of a System Certificate of Operation.
(1) A County Recorder applying for the initial certification of an
ERDS operating as a Single-County ERDS shall comply with all of the
following:
(A) Submit an Application for System Certificafion form # ERDS
0001 A (February 2007) to the ERDS Program, which shall be dated and
signed declaring under penalty of perjury under the laws of the State of
California that all information is true and correct.
(B) Submit a copy of the County Resolution to establish an ERDS as
approved by the Board of Supervisors. The resolution shall include, but
not be limited to, instrument type, Single-County, Multi-County, and,
when applicable, the return function via an ERDS.
(C) Submit a copy of the proof of escrow letter of deposit.
(D) Submit a copy of the Vendor of ERDS Software contract, if any.
If internal county resources and/or another public entity are being used
to develop an ERDS in lieu of a Vendor, it shall be stated in the County
Resolution granting estabUshment of an ERDS.
(E) Submit a copy of the County's contract with a Computer Security
Auditor.
(F) Submit a copy of the successful initial system audit report con-
ducted by a Computer Security Auditor.
Page 48.26
Register 2007, No. 31; 8-3-2007
Title 11
Attorney General
§ 999.168
(G) Submit proof of fingerprint submission for individuals designated
as having a role that requires fingerprinting and a eopy of the list of all
users with secure and/or authorized access.
(H) Submit a signed and dated Statement of Understanding form
# ERDS 001 1 (February 2007) declaring under penalty of perjury under
the laws of the State of California that all information is true and correct.
(2) A County Recorder designated as the Lead County applying for the
initial certification of an ERDS operating as a Multi-County ERDS shall
comply with the following:
(A) Submit an Application for System Certification form # ERDS
0001 A (Febmary 2007) to the ERDS Program, which shall be dated and
signed declaring under penalty of perjury under the laws of the State of
California that all information is true and correct.
(B) Submit the Lead County's Resolution to establish a Multi-County
ERDS as approved by the Board of Supervisors.
(C) Submit a copy of the proof of escrow letter of deposit.
(D) Submit a copy of the Vendor of ERDS Software contract, if any.
If internal county resources and/or another public entity are being used
to develop an ERDS in lieu of a Vendor, it shall be stated in the County
Resolution granting the establishment of an ERDS.
(E) Submit a copy of the Lead County's contract with a Computer Se-
curity Auditor.
(F) Submit a copy of the successful initial system audit report con-
ducted by a Computer Security Auditor.
(G) Submit proof of fingerprint submission for individuals designated
as having a role that requires fingerprinting and a copy of the list of all
users with secure and/or authorized access.
(H) Submit all Sub-County(ies) documentation as an attachment to
the application.
(I) Submit a signed and dated Statement of Understanding form
# ERDS 001 1 (Febmary 2007) declaring under penalty of perjury under
the laws of the State of California that all information is true and correct.
(3) A County Recorder applying as a Sub-County during the initial
certification of a Multi-County ERDS shall comply with all of the fol-
lowing:
(A) Submit an Application for Sub-County System Certification form
# ERDS 000 1 B (February 2007) to the Lead County, which shall be dated
and signed declaring under penalty of perjury under the laws of the State
of California that all information is true and correct.
(B) Submit a copy of the Sub-County's Resolution to participate in a
Multi-County ERDS as approved by the Board of Supervisors.
(C) Submit proof of fingerprint submission for individuals designated
as having a role that requires fingerprinting and a copy of the list of all
users with secure and/or authorized access.
(D) Submit a signed and dated Statement of Understanding form
# ERDS 001 1 (February 2007) declaring under penalty of perjury under
the laws of the State of California that all information is true and correct.
NOTE: Authority cited: Sections 27393, 27394(a) and 27395(b), Government
Code. Reference: Sections 27390(b)(8), 27391(a), 27392, 27393(b)(2), 27394(a)
and 27395(b), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.167. Substantive Modification(s).
A substantive modification occurs when a change affects the function-
ality of an ERDS. Substantive modifications include, but are not limited
to, the following:
( 1 ) Changes to source code that lead to new or different functional be-
haviors; or
(2) Changes to call signatures in source code interfaces to purchased
components; or
(3) Changes of data structures or structural database objects; or
(4) Changes that require modification of deployment procedures; or
(5) A new version of a compiler that requires source code changes in
order to compile existing source code error and warning free; or
(6) Changes to purchased components or components that are part of
software libraries; or
(7) Relocation of an ERDS server to a different network segment; or
(8) Changing an ERDS server from a single-purpose to multi-pur-
pose; or
(9) Changing an ERDS server from a Single-County to a Multi-
County; or
( 1 0) Hardware maintenance involving the complete replacement of an
ERDS; or
(11) Software maintenance releases that correct, perfect, enhance or
otherwise affect the functionality of ERDS; or
( 1 2) When changing an instrument Type; or
(13) Changing to a return capability.
NOTE: Authority cited: Sections 27393. 27394(a) and 27395(b). Government
Code. Reference: Sections 27393(b)(2) and 27393(b)(6), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31 ).
§ 999.1 68. Substantive Modlf ication(s) Application
Procedure.
(a) Following initial system certification, a Request for Approval of
Substantive Modification(s) form # ERDS 0013 (February 2007), as de-
fined within these regulations, shall require completion of a modified
system audit pertaining to only the components that are proposed to be
modified and/or changed in the production environment and shall be per-
formed prior to the provisional activation of the modification and/or
change in the ERDS operational environment. A brief description of the
change of the functionality shall be included on the Request for Approval
of Substantive Modification(s) form # ERDS 00 1 3 (February 2007). This
modified system audit shall be completed by a Computer Security Audi-
tor and submitted to the County Recorder. Upon receipt of the successful
modified system audit by the County Recorder, the County Recorder
may place the substantive modification(s) in the production environment
on a provisional basis. Within 15 business days of the provisional imple-
mentation, the County Recorder shall apply for approval of the substan-
tive modification(s) in order for the ERDS Program to make a final ap-
proval determination status.
(b) Requests for approval of substantive modification(s) shall be sub-
mitted to the ERDS Program as follows:
(1) Submit a Request for Approval of Substantive Modification(s)
form # ERDS 001 3 (February 2007), which shall be dated and signed de-
claring under penalty of perjury under the laws of California that all in-
formation is true and correct.
(2) Submit a copy of the proof of escrow letter of deposit.
(3) Submit a copy of the Vendor of ERDS Software contract, if any.
If internal county resources and/or another public entity are being used
to develop an ERDS in lieu of a Vendor, it shall be stated in the County
Resolution granting the establishment of an ERDS.
(4) Submit a copy of the County" s contract with a Computer Security
Auditor.
(5) Submit a copy of the successful Modified System Audit Report
conducted by a Computer Security Auditor.
(c) Requests for approval of substantive modification(s) for adding a
Sub-County, the Lead County shall submit to the ERDS Program as fol-
lows:
(1) Submit a Request for Approval of Substantive Modification(s)
form # ERDS 0013 (February 2007), which shall be dated and signed de-
claring under penalty of perjury under the laws of California that all in-
formation is true and correct.
(2) A copy of the resolution to participate in the Multi-County ERDS
as approved by the Board of Supervisors.
(3) Submit a copy of the proof of escrow letter of deposit.
(4) Submit a copy of the Vendor of ERDS Software contract, if any.
If internal county resources and/or another public entity are being used
to develop an ERDS in lieu of a Vendor, it shall be staled in the County
Resolution granting the establishment of an ERDS.
Page 48.27
Register 2007, No. 31; 8-3-2007
§ 999.169
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(3) Submit a copy of the County's contract with a Computer wSecurity
Auditor.
(6) Submit a copy of the successful Modified System Audit Report
conducted by a Computer Security Auditor.
(7) Submit the Sub-County's Application for Sub-County System
Certification form # ERDS 000 IB (Febaiary 2007) and required docu-
mentation as follows:
(A) Submit a copy of the Sub-County's Resolution to participate in a
Multi-County ERDS as approved by the Board of Supervisors.
(B) Submit proof of fingerprint submission for individuals designated
as having a role that requires fingerprinting and a copy of the list of all
users with secure and/or authorized access.
(C) Submit a signed and dated Statement of Understanding form
# ERDS 001 1 (February 2007) declaring under penalty of perjury under
the laws of California that all information is true and correct.
NOTE: Authority cited: Sections 27393, 27393(b)(6), 27394(a) and 27395(b),
Government Code. Reference: Sections 27392(a), 27392(b), 27393(b)(2),
27393(b)(6), 27393(b)(10), 27394(a) and 27395(b), Government Code.
History
I. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.169. Non-Substantive Modification(s).
Non-Substantive modifications include, but are not limited to, the fol-
lowing:
(1) Day-to-day administration of ERDS accounts, roles or crypto-
graphic keys;
(2) Hardware maintenance that does not affect the functionality of an
ERDS and does not involve the complete replacement of an ERDS serv-
er;
(3) The off-loading of ERDS server logs to long-term storage;
(4) Updating anti-malware software with the most up-to-date re-
leases;
(5) Updating operating system software with the most up-to-date
patches and hot-fixes;
(6) Maintaining backups for software and data; and
(7) The addition and/or deletion of roles, whether or not fingerprinting
or notification to the ERDS Program is required.
NOTE; Authority cited: Section 27393, Government Code. Reference: Sections
27393(a). 27393(b), 27393(b)(6), 27393(c) and 27394(c), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.170. Non-Substantive Modlfication(s) Procedure.
A non-substantive modification, as defined within these regulations,
does not require a modified system audit; however, it shall be subject to
review during audits and local inspections.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27393(b)(6) and 27394(c), Government Code.
History
1. New section fded 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.1 71 . Approval of Application.
(a) If the Application for System Certification form # ERDS 0001 A
(February 2007) is approved, the ERDS Program shall deliver the follow-
ing to the County Recorder.
(1) An Approval Letter.
(2) A System Certificate of Operation, which authorizes the County
Recorder to operate the ERDS.
(b) If the Request for Approval of Substantive Modification(s) form
# ERDS 0013 (February 2007) is approved, the ERDS Program shall de-
liver an approval letter to the County Recorder to implement the substan-
tive modification and to remove the provisional status.
Note.- Authority cited; Section 27393, Government Code. Reference: Sections
27392 and 27393(b)(6), Government Code.
History
1. New section filed 7-31-2007; operafive 8-30-2007 (Register 2007, No. 31).
§999.172. Incomplete Application.
(a) An incomplete Application for System Certification form # ERDS
0001 A (February 2007) or Request for Approval of Substantive Modifi-
cation(s) form # ERDS 0013 (February 2007) shall be returned to the
County Recorder with a written explanation for the return and instruction
on resubmission. Applications shall be deemed incomplete when:
( 1 ) The application has missing or illegible data.
(2) Supporting documentation, forms, or applicable fees are not in-
cluded with the application.
(3) Proof of fingerprint submission for individuals designated as hav-
ing a role that requires fingerprinting is not submitted.
(b) The appHcant shall have 90 days to respond, after which the ap-
plication shall be considered denied. The denial may not prohibit the re-
submission of an Application for System Certification form # ERDS
0001 A (February 2007) or Request for Approval of Substantive Modifi-
cation(s) form # ERDS 0013 (February 2007) at a later date.
NoTE: Authority cited: Section 27393, Government Code. Reference: Sections
27392, 27393(b)(6), 27394(a), 27395(b) and 27397(a), Government Code.
History
1. New section filed 7-31-2007: operative 8-30-2007 (Register 2007, No. 31).
§999.173. Denial of Application.
(a) The Application for System Certification form # ERDS 0001 A
(February 2007) or Request for Approval of Substantive Modification(s)
form ERDS # 00 1 3 (February 2007) may be denied for good cause. Good
cause shall be deemed to exist when the applicant does not satisfy the
qualifications or system requirements of these regulations, when it is nec-
essary to protect the public interest, protect the integrity of public re-
cords, or to protect homeowners from financial harm,
(b) Denied applications shall be returned to the County Recorder with
a written explanation for the reason for denial. The denial may not pro-
hibit the subinission of an Application for System CertificaUon form
# ERDS 000 1 A (February 2007) or Request for Approval of Substanfi ve
Modification(s) form # ERDS 0013 (February 2007) at a later date.
NOTE; Authority cited: Section 27393, Government Code. Reference: Sections
27392, 27393(b)(6), 27393(b)(12), 27395(b) and 27397(a), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.1 74. Change of County Recorder.
(a) The new County Recorder, either in his or her official capacity or
by delegation of responsibility, shall nofify the ERDS Program within 30
days of the change of a County Recorder by submitUng a Statement of
Understanding form # ERDS 001 1 (February 2007) signed and dated de-
claring under penalty of perjury under the laws of the State of California
that all information is true and correct.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27391, 27392(b) and 27393(c), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.1 75. Change of Physical and/or Mailing Address
and/or Contact Information for a County
Recorder.
(a) The County Recorder, either in his or her official capacity or by de-
legation of responsibility, shall notify the ERDS Program within 30 days
by submitting a written notification of the change of physical and/or
mailing address and/or contact information.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27391, 27392, 27393(b)(2) and 27393(c), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.176. Addition or Deletion of Individuals Assigned an
ERDS Role that Requires Fingerprinting.
(a) The County Recorder shall submit to the ERDS Program a com-
pleted Change of ERDS Role form # ERDS 0008 (February 2007) indi-
cating addition or deletion of County Recorder employees and/or con-
tract employees, Authorized Submitter employees or Agents, and
Vendor of ERDS Software employees and/or contract employees. The
County Recorder shall maintain a list of those individuals and their roles
which shall be subject to audit and local inspection.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27391, 27392, 27393(b)(9), 27394 and 27395(b), Government Code.
Page 48.28
Register 2007, No. 31; 8-3-2007
Title 11
Attorney General
§ 999.190
1 . New section
History
filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.177. Expiration of Certification.
(a) Once issued by the ERDS Program, the certification of the ERDS
shall remain in effect within the County Recorder's office for which it is
approved without the need for renewal for the life of the ERDS operation
in the County unless one of the following occurs:
( 1 ) A letter of suspension is issued to the County Recorder.
(2) The County Recorder withdraws from ERDS Certification.
NOTE; Authority cited: Sections 27393 and 27393(c), Government Code. Refer-
ence: Sections 27391, 27392 and 27393(c), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007. No. 31).
§ 999.178. Withdrawal of Certification.
(a) A County Recorder choosing to withdraw from ERDS Certifica-
tion shall submit the following:
(1) An Application for Withdrawal form # ERDS 0010 (February
2007) with a date for cease of operation/service, signed and dated declar-
ing under penalty of perjury under the laws of the State of California that
all information is true and correct.
(2) Listing of all individuals designated as having secure access and/or
authorized access.
(3) Listing of all associated agencies and/or business entities desig-
nated as having secure access and/or authorized access.
(4) The withdrawal request shall render the certificate invalid. The
withdrawing County Recorder shall cease all ERDS operations as of the
cease of operation date noted on the withdrawal application.
(b) In the case of county(ies) withdrawing from a Multi-County
ERDS, the Sub-County(ies) shall submit the Application for Withdrawal
form #0010 (February 2007) to the Lead County for submission to the
ERDS Program.
(c) If, at a later date, the County Recorder wishes to participate in an
ERDS, all initial steps for System Certification shall be required.
Note-. Authority cited: Secfion 27393, Govemment Code. Reference: Sections
27392(b). 27393(b)(2) and 27397.5(d)(2), Govemment Code.
History
L New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.1 79. Request for Replacement of Certificate and/or
Documents.
(a) To request a replacement certificate or copies of a document per-
taining to an appHcation submission, a County Recorder or his or her de-
signee may submit a Request for Replacement of Certificate and/or Doc-
uments form # ERDS 0006 (February 2007), signed and dated declaring
under penalty of perjury under the laws of the State of California that the
requested certificate and/or documents pertain to his or her application
submission.
Note-. Authority cited: Section 27393, Govemment Code. Reference: Sections
27391(a), 27392 and 27393(b)(2), Govemment Code.
History
1. New secdon filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Article 7. Computer Security Auditor
§ 999.190. Computer Security Auditor Application
Procedure.
(a) All individuals shall be approved by the ERDS Program prior to
entering into contracts with County Recorders to provide auditing ser-
vices of an ERDS.
(b) An individual requesting approval as a DOJ Computer Security
Auditor shall contact the ERDS Program and request the DOJ Computer
Security Auditor Approval application.
(c) An individual applying for approval as a Computer Security Audi-
tor shall comply with all of the following:
( 1 ) Submit an Application for DOJ Computer Security Auditor Ap-
proval form # ERDS 0002 (February 2007), which shall be dated and
signed declaring under penalty of perjury that under the laws of the State
of California all the foregoing information, and all information submitted
with the application is tme, correct, and complete, and that a false or dis-
honest answer to any question may be grounds for denial or subsequent
termination or suspension of approval. In addition, the individual shall
attest to the fact that he or she is not an Authorized Submitter, Agent of
an Authorized Submitter, or Vendor of ERDS Software as defined in
these regulations.
(A) Check the geographical locations on the Application for DOJ
Computer Security Auditor Approval form # ERDS 0002 (February
2007) that they are interested in auditing. The locations are:
( 1 ) Northern California: Amador, Alpine, Butte, Colusa, Dei Norte, El
Dorado, Glenn. Humboldt, Lake, Lassen, Marhi, Mendocino, Modoc,
Napa, Nevada, Placer, Plumas, Sacramento. Shasta, Sierra, Siskiyou, So-
lano, Sonoma, Sutter, Tehama, Trinity, Yolo, Yuba.
(2) Central California: Alameda, Calaveras, Contra Costa, Fresno,
Inyo, Kern, Kings, Madera, Mariposa, Merced, Mono, Monterey, San
Benito, San Francisco, San Joaquin, San Luis Obispo, San Mateo. Santa
Clara, Santa Cruz, Stanislaus, Tulare. Tuolumne.
(3) Southern California: Imperial, Los Angeles, Orange, Riverside,
San Bernardino, Santa Barbara, San Diego, Ventura.
(4) All.
(2) Submit documentation with the Application for DOJ Computer Se-
curity Auditor Approval form # ERDS 0002 (February 2007) as follows
to demonstrate that the individual has met the significant experience cri-
teria required for approval as a Computer Security Auditor:
(A) A copy of their Certified Internal Auditor certification from the
Institute of Internal Auditors for which they are in good standing attached
to the Application for DOJ Computer Security Auditor Approval form #
ERDS 0002 (February 2007), or
(B) A copy of their Certified Information Systems Auditor certifica-
tion from the Information Systems Audit and Control Association for
which they are in good standing attached to the Apphcation for DOJ
Computer Security Auditor Approval form # ERDS 0002 (February
2007), or
(C) A copy of their Certified Fraud Examiner certification from the
Association of Certified Fraud Examiners for which they are in good
standing attached to the Application for DOJ Computer Security Auditor
Approval form # ERDS 0002 (February 2007) and a completed Attach-
ment to ERDS 0002 Computer Security Auditor Significant Experience
Reference(s) form # ERDS 0004 (February 2007) listing reference con-
tacts within the last 5-year period that can verify that the individual has
had at least 2 years of experience in the evaluation and analysis of Inter-
net security design, in conducting security testing procedures, and specif-
ic experience performing Intemet penetration studies, or
(D) A copy of their Certified Information Systems Security Profes-
sional certification from the International Information Systems Security
Certification Consortium for which they are in good standing attached to
the Application for DOJ Computer Security Auditor Approval form #
ERDS 0002 (February 2007) and a completed Attachment to ERDS 0002
Computer Security Auditor Significant Experience Reference(s) form #
ERDS 0004 (February 2007) Hsting reference contacts within the last
5-year period that can verify that the individual has had at least 2 years
of experience in the evaluation and analysis of Internet security design,
in conducting security testing procedures, and specific experience per-
forming Intemet penetration studies, or
(E) A copy of their Global Information Assurance Certification from
the SysAdmin, Audit, Networks Security Institute for which they are in
good standing attached to the Application for DOJ Computer Security
Auditor Approval form # ERDS 0002 (February 2007) and a completed
Attachment to ERDS 0002 Computer Security Auditor Significant Expe-
rience Reference(s) form # ERDS 0004 (February 2007) listing reference
contacts within the last 5-year period that can verify that the individual
has had at least 2 years of experience in the evaluation and analysis of In-
temet security design, in conducting security testing procedures, and spe-
cific experience performing Internet penetration studies.
Page 48.29
Register 2007, No. 31; 8-3-2007
§ 999.191
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(3) Submit proof of fingerprint submission.
NOTE: Authority Cited: Section 27393, Government Code. Reference: Sections
27393(b)(2), 27393(b)(3), 27393(b)(9), 27394, 27395(a) and 27395(b), Govern-
ment Code.
History
1 . New article 7 (section.s 999.190-999.197) and section filed 7-31-2007; opera-
tive 8-30-2007 (Register 2007, No. 31).
§ 999.1 91 . Approval of Application.
(a) If the application is approved, tiie ERDS Program shall deliver, to
the individual, all of the following documentation:
{ 1 ) An Approval Letter, and
(2) An ERDS Certificate of Approval which authorizes the individual
to contract with a County Recorder to perform the duties of a Computer
Security Auditor. The certificate shall remain in effect for three years un-
less terminated based on a subsequent arrest.
(b) The Computer Security Auditor's contact information and geo-
graphical interest shall be posted on the ERDS web page.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27392(a) and 27394. Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.192. Incomplete Application.
(a) An incomplete application shall be returned to the applicant with
a written explanation for the return and further instmctions on resubmis-
sion. An application shall be deemed incomplete when:
( 1 ) The application has missing or illegible data.
(2) Supporting documentation, forms, or applicable fingerprint sub-
mission fees are not included with the application.
(3) Proof of fingerprinting is not submitted.
(b) The applicant shall have 90 days to respond, after which the ap-
plication shall be considered denied. The denial may not prohibit the sub-
mission of an Application for DOJ Computer Security Auditor Approval
form # ERDS 0002 (February 2007) at a later date.
NOTE: Authority cited: Sections 27392(a), 27393 and 27394(b), Government
Code. Reference: Sections 27393(c) and 27394, Government Code.
History
1 . New secuon filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.193. Denial of Application.
(a) The Application for DOJ Computer Security Auditor Approval
form # ERDS 0002 (February 2007) may be denied for good cause. Good
cause shall be deemed to exist when the applicant does not satisfy the
qualifications or system requirements of these regulations, it is necessary
to protect the public interest, protect the integrity of records, or to protect
homeowners from financial harm.
(b) Denied applicadons shall be returned to the individual with a writ-
ten explanation for the denial. The denial may not prohibit the resubmis-
sion of an Application for DOJ Computer Security Auditor Approval
form # ERDS 0002 (February 2007) at a later date.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27393(c), 27394 and 27395(a), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.194. Expiration of Approval.
(a) Once issued by the ERDS Program, the ERDS Certificate of Ap-
proval shall remain in effect for a period of 3 years from the date of is-
suance unless one of the following occurs:
(1) A letter of suspension is issued to the individual.
(2) The individual withdraws their approval status as a Computer Se-
curity Auditor,
NOTE; Authority cited: Section 27393, Government Code. Reference: Sections
27393(c), 27394 and 27395, Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.1 95. Renewal of Approval.
(a) The ERDS Certificate of Approval shall be renewed prior to ex-
piration in order to remain valid. The cerdficate holder shall submit an
Application for DOJ Computer Security Auditor Approval form # ERDS
0002 (February 2007) indicating renewal, which shall be dated and
signed declaring under penalty of perjury that under the laws of the State
of California all the foregoing information, and all information submitted
with the application is tnie, correct, and complete, and that a false or dis-
honest answer to any question may be grounds for denial or subsequent
terminafion or suspension of approval. In addition, the individual shall
attest to the fact that he or she is not an Authorized Submitter, Agent of
an Authorized Submitter, or Vendor of ERDS Software as defined in
these regulafions.
(b) A copy of their Certified Internal Auditor certification from the
Institute of Internal Auditors for which they are in good standing attached
to the Application for DOJ Computer Security Auditor Approval form #
ERDS 0002 (Febi-uary 2007), or
(c) A copy of their Cerfified Information Systems Auditor certification
from the Information Systems Audit and Control Association for which
they are in good standing attached to the Application for DOJ Computer
Security Auditor Approval form # ERDS 0002 (February 2007), or
(d) A copy of their Certified Fraud Examiner certificaUon from the
Association of Certified Fraud Examiners for which they are in good
standing attached to the Applicadon for DOJ Computer Security Auditor
Approval form # ERDS 0002 (Febaiary 2007) and a completed Attach-
ment to ERDS 0002 Computer Security Auditor Significant Experience
Reference(s) form # ERDS 0004 (February 2007) lisdng reference con-
tacts within the last 5-year period that can verify that the individual has
had at least 2 years of experience in the evaluation and analysis of Inter-
net security design, in conducting security testing procedures, and specif-
ic experience performing Internet penetration studies, or
(e) A copy of their Certified Information Systems Security Profession-
al certification from the International Information Systems Security Cer-
tification Consortium for which they are in good standing attached to the
Application for DOJ Computer Security Auditor Approval form # ERDS
0002 (February 2007) and a completed Attachment to ERDS 0002 Com-
puter Security Auditor Significant Experience Reference(s) form #
ERDS 0004 (February 2007) listing reference contacts within the last
5-year period that can verify that the individual has had at least 2 years
of experience in the evaluation and analysis of Internet security design,
in conducting security testing procedures, and specific experience per-
forming Internet penetration studies, or
(f) A copy of their Global Information Assurance Certification from
the SysAdmin, Audit, Networks Security Institute for which they are in
good standing attached to the Application for DOJ Computer Security
Auditor Approval form # ERDS 0002 (February 2007) and a completed
Attachment to ERDS 0002 Computer Security Auditor Significant Expe-
rience Reference(s) form # ERDS 0004 (February 2007) listing reference
contacts within the last 5-year period that can verify that the individual
has had at least 2 years of experience in the evaluation and analysis of In-
ternet security design, in conducting security testing procedures, and spe-
cific experience performing Internet penetration studies.
(g) If the certificate holder fails to comply with the renewal require-
ments, the certification shall expire by operation of the law at midnight
on the expiration date stated on the certificate, and, render the certificate
invalid and all Computer Security Auditor services shall cease. If an ap-
plication for renewal is received after the expiration date, the application
may not be considered a renewal and shall be returned to the individual
with a cover letter outlining the process for initial approval.
(h) If approved, the ERDS Program shall issue a new ERDS Certificate
of Approval.
NOTE: Authority Cited: Sections 27393 and 27394(b), Government Code. Refer-
ence: Secdons 27392(a), 27393(b)(2), 27393(c) and 27394(b), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.196. Withdrawal of Approval.
(a) A Computer Security Auditor choosing to withdraw their approval
status shall submit an Application for Withdrawal form # ERDS 0010
(February 2007) with a date for cease of operation/service, signed and
Page 4830
Register 2007, No. 31; 8-3-2007
Title 11
Attorney General
§ 999.206
dated declaring under penalty of perjury under the laws of the State of
California that all information is taie and correct.
(b) Upon receiptof the Application for Withdrawal form#ERDS 0010
(February 2007), the ERDS Program shall send a written acknowledge-
ment of the request for withdrawal and notification that the auditor's in-
formation has been removed from the listing of Computer Security Audi-
tors posted on the ERDS web page.
(c) The withdrawal request shall render the certificate invalid. The
withdrawing Computer Security Auditor shall cease all ERDS services
as of the cease of operation or service date noted on the withdrawal ap-
plication.
(d) If at a later date, a Computer Security Auditor wishes to have his
or her approval re-instated, the individual shall complete the application
process.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27393(b)(2), 27393(c), 27394(a) and 27394(b), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.1 97. Request for Replacement of Certificate and/or
Documents.
(a) To request a replacement certificate or copies of a document per-
taining to their application submission, a Computer Security Auditor
may submit a Request for Replacement of Certificate and/or Documents
form # ERDS 0006 (February 2007), signed and dated declaring under
penalty of perjury under the laws of the State of California that the re-
quested certificate and/or documents pertain to his or her application sub-
mission.
NOTE: Authority cited: Section 27393. Government Code. Reference: Sections
27393(b)(2), 27393(c) and 27394(a). Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Article 8. Vendor of Electronic Recording
Delivery System Software
§ 999.203. Certification Application Procedure.
(a) All individuals serving as Vendors of Software shall be certified by
the ERDS Program prior to entering into contracts with County Record-
ers for the development of an ERDS.
(b) An individual requesting certification as a Vendor of ERDS Soft-
ware shall contact the ERDS Program and request the Vendor of ERDS
Software Certification application.
(c) An individual applying for certification as a Vendor of ERDS Soft-
ware shall comply with all of the following:
( 1 ) Submit an Application for Vendor of ERDS Software Certification
form # ERDS 0003 (February 2007), which shall be dated and signed de-
claring under penalty of perjury that under the laws of the State of
California all the foregoing information, and all information submitted
with this application is true, correct, and complete, and that a false or dis-
honest answer to a question may be grounds for denial or subsequent ter-
mination or suspension of certification. In addition, the individual shall
attest to the fact that the ERDS software, at the time of development, will
meet all of the audit and testing requirements as contained within these
regulafions, and acknowledges that ERDS Program's issuance of the
Vendor of ERDS Software Certificate shall include a "disclaimer" stat-
ing that the software is not being approved as to its ability to serve/func-
tion in an ERDS operational environment nor that it will meet all County
Recorder' s requirements, only that the Vendor has stated that it will meet
all of the audit and testing requirements as contained within these regula-
tions as of the date of the issued certificate.
(2) Submit documentation with the Application for Vendor of ERDS
Software Certification form # ERDS 0003 (February 2007) as follows,
to demonstrate that they have met the reference or service agreement re-
quired to be certified as a Vendor of ERDS Software:
(A) Provide 3 best references within the last 5 years for software prod-
ucts or development of equivalent technology, complexity and size of an
ERDS. At least 1 reference shall be for a project using document-imag-
ing technology. Provide this information on the Attachment to ERDS
0003 Vendor Application Form for Reference(s) form # ERDS 0009
(February 2007), or
(B) Operate as a Vendor with a valid California Multiple Award
Schedule, General Services Agreement, or Master Services Agreement.
A copy of the agreement(s) shall include 1 or more of the following Con-
sulting Service categories: Application Development; Information
Technology (IT) Acquisition Support; IT Project Management: IT Proj-
ect Planning; IT Strategic Planning; IT System Implementation; Migra-
tion Planning; Software Development; System Analysis; System De-
sign; System Development; and/or System Integration.
(3) Submit proof of fingerprint submission.
(4) Submit a check or money order for all fees; payable to "Department
of Justice — ERDS Program".
(5) Cerfificafion will not be granted until fees are processed.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27392(b), 27393(b)(2), 27393(b)(7), 27393(c) and 27397(b), Government Code.
History
1. New article 8 (sections 999.203-999.211) and section filed 7-31-2007; opera-
tive 8-30-2007 (Register 2007, No. 31).
§ 999.204. Fingerprinting of Vendor Employees and/or
Vendor Contract Employees.
(a) At the time that a certified Vendor of ERDS Software enters into
a contract with a County Recorder, the Vendor shall provide to the
County Recorder proof of fingerprint submission of all vendor em-
ployees and/or vendor contract employees to be used in an ERDS devel-
opment and/or implementation.
(1) An ERDS Acknowledgment of Responsibilities form # ERDS
0012 (February 2007) shall be signed and kept on file by the County Re-
corder for all vendor employees and/or vendor contract employees for re-
view during audits and local inspections.
(2) The Vendor of ERDS Software shall notify the County Recorder
of any addifion or delefion of vendor employees and/or vendor contract
employees. The County Recorder shall maintain a list of those individu-
als and their roles which shall be subject to audit and local inspection. The
County Recorder shall submit to the ERDS Program a completed Change
of ERDS Role form # ERDS 0008 (February 2007) indicating addifion
or deletion of vendor employees and/or vendor contract employees.
NOTE: Authority cited: Secfion 27393, Government Code. Reference: Sections
27393(b)(7), 27393(c) and 27395(b), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.205. Approval of Application.
(a) If the application is approved and fees have been processed, the
ERDS Program shall deliver to the individual all of the following docu-
mentadon:
(1) An Approval Letter, and
(2) A Vendor of ERDS Software Cerfificate which authorizes the indi-
vidual to contract with a County Recorder as a Vendor of ERDS Soft-
ware.
NOTE: Authority Cited: Secfion 27393, Government Code. Reference: Sections
27392(b), 27393(b)(7) and 27397(c), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.206. Incomplete Application.
(a) An incomplete Applicafion for Vendor of ERDS Software Cerfifi-
cation form # ERDS 0003 (February 2007) shall be returned to the appli-
cant with a written explanadon for the return and further instrucfions on
resubmission. The applicafion shall be deemed incomplete when:
(1) The application has missing or illegible data.
(2) Supporting documentation, forms, or applicable fees are not in-
cluded with the applicafion.
(3) Proof of fingerprinting is not submitted.
Page 48-31
Register 2007, No. 31; 8-3-2007
§ 999.207
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(b) The applicant shall have 90 days to respond, after which the ap-
plication shall be considered denied. The denial may not prohibit the sub-
mission of an Application for Vendor of ERDS Software Certification
form # ERDS 0003 (February 2007) at a later date.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27392(b), 27393(b)(7), 27393(c), 2739.'S(b) and 27397(b), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.207. Denial of Application.
(a) The Application for Vendor of ERDS Software Certification form
# ERDS 0003 (February 2007) may be denied for good cause. Good
cause shall be deemed to exist when the applicant does not satisfy the
qualification or system requirements of these regulations, it is necessary
to protect the public interest, protect the integrity of records, or to protect
homeowners from financial harm.
(b) Denied applications shall be returned to the individual with a writ-
ten explanation for the denial. The denial may not prohibit the submis-
sion of an Application for Vendor of ERDS Software Certification form
# ERDS 0003 (Febaiary 2007) at a later date.
NoTE: Authority cited: Section 27393, Government Code. Reference: Sections
27392(b), 27393(b)(7), 27393(c) and 27395(b), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.208. Expiration of Certification.
(a) Once issued by the ERDS Program, the Vendor of ERDS Software
Certificate shall remain in effect for a period of 3 years from the date of
issuance unless one of the following occurs:
(1) A letter of suspension is issued to the individual.
(2) The individual withdraws their certification as a Vendor of ERDS
Software.
NOTE: Authoiity cited: Section 27393, Government Code. Reference: Sections
27392(b), 27393(b)(7) and 27393(c), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.209. Renewal of Certification.
(a) A Vendor of ERDS Software Certificate shall be renewed prior to
expiration in order to remain valid. The certificate holder shall submit:
( 1 ) An Application for Vendor of ERDS Software Certification form
# ERDS 0003 (February 2007) indicating renewal.
(2) A check or money order for the renewal fee; payable to "Depart-
ment of Justice — ERDS Program".
(3) Submit documentation with the Application for Vendor of ERDS
Software Certification form # ERDS 0003 (February 2007) as follows,
to demonstrate that they have met the reference or service agreement re-
quired to be certified as a Vendor of ERDS Software:
(A) Provide 3 best references within the last 5 years for software prod-
ucts or development of equivalent technology, complexity and size of an
ERDS. At least 1 reference shall be for a project using document-imag-
ing technology. Provide this information on the Attachment to ERDS
0003 Vendor Application Form for Reference(s) form # ERDS 0009
(February 2007), or
(B) Operate as a Vendor with a valid California Multiple Award
Schedule, General Services Agreement, or Master Services Agreement.
A copy of the agreement(s) shall include 1 or more of the following Con-
sulting Service categories: Application Development; Information
Technology (IT) Acquisition Support; IT Project Management; IT Proj-
ect Planning; IT Strategic Planning; IT System ImplementaUon; Migra-
tion Planning; Software Development; System Analysis; System De-
sign; System Development; and/or System Integration.
(b) If the certificate holder fails to comply with the renewal require-
ments, the certification shall expire by operation of the law at midnight
on the expiration date stated on the certificate and render the certificate
invalid and all services shall cease. If an application for renewal is re-
ceived after the expiration date, the application may not be considered a
renewal and shall be returned to the individual with a cover letter outlin-
ing the process for certification.
(c) If an application for renewal is approved and the fees have been
processed, the ERDS Program shall issue a new Vendor of ERDS Soft-
ware Certificate.
NOTE: Authority cited: Section 27393, Government Code. Reference: Sections
27392(b), 27393(b)(7) and 27393(c), Government Code.
History
1 . New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31 ).
§ 999.210. Withdrawal of Certification.
(a) A Vendor of ERDS Software choosing to withdraw their certifica-
don shall submit the following:
(1) An Application for Withdrawal form # ERDS 0010 (February
2007) with a date for cease of operation/service signed and dated declar-
ing under penalty of perjury under the laws of the State of California that
all information is true and correct. Submit to the ERDS Program.
(2) A list of all vendor employees and/or vendor contract employees
designated as having a role that requires fingerprinting shall be submitted
to the County Recorder and a copy attached to the Application for With-
drawal form # ERDS 0010 (February 2007).
(3) The withdrawal request shall render the certificate invalid. The
withdrawing Vendor shall cease all ERDS services as of the date noted
on the withdrawal applicafion.
(b) Upon receipt of the Application for Withdrawal form # ERDS 00 1
(February 2007), the ERDS Program shall send a written acknowledge-
ment of the request for withdrawal.
(c) If, at a later date, a Vendor of ERDS Software wishes to have his
or her certification re-instated, the individual shall complete the applica-
tion process.
NOTE: Authority cited: Section 27393, Government Code. Reference: Secfions
27392(b), 27393(b)(2), 27393(b)(7) and 27393(c), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.21 1 . Request for Replacement of Certificate and/or
Documents.
(a) To request a replacement certificate or copies of a document per-
taining tD their applicafion submission, a Vendor of ERDS Software may
submit a Request for Replacement of Cerfificate and/or Documents form
# ERDS 0006 (February 2007), signed and dated declaring under penalty
of perjury under the laws of the State of California that the requested cer-
tificate and/or documents pertains to his or her applicafion submission.
NOTE: Authority cited: Section 27393, Government Code. Reference: Secfions
27392(b), 27393(b)(2), 27393(b)(7) and 27393(c), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Article 9. Audits and Oversight
§ 999.21 7. Security Audits.
(a) The ERDS Program has the responsibility for oversight and regula-
tion of an ERDS. This responsibility shall be met by the inifial system au-
dit, biennial audit, modified system audit, modified system incident audit
and local inspection process.
(b) The primary process for monitoring the effecfiveness of security
controls shall be a computer security audit conducted by a Computer Se-
curity Auditor. A County Recorder shall contract with a Computer Secu-
rity Auditor in order to meet all ERDS audit requirements. A list of Com-
puter Security Auditors is located on the ERDS web page.
(c) A Computer Security Auditor shall conduct a security audit of an
ERDS for the purpose of I) assessing the safety of the system; 2) verify-
ing that the system is secure from vulnerabilities and unauthorized pe-
netration; 3) ensuring ERDS operating procedures are in place and are
being followed, and 4) that ERDS have no capability to modify, manipu-
late, insert, or delete information in the public record.
(1) The facility(ies) of a Type 2 only Authorized Submitter is exempt
from a physical security audit when the Computer Security Auditor has
Page 48 J2
Register 2007, No. 31; 8-3-2007
Title 11
Attorney General
§ 999.217
validated that all the requirements of these regulations have been met, in-
cluding certification by the County Recorder and the ERDS Program that
the method of submission allowed under the system will not permit an
Authorized Submitter or its employees and agents, or any third party, to
modify, manipulate, insert, or delete information in the public record,
maintained by the County Recorder, or information in Type 1 documents
which are submitted for electronic recording.
(2) Based on the Computer Security Auditor's findings, the ERDS
Program reserves the right to conduct a physical audit of a Type 2 only
Authorized Submitter's faciiity(ies) if intrusion, fraud, or good cause has
been found.
(d) The ERDS Initial System Audit is a full system audit and is re-
quired to obtain initial system certification. "Initial" is defined as the
"first time" application for a certification of an ERDS for either a Single-
County or a Multi-County ERDS. This audit shall be performed prior to
activating an ERDS for production and operation and shall be completed
by a Computer Security Auditor. A copy of the successful initial system
audit report shall be submitted to the ERDS Program as an attachment to
the Application for System Certification form # ERDS 0001 A (February
2007). A successful initial system audit shall be sufficient to meet the 1st
year audit requirement and shall include, but is not limited to, all of the
following:
(1) Description of Deposit Materials showing that the source code has
been deposited in escrow with an approved escrow facility.
(2) Demonstration of the proposed system in its intended production/
operational environment.
(3) The audit shall show all of the following:
(A) ERDS payloads are neither transmitted nor stored in an unen-
crypted format anywhere in the system.
(B) Transmissions only occur between authorized parties.
(C) Remnants of sessions, transmissions and ERDS payloads are not
stored once the user initiating the session and transmitting ERDS pay-
loads has logged out or been disconnected (either physically or logical-
ly).
(D) Authorized and unauthorized users are limited in terms of roles as-
signed to operate the system.
(E) Auditable events are logged correctly.
(F) Known vulnerabilities have been eliminated or mitigated.
(G) The ERDS implementation is not susceptible to published ex-
ploits.
(H) ERDS operating procedures and/or features within the ERDS de-
sign have been incorporated in order to restrict the instrument type and
content to meet the requirements of these regulations.
(I) ERDS shall have no capabiUties to modify, manipulate, insert or
delete information in the public record.
(4) Testing and review shall include all of the following:
(A) A review of the system design that includes all servers, worksta-
tions and network devices employed for, or in support of, the proposed
system.
(B) A review of source code, either selected software components or
all software.
(C) An inventory of hardware, software and network devices compris-
ing the proposed system.
(D) An inventory of all users and roles authorized to access and oper-
ate the proposed system.
(E) A mapping or diagram of the production/operational environment
that identifies the servers, workstations and network devices visible from
an ERDS server, and the ERDS servers visible from a non-ERDS
workstation or server.
(F) A review of the ERDS operating procedures proposed by the
County Recorder.
(G) A review of all security checklists proposed for auditing the
ERDS.
(H) A review of contracts with Authorized Submitters.
(I) That the requirements of these regulations are met.
(e) A Biennial Audit and a local inspection are required in alternating
years to meet the ongoing oversight of an existing certified Single-
County ERDS or a Multi-County ERDS. The biennial audit is a full sys-
tem audit and shall be performed in the production and operational envi-
ronment and shall be completed by a Computer Security Auditor and
submitted to the County Recorder. A local inspection shall be performed
in the alternating years and shall be completed by ERDS Program staff.
The County Recorder shall submit a copy of the successful biennial audit
report to the ERDS Program. A biennial security audit report shall in-
clude, but is not limited to, all of the following:
( 1 ) Description of Deposit Materials showing that the source code has
been deposited in escrow with an approved escrow facility.
(2) Demonstration of the ERDS in its production/operational environ-
ment.
(3) The audit shall show all of the following:
(A) ERDS payloads are neither transmitted nor stored in an unen-
crypted format anywhere in the system.
(B) Transmissions only occur between authorized parties.
(C) Remnants of sessions, transmissions and ERDS payloads are not
stored once the user initiating the session and transmitting ERDS pay-
loads has logged out or been disconnected (either physically or logical-
ly).
(D) Authorized and unauthorized users are limited in terms of roles as-
signed to operate the system.
(E) Auditable events are logged correctly.
(F) Known vulnerabilities have been eliminated or mitigated.
(G) The ERDS is not susceptible to published exploits and that the
published updates to the standards and guidelines as described in these
regulations shall be implemented within two years.
(H) ERDS operating procedures and/or features within the ERDS de-
sign have been incorporated in order to restrict the instrument type and
content to meet the requirements of these regulations.
(I) ERDS shall have no capabilities to modify, manipulate, insert or
delete information in the public record.
(4) Testing and review shall include all of the following:
(A) A review of the system design that includes all servers, worksta-
tions and network devices employed for, or in support of, the system.
(B) A review of source code, either selected software components or
all software.
(C) An inventory of hardware, software and network devices compris-
ing the system.
(D) An inventory of all users and roles authorized to access and oper-
ate the system.
(E) A mapping or diagram of the production/operational environment
that identifies the servers, workstations and network devices visible from
an ERDS server, and the ERDS servers visible from a non-ERDS
workstation or server.
(F) A review of the ERDS operating procedures established by the
County Recorder.
(G) A review of all security checklists established for auditing the
ERDS.
(H) A review of contracts with Authorized Submitters.
(I) A review of collected audit data showing auditable events are col-
lected for audit and audit data correlates to actual activities.
(J) A review of incident reports and determination that the cause of
each incident has been eliminated or mitigated.
(K) That the requirements of these regulations are met.
(f) A Modified System Audit is required to obtain approval for making
a substantive modification to an existing certified Single-County ERDS
or a Multi-County ERDS. A modified system audit shall pertain to only
the components that are proposed to be modified and/or changed in the
production environment and shall be performed prior to activating the
modification and/or change in the ERDS operational environment. This
modified system audit shall be completed by a Computer Security Audi-
tor and submitted to the County Recorder. Upon receipt of the successful
Page 4S33
Register 2007, No. 31; 8-3-2007
§ 999.217
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
modified system audit by the County Recorder, the County Recorder
may place the proposed substantive modification in the production envi-
ronment on a provisional basis. Within 15 business days of the provision-
al implementation, a copy of the successful modified system audit report
shall be submitted to the ERDS Program as an attachment to an Applica-
tion for a Request for Approval of Substantive ]VIodification(s) form #
ERDS 0013 (February 2007). A successful modified system audit may
not replace the biennial audit requirement. A modified system audit re-
port shall include, but is not limited to, all of the following:
(1) A Description of Deposit Materials showing that modified source
code has been deposited in escrow with an approved escrow facility.
(2) Demonstration of the ERDS in its intended production/operational
environment.
(3) The audit shall focus on functions of the substantive modification
and show all of the following:
(A) ERDS payloads are neither transmitted nor stored in an unen-
crypted format anywhere in the system.
(B) Transmissions only occur between authorized parties.
(C) Remnants of sessions, transmissions and ERDS payloads are not
stored once the user initiating the session and transmitting ERDS pay-
loads has logged out or been disconnected (either physically or logical-
ly)-
(D) Authorized and unauthorized users are limited in terms of roles as-
signed to operate the system.
(E) Auditable events are logged correctly.
(F) Known vulnerabilities have been eliminated or mitigated.
(G) The ERDS implementation is not susceptible to published ex-
ploits.
(H) ERDS operating procedures and/or features within the ERDS de-
sign have been incorporated in order to restrict the instrument type and
content to meet the requirements of these regulations.
(I) ERDS shall have no capabilities to modify, manipulate, insert or
delete information in the public record.
(4) Testing and review shall include all of the following:
(A) A review of the system design that includes all servers, worksta-
tions and network devices employed for, or in support of, the proposed
system.
(B) A review of source code, either selected software components or
all software.
(C) An inventory of hardware, software and network devices compris-
ing the proposed system.
(D) An inventory of all users and roles authorized to access and oper-
ate the system.
(E) A mapping or diagram of the production/operational environment
that identifies the servers, workstations and network devices visible from
an ERDS server, and the ERDS servers visible from a non-ERDS
workstation or server.
(F) A review of the ERDS operating procedures established by the
County Recorder.
(G) A review of all security checklists established for auditing the
ERDS.
(H) A review of contracts with Authorized Submitters.
(I) A review of collected audit data showing auditable events are col-
lected for audit and audit data correlates to actual activities.
(J) A review of incident reports and determination that the cause of
each incident has been eliminated or mitigated.
(K) That the requirements of these regulations are met.
(g) A Modified System Incident Audit is required to meet the audit re-
quirement resulting from an incident that compromises the safety or se-
curity of an ERDS. Incidents are detailed within these regulations. A mo-
dified system incident audit shall pertain to only the components that
were found to compromise the production environment and shall be per-
formed prior to activating the correction in the ERDS for production and
operation. This modified system incident audit shall be completed by a
Computer Security Auditor and submitted to the County Recorder. The
County Recorder shall submit a copy of the successful modified system
incident audit report to the ERDS Program. A successful modified sys-
tem incident audit may not replace the biennial audit requirement. A mo-
dified system incident audit report shall include, but is not limited to, all
of the following:
( 1 ) Demonstration of the ERDS in its intended production/operational
environment.
(2) The audit shall focus on the cause of the incident of fraud, and show
all of the following:
(A) ERDS payloads are neither transmitted nor stored in an unen-
crypted formal anywhere in the system.
(B) Transmissions only occur between authorized parties.
(C) Remnants of sessions, transmissions and ERDS payloads are not
stored once the user initiating the session and transmitting ERDS pay-
loads has logged out or been disconnected (either physically or losical-
ly).
(D) Authorized and unauthorized users are limited in terms of roles as-
signed to operate the system.
(E) Auditable events are logged correctly.
(F) Known vulnerabilities have been eliminated or mitigated.
(G) The ERDS is not susceptible to published exploits and that the
published updates to the standards and guidelines as described in these
regulations shall be implemented within two years.
(H) ERDS operating procedures and/or features within the ERDS de-
sign have been incorporated in order to restrict the instrument type and
content to meet the requirements of these regulations.
(1) ERDS shall have no capabilities to modify, manipulate, insert or
delete information in the public record.
(3) Testing and review shall include all of the following:
(A) A review of the system design that includes all servers, worksta-
tions and network devices employed for, or in support of, the system.
(B) A review of source code, either selected software components or
all software.
(C) An inventory of hardware, software and network devices compris-
ing the system.
(D) An inventory of all users and roles authorized to access and oper-
ate the system.
(E) A mapping or diagram of the production/operational environment
that identifies the servers, workstations and network devices visible from
an ERDS server, and the ERDS servers visible from a non-ERDS
workstation or server.
(F) A review of the ERDS operating procedures established by the
County Recorder.
(G) A review of all security checklists established for auditing the
ERDS.
(H) A review of contracts with Authorized Submitters.
(I) A review of collected audit data showing auditable events are col-
lected for audit and audit data correlates to actual acfivities.
(J) A review of incident reports and determination that the cause of
each incident has been eliminated or mitigated.
(K) That the requirements of these regulations are met.
(4) Upon receipt of the modified system incident audit report, the
ERDS Program shall:
(A) Send a written notification within 10 business days to the County
Recorder acknowledging receipt of the audit report.
(B) Send a notification of the investigative results and the appropriate
action to be taken, if any, to the Computer Security Auditor, County Re-
corder, Board of Supervisors, and District Attorney.
(C) Maintain reports for statistical purposes.
NOTE: Authority cited; Section 27393, Government Code. Reference: Sections
27390(b)(2), 27392(a), 27393(b)(2), 27393(b)(3), 27393(b)(6) and 27394(c)-(f),
Government Code.
History
1 . New article 9 (sections 999.217-999.223) and section filed 7-31-2007; opera-
tive 8-30-2007 (Register 2007, No. 31).
Page 4834
Register 2007, No. 31; 8-3-2007
Title 11
Attorney General
§ 999.220
§ 999.21 8. Audit Report Format.
(a) The format of a security audit report shall include, but is not limited
to, all of the following:
(1) A summary of recommendations in a task-list format.
(2) A description of the Computer Security Auditor's methodology.
(3) A section for detailed technical observations and recommenda-
tions.
(4) A diagram depicting results, where applicable.
(5) Results of testing and reviews.
(6) Recommendations for additional precautions needed to ensure that
the system is secure.
(7) A copy of the list of all users for secure and/or authorized access.
Note-. Authority cited: Sections 27393 and 27394(c)-(f), Government Code. Ref-
erence: Sections 27393(b)(2), 27393(b)(3), 27393(b)(6), 27393(c) and
27394(c)-(f), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.219. Local Inspection.
(a) Counties operating and/or associated with a certified ERDS shall
be subject to an ERDS local inspection by an ERDS Program representa-
tive in alternating years of the biennial audit. The purpose of this inspec-
tion is to ensure that the requirements, as set forth in the regulations, are
being adhered to for the ongoing oversight of the ERDS.
(b) An ERDS Program representative shall contact the Lead County
Recorder and/or Sub-County Recorder or his or her representative to
schedule an on-site inspection of the ERDS and all associated processes
on a mutually agreed upon date.
(c) The ERDS Program representative shall verify all of the following
during the local inspection:
(1) An auditable log is being maintained for 2 years.
(2) Documentation has been maintained and distributed in cases where
an incident has been reported.
(3) Access request and inventory reports are maintained.
(4) The Computer Security Auditor reports are being maintained for
a period of 2 years and the following are referenced: a list of all secure
access and authorized access users; ERDS operating procedures and/or
features within the ERDS design have been incorporated in order to re-
strict the instrument type and content to meet the requirements of these
regulations; safety and security of the system, including the vulnerability
of an ERDS to fraud or penetration; results of testing of the system's
protections against fraud or intrusion, including security testing and pe-
netration studies; recommendations for additional precautions needed to
ensure that the system is secure; that reports and response to recommen-
dations are being transmitted to the Board of Supervisors, the County Re-
corder, the County District Attorney and the ERDS Program.
(5) For a Single-County ERDS, that a copy of the following is on file:
the County's System Certificate of Operation; the County's Resolution;
the County's Policy and Procedures; a signed Statement of Understand-
ing form # ERDS 001 1 (February 2007); a list of all secure access and
authorized access users; a signed Acknowledgement of Responsibilities
Form # ERDS 0012 (February 2007); a completed Change of ERDS Role
form # ERDS 0008 (February 2007) for individuals that have changed an
ERDS role(s); the Computer Security Auditor ERDS certificate and con-
tract; the letter of deposit to an approved escrow facility; and the Vendor
of ERDS Software certificate and their contract, if any. If internal county
resources and/or another public entity are being used to develop an ERDS
in lieu of a vendor, it shall be stated in the county resolution granting es-
tablishment of an ERDS.
(6) For a Multi-County ERDS, that a copy of the following is on file:
the contract or agreement with other county (ies); a list of all secure access
and authorized access users; a signed Acknowledgement of Responsibi-
lities form # ERDS 001 2 (February 2007); a completed Change of ERDS
Role form # ERDS 0008 (February 2007) for individuals that have
changed an ERDS role(s); the Sub-County(ies) resolution; the Applica-
tion for Sub-County System Certification form # ERDS OOOIB (Febru-
ary 2007); and the Sub-County(ies) Recorder's signed Statement of Un-
derstanding form # ERDS 001 1 (Febmary 2007).
(d) The ERDS Program representative shall discuss the findings of the
inspection with the County Recorder or his or her representative.
(e) A completed Policy and Security Review report shall be signed and
dated by both the County Recorder or his or her representative and the
ERDS Program representative.
(f) A completed ERDS Program Policy and Security Review report
shall be provided to the Lead County Recorder and/or the Sub-County
Recorder at the completion of the local inspection. In the ca.se of the Sub-
County inspection, a copy of the Policy and Security Review report shall
be forwarded to the Lead County.
(g) The ERDS Program representative shall provide an inspection re-
sult letter within 1 business days of the inspection date to the County Re-
corder or his or her representative.
(h) In the case of an inspection resulting in an agency deemed in com-
pliance with all requirements, the ERDS Program representative shall
prepare a letter to the County Recorder(s) notifying them of their com-
pliance. In the case of a Multi-County ERDS, the Lead County Recorder
shall receive a copy of the Sub-County(ies) letter.
(i) In the case of an inspection resulting in an agency deemed non-
compliant with a requirement(s), the ERDS Program representative
shall:
( 1 ) Prepare a letter to the County Recorder(s) with notification of the
non-compliance. The letter shall contain non-compliance issues requir-
ing corrective action; and a due date shall be assigned allowing 30 days
for correction and response. In the case of a Multi-County ERDS, the
ERDS Program representative shall forward a copy to the Lead County
Recorder.
(2) Upon receipt of the County Recorder's response to the request for
corrective action, the ERDS Program representative shall review and de-
termine that the non-compliance issue(s) has been addressed, and shall
forward a compliance letter to the County Recorder and/or Sub-County
Recorder.
(3) In the case of a response not satisfactorily addressing the non-com-
pliance issue(s), the ERDS Program representative shall work with the
County Recorder and/or Sub-County Recorder to resolve them.
(4) If a response to the corrective action is not received by the due date,
the ERDS Program representative shall initiate a follow-up telephone
call to inquire on the status of the response. If it is determined that an ex-
tension is needed, the County Recorder shall be granted an additional 2
weeks to respond.
(5) If no response is received the ERDS Program representative shall
issue a letter of ERDS suspension.
Note: Authority cited: Section 27393, Government Code. Reference: Sections
27393(b)(2), 27393(c), 27396(a) and 27396(b)(1), Government Code.
History
1. New section filed 7-31-2007; operafive 8-30-2007 (Register 2007, No. 31).
§ 999.220. Incident Reporting.
(a) A reportable incident that compromises the safety or security of an
ERDS shall be reported.
(b) The County Recorder shall establish criteria, policies and proce-
dures for handling and responding to incidents.
(c) In the case of a Multi-County ERDS, the Sub-County(ies) shall re-
port incidents to the Lead County Recorder within 2 business days.
(d) A Fax Transmission Cover Sheet form # ERDS 0007 (February
2007) shall be utilized to notify the ERDS Program of the reportable inci-
dent(s).
(e) After the fax notification has been made, the County Recorder, ei-
ther in his or her official capacity or by delegation of the responsibility,
shall prepare a detailed incident report that shall include: the date of the
incident(s); the parties involved (if known); the nature and scope of the
incident(s); and action(s) taken, including steps to protect against future
incidents.
(0 The detailed incident report shall be forwarded to the ERDS Pro-
gram, the Computer Security Auditor, District Attomey(s), and their
Page 4835
Register 2007, No. 31; 8-3-2007
§ 999.221
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title II
Board of Supervisors within 1 business days of the incident(s) date. The
County Recorder shall maintain the report for a period of 2 years and shall
be subject to review during audits and local inspections.
(g) Upon receipt of a detailed incident report the ERDS Program shall
do the following:
(1) Send a written notification within 2 business days to the reporting
party acknowledging receipt of the detailed report.
(2) Send a notification of the ERDS investigative result and the ap-
propriate action to be taken, if any, to the County Recorder, Computer
Security Auditor, Board of Supervisors, and District Attorney.
(3) Maintain reports for statistical purposes.
NOTE: Authority cited: Sections 27393, 27396(a) and 27396(b), Government
Code. Reference: Sections 27393(b)(2), 27393(c), 27394(f), 27396(a) and
27396(b), Government Code.
History
1. New section fded 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.221 . Suspension and Termination of Certification.
(a) System certification may be suspended or terminated. Grounds for
suspension or termination shall include, but are not limited to, all of the
following:
(1) Unsatisfactory audit findings by a Computer Security Auditor.
(2) Failure to respond to a notice of corrective action for non-com-
pliance issue(s) as a result of a local inspection.
(3) Failure to comply with the audit and local inspection schedule.
(4) Non-payment of a County's proportionate cost of the System Ad-
ministration Fee.
(5) A reported incident that has been determined to compromise the
safety or security of an ERDS.
(6) Non-compliance with the Statement of Understanding form
# ERDS 001 1 (February 2007).
(7) For good cause.
NOTE: Authority cited: Sections 27393, 27396(a) and 27396(b), Government
Code. Reference: Sections 27392(a), 27393(b)(2), 27393(c), 27394(c)-(f),
27396(a) and 27396(b), Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.222. Notification.
(a) The ERDS Program shall issue a letter of suspension or termina-
tion, delivered by certified mail, notifying the County Recorder that the
system certification is invalid and shall remain in affect until a reinstate-
ment is granted through the reconsideration process. The County Re-
corder shall be instructed to immediately cease all operations of the
ERDS. A copy of the letter shall be provided to the Board of Supervisors,
the Attorney General, and the District Attorney.
NOTE: Authority cited: Sections 27393, 27393(c), 27394(c)-(f), 27396(a) and
27396(b), Government Code. Reference: Sections 27392(a). 27393(b)(2),
27393(c) and 27396, Government Code.
History
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§ 999.223. Reconsideration.
(a) A County Recorder may request a reconsideration of a suspension
or termination of a system certification. The County Recorder shall sub-
mit a written request to the ERDS Program within 30 days of the notifica-
tion stating justification for the reconsideration. During this time, the
County Recorder may not operate the ERDS.
(b) The ERDS Program shall review the request for reconsideration
and a determination shall be made in writing to the County Recorder
within 30 days. A copy of the letter shall be provided to the Board of Su-
pervisors, the Attorney General, and the District Attorney.
(c) Reinstatement of an ERDS certification that has been suspended
or terminated because of vulnerabilities shall provide a Modified System
Incident Audit to the ERDS Program before reinstatement of the ERDS
operation. Vulnerabilities include unsatisfactory audit findings by a
Computer Security Auditor and/or reported incidents that have been de-
termined to compromise the safety or security of an ERDS.
(d) Reinstatement of an ERDS certification that has been suspended
or terminated because of non-compliance to administrative require-
ments shall be dependant upon responding to and rectifying the reason
for suspension or termination. Administrative requirements include fail-
ure to respond to a notice of corrective action for a non-compliance is-
sue(s) as a result of local inspection, failure to comply with the audit and
local inspection schedule, non-payment of a County's proportionate cost
of the System Administration Fee, non-compliance with the Statement
of Understanding form # ERDS 001 1 (February 2007), and/or good
cause.
NOTE: Authority cited: Sections 27393, 27396(a) and 27396(b)(1), Government
Code. Reference: Sections 27392(a), 27393(b)(2), 27393(c) and 27396, Govern-
ment Code.
History
1. New section filed 7-31-2007; operafive 8-30-2007 (Register 2007, No. 31).
* * *
Page 4836
Register 2007, No. 31; 8-3-2007
Jft.
Barclays Official
California
Code of
Regulations
•
Title 11. Law
Division 2. Commission on Peace Officer Standards and Training
Vol 15
XHOIVISOISI
\A/EST
Barclays Official California Code of Regulations
425 Market Street • Fourth Floor • San Francisco, CA 94105
800-888-3600
Title 11
Commission on Peace Officer Standards and Training
Table of Contents
Division 2. Commission on Peace Officer Standards and Training
Table of Contents
Page
Page
•
icle 1.
§ 1000.
§ 1001.
§ 1002.
§ 1003.
§ 1004.
§ 1005.
§ 1006.
§ 1007.
§ 1008.
§ 1009.
§ 1010.
§ 1011.
§ 1012.
§ 1013.
§ 1014.
§ 1015.
§ 1016.
§ 1017.
§ 1018.
§ 1019.
§ 1020.
§ 1021.
General 49
Objectives.
Definilions.
Minimum Standards for Peace Officer
Employment.
Notice of Appointment/Termination.
Field Training Program.
Minimum Standards for Training
(Reference Regulation 1007 and
Commission Procedure H for reserve
peace officer training standards.)
Extension of Time Limit for Course
Completion.
Reserve Officer Minimum Training
Standards and Waiver of Training
Requirements for Modules B and/or
C.
Basic Course Waiver and
Requalification Requirement.
Academy Instructor Certificate
Program (AICP).
Participation in the POST Program.
Certificates and Awards.
Conditions for Continuing
Employment.
Code of Ethics.
Training for Non-Sworn and
Paraprofessional Personnel.
Reimbursements.
Services Provided by the
Commission.
Standards for Approved Courses.
Public Safety Dispatcher Programs.
Feasibility Studies for Peace Officer
Status Requests.
Reimbursement for Purchase of
Satellite Antenna.
Reimbursement for Purchase of
Interactive Multimedia Training
Delivery System.
Article 2.
Commission on Peace Officer
Standards and Training —
Conflict of Interest Code 65
icle 3.
Regulatory Procedures 65
§ 1051.
Course Certification Program.
§ 1052.
Requirements for Course
Certification.
§ 1053.
Course Certificafion Request and
Review Process.
§ 1054.
Requirements for Course Budget.
§ 1055.
Requirements for Course Presentation.
§ 1056.
Annual Recertification.
§ 1057.
Decertification.
§ 1058.
Appeals Process.
§ 1060.
Requirements for Verifying Successful
Completion of a Non POST Certified
Course.
§ 1070.
Minimum Training Standards for
Instructors of POST-Certified
Specialized Subjects.
§ 1071.
Minimum Training Standards for
Regular Basic Course Academy
Directors, Coordinators, and Recruit
Training Officers.
§ 1080.
PC 832, Arrest and Firearms Course
Requalification.
§ 1081.
Minimum Standards for Legislafively
Mandated Courses.
§ 1082.
Minimum Content Requirements for
Instructor Courses.
§ 1083.
Minimum Content Requirements for
Academy Staff Courses.
§ 1084.
Standardized POST Training
Curriculum.
Page
(7 ]S 2008)
Title 11
Commission on Peace Officer Standards and Training
§1001
Division 2. Commission on Peace Officer
Standards and Training
Article 1. General
§1000. Objectives.
NOTH: Authority cited: Section 11422, Government Code. Reference: Section
13506, Penal Code.
History
1. Repealer of Article 1 (Sections 1000-1016, not consecutive) and new Article
1 (Sections 1000-1017, not consecutive) filed 12-29-78; effective thirtieth day
thereafter (Register 78, No. 52). For prior history, see Registers 78, No. 22; 77,
No. 48; 77, No. 22; 77, No. 14; 77, No. 5; 76, No. 33; 75, No. 49; 74, No. 35;
74. No. 23; 74, No. 21; 72, No. 40; 72, No. 23; 71, No. 23; 71, No. 1; 69, No.
48; 69. No. 10; 68, No. 27; 65, No. 18; 63, No. 24.
2. Repealer of Article 1 (Sections 1000-1017) filed 12-21-79 as an emergency;
designated effective 1-1-80. Certificate of CompUance included (Register 79,
No. 51). For prior history, see Register 79, No. 20.
3. Repealer of Section 1 00() fded 2-1 0-83; effective upon filing pursuant to Gov-
ernment Code Section 1 1346.2(d) (Register 83, No. 7).
§1001. Definitions.
Acceptable College Education is:
(1) Courses or degrees provided by a community college, college, or
university which have been accepted by a community college, college or
university accredited by a recognized national or regional accrediting
body.
(2) Courses or degrees provided by a community college, college, or
university accredited by a recognized national or regional accrediting
body.
"The Act" refers to Part 4, Title 4 of the Penal Code of California, com-
mencing at Section 1 3500 and entitled, "Standards and Training of Local
Law Enforcement Officers."
"Actual course presentation cost" is the total allowable direct and indi-
rect expenses (see Regulation 1054) to conduct one presentation of a
POST-certified course, less any subventions from outside sources. Sub-
ventions received from outside sources may include, but are not limited
to, fees, grants, gifts, Full-Time Equivalent Student (FTES) shares from
community college affiliations, and monetary equivalents of services,
equipment or materials provided in support of the course.
"Agency presenter" is a department, or departments working together
under a joint powers or other agreement, eligible for POST reimburse-
ment which presents POST-certified training course(s).
"Assistant Department Head" is an individual occupying the first posi-
tion subordinate to a department head, is generally responsible for super-
vision of middle managers and/or supervisors, and is a position for which
commensurate pay is authorized.
"Backfill Reimbursement" is the reimbursable allowance for an
agency's expense of paying salary at the overtime rate to a peace officer
employee who replaces another peace officer employee for his/her atten-
dance of selected POST-certified training [reference regulation
1015(d)].
"Blended Learning" is a learning event that combines the use of two
or more independent media (e.g., the Web/Internet and the classroom).
In a blended learning environment, students complete part of the training
via the Web as either instructor-led or self-paced training. The remain-
der of the training is accomplished in the classroom or other venue in the
presence of instructors and other students.
"Cerfificate programs" are programs in which the Commission applies
specific criteria for awards of certificates as a means of recognizing
achievements in education, training, and experience and for the purpose
of raising the level of competence of law enforcement officers, dispatch-
ers, and records supervisors. Requirements for professional certificates
are set forth in Regulation 101 1 and Procedures F and H-4.
"Certified Course" (see "POST-cerfified Course").
"Cheating" is any attempt or act by a student to gain an unfair advan-
tage or give an unfair advantage to another student or group of students
taking a POST- or training-presenter required test in a POST-certified
course. Cheating includes, but is not limited to, the following prohibited
acts:
( 1 ) Using any materials which would give an unfair advantage to one-
self, or providing such materials to other students so that they may gain
an unfair advantage when preparing for or taking a test. Materials in-
clude, but arc not limited to, oral or written information, graphics, and
information recorded on audiotapes, videotapes and/or computer dis-
kettes.
(2) Using or possessing POST- or presenter-developed test materials
unless one is in the process of taking a test or engaging in an after-ex-
amination review of such test while under the supervision of a presenter' s
staff member or presenter-authorized test proctor.
(3) Obtaining, or attempting to obtain, test information improperly
from any source. Such actions include, but are not limited to. copying
from another student, theft of test materials, receiving or coercing test an-
swers from others, and/or unauthorized observation of scenario or exer-
cise tests.
(4) Plagiarism
(5) Intentionally aiding, abetting or concealing an act of cheating.
"Commission" is the Commission on Peace Officer Standards and
Training.
"Commuter Trainee" is one who attends a training course and travels
between his or her department or normal residence and the course site
each day.
"Department or Participating Department" is any law enforcement en-
tity or independent communications agency which has made application
to and been accepted by the Commission to participate in POST pro-
grams and receive services. Eligibility and participation requirements are
set forth in Regulation 1010.
"Department Head" is the chief law enforcement executive.
"Executive Position" is a position above the middle management posi-
tion, up to and including department head, for which commensurate pay
is authorized, and is responsible principally for command assignments
and the supervision of subordinate middle management and supervisory
positions. The executive position is most commonly the rank of captain
or higher.
"First-level Supervisory Position" is the supervisory peace officer po-
sition between the operational level and the "middle management posi-
tion", for which commensurate pay is authorized, and is responsible prin-
cipally for the direct supervision of subordinates, or is subject to
assignment of such responsibilities. The first-level supervisory position
does not encompass positions with limited or intermittent supervisory re-
sponsibilities, i.e., quasi-supervisory positions. The first-level supervi-
sory position is most commonly the rank of sergeant.
"Full-time Employment" is employment as defined by a state, local,
or department regulation, charter, resolution, or ordinance; wherein, the
employee normally works in excess of 20 hours weekly or 87 hours
monthly; is tenured or has a right to due process in personnel matters; and
is entitled to workers compensation and retirement provisions as are oth-
er full-time employees of the same personnel classification in the depart-
ment.
"General law enforcement duties" are duties which include the inves-
tigation of crime, patrol of a geographic area, responding to the full range
of requests for police services, and performing any enforcement action
on the full range of law violations.
"Guest Speaker" is an individual who is invited to speak in a POST-
certified course because of his/her expertise in a specialized subject area,
and who is directly overseen by the primary instructor.
"High School" is either a United States public school that meets the
high school standards set by the state in which it is located, an accredited
United States Department of Defense high school, or an accredited non-
public high school. Any accrediting association shall be recognized by
the Secretary of the United States Department of Education.
"Lateral Entry" refers to a hiring practice which may exempt an indi-
vidual from some of the department's hiring and training procedures, as
the individual's prior experience, level of responsibility, and/or training
are taken into consideration for appointment.
Page 49
Register 2006, No. 30; 7-28-2006
§1001
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
"Legislatively mandated training" is training that may or may not be
POST-certified, and shall consist of POST-specified curriculum as re-
quired by law. It may be presented as a stand-alone course, a telecourse.
or as part of a POST-certified course. Minimum standards for legisla-
tively mandated training are set forth in Regulation 1081.
"Limited Function Peace Officer" is a deputy sheriff, regularly
employed and paid as such, of a county, a police officer of a city, a police
officer of a district authorized by statute to maintain a police department,
who is designated on or prior to June 30, 1985, to be a peace officer as
described in Penal Code section 830. 1 (c), and is employed to perform du-
ties other than the prevention and detection of crime and the general en-
forcement of the criminal laws of the state.
"Middle Management Position" is a management peace officer posi-
tion between the first-level supervisory position and the department head
position, for which commensurate pay is authorized, and is responsible
principally for management and/or command duties. The middle man-
agement position is most commonly the rank of lieutenant or higher.
"Non-sworn Personnel Performing Police Tasks" are those full-time,
non-peace officer employees of participating departments for whom re-
imbursement may be claimed, based upon actual job assignment, as de-
termined and approved by the Commission.
"Paraprofessional" is a full time employee of a department and in-
cludes, but is not limited to, such job classifications as: community ser-
vice officer, police trainee, and police cadet.
"POST Administrative Manual (PAM)" is a document containing
Commission Regulations, and Procedures, guidelines, laws, and forms
relating to POST programs.
"POST-certified Course" or "Certified Course" is a program of
instruction authorized by the Commission for presentation that follows
the requirements set forth in Regulations 1051-1058.
"Primary instructor" is an individual responsible for the coordination
and instruction for a particular subject area(s). The responsibility in-
cludes oversight of subject content, logistics, and other instructors.
"Public Safety Dispatcher" is a non-peace officer who is employed
full-time or part-time to perform duties which include receiving emer-
gency calls for law enforcement service and/or dispatching law enforce-
ment personnel.
"Quasi-supervisory Position" is a peace officer position above the op-
erational level which is assigned limited responsibility for the supervi-
sion of subordinates, or intermittently is assigned the responsibility of
first-level supervision, and is a position for which commensurate pay is
authorized. The quasi-supervisory position is most commonly a rank im-
mediately below that of sergeant.
"Records Supervisor" is a full-time, non-peace officer employee of
a participating California law enforcement agency who performs law en-
forcement records supervising duties which include records mainte-
nance, control, release, destruction, and security 50% or more of the time
within a pay period.
"Regular Officer" is a sheriff, undersheriff, or deputy sheriff, regularly
employed and paid as such, of a county, a police officer of a city, a pohce
officer of a district authorized by statute to maintain a policy department,
a police officer of a department or district enumerated in Penal Code Sec-
tion 13507, or a peace officer member of the California Highway Patrol.
"Reimbursement" is the financial aid allocated from the Peace Officer
Training Fund, as provided in Penal Code section 13523.
"Reimbursement Program" is the financial aid allocation program
provided for in Penal Code section 13523 in which the Commission
makes payment for POST-certified training expenses. Departments
which have been approved by the Commission and which employ full-
time peace officers and/or dispatchers described in Penal Code section
13510 are eligible for financial aid.
"Reimbursement Plans" are assigned to POST-certified courses. Each
plan consists of a combination of training-related expenditures approved
by the Commission. The various plans are set forth in Commission Pro-
cedure E-2.
"Resident Trainee" is one who, while away from his or her department
or normal residence, attends a training course and takes lodging and
meals at or near the course site for one or more days/nights.
"Specialized Law Enforcement Department" is a department or seg-
ment of a department which:
(1) has policing or law enforcement authority imposed by law and
whose employees are peace officers as defined by law; and
(2) is engaged in the enforcement of regulations or laws limited in
scope or nature; or
(3) is engaged in investigative or other limited law enforcement acdvi-
ties in the enforcement of criminal law.
"Specialized Peace Officer" is a peace officer employee of a special-
ized law enforcement agency.
"Three-year rule" is the rule that relates to the necessity to requalify
basic training or arrest and firearms (PC 832) training. (Reference Regu-
lations 1008 and 1080).
"Trainee" is an employee of a department who attends a POST-certi-
fied course.
"Uniformed patrol duties" are general law enforcement duties which
include the detection and investigation of crime, patrol of a geographic
area, responding to the full range of requests for police services, general
enforcement of all state and local laws including physical arrests of sus-
pects, and working with the community to reduce crime and address
community concerns. These dufies are performed by peace officers,
wearing a department uniform, carrying a firearm, and utilizing a marked
emergency vehicle.
"Web-Based Training (WBT)" is any training that can be accessed via
the World Wide Web (Internet) or a local or wide area network. For the
purposes of certification, WBT will be divided into the following two
components:
( 1 ) Instructor-led training
(2) Self-paced training which includes self-paced WBT
NOTE: Authority cited: Sections 13506 and 13510.3, Penal Code. Reference: Sec-
tions 13503, 13507, 13510, 13510.1, 13510.3, 13510.5 and 13523, Penal Code.
History
1. Amendment filed 12-3-80; effective thirtieth day thereafter (Register 80, No.
49).
2. Amendment of subsections (h), (i) and (y) filed 5-14-82; designated effective
7-l-82(Register82, No. 20).
3. Amendment of subsections (c), (d), (h), (k), (n), (t) and (x) filed 2-10-83; effec-
tive upon filing pursuant to Government Code Section 1 1 346.2(d) (Register 83,
No. 7).
4. Amendment filed 1-9-86; effective thirtieth day thereafter (Register 86, No. 2).
5. Amendment filed 1 1-29-88; operative 12-29-88 (Register 88, No. 51).
6. Amendment of subsection (h) filed 1-5-93; operative 2-4-93 (Register 93, No.
2).
7. Amendment of subsections (a)-(a)(3) and Note filed 6-10-93; operative
7-12-93 (Register 93, No. 24).
8. New subsections (c) and (d), subsection redesignation and amendment of Note
filed 12-22-93; operative 1-21-94 (Register 93, No. 52).
9. Editorial correction repositioning explanatory note to subsection (e) and restor-
ing inadvertently deleted text to subsection (j) (Register 94, No. 35).
10. New subsecfions (h)-(h)(5) and subsection relettering filed 1-14-97; opera-
tive 2-13-97 (Register 97, No. 3).
1 1 . Amendment of subsection (p) filed 4-23-97; operative 5-23-97 (Register 97,
No. 17).
12. New subsection (y), subsection relettering and amendment of Note filed
1-9-98; operative 2-8-98 (Register 98, No. 2).
13. Amendment of subsection (y) filed 3-31-99; operative 4-30-99 (Register 99,
No. 14).
14. Amendment filed 8-10-2000; operative 9-9-2000 (Register 2000, No. 32).
15. New subsection (aa) and subsection relettering filed 7-17-2001; operative
7-1-2002 (Register 2001, No. 29).
16. New subsection (nn) filed 10-7-2002; operative 7-1-2003 (Register 2002,
No. 41).
17. Amendment of subsections (/) and (ij)(3), repealer of subsection (jj)(4) and
amendment of subsection (kk) filed 12-3-2002; operative 1-2-2003 (Register
2002, No. 49).
1 8. New subsection (r), subsection relettering and amendment of newly designated
subsection (bb) filed 7-21-2003; operative 8-20-2003 (Register 2003, No. 30).
19. Amendment of definition of "High School" filed 8-22-2005; operative
9-21-2005 (Register 2005, No. 34).
Page 50
Register 2006, No. 30; 7-28-2006
Title 11
Commission on Peace Officer Standards and Training
§1003
20. Amendment of subsection (f) filed 2-9-2006; operative 3-1 1-2006 (Register
2006, No. 6).
21. Amendment repealins subsection desisnators and addins new definitions of
"Blended Learning" and "Web-Based Training (WBT)"' filed 7-27-2006; op-
erative 8-26-2006 (Register 2006, No. 30).
§ 1002. Minimum Standards for Peace Officer
Employment.
(a) Every peace officer employed by a department shall be selected in
conformance with the following requirements as determined by a thor-
ough background investigation. The background investigation shall be
conducted as prescribed in PAM Section C-1. The background inves-
tigation shall be completed on or before the appointment date.
(1) Felony Conviction. Government Code section 1029(a)(1). Em-
ployment of convicted felons is prohibited.
(2) Fingerprint and Criminal History Check. Government Code sec-
tions 1030 and 1031(c). Fingerprinting and search of local, state and na-
tional files to reveal any criminal record.
(3) Citizenship. Government Code sections 1031(a) and 1031.5. Citi-
zenship requirements for peace officers. Government Code section
24103. Citizenship requirements for deputy sheriffs and deputy mar-
shals.
Vehicle Code section 2267. Citizenship requirements for California
Highway Patrol officers.
(4) Age. Government Code section 1 03 1 (b). Minimum age of 1 8 years
for peace officer employment.
(5) Moral Character. Government Code section 1031(d). Good moral
character as determined by a thorough background investigation.
(6) Educafion. Government Code section 1031(e). Be a United States
high school graduate, pass the General Education Development Test
(GED) indicafing high school graduation level, pass the California High
School Proficiency Examination, or have attained a two-year or four-
year degree from an accredited college or university. The high school
shall be either a United States public school that meets the high school
standards set by the state in which it is located, an accredited United
States Department of Defense high school, or an accredited nonpublic
high school. Any accreditation required by this paragraph shall be from
an accrediting association recognized by the Secretary of the United
States Department of Education.
Per Education Code Section 48412, passage of the California High
School Proficiency Examination is the legal equivalent of attainment of
a California high school diploma.
(b) Every peace officer candidate shall successfully complete the fol-
lowing evaluafions prior to the appointment date:
(1) Medical and Psychological Suitability Examinations. Government
Code section 1031(f). Examination of physical, emotional and mental
conditions.
The examination shall be conducted as prescribed in the PAM, section
C-2.
(2) Interview. Be personally interviewed prior to employment by the
department head or a representative(s), to determine the person's suit-
ability for law enforcement service, which includes but is not limited to,
the person's experience, problem solving ability, communication skills,
interest/mofivation, interpersonal skills, and community involvement/
awareness. This regulation may be satisfied by an employee of the de-
partment participating as a member of the person's oral interview panel.
For assistance in constructing and administering an oral interview, re-
fer to the document POST Entry-Level Peace Officer Oral Interview
Guidelines Manual-2003.
(3 ) Reading and Writing Ability. Be able to read and write at the levels
necessary to perform the job of a peace officer as determined by the use
of the POST Entry-Level Law Enforcement Test Battery or other job-re-
lated tests of reading and writing ability. Peace officer candidates who
have completed the Regular Basic Course or the Specialized Investiga-
tor's Basic Course are not required to complete reading and wrifing as-
sessments. Reserve peace officer candidates are not required to complete
reading and writing assessments.
(c) All requirements set forth in Regulafions 1002(a) and (b) shall ap-
ply to each lateral entrant, with the exception of the Regulation
1002(b)(3) requirement, regardless of the rank to which the person is ap-
pointed, unless waived by the Commission.
PAM section C-1 adopted effective April 15, 1 982, and amended May
23. 1997 and September 21, 2005 is herein incorporated by reference.
PAM secfion C-2 adopted effective April 15,1 982, and amended Jan-
uary 1 . 1 985, July 1 , 1 985, and January 29. 1 988. May 23. 1 997, and Sep-
tember 21, 2005 is herein incorporated by reference.
NOTE: Authority cited: Sections 13506 and 13510, Penal Code. Reference: Sec-
tions 13503, 13510 and 13510.5, Penal Code; Sections 1029-1031 and 24103.
Government Code; Section 48412. Education Code: Section 2267. Vehicle Code:
Americans with Disabilities Act of 1 991 : Title VII of the Civil Rights Act of 1 966
and Uniform Guidelines on Employee Selection Procedures.
History
1 . Amendment filed 2-10-83; effective upon filing pursuant to Government Code
secfion 1 1346.2(d) (Register 83, No. 7).
2. Amendment filed 1 1-27-84; effective thirtieth day thereafter (Register 84. No.
48).
3. Amendment of subsection (a) and section heading filed 3-5-85: effective thir-
tieth day thereafter (Register 85. No. 10).
4. Amendment of subsecfion (a)(7) filed 6-1 1-86: effective thirtieth day thereafter
(Register 86, No. 24).
5. Amendment of subsecfions (a)(5). (7) and (8) filed 12-30-87; operative
1-29-88 (Register 88. No. 3).
6. Change without regulatory effect amending subsection {a)(6) filed 9-10-90
pursuant to section 1 00. title 1 , California Code of Regulations (Register 90, No.
44).
7. Amendment of subsections (a)(3) and (a)(6)-(a)(8), amendment of NoTl-.. and
amendment of Commission Procedures C-1 and C-2 (incorporated by refer-
ence) filed 4-23-97; operadve 5-23-97 (Register 97, No. 17).
8. Amendment of section heading, section and Note-: filed 8-10-2000; operative
9-9-2000 (Register 2000. No.^32).
9. Amendment of subsection (a)(8) filed 6-26-2003; operative 7-26-2003 (Reg-
ister 2003, No. 26).
10. Change without regulatory effect amending subsection (a)(8) filed 1 2-5-2003
pursuant to secfion 100, dtle 1, California Code of Regulations (Register 2003,
No. 49).
1 1 . Amendment of subsection (a)(6) filed 8-22-2005: operafive 9-2 1-2005 (Reg-
ister 2005, No. 34).
12. Amendment of secfion heading and subsections (a) and (a)(5), new subsecfion
(b). redesignation of former subsections (a)(7)-(9) to new subsections
(b)(l)-(3), subsecfion relettering and amendment of newly designated subsec-
fions (b)(3)-(c) filed 8-22-2005; operafive 9-21-2005 (Register 2005. No.
34).
13. Change without regulatory effect amending subsecfion (c) filed .5-23-2006
pursuant to secfion 100, fitle 1, Cahfornia Code of Regulafions (Register 2006,
No. 21).
§ 1003. Notice of Appointment/Termination.
Whenever a peace officer of a participafing department is newly ap-
pointed, promoted to a first-level supervisory, middle management or
execudve position (refer to Regulation 1001 for definitions), demoted,
terminates, changes his/her name, or changes appointment status within
the same department, the department shall nofify the Commission within
30 days of such acfion on the "Notice of Appointment/Terminadon",
form 2-114 (Rev. 4/2003).
For departments in the Public Safety Dispatcher Programs, the form
shall be submitted whenever a person is appointed, promoted to a public
safety dispatch supervisor position, changes his/her name, reclassified,
or transferred to a public safety dispatcher posidon, or whenever the per-
son is terminated from a public safety dispatcher posidon.
Eligibility to receive the Records Supervisor Cerdficate requires that
the form be submitted a minimum of 30 days prior to application for
award of the cerdficate for persons appointed, changed his/her name,
promoted, reclassified, or transferred to a records supervisor position.
The form shall also be submitted when the person is terminated from a
records supervisor position.
NOTE; Authority cited: Section 13506, Penal Code. Reference: Secfions 13512
and 13510.3, Penal Code.
History
1 . Amendment filed 2-1 0-83; effective upon filing pursuant to Government Code
Section 11346.2(d) (Register 83, No. 7).
2. Amendment filed 1-9-86; effecfive thirtieth day thereafter (Register 86. No. 2).
3. Amendment filed 11-29-88; operafive 12-29-88 (Register 88, No. 51).
4. Amendment of section heading, secfion and NoTi- filed 1-9-98; operative
2-8-98 (Register 98. No. 2).
5. Amendment filed 5-1 1-99; operafive 6-10-99 (Register 99. No. 20).
Page 51
Register 2006, No. 30; 7-28-2006
§1004
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
6. Amendment filed 7-21-2000; operative 8-20-2000 (Register 2000, No. 29).
7. Amendment of first paraeraph filed 6-2-2003; operative 7-2-2003 (Register
2003, No. 23).
§ 1004. Field Training Program.
(a) Program Requirements: Any department which employs peace of-
ficers and/or Level I Reserve peace officers shall have a POST-approved
Field Training Program. Requests for approval of a department's Field
Training Program shall be submitted on POST form 2-229 (Rev. 04/02),
signed by the department head attesting to the adherence of the following
program requirements:
( 1 ) The Field Training Program shall be delivered over a minimum of
10 weeks and based upon the structured learning content as specified in
PAM section D-13.
(2) A trainee shall have successfully completed the Regular Basic
Course before participating in the Field Training Program.
(3) The Field Training Program shall have a Field Training Supervi-
sor/Administrator/Coordinator (SAC) who:
(A) has been awarded or is ehgible for the award of a POST Superviso-
ry Certificate or
(B) has been appointed by the department head (or his/her designate).
(C) meets the training requirement specified in 1004(c) below.
(4) The Field Training Program shall have Field Training Officers
(FTOs) who:
(A) have been awarded a POST Basic Certificate (not Specialized);
(B) have a minimum of one year general law enforcement uniformed
patrol experience; and,
(C) have been selected based upon a departinent-specific selection
process; and.
(D) meets the training requirements specified in 1004(d) below.
(5) Trainees shall be supervised depending upon their assignment
(A) A trainee assigned to general law enforcement uniformed patrol
duties shall be under the direct and immediate supervision (physical pres-
ence) of a qualified Field Training Officer (as described in (4) above).
(B) A trainee temporarily assigned to non-enforcement, specialized
funcfion(s) for the purpose of specialized training or orientafion (i.e.,
complaint/dispatcher, records, jail, invesfigadons) is not required to be
in the immediate presence of a qualified Field Training Officer while per-
forming the specialized function(s).
(6) Trainee performance shall be:
(A) documented daily through journaling, daily training notes, or Dai-
ly Observafion Reports (DORs) and shall be reviewed with the trainee by
the Field Training Officer; and,
(B) monitored by a Field Training Program SAC, or designee, by re-
view and signing of the DORs or, by completing and/or signing weekly
written summaries of performance (e.g.. Supervisor's Weekly Report,
Coaching and Training Reports) that are reviewed with the trainee.
(7) Each Field Training Officer shall be evaluated by the trainee and
a Field Training Supervisor/Administrator/Coordinator (SAC) as fol-
lows:
(A) The trainee shall complete an evaluafion of each assigned Field
Training Officer at the end of the Field Training Program.
(B) The Field Training Supervisor/Administrator/Coordinator (SAC)
shall provide, at least annually, a detailed evaluafion to each Field Train-
ing Officer on his/her performance as a Field Training Officer.
(8) Trainees shall complete an evaluafion of the Field Training Pro-
gram at the end of the program.
(9) The Field Training Officer's attestafion of each trainee's compe-
tence and successful completion of the Field Training Program and a
statement that releases the trainee from the program, along with the
signed concurrence of the department head, or his/her designate, shall be
retained in department records. Retenfion length shall be based upon de-
partment record policies.
An approved Field Training Program remains in force until modified,
at which fime a new approval is required.
(b) Program Exemption: A department may request an exemption of
the Field Training Program requirement if:
(1) the department does not provide general law enforcement uni-
formed patrol services; or
(2) the department hires only lateral entry officers possessing a POST
Basic Cerfificate and who have either:
(A) completed a POST-approved Field Training Program, or
(B) one year previous experience performing general law enforcement
uniformed patrol duties.
Requests for an exemption shall be made on POST form 2-229 (Rev.
04/02), signed by the department head, along with written documentation
attesfing to the department's qualification(s) for an exemption. In the
event that a department no longer meets the exemption criteria, a request
for POST-approval of the department's Field Training Program shall be
made as outlined in PAM, secfion D-13.
(c) Field Training Supervisor/Administrator/Coordinator (SAC)
Training Requirement: Every peace officer promoted, appointed, or
transferred to a supervisory or management position overseeing a field
training program shall successfully complete a POST-cerfified Field
Training Supervisor/Administrator/Coordinator (SAC) Course (as set
forth in PAM, secfion D-13) prior to or within 12 months of the initial
promotion, appointment, or transfer to such a posifion.
(d) Field Training Officer (FTO) Training Requirements:
(1) Every newly appointed FTO shall:
(A) successfully complete a POST-cerfified Field Training Officer
Course (as set forth in PAM, section D-13) prior to training new officers;
and,
(B) complete 24-hours of update training every three years following
complefion of the Field Training Officer Course. The update training
shall be satisfied by:
1 . complefing a POST-cerfified Field Training Officer Update Course
(as set forth in PAM, secfion D-13); or,
2. complefing 24-hours of department-specific training in the field
training topics contained in the Field Training Officer Update Course (as
set forth in PAM, secfion D-13)
(2) Every reassigned FTO, after a 3 year-or-longer break in service
as an FTO, shall
(A) successfully complete a POST-certified Field Training Officer
Update Course (as set forth in PAM, secfion D-13) prior to training new
officers; and.
(B) complete 24-hours of update training every three years. The up-
date training shall be satisfied by:
1 . complefing a POST-cerfified Field Training Officer Update Course
(as set forth in PAM, section D-13); or,
2. complefing 24-hours of department-specific training in the field
training topics contained in the Field Training Officer Update Course (as
set forth in PAM, secfion D-13)
(e) Field Training Compliance Extension Request: The Commission,
or its Execufive Director, in response to a written request on POST form
2-229 (Rev. 04/02) may extend compliance with the field training pro-
gram requirements for a department and/or its officers for up to one year.
The requesting department must supply a written justification for an ex-
tension, and an action plan as to how and when the department will com-
ply with the field training regulations. An additional one-year extension
may be granted through the same process. A department will be consid-
ered out of compliance after the deadline of the second extension.
NOTE: Authority cited: Sections 13503, 13506, 13510 and 13510.5, Penal Code.
Reference: Sections 13503, 13506, 13510 and 13510.5. Penal Code.
History
1 . Repealer of subsection (b) filed 5-14-82; designated effective 7-1-82 (Register
82, No. 20).
2. Amendment of section and Note filed 8- 10-2000; operative 9-9-2000 (Regis-
ter 2000, No. 32).
3. Renumbeiing of former section 1004 to new section 1012 and new section 1004
filed 10-7-2002; operative 7-1-2003 (Register 2002, No. 41).
4. Amendment of subsection (a)(1) filed 10-7-2003; operative 1 1-6-2003 (Reg-
ister 2003, No. 41).
Page 52
Register 2006, No. 30; 7-28-2006
Title 11
Commission on Peace Officer Standards and Training
8 1005
§ 1005. Minimum Standards for Training (Reference
Regulation 1007 and Commission Procedure H
for reserve peace off/cer training standards.)
(a) Minimum Entry-Level Training Standards (Required).
( 1 ) Basic Course Requirement: Every peace officer, except Reserve
Levels II and III. those peace officers listed in Regulation 1005(a)(3)
[peace officers whose primary duties are investigative], and 1005(a)(4)
[coroners or deputy coroners], shall complete the Regular Basic Course
before being assigned duties which include the exercise of peace officer
powers. Requirements for the Regular Basic Course are set forth in PAM,
section D-1-3.
(A) Field Training Program Requirement: Every peace officer, except
Reserve Levels II and III and those officers described in sections (B)I-5
(below), following completion of the Regular Basic Course and before
being assigned to perform general law enforcement uniformed patrol du-
ties without direct and immediate supervision, shall complete a POST-
approved Field Training Program as set forth in PAM section D-13.
(B) Exemptions to the Field Training Program Requirement: An offi-
cer is exempt from the Field Training Program requirement following
completion of the Regular Basic Course:
1. While the officer's assignment remains custodial related, or
2. If the officer's employing department does not provide general law
enforcement uniformed patrol services and the department has been
granted an exemption as specified in Regulation 1004, or
3. If the officer is a lateral entry officer possessing a POST Basic Cer-
tificate and who has either:
a) completed a POST-approved Field Training Program, or
b) one year previous experience performing general law enforcement
uniformed patrol duties, or
4. If the officer was a Level I Reserve and is appointed to a full-time
peace officer position within the same department and has previously
completed the department's entire POST-approved Field Training Pro-
gram within the last 12 months of the new appointment, or has the signed
concurrence of the department head attesting to the individual's compe-
tence, based upon experience and/or other field training as a solo general
law enforcement uniformed patrol officer, or
5. If the officer's employing department has obtained approval of a
field training compliance extension request provided for in Regulation
1004.
More specific information regarding basic training requirements is lo-
cated in Commission Procedure D-1.
(2) Every district attorney investigator or inspector (Penal Code sec-
tion 830. 1 ), regularly employed and paid as such, in addition to the Regu-
lar Basic Course training requirement set forth in Regulation 1005(a)(1)
shall complete a POST-certified Investigation and Trial Preparation
Course, PAM section D-1 4, within 12 months from the date of appoint-
ment.
(3) Every peace officer whose primary duties are investigative, except
district attorney investigators or inspectors, shall complete, within 12
months from the date of appointment, the Regular Basic Course or the
Specialized Investigators' Basic Course, PAM, section D-1-5, as
elected by the department head. Departments in the following categories
have been identified as primarily investigative and may exercise the op-
tion provided in this section: 1 ) state investigative agencies including the
Supreme Court of California, (2) welfare investigations, 3) welfare fraud,
(4) social services, 5) human assistance/services, and 6) District Attorney
child support divisions or welfare fraud units (appointed under P.C.
830.35).
(4) Every coroner or deputy coroner [as defined in Penal Code section
830.35(c)], regularly employed and paid as such, shall satisfactorily
complete the PC 832 Arrest and Firearms Course before the exercise of
peace officer powers. In addition to the PC 832 Arrest and Firearms
Course, satisfactory completion of the POST-certified Coroners' Death
Investigation Course, PAM, Section D-1-7, is also required within 12
months from date of appointment. The Coroners' Death Investigation
Course requirement shall only apply to peace officer coroners hired on
or after the agency enters the POST program.
(5) Every school police officer employed by a K- 1 2 school district or
California Community College district before July 1, 1999, in addition
to the Regular Basic Course requirement set forth in Regulation
1005(a)(1), shall complete a POST-certified Campus Law Enforcement
Course [(Regulation 1081(a)(20)] no later than July 1, 2002. Every
school police officer employed by a K-12 school district or California
Community College district after July 1 , 1999, in addition to the Regular
Basic Course, shall complete a POST-certified Campus Law Enforce-
ment Course within two years of the date of first appointment.
(6) Every limited function peace officer shall satisfactorily meet the
training requirements of the PC 832 Arrest and Firearms Course; except
training in the carrying and use of firearms shall not be required when an
employing agency prohibits limited function peace officers the use of
firearms.
(7) Every peace officer prior to exercising peace officer powers shall
complete the requirements of Penal Code section 832, which may be part
of the minimum basic training standard or a separately certified course.
(b) Supervisory Course (Required).
(1 ) Every peace officer promoted, appointed or transferred to a first-
level supervisory position shall satisfactorily complete a certified Super-
visory Course prior to promotion or within 1 2 months after the initial pro-
motion, appointment or transfer to such position. An officer who will be
appointed within 12 months to a first-level supervisory position or an of-
ficer assigned to a quasi-supervisory position may attend a Supervisory
Course, if authorized by the department head. Requirements for the Su-
pervisory Course are set forth in PAM, section D-3.
(2) Every department participafing in the POST reimbursement pro-
gram may be reimbursed for completion of the Supervisory Course by an
officer as described in (b)( 1 ) above, provided that the officer is full time
and has been awarded or is eligible for the award of the Basic Certificate.
(c) Management Course (Required).
( 1 ) Every peace officer promoted, appointed or transferred to a middle
management position shall satisfactorily complete a certified Manage-
ment Course prior to promotion or within 1 2 months after the initial pro-
motion, appointment or transfer to such posifion. An officer who will be
appointed within 12 months to a middle management or higher position
or an officer who is assigned to a first-level supervisory position may at-
tend a Management Course, if authorized by the department head.
Completion of the Supervisory Course is a prerequisite to attending the
Management Course. Requirements for the Management Course are set
forth in PAM, secUon D-4.
(2) Every department participafing in the POST reimbursement pro-
gram may be reimbursed for complefion of the Management Course by
an officer described in (c)(1) above, provided the officer is full time and
has safisfactorily completed the Supervisory Course.
(3) Every regular officer who is duly elected or appointed to the Board
of Directors or Executive Board of a local Peace Officer Association or
Deputy Sheriff Association may attend a certified Management Course
if authorized by their department head. The officer's jurisdiction may be
reimbursed following satisfactory completion of such training provided
that the officer has satisfactorily completed the training requirements of
the Supervisory Course.
(4) Every regular officer who is duly elected or appointed to the Board
of Directors of a local Peace Officer Association or Deputy Sheriff
Association and is on 100% release from their organization may attend
the Management Course without prior approval of their department head.
(d) Continuing Professional Training (CPT) (Required). CPT is re-
quired for certain peace officer and dispatcher personnel who are
employed by POST participating departments. The purpose of CPT is to
maintain, update, expand, and/or enhance an individual's knowledge
and/or skills. CPT is training that exceeds the training required to meet
or requalify in entry-level minimum standards. Qualifying and non-
qualifying courses are described in subsection (d)(4) below.
(1) Requirement: Every peace officer other than a Level III Reserve
Peace Officer, Public Safety Dispatcher, and Public Safety Dispatch Su-
pervisor shall satisfactorily complete the CPT requirement of 24 or more
hours of POST-qualifying training during every two-year CPT cycle.
Page 53
Register 2008, No. 25; 6-20-2008
§1005
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
based on a permanent CPT Anniversary Date as specified in subsection
(d)(2) below.
Effective January 1. 2002, certain peace officers in specific duty as-
signments must satisfy a portion of the CPT requirement by completing
Perishable Skills and Communications training as specified in (d)(5) be-
low.
(2) CPT Anniversary Date Defined: The CPT Anniversary Date is a
permanently-established month/day date that is based on the first quali-
fying appointment date (month/day/year) to any qualifying California
peace officer or dispatcher position identified in (d)( 1 ) above. The peace
officer or dispatcher position must be with a department that is, or is eligi-
ble to be, a POST-participating department. Reference Penal Code sec-
tions 13510(a) or (c) or 13510.5 for department eligibility and POST
Regulation 1010 for the process for becoming a POST-participating de-
partment.
The date used to establish the CPT Anniversary Date will be the first
qualifying appointment date recorded on the individual's POST profile
(employment/training record) as submitted by the first POST-participat-
ing department.
(3) Determination of Two-Year Cycle: The beginning date for the
two-year CPT cycle starts with, and repeats based upon, an individual's
CPT Anniversary Date.
(A) CPT Cycle Start: Effective August 1 , 2005, the CPT Anniversary
Date is used to start a peace officer's or dispatcher's CPT training cycle.
The actual CPT cycle will start only after the employing department is
an authorized participant in the POST Program.
( 1 ) One Time Transition Period. For purposes of implementing the
CPT Anniversary Date, a transition period, with no CPT requirement, is
granted to all personnel appointed to any California peace officer or dis-
patcher position identified in (d)( 1 ) above whose first qualifying appoint-
ment date is prior to August 1, 2005 and whose CPT Anniversary Date
is not August 1 . This one-Ume transition period is the time period be-
tween August 1 , 2005 and the first subsequent occurrence of the CPT An-
niversary date for each individual. No transition periods are authorized
beyond July 31, 2006.
NOTe: For example, an individual with a CPT Anniversary date of August 1 will
have no transition period before the CPT Cycle starts. An individual with a CPT
Anniversary date of August 2 will have a transition period of one day, between Au-
gust 1-August 2, 2005, before the CPT Cycle starts. However, an individual with
a CPT Anniversary date of July 31 will have a transition period of one year, be-
tween August 1, 2005 and July 31, 2006, before the CPT Cycle begins.
(2) First-Time Appointments: A one-time grace period of twelve
months, with no CPT requirements, is granted when an individual is ap-
pointed for the first time to one of the above (d)(1) positions. This one-
time grace period is the time period between the individual' s first qualify-
ing appointment date and the first occurrence of the individual's CPT
Anniversary Date. It is granted to allow completion of entry-level re-
quirements that do not count towards CPT.
(3) Reappointment/Lateral Transfers: A grace period, with no CPT re-
quirement, is granted for an individual rehired into one of the above
(d)( 1 ) positions with the same department or who transfers to a different
department. This grace period is the time between the date reappointed
and the next cycle CPT Anniversary Date. It is granted to allow the two-
year CPT cycle to be re-synchronized to the permanent CPT Anniversa-
ry Date within twelve months following the reappointment date.
In the case of a lateral transfer, the new appointing department is not
responsible for any CPT cycles at the individual's last department, re-
gardless of whether the CPT cycle is partial or complete. The new depart-
ment will be audited using the officer or dispatcher's next complete CPT
cycle after the new lateral appointment date.
Note: Although the month and day of the CPT Anniversary Date is always the
same, the odd or even year cycle could change, resulting in a new 24-month peri-
od. For example, an individual with a CPT Anniversary Date of June 10, and an
even year CPT cycle of 2000-2002-2004, leaves law enforcement service. Upon
reinstatement in April 2007, this individual's permanent CPT Anniversary Date
of June 1 remains, but the 24-month cycle changes to an odd-year cycle of
2007-2009-2011.
(B) Status Changes: As the CPT Anniversary Date is a permanently
assigned month/day date, it does not change with status changes within
a peace officer or dispatcher classification series (e.g., promotion, lateral
transfer, probation, military leave or administrative leave, etc.)
(C) Different Classifications: Peace officers and dispatchers are sepa-
rate personnel classifications with different skill sets, and as such, require
separate appointment dates and, therefore, different CPT Anniversary
Dates, CPT cycles, and CPT requirements.
(D) Dual Employment: In some situations, an individual may have
dual employment as a peace officer/peace officer, a dispatcher/dispatch-
er, or as a peace officer and a dispatcher.
1. Within the same classification: (e.g., a peace officer working con-
currently for two departments). In such cases, the CPT Anniversary Dale
is set from the first peace officer appointment date as stated in (2) above.
The same requirement applies to a dispatcher working for two depart-
ments simultaneously. Either individual shall only be held to one CPT
cycle although having dual jobs in the same classification (i.e., dispatch-
er/dispatcher classification).
2. Within two different classificafions: (e.g., a peace officer who is
also a dispatcher) whether within the same or different departments. In
such cases, the CPT Anniversary Dates, CPT cycles, and CPT training
hour requirements remain separate for the peace officer job and the dis-
patcher job. This individual shall be responsible for two CPT cycles. The
CPT training must be job-related to qualify. See the examples in (D)(3)
below.
3. Dual CPT Credit: POST-cerfified training courses attended by an
individual in dual employment, such as a peace officer and dispatcher,
may count for CPT credit for both positions/classifications if the training
course is job related for both a peace officer and a dispatcher. For exam-
ple, a Tactical Shotgun course would not qualify as CPT for dispatchers.
A Missing Persons course is job-related for both dispatcher and peace
officer classifications and would quahfy for dual CPT credit.
(E) CPT Training in Excess of 24 Hours: POST-qualifying CPT train-
ing in excess of 24 hours during a two-year cycle shall not be credited
toward any future or prior CPT cycles.
(F) POST Profile Employment Record: The permanent CPT Anniver-
sary Date assigned by POST will be displayed on the individual's POST
Profile. If POST cannot accurately establish an individual's initial ap-
pointment date pursuant to 2(A) above, POST may use the first qualify-
ing appointment date to the first POST-participating department to es-
tablish a permanent CPT Anniversary Date. The POST-assigned CPT
Armiversary Date will only be used for purposes of CPT regulations.
(4) Qualifying and Non-Qualifying Training. The above CPT require-
ment is met by satisfactory completion of one or more POST-certified
courses totaling a minimum of 24 hours, as referenced below.
(A) While recommended topics for CPT are listed in PAM section
D-2, POST-certified training courses may be used for CPT credit, with
the exception of the following POST-certified courses that do not quali-
fy for CPT:
Regular Basic Course
Field Training Program
Investigation and Trial Preparation Course
Specialized Investigators' Basic Course
PC 832, Arrest and Firearms Course
Coroners' Death Invesfigafion Course
Campus Law Enforcement Course
Aviation Security Course
Reserve Level III Module
Reserve Level II Module
Reserve Level I Module
Public Safety Dispatcher's Basic Course
POST Requalificadon Course
POST Workshops (those designed to provide input or advice to
POST)
Field Management Training
Team Building Workshops
(B) The CPT requirement may be satisfied by an alternative method
of compliance as determined by the Commission, i.e., Commission se-
lected non-POST cerUfied courses, Reference Regulation 1060 and
PAM section D-2-3.
(5) Perishable Skills/Communicafions Requirements for CPT. Effec-
tive January 1 , 2002, all peace officers (except reserve officers) below the
Page 54
Register 2008, No. 25; 6-20-2008
Title 11
Commission on Peace Officer Standards and Training
§1005
middle management position and assigned to patrol, traffic, or investiga-
tion who routinely effect the physical arrest of criminal suspects are re-
quired to complete Perishable Skills and Communications training. In-
lieu of completing the training, the requirement may be met by
successfully passing a presenter-developed test that measures the ap-
proved training objectives.
(A) Perishable Skills training shall consist of a minimum of 12 hours
in each two-year period. Of the total 12 hours required, a minimum of
4 hours of each of the three following topical areas shall be completed:
1 . Arrest and Control
2. Driver Training/Awareness or Driving Simulator*
3. Tactical Firearms* or Force Options Simulator
*Reference Commission Procedure D-2 for minimum requirements.
(B) Communications training, either tactical or interpersonal, shall
consist of a minimum of 2 hours in each two-year period as specified in
Commission Procedure D-2.
It is recommended that managers and executives complete, within
their two-year compliance cycle, two hours of CPT devoted to updates
in the perishable skills topical areas enumerated above.
(C) Exemptions. Agencies may request an exemption from all or part
of the Perishable Skills and Communications training requirement.
Agencies must request an exemption in writing and provide an attestation
that their peace officers do not carry firearms, or they infrequently inter-
act with or effect physical arrests of criminal suspects, or do not utilize
marked emergency vehicles during normal course of business.
(e) Executive Development Course (Optional).
(1) The Executive Development Course is designed for department
heads and their executive staff positions. An officer who will be ap-
pointed within 1 2 months to a department head or executive position may
attend the Executive Development Course, provided the officer has satis-
factorily completed the Management Course. Requirements for the
Executive Development Course are set forth in PAM, section D-5.
(2) Every department participating in the POST reimbursement pro-
gram may be reimbursed for completion of the Executive Development
Course by an officer as described in (e)(1) above, provided the officer is
full time and has satisfactorily completed the Management Course.
(3) The Executive Director may waive the Management Course
completion prerequisite for a chief executive who has completed training
comparable to a POST Management Course. The application and evalua-
tion processes are described in PAM Section D-15, Management Course
Prerequisite Waiver Process for Attending the Executive Development
Course.
(f) Legislatively Mandated Training.
(1) Specific training mandated by the legislature is specified in Regu-
lation 1081.
(g) Field Management Training (Optional).
( 1 ) Field Management Training is designed to assist in the solution of
specific management problems within individual Regular Program de-
partments.
(2) Requirements for Field Management Training are set forth in
PAM, section D-9.
(h) Records Supervisor Training (The following courses are required
only for records supervisors applying for the Records Supervisor Certifi-
cate).
(1) Public Records Act (minimum 16 hours); and
(2) Records Supervisor Course (minimum 40 hours).
PAM section D-1-1 adopted effective September 26, 1990 and
amended January 14, 1994, August 7, 1996, January 1, 2001, January 1,
2004, and September 15, 2004 is herein incorporated by reference.
PAM section D-1-2 adopted effective September 26, 1990 and
amended January 1 1, 1992, January 14, 1994, August 7, 1996, February
13, 1997, September 25, 1998, January 1 , 2004, September 15,2004,and
August 26, 2006.
PAM section D-1-3 adopted effective April 15, 1982, and amended
January 24, 1985, September 26, 1990, January 14, 1994, July 16, 1994,
December 16, 1994, August 16, 1995, August 7, 1996, November 27,
1996, February 22, 1997, August 16, 1997, December 4, 1997, January
1 , 200 1 , January 1 , 2002, April 1 0, 2002, January 1 , 2004, September 15,
2004, January 1 , 2006, January 1 9, 2007, and July 1 , 2007 is herein incor-
porated by reference.
PAM section D-1-4 adopted effective October 20, 1983, and
amended September 26. 1 990, October 27, 1 99 1 , January 1 4, 1 994, May
7, 1995, July 21, 2000, January 1, 2001, July 1, 2002, September 15,
2004, January 1 , 2006, January 19, 2007, and July 1 , 2007 is herein incor-
porated by reference.
PAM Section D-1-6 adopted effective February 4. 1993 is herein in-
corporated by reference.
PAM section D-1-7 adopted effective January 1, 2004. and amended
September 15, 2004 and January 1 . 2006 is herein incorporated by refer-
ence.
PAM section D-2 adopted effective April 15. 1 982, and amended Jan-
uary 24, 1985, July 1, 2000, September 11. 2000, November 11, 2000,
January 1, 2002, September 12, 2002. May 7, 2003, August 7, 2003, Jan-
uary 29, 2004, September 12, 2005, and August 26. 2006 is herein incor-
porated by reference.
PAM section D-3 adopted effective April i 5, 1 982, and amended Oc-
tober 20, 1983, January 29, 1988, and March 8, 2003 is herein incorpo-
rated by reference.
PAM section D-4 adopted effective April 15, 1982 and amended No-
vember 2, 2000 and January 20, 2006 is herein incorporated by reference.
PAM section D-1 3 adopted effective June 1 5, 1 990 and amended Feb-
ruary 22, 1996, January 1, 1999, and July 1, 2004, is herein incorporated
by reference.
PAM section D-1 4 adopted effective January 1, 2002 and amended
January 1 , 2006. is herein incorporated by reference.
PAM section D- 1 5 adopted effective January 20, 2006 is herein incor-
porated by reference.
PAM section H-3 adopted effective June 15, 1990, and amended ef-
fective July 1, 1992, is herein incorporated by reference.
The document. Training Specifications for the Investigation and Trial
Preparation Course, adopted January 1 , 2002, is herein incorporated by
reference.
The POST Basic Academy Physical Conditioning Manual (February
1990) adopted effective September 26, 1990, and amended and retitled
to (1996) on February 22, 1997, is herein incorporated by reference.
The document. Training and Testing Specifications for Peace Officer
Basic Courses, adopted effective January 1 , 2001 , and amended effective
October 1 , 2001 , January 1 , 2002, July 1 , 2002, January 1 , 2003, January
1, 2004, August 15, 2004, September 15, 2004, July 1, 2005, January 1.
2006, January 19, 2007, July 1, 2007, August 8, 2007, January 1, 2008,
and July 1 , 2008 is herein incorporated by reference.
The document. Instructor' s Guide to Learning Activities for leader-
ship, Ethics and Community Policing December 2005, adopted effective
January 1 , 2006 is herein incorporated by reference.
NOTE; Authority cited: Sections 832.3, 832.6, 13503, 13506, 13510, 13510.3,
13510.5 and 13519.8, Penal Code. Reference: Sections 832, 832.3, 832.3(f) and
(h), 832.6, 13506, 13510, 13510.3, 13510.5, 13511, 13513, 13514, 13516. 13517,
13519.8, 13520 and 13523, Penal Code.
History
1. Renumbering of former subsections (a)(5) and (a)(6) to subsections (a)(6) and
(a)(7), and new subsection (a)(5) filed 12-18-89; operative 1-1 7-90 (Register
89, No. 51). For prior history, see Register 88, No. 3.
2. Amendment of subsection (g)(2) filed 4-26-90; operative 5-26-90 (Register
90, No. 21).
3. Amendment filed 5-16-90; operative 6-15-90 (Register 90, No. 21 ).
4. Amendment of subsection (a) and PAM sections D-1-3, D-1-4, D-I-5. and
D-1-6 and the adoption and incorporation by reference of PAM D-1-1 , D-1-2,
the POST Basic Academy Physical Conditioning Manual (February 1990), and
Performance Objectives for the POST Basic Course - 1 989, filed 8-27-90; op-
erative 9-26-90 (Register 90, No. 42).
5. Amendment of Performance Objectives for the POST Basic Course ( 1 989) filed
5-30-91; operafive 6-29-91 (Register 91, No. 28).
6. Amendment filed 9-27-91; operafive 10-28-91 (Register 91, No. 51).
7. Amendment of subsection (j)(2) filed 12-12-91; operative 1-13-92 (Register
92, No. 9).
8. Amendment of subsection (j)(2) filed 12-23-91; operative 7-1-92 (Register
92, No. 19).
9. Amendment of subsection (j)(2) filed 9-28-92; operafive 10-28-92 (Register
92, No. 40).
Page 55
Register 2(K)8, No. 25; 6-20-2008
§1005
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
10. New subsection (a)(5), subsection renumbering, and adoption and incorpora-
tion by reference of PAM D-1-8 filed 1-5-93; operative 2^-93 (Register 93,
No. 2).
1 1 . Amendment of subsection (j)(2) and adoption and incorporation by reference
of document Performance Objectives for the POST Basic Course filed
3-29-93; operative 4-28-93 (Register 93, No. 14).
12. Ainendment of subsection (j)(2) and incorporated by reference of Commission
Procedure D-1 filed 12-15-93; operative 1-14-94 (Register 93, No. 51).
13. Amendment of subsection (j)(2) and documents PAM section D-1-3 and
Training Specifications for the Regulai" Basic Course incorporated by reference
filed 6-16-94; operative 7-16-94 (Register 94, No. 24).
14. Amendment of subsection (j)(2) and documents PAM section D-1-3 and
Training Specifications for the Regular Basic Course incorporated by reference
filed 11-16-94; operative 12-16-94 (Register 94. No. 46).
15. Amendment of subsection (a)(4), amendment of PAM section D-1-6 (incor-
porated by reference), and repealer and new document, Traiiiin!> Specifications
for the Specialized Iiivestii^ators ' Basic Course — / 995 (incorporated by refer-
ence), filed 4-7-95; operative 5-8-95 (Register 95, No. 14).
16. Amendment of subsections (d)(l)-(2) filed 4-17-95; operative 5-17-95
(Register 95, No. 16).
17. Amendment of document. Training Specifications fi)r the Regular Basic
Course (incorporated by reference) filed 7-13-95; operative 8-12-95 (Reeister
95, No. 28).
18. Amendment of document. Training Specifications for the Regular Basic
Course (incorporated by reference) filed 7-17-95; operative 8-16-95 (Register
95, No. 29).
19. Amendment of document. Training Specification for the Regular Basic
Course (incorporated by reference) filed 7-24-95; operative 8-23-95 (Register
95, No. 30).
20. Amendment of document. Training Specification for the Regular Basic
Course (incorporated by reference) filed 7-25-95; operative 8-24-95 (Register
95, No. 30).
21. Amendment of document. Training Specifications for the Regular Basic
Course (incorporated by reference) and NOTii filed 8-21-95; operative
9-20-95 (Register 95, No. 34).
22. Amendment of document. Training Specifications for the Regular Basic
Course (incorporated by reference) filed 10-1 1-95; operative 1 1-10-95 (Reg-
ister 95, No. 41).
23. Amendment of penultimate paragraph and amendment of document. Training
Specifications for the Regular Basic Course (incorporated by reference) filed
1-18-96; operafive 2-17-96 (Register 96, No. 3).
24. Amendment of subsection (d)(1), PAM section D-13 (incorporated by refer-
ence) and Note filed 1-23-96; operafive 2-22-96 (Register 96, No. 4).
25. Amendment of penultimate paragraph and amendment of document. Training
Specifications for the Regular Basic Course (incorporated bv reference) filed
2-28-96; operative 3-29-96 (Register 96, No. 9).
26. Amendment of subsections (a)(3)-(5), repealer of PAM section D-1-5 and
PAM section renumbering (incorporated by reference) and amendment of Note
filed 4-2-96; operative 5-2-96 (Register 96, No. 14).
27. Amendment of penultimate paragraph and amendment of document. Training
Specifications for the Regular Basic Course (incorporated by reference) filed
4-17-96; operative 5-17-96 (Register 96, No. 16).
28. Amendment of PAM sections D-1-1 , D-1-2 and D-1-3 (incorporated by ref-
erence), and adoption of the Training Specifications for the Reserve Module
"D" ~1 995 (incorporated by reference) filed 7-8-96; operative 8-7-96 (Regis-
ter 96, No. 28).
29. Amendment of PAM section D-1-3 (incorporated by reference) and amend-
ment of Post Administrative Manual, Commission Procedure D-1, (incorpo-
rated by reference) filed 10-28-96; operafive 1 1-27-96 (Register 96, No. 44).
30. Amendment of antepenulfimate paragraph and amendment of document.
Training Specification for the Regular Basic Course (incorporated by refer-
ence) filed 1 1-13-96; operafive 12-13-96 (Register 96, No. 46).
3 1 . Amendment of subsection (d)(2) filed 1 1 -20-96; operative 1 2-20-96 (Regis-
ter 96, No. 47).
32. Amendment of antepenulfimate paragraph and amendment of document.
Training Specifications for the Regular Basic Course (incorporated by refer-
ence) filed 1-13-97; operative 2-12-97 (Register 97, No. 3).
33. Amendment of subsection (h)(2) and PAM section D-1-2 (incorporated by
reference) filed 1-14-97; operative 2-13-97 (Register 97, No. 3).
34. Amendment of subsection G)(2), PAM section D-1-3 (incorporated by refer-
ence), and The POST Basic Academy Physical Conditioning Manual (incorpo-
rated by reference) filed 1-23-97; operafive 2-22-97 (Register 97, No. 4).
35. Change without regulatory effect amending subsection (,j)(2) and PAM section
D-1-3 (incorporated by reference) filed 2-13-97; operative 3-15-97 pursuant
to section 100, tide 1, California Code of Regulations (Register 97, No. 7).
36. Amendment of antepenultimate paragraph and amendment of document,
Training Specifications for the Regular Basic Course (incorporated by refer-
ence) filed 4-16-97; operative 5-16-97 (Register 97, No. 16).
37. Amendment of antepenultimate paragraph and amendment of document.
Training Specifications for the Regular Basic Course (incorporated by refer-
ence) filed 6-5-97; operative 7-5-97 (Register 97, No. 23).
38. Amendment of subsection (j)(2) and PAM section D-1-3 (incorporated by ref-
erence) filed 7-17-97; operative 8-16-97 (Register 97, No. 29).
39. Amendment of last paragraph and amendment of the document. Training
Specifications for the Resen'e Training Module "D" (incorporated by refer-
ence) filed 7-25-97; operative 8-24-97 (Register 97. No. 30).
40. Amendment of subsections (j)(2) and PAM section D-1-3 (incorporated by
reference) filed 1 1-4-97; operative 12-4-97 (Register 97, No. 45).
41. Amendment of antepenultimate paragraph and amendment of document
Training Specifications for the Regular Basic Course (incorporated by refer-
ence) filed 12-15-97; operative 1-14-97 (Register 97, No. 51).
42. New subsections (k)-(k)(2) and amendment of Note-; filed 1-9-98; operative
2-8-98 (Register 98, No. 2).
43. Editorial coiTection of subsection (k)(2) (Register 98, No. 9).
44. Amendment of antepenultimate paragraph and amendment of document.
Training Specifications for the Regular Basic Course (incorporated by refer-
ence) filed 3-12-98; operative 4-1 1-98 (Register 98, No. 11).
45. Editorial change amending History 35 (Register 98, No. 20).
46. Amendment of subsections (a)-(a)(l) and (a)(1)(C) and (D), new subsections
(a)(2)-(a)(2)(D), subsection renumbering, amendment of newly designated
subsections (a)(3)-(5) and (a)(9), amendment of subsection (k)(2), and amend-
ment of Form 2-229 and PAM section D-13 (incorporated by reference) filed
7-15-98; operative 1-1-99 (Register 98, No. 29).
47. Editorial correction of History 46 (Register 98, No. 35).
48. Amendment of subsections (a)(3) and (k)(2) and PAM section D-1-4 (incor-
porated by reference) filed 8-25-98; operative 9-24-98 (Register 98, No. 35).
49. Amendment of last paragraph and amendment of document, Training Specifi-
cations for the Reserve Trainini> Module "D " (incorporated by reference) filed
8-27-98; operative 9-26-98 (Register 98, No. 35).
50. Amendment of antepenultimate and last paragraphs and amendment of docu-
ment. Training Specifications for the Reserve Training Module "D" (incorpo-
rated by reference) filed 10-27-98; operative 1 1-26-98 (Register 98, No. 44).
51. Amendment of subsections (g)-(g)(2) filed 3-22-99; operative 4—21-99
(Register 99, No. 13).
52. Amendment of subsections (d)(l)-(2), repealer of subsection (d)(3), new sub-
sections (d)(3)-(4), subsection renumbering, repealer of subsections (f)-(f)(2)
and (h)-(h)(2), subsection relettering, and amendment of PAM section D-2 (in-
corporated by reference) filed 8-19-99; operative 7-1-2000 (Register 99, No.
34).
53. Amendment of PAM section D-1-5 and amendment of document Training
Specifications for the Specialized Investigators ' Basic Course (both incorpo-
rated by reference) filed 7-21-2000; operative 7-21-2000 pursuant to Govern-
ment Code secfion 1 1343.4(d) (Register 2000, No. 29).
54. Amendment of section heading, section and Note filed 8-10-2000; operative
9-9-2000 (Register 2000, No. 32).
55. Amendment of subsection (h)(2) and PAM section D-4 (incorporated by refer-
ence) filed 10-3-2000; operative 11-2-2000 (Register 2000, No. 40).
56. Amendment of subsections (d)(2) and (h)(2) and PAM section D-2 (incorpo-
rated by reference) filed 10-12-2000; operative 11-11-2000 (Register 2000,
No. 41).
57. Amendment of PAM sections D-1-1, D-1-3 and D-1-5 (incorporated by ref-
erence), repealer and new antepenultimate paragraph and replacement of the
document Training Specifications for the Regular Basic Course with the new
document Training and Testing Specifications for Peace Officer Basic Courses
(incorporated by reference) and amendment of last two paragraphs filed
12-29-2000; operative 1-1-2001 pursuant to Government Code section
11343.4(d) (Register 2000, No. 52).
58. Amendment of PAM section D-1-3 (incorporated by reference) filed
1-3-2001; operative 1-1-2002 (Register 2001, No. 1).
59. Amendment of subsection (d)(2) and amendment of PAM section D-2 (incor-
porated by reference) filed 5-22-2001; operative 1-1-2002 (Register 2001,
No. 21).
60. New subsections (c)(3)-(4) filed 8-2-2001; operative 9-1-2001 (Register
2001, No. 31).
61. Editorial correction of document titles in penultimate and antepenultimate
paragraphs (Register 2001, No. 33).
62. Amendment of antepenultimate paragraph and amendment of document
Training and Testing Specifications for Peace Officer Basic Courses (incorpo-
rated by reference) filed 8-16-2001'; operative 10-1-2001 (Register 2001, No.
33).
63. Editorial correction of subsection (h)(2) (Register 2001, No. 38).
64. Repealer of PAM section D-1-4, renumbering of PAM sections, new PAM
section D-14 and new document Training Specifications for the Investigation
and Trial Preparation Course (all incorporated by reference) filed
10-17-2001; operative 1-1-2002 (Register 2001, No. 42).
65. Amendment of PAM section D-1-3 and amendment of the document. Train-
ing and Testing Specifications for Peace Officer Basic Courses (both incorpo-
rated by reference) and amendment of the antepenultimate paragraph filed
•
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Register 2008, No. 25; 6-20-2008
Title 11
Commission on Peace Officer Standards and Training
§1007
12-5-2001: operative 1-1-2002 pursuant to Government Code section
1 1 343.4 ( Register 200 1 , No. 49). 66. Change without regulatory effect amend-
ing subsection (d)(2) and PAM section D-2 (incorporated by reference) filed
1-14-2002 pursuant to section 100, title 1, California Code of Regulations
(Register 2002, No. 3).
66. Change without regulatory effect amending subsection (d)(2) and PAM sec-
tion D-2 (incorporated by reference) filed 1-14-2002 pursuant to section 100,
title 1. California Code of Regulations (Register 2002, No. 3).
67. Amendment of PAM section D-1-3 (incorporated by reference) and repealer
of the document Training Specifications for the Resen'e Training Module
"D" — Modular Formal (incorporated by reference) filed 3-11-2002; opera-
tive 4-10-2002 (Register 2002, No. 11).
68. Amendment of penultimate paragraph and amendment of the document,
Traiitini> and Testing Specifications for Peace Officer Basic Courses (incorpo-
rated by reference) filed 4-26-2002; operative 7-1-2002 (Register 2002, No.
17).
69. Amendment of subsection (h)(2). amendment of PAM section D-1-4, amend-
ment of the document. Training and Testing Specifications for Peace Officer
Basic Courses and elimination of the document. Training Specifications for tlie
Specialized Investigators' Basic Course (all incorporated by reference) filed
5-21-2002; operative 7-1-2002 (Register 2002, No. 21).
70. Amendment of subsection (h)(2) and amendment of Learning Domains #23
and #36 within the document. Training and Testing Specifications for Peace Of-
ficer Basic Courses (incorporated by reference) filed 5-24-2002; operative
'7-1-2002 (Register 2002, No. 21).
71. Amendment of subsection (h)(2) and amendment of PAM section D-2 (incor-
porated by reference) filed 8-13-2002; operative 9-12-2002 (Register 2002,
No. 33).
72. Amendment of subsections (a) and (a)(1)(A), redesignation and amendment
of portion of subsection (a)(1)(A) and subsections (a)(l)(A)l.^. as new sub-
sections (a)( 1 )(B)-(a)( 1 )(B)5., amendment of PAM section D-1 3 (incorporated
by reference) and repealer of the POST Field Training Guide (incorporated by
reference) filed 10-7-2002; operative 7-1-2003 (Register 2002, No. 41).
73. Amendment of last paragraph and amendment of document Training and Test-
ing Specifications for Peace Officer Basic Courses (incorporated by reference)
filed 11-26-2002'; operafive 1-1-2003 (Register 2002, No. 48).
74. Amendment of PAM section D-3 (incorporated by reference) and amendment
of subsection (h) filed 2-6-2003; operative 3-8-2003 (Register 2003, No. 6).
75. Amendment of subsections (d)( 1 )-(4) and (h)(2) and amendment of PAM sec-
tion D-2 (incorporated by reference) filed 4-7-2003; operative 5-7-2003
(Register 2003, No. 15).
76. Amendment of subsection (h)(2) and amendment of PAM secdon D-1 3 (incor-
porated by reference) filed 5-5-2003 as an emergency; operative 5-5-2003
(Register 2003, No. 19). A Certificate of Compliance must be transmitted to
OAL by 9-2-2003 or emergency language will be repealed by operation of law
on the following day.
77. Amendment of subsection (d)(3) filed 7-8-2003; operative 8-7-2003 (Regis-
ter 2003, No. 28).
78. Amendment of subsections (a)(4), (a)(6), (h)(2) and PAM sections D-1-1 and
D-1-3, new PAM section D-1-7 (PAM secdons incorporated by reference)
and amendment of last paragraph filed 8-2 1-2003; operadve 1-1-2004 (Regis-
ter 2003, No. 34).
79. Editorial correction inserting inadvertently omitted text in subsection
(a)(l)(B)4. and correcting History 76 (Register 2003, No. 40).
80. Certificate of Compliance as to 5-5-2003 order, including amendment of sub-
sections (a), (a)(1)(B) l.b) and (a)(l)(B)4., transmitted to OAL 8-26-2003 and
filed 10-7-2003 (Register 2003, No. 41).
81. Amendment of last paragraph and further amendment of version of document
Training and Testing Specifications for Peace Officer Basic Courses effective
1-1-2004 (incorporated by reference) filed 1 1-13-2003; operadve 1-1-2004
(Register 2003, No. 46).
82. Amendment of subsection (d)(3) and amendment of Commission Procedure
D-2 (incorporated by reference) filed 12-30-2003; operative 1-29-2004 (Reg-
ister 2004, No. 1).
83. Amendment of last paragraph and amendment of document Training and Test-
ing Specifications for Peace Officer Basic Courses (incorporated by reference)
filed 7-7-2004; operative 8-15-2004 (Register 2004, No. 28).
84. Amendment of PAM sections D-1-1, D-1-2, D-1-3, D-1-4 and D-1-7,
amendment of last paragraph and amendment of document Training and Test-
ing Specifications for Peace Officer Basic Courses (incoiporated by reference)
filed 8-26-2004; operadve 9-15-2004 pursuant to Government Code section
1 1343.4 (Register 2004, No. 35).
85. Amendment of last paiagraph and amendment of document Training and Test-
ing Specifications for Peace Officer Basic Courses (incorporated by reference)
filed 6-15-2005; operadve 7-1-2005 pursuant to Government Code secdon
1 1343.4 (Register 2005, No. 24).
86. Amendment of subsecdons (d)-(d)(l), new subsecdons (d)(2)-(3)(F), subsec-
tion renumbering and amendment of newly designated subsections
(d)(4)-(d)(5)(C) filed 8-1-2005; operative 8-1-2005 pursuant to Government
Code section 11343.4 (Register 2005, No. 31).
87. Amendment of PAM section D-2 (incorporated by reference) and amendment
of subsection (h)(2) filed 8-12-2005; operative 9-1 1-2005 (Reei.ster 2005, No.
32).
88. Amendment of PAM secdons D-1-3, D-1-4, D-1-7 and D-14 and document
Training and Testing Specifications for Peace Officer Basic Courses, new doc-
ument Instructor's Guide to Learning Activities for Leadership. Ethics and
Community Policing December 2005 (all incorporated by reference) and
amendment of subsecdon (h)(2) filed 12-22-2005; operative 1-1-2006 pur-
suant to Government Code section 1 1343.4 (Register 2005, No. 51 ).
89. New subsection (e)(3), new PAM section D-15 (incorporated by reference)
and amendment of subsecdon (h)(2) filed 1-19-2006; operative 1-20-2006
pursuant to Government Code section 1 1343.4 (Register 2006, No. 3).
90. Amendment of PAM sections D-1-2 and D-2 (incorporated by reference) and
amendment of subsection (h)(2) filed 7-27-2006; operative 8-26-2006 ( Regis-
ter 2006, No. 30).
91. Amendment of PAM sections D-1-3 and D-1-4, and document Training and
Testing Specifications for Peace Officer Basic Courses (all incorporated by ref-
erence) and amendment of subsection (h)(2) filed 1-19-2007; operative
1-19-2007 pursuant to Government Code section 1 1343.4(c) (Register 2007,
No. 3).
92. Amendment of subsections (h) and (h)(2) filed 2-2-2007; operative 3-4-2007
(Register 2007, No. 5).
93. Amendment of PAM sections D-1-3 and D-1-4 and document Training and
Testing Specifications for Peace Officer Basic Courses (all incorporated by ref-
erence) and amendment of subsection (h)(2) filed 6-1-2007; operative
7-1-2007 (Register 2007, No. 22).
94. Amendment of penultimate paragraph and document Training and Testing
Specifications for Peace Officer Basic Courses (incorporated by reference)
filed 8-8-2007; operative 8-8-2007 pursuant to Government Code section
1 1343.4 (Register 2007, No. 32).
95. Amendment of penultimate paragraph and document Training and Testing
Specifications for Peace Officer Basic Courses filed 12-10-2007; operative
1-1-2008 pursuant to Government Code secdon 1 1343.4 (Register 2007, No.
50).
96. Amendment of penultimate paragraph and document Training and Testing
Specifications for Peace Officer Basic Courses (incorporated by reference)
filed 6-17-2008; operative 7-1-2008 pursuant to Government Code section
1 1343.4 (Register 2008, No. 25).
§ 1 006. Extension of Time Limit for Course Completion.
(a) The Commission will grant an extension of time limit for comple-
donofany course required by Sections 1005, 1007 or 101 8 of the Regula-
tions upon presentation of satisfactory evidence by a department that a
peace officer, reserve officer, or dispatcher is unable to complete the re-
quired course within the time limit prescribed because of illness, injury,
military service, or special duty assignment required and made in the
public interest of the concerned jurisdiction, or upon presentation of evi-
dence by a department that a peace officer, reserve officer, or dispatcher
is unable to complete the required course within the Ume prescribed.
Time extensions granted under this subsection shall not exceed that
which is reasonable, bearing in mind each individual circumstance.
(b) In the event that a department in the Regular Program does not re-
quire an individual to complete the applicable training by the end of the
extension period, such department shall not be eligible for the reimburse-
ment of any expenses which are incurred as a result of the training when
it finally occurs; in the event that an agency in the Specialized Program
does not require an individual to complete the applicable training by the
end of the extension period, such agency shall not be eligible for partici-
pation in the Specialized Law Enforcement Certification Program.
NOTE: Authority cited: Section 13506, Penal Code. Reference: Secdons 13510
and 13510.5, Penal Code.
History
1 . Amendment filed 2-10-83; effective upon filing pursuant to Government Code
Secdon 11346.2(d) (Register 83, No. 7).
2. Amendment of subsecdon (a) filed 11-29-88; operative 12-29-88 (Register
88, No. 51).
3. Amendment of subsecdon (a) filed 1-23-96; operadve 2-22-96 (Register 96,
No. 4).
§ 1007. Reserve Officer Minimum Training Standards and
Waiver of Training Requirements for Modules
B and/or C.
(a) Every reserve peace officer shall be trained in conformance with
the following requirements:
(1) Level I Reserve Peace Officers:
(A) Minimum Training Requirement. Every Level I reserve peace of-
ficer [defined in PAM, section H-l-2(a)], before being assigned to du-
ties which include the exercise of peace officer powers, shall satisfactori-
Page 57
Register 2008, No. 25; 5-20-2008
§1007
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
ly complete the training requirements of the Regular Basic Course or its
equivalents (PAM, section D-1-3).
(B) Exemption to Minimum Training Requirement. The Regular Ba-
sic Course, or its equivalents, will not be required for a Level I reserve
peace officer if:
1 . The Level I reserve peace officer has previously satisfied the train-
ing requirements specified for Level I reserve peace officers in Commis-
sion Procedure H-3-2 or H-3-3(a)-(c); and
2. is appointed to a non-designated Level I reserve peace officer posi-
tion; and
3. the new appointment is within three years of the date of last service
as a Level I reserve peace office.
(C) Field Training Requirement. All Level I reserve officers, upon
completing the Regular Basic Course or its equivalent, shall complete a
POST-approved Field Training Program (PAM, section D-13) prior to
working alone in a general law enforcement assignment. The Field Train-
ing Program, which shall be delivered over a minimum of 1 weeks (400
hours), shall be based upon staiclured learning content as recommended
in the POST Field Training Program Guide or upon a locally developed
field training guide which includes the minimum POST-specified topics
which are listed in the POST Field Training Program Guide.
(D) Exemption to Field Training Requirement. A Level I reserve
peace officer is exempt from the Field Training Program requirement if
the Level I reserve peace officer is reappointed to a Level I position with
less than a three year break in service [see (B) above] and has successful-
ly completed:
1. Modules A, B and C and 200 hours of structured field training; or
2. The Regular Basic Course or its equivalent and 400 hours of a
POST-approved Field Training Program.
(E) Continuing Professional Training. Every Level I reserve peace of-
ficer shall also safisfy the Continuing Professional Training requirement
set forth in Regulafion 1005(d).
(2) Level 11 Reserve Peace Officers:
(A) Minimum Training Requirement. Every Level II reserve peace of-
ficer [defined in PAM, secfion H-l-2(b)], before being assigned to du-
ties which include the exercise of peace officer powers, shall satisfactori-
ly complete the POST-certified Module III and Module II (PAM, section
D-1-3).
(B) Exemption to Minimum Training Requirement. Module III and
the Module II will not be required for a Level II reserve peace officer if:
1 . The Level II reserve peace officer has previously satisfied the train-
ing requirements specified for Level I or II reserve peace officers in Com-
mission Procedure H-3-2 or H-3-3(a)-(c); and
2. The new appointment is within three years of the date of last service
as a Level I or II reserve peace officer.
(C) Continuing Profession Training. Every Level II reserve peace offi-
cer shall also satisfy the Confinuing Professional Training requirement
set forth in Regulation 1005(d).
(3) Level III Reserve Peace Officers
(A) Minimum Training Requirement. Every Level III reserve peace
officer [defined in PAM, section H-l-2(c)], before being assigned to du-
ties which include the exercise of peace officer powers, shall satisfactori-
ly complete the POST-cerfified Module III (PAM, section D-1-3).
(B) Exemption to Minimum Training Requirement. Module III wiU
not be required for a Level III reserve peace officer if:
1 . The Level III reserve peace officer has previously satisfied the train-
ing requirements specified for Level I or II reserve peace officers in Com-
mission Procedure H-3-2 or H-3-3(a)-(c); and
2. the new appointment is within three years of the date of last service
as a Level I or II reserve peace officer.
(b) Every school police reserve officer appointed by a K-12 school
district on or after July 1 , 2000, in addition to the entry level training re-
quirement set forth in (b) of this section shall complete the POST-cerfi-
fied Campus Law Enforcement Course [Regulafion 1081(a)(20)] within
two years of the date of first appointment.
(c) To be eligible for the award of the Reserve Officer Certificate, a
reserve peace officer shall be currently appointed or depuUzed as a re-
serve peace officer as described in Penal Code secfion 830.6(a), meet the
selecfion requirements for Level I reserve peace officer assignment as
described in paragraph (a), and have completed the training and general
law enforcement experience as described in paragraph (b)(1), PAM, sec-
tions H-3-2 or H-3-3(a) or (c) and H-4.
(d) The Commission may waive completion of Modules B and/or C for
an individual who has completed equivalent training. This waiver shall
be determined by an evaluation and examination process as specified in
PAM, section D-12, Waiver of Training for Reserve Officer Modules B
and/or C.
PAM Section D-l-I adopted effective July 1, 1999 and amended Jan-
uary 1 , 200 1 , September 1 5, 2004, and September 2 1 , 2005 is herein in-
corporated by reference.
PAM Section D-1-3 adopted effective July 1, 1999 and amended Jan-
uary I, 2001, April 10, 2002, September 15, 2004, January 1, 2006. Ja-
nuary 19, 2007, July 1, 2007, and July 1, 2008 is herein incorporated by
reference.
PAM section H-1 adopted effective July 15, 1982, and amended June
15, 1990, February 22, 1996, September 12, 1998, and July 1, 1999 is
herein incorporated by reference.
PAM section H-3 adopted effective July 15, 1982, and amended Janu-
ary 16, 1987, June 15. 1990, July 1, 1992, February 22, 1996, September
12, 1998, July 1, 1999. January 1,2000, March 10, 2000, March 24, 2000,
August 18, 2001, September 2 1,2005, January 19, 2007, and July 1,2008
is herein incorporated by reference.
PAM Section H-4 adopted effective July 15,1 982 and amended Octo-
ber 1 0, 1 990, July 1,1999, and September 2 1 , 2005 is herein incorporated
by reference.
PAM section D-12 adopted effective April 25, 1998 is herein incorpo-
rated by reference.
The document. Training and Testing Specifications for Peace Officer
Basic Courses, adopted effective January 1 , 2001 , and amended effective
October 1 , 2001 , January 1 , 2002, July 1 , 2002. January 1 , 2003. January
1, 2004, August 15. 2004, September 15, 2004, July 1, 2005, January 1,
2006, January 19, 2007, July 1, 2007, August 8, 2007, and January 1,
2008 is herein incorporated by reference.
The document. Instructor' s Guide to Learning Activities for Leader-
ship, Ethics and Community Policing December 2005, adopted effective
January 1 , 2006 is herein incorporated by reference.
NOTE: Authority cited: Sections 832.3, 832.6, 13503, 13506 and 13510, Penal
Code. Reference: Sections 832.2, 832.3, 832.6, 13503, 13506, 13510. 13510.5 and
13512, Penal Code; Section 48412, Education Code; and Section 1031(d), Gov-
ernment Code.
History
1 . Amendment filed 1 0-22-82; effective thirtieth day thereafter (Register 82, No.
43).
2. Amendment filed 3-5-85; effective thirtieth day thereafter (Register 85, No.
10).
3. Amendment filed 6-12-86; effective thirtieth day thereafter (Register 86, No.
24).
4. Amendment filed 1-16-87; effective thirtieth day thereafter (Register 87, No.
3).
5. Amendment filed 5-16-90; operative 6-15-90 (Register 90, No. 21).
6. Change without regulatory effect amending subsection (a)(6) and PAM section
pursuant to section 1 00, title 1 , CaUfornia Code of Regulations (Register 90, No.
44).
7. Amendment of subsection (c) filed 12-23-91; operative 7-1-92 (Register 92,
No. 19).
8. Editorial correction of Reference cite (Register 95, No. 14).
9. Amendment of subsection (b)(1), new subsections (b)(2)-(b)(2)(A)4 and sub-
section renumbering, amendment of newly designated subsections (b)(3)-(4),
PAM sections H-1 and H-3 (incorporated by reference) and Note filed
1-23-96; operative 2-22-96 (Register 96, No. 4).
10. Amendment of subsections (a)(6) and (a)(7), and amendment of Note filed
4-23-97; operative 5-23-97 (Register 97, No. 17).
11. Amendment of section heading, new subsection (d), new final paragraph, and
new PAM section D-12 (incorporated by reference) filed 3-26-98; operative
4-25-98 (Register 98, No. 13).
12. Amendment of subsection (b)(2), repealer of subsections (b)(2)(A) 1.-4.,
amendment of subsection (d), and amendment of PAM sections H-1 and H-3
(incorporated by reference) filed 8-13-98; operative 9-1 2-98 (Register 98, No.
33).
•
Page 58
Register 2008, No. 25; 6-20-2008
Title 11
Commission on Peace Officer Standards and Training
§1008
13. Amendment filed 4-16-99: operative 7-1-99 (Register 99, No. 16).
14. Amendment of subsection (b)(2) and amendment of PAM sections H-3 and
H-5 (incorporated by reference) filed 11-8-99 as an emergency; operative
1-1-2000 (Register 99, No. 46). A Certificate of Compliance must be trans-
mitted to OAL by 5-1-2000 or emergency language will be repealed by opera-
tion of law on the following day.
15. Amendment of subsection (d) and PAM section H-3 (incorporated by refer-
ence) filed 2-9-2000; operative 3-10-2000 (Register 2000, No. 6).
16. Certificate of Compliance as to 1 1-8-99 order transmitted to OAL 1-1 1-2000
and filed 2-23-2000 (Register 2000, No. 8).
17. New subsection (c), subsection relettering, amendment of newly designated
subsection (d) and amendment of NoTi-: filed 6-12-2000; operative 6-12-2000
pursuant to Government Code section 1 1343.4(d) (Register 2000, No. 24).
1 8. Amendment of PAM sections D-1-1 . D-l -3 and D-1-5 (incorporated by ref-
erence), and repealer and new last paragraph and replacement of the document
Trainiiiii Specifications for the Regular Basic Course with the new document
Trainiiii> and Testiuf^ Specifications for Peace Officer Basic Courses (incorpo-
rated by reference) filed 12-29-2000; operative 1-1-2001 pursuant to Govern-
ment Code section 1 1343.4(d) (Register 2000, No. 52).
19. Amendment filed 7-17-2001; operative 8-16-2001 (Register 2001, No. 29).
20. Amendment of subsections (a)( 1 )-(8), amendment of PAM section D-1-3 (in-
corporated by reference ) and repealer of PAM section H-5 (incorporated by ref-
erence) filed 3-1 1-2002; operative 4-10-2002 (Register 2002, No. 11).
21 . Amendment of subsection (a)(8) filed 7-28-2003; operative 8-27-2003 (Reg-
ister 2003, No. 31).
22. Amendment of last paragraph and amendment of document Training and Test-
ing Specifications for Peace Officer Basic Courses (incorporated by reference)
filed 7-7-2004; operative 8-15-2004 (Register 2004, No. 28).
23. Amendment of PAM sections D-1-1 and D-1-3, repealer of PAM sections
D-1-5 and D-1-6, amendment of last paragraph and document Training and
Testing Specifications for Peace Officer Basic Courses (incorporated by refer-
ence) and amendment of NoTi-: filed 8-26-2004; operative 9-15-2004 pursuant
to Government Code section 1 1343.4 (Register 2004, No. 35).
24. Amendment of last paragraph and amendment of document Training and Test-
ing Specifications for Peace Officer Basic Courses (incorporated by reference)
filed 6-15-2005; operative 7-1-2005 pursuant to Government Code section
1 1343.4 (Register 2005, No. 24).
25. Amendment of subsection (a)(6) filed 8-22-2005; operative 9-21-2005 (Reg-
ister 2005, No. 34).
26. Amendment of section heading, repealer of subsections (a)-(a)(8), subsection
relettering, and amendment of PAM sections D-1-1, H-3 and H-4 filed
8-22-2005; operative 9-21-2005 (Register 2005, No. 34).
27. Amendment of PAM section D-1-3 and document Training and Testing Spec-
ifications for Peace Officer Basic Courses, new document Instructor's Guide
to Learning Activities for Leadership, Ethics and Community Policing Decem-
ber 2005 (all incorporated by reference) and amendment of subsection (d) filed
12-22-2005; operative 1-1-2006 pursuant to Government Code section
1 1343.4 (Register 2005, No. 51).
28. Amendment of PAM secdons D-1-3 and H-3, and document Training and
Testing Specifications for Peace Officer Basic Courses (all incorporated by ref-
erence) and amendment of subsecdons (a)(2)(A), (a)(3)(A) and (d) filed
1-19-2007; operative 1-19-2007 pursuant to Government Code section
1 1343.4(c) (Register 2007, No. 3).
29. Amendment of PAM secdon D-1-3 and document Training and Testing Spec-
ifications for Peace Officer Basic Courses (both incorporated by reference) and
amendment of subsecdon (d) filed 6-1-2007; operadve 7-1-2007 (Register
2007. No. 22).
30. Amendment of penultimate paragraph and document Training and Testing
Specifications for Peace Officer Basic Courses (incorporated by reference)
filed 8-8-2007; operative 8-8-2007 pursuant to Government Code secdon
1 1343.4 (Register 2007, No. 32).
3 1 . Amendment of penultimate paragraph and document Training and Testing
Specifications for Peace Officer Basic Courses filed 12-10-2007; operative
1-1-2008 pursuant to Government Code secdon 1 1343.4 (Register 2007, No.
50).
32. Amendment of subsecdons (a)(2)(A)-(B), (a)(3)(A)-(B) and (d) and amend-
ment of PAM sections D-1-3 and H-3 (incorporated by reference) filed
6-17-2008; operative 7-1-2008 pursuant to Government Code secdon
1 1343.4 (Register 2008, No. 25).
§ 1008. Basic Course Waiver and Requalification
Requirement.
(a) Basic Course Waiver.
( 1 ) An individual who has completed training comparable to a POST-
certifted Regular Basic Course or Specialized Investigators' Basic
Course may request a waiver of the basic course training requirement
specified in Regulation sections 1005(a) or 1007(a). The application,
evaluation, and examination processes are described in PAM, Section
D-l 1, Basic Course Waiver Process.
(A) A basic course waiver is valid for three years from the date it was
granted. After three years, the requirements for requalification apply as
specified in section (b) below.
(B) A waiver of the Regular Basic Course training requirement will
also satisfy the Specialized Investigators" Basic Course training require-
ment. However, a waiver of the Specialized Investigators' Basic Counse
training requirement does not satisfy the Regular Basic Course training
requirement.
(b) Requalification Requirement for the Regular Basic Course —
Standard Format and the Specialized Investigators' Basic Course.
(1) Three-Year Requalification Requirement: Requalification is re-
quired for any individual who seelcs appointment or reappointment to a
position for which the Regular Basic Course (RBC) or the Specialized
Investigators' Basic Course (SIBC) is required as the minimum training
standard [reference Regulation sections 1005(a) or 1007(a)] when the in-
dividual:
(A) Has previously served in a California peace officer/Level I reserve
officer position with qualifying service''' and has:
1 . successfully completed a POST-certified Regular Basic Course or
Specialized Investigators' Basic Course, or
2. been awarded a POST Basic Certificate or Specialized Basic Certif-
icate, or
3. been granted a waiver of the Regular Basic Course or Specialized
Investigators' Basic Course in accordance with Regulation 1008(a).
but subsequently has a three-year or longer break from the last date of
qualifying service*.
OR
(B) Has NOT previously served in a California peace officer/Level I
reserve officer position with qualifying service* and has:
1 . successfully completed a POST-certified Regular Basic Course or
Specialized Investigators' Basic Course, or
2. been granted a waiver of the Regular Basic Course or Specialized
Investigators' Basic Course in accordance with Regulation 1008(a),
but subsequently has a three-year-or-longer break from the last date
of successful completion of the Regular Basic Course or Specialized In-
vestigators' Basic Course, or from the date the basic course waiver was
granted, whichever is most recent. For the Six-Year Exception, see
(b)(2)(B)(l) below.
^Qualifying service is defined as serving in a California peace officer/
Level I reserve officer position for which a POST-certified Regular Basic
Course or Specialized Investigators ' Basic Course was required by law.
Service as a Level I reserve officer will be considered only for a Level I
reserve who serves an average monthly minimum of 16 hours.
(2) Requalification Methods: When requalification is required, as de-
termined above, it must be achieved before an individual may exercise
peace officer powers. Upon successful requalification the individual is
eligible, for up to three years, to be appointed or reappointed as a Califor-
nia peace officer/Level I reserve officer. The provisions and means for
requalification are as follows:
(A) Repeating and successfully completing the appropriate basic
course (RBC or SIBC) or
(B) Successfully completing the POST-certified Requalification
Course, (PAM, section D-l 0-3).
1. Six-Year Exception: An individual who successfully completed a
Regular Basic Course, Specialized Investigators' Basic Course or the Ba-
sic Course Waiver Process on or after July 1, 1999 but who never sen>ed
in a California peace officer/Level I reserve officer position for which a
Regular or Specialized Investigators' Basic Course is required, may re-
qualify by successfully compleUng a POST-certified Requalification
Course one time within six years from the date of basic course or waiver
process completion. After six years, an individual must successfully
complete the appropriate basic course (RBC or SIBC) to requalify, re-
gardless of when the Requalification Course was completed.
(C) Successfully completing a POST-approved alternative job-re-
lated requalification procedure conducted by a presenter of a POST-cer-
tified Regular Basic Course. The individual I) must have previously sa-
tisfied the Regular Basic Course training requirement; 2) is for the first
time obtaining law enforcement employment after a three-ycar-or-
longer break since successful completion of the Regular Basic Course;
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§1008
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
and 3) the individual's department has obtained prior written approval
from POST for the use of an alternative procedure and verifies that the
individual is currently proficient and meets or exceeds minimum perfor-
mance standards established by the Commission.
(3) Exemptions: An exemption of the requalification requirement may
be granted by the Executive Director or the Commission as follows:
(A) The Executive Director may grant an exemption to an individual
who possesses a POST Basic Certificate and is returning to law enforce-
ment after a three-year-or-longer break in service; and
1. Is re-entering a middle management or executive rank and will
function at the second-level of supervision or above; or
2. Has been, with no longer than a 60-day break in service between law
enforcement employers as a regular peace officer, employed continuous-
ly in another state as a full-time regular peace officer; or
3. Has served, with no longer than a 60-day break in service between
law enforcement employers, confinuously as a Level I reserve officer in
California and the individual's agency chief executive attests in writing
that the individual is currently proficient; or
4. The individual's employment, training, and education during the
break in service provides assurance, as determined by POST, that the in-
dividual is currently proficient; or
5. Is re-entering law enforcement in a permanent or light duty assign-
ment not involving general law enforcement duties if attested to in writ-
ing by the agency chief executive.
An individual seeking an exemption from completion of the requah-
fication requirement shall submit a letter to the Executive Director, out-
lining the following criteria: 1 ) reason for the request; 2) description of
the law enforcement posidon the applicant is seeking; and 3) documenta-
tion of prior employment, training and education, and the dates com-
pleted as it applies to the criteria outlined in (3)(A)( 1 -5.) above.
(B) The Commission may, in response to a written request or on its
own motion, upon a showing of good cause and based upon an individu-
al's employment, proficiency, training, and education, exempt an indi-
vidual from completion of the basic course requalification requirement.
The individual shall: 1) have satisfied the Regular Basic Course training
requirement; 2) become re-employed as a peace office after a three-
year-or-longer break in service; and 3) not be described or included in
(3)(A)( 1.-5.) above.
(c) Requalification Requirement for the Regular Basic Course —
Modular Format, Module III.
(1) Three- Year Requalification Requirement: Requalification is re-
quired for any individual who seeks appointment or reappointment to a
position for which Module III of the Regular Basic Course — Modular
Format is required as the minimum training standard [reference Regula-
tion secdon 1007(a)] when the individual:
(A) Has previously served in a California Level III reserve peace offi-
cer position and has:
1. Successfully completed a POST-certified Module III*, but subse-
quently has a three-year or longer break from the last date of service.
OR
(B) Has NOT previously served in a California Level III reserve peace
officer position and has:
1. Successfully completed a POST-cerdfied Module III*, but subse-
quentiy has a three-year-or-longer break from the last date of successful
completion of Module III.
* Prior successful completion of the Two-Part Level III Module or the
single component Level III Module meets the requirements of Module
III.
(2) Requalification Methods: When requalification is required, as de-
termined above, it must be achieved before an individual may exercise
peace officer powers. Upon successful requalification the individual is
eligible, for up to three years, to be appointed or reappointed as a Califor-
nia Level III reserve peace officer. The provisions and means for requah-
fication are as follows:
(A) Repeating and successfully completing Module III or
(B) Demonstrating continued mastery of Module III training material
by passing the POST-Constructed Comprehensive Module III End-of-
Course Proficiency Test, the PC 832 Course Arrest Methods Skills Test
and the PC 832 Firearms Skills Test. This can be accomplished through
the completion of the Module III Requalification Examination Process
[for eligibility refer to [1008(c)(3)].
1 . Six-Year Exception: An individual who successfully completed
Module III on or after July 1, 2008 but who never sen'ed in a California
Level III reserve peace officer position, may requalify by successfully
completing the Module III Requalification Examination Process one
time within six years from the date of completion of Module III. After six
years, an individual must successfully complete Module III to requalify.
regardless of when the RequaUfication Examination Process was com-
pleted.
(3) Eligibility for the Module III Requalification Examination Pro-
cess: Only individuals who have previously completed a POST-certified
Module III are eligible to participate in the Module III Requalification
Examination Process.
(A) Individuals seeking to be tested shall receive written notification
from the presenter regarding eligibility to be tested within 30 days of re-
ceipt by the presenter of all documentation required in subsections
1008(c)(4)(A) below.
(B) Individuals receiving notification that they are ineligible to be
tested shall be given an explanation for ineligibility. An individual may
submit a new request with the additional documentation, which will be
processed according to subsection 1007(c)(4)(A) below. POST shall
have final approval or disapproval of the eligibility of any individual
seeking admission to any part of the testing process. All applicable ex-
amination fees will be returned, with the notification, to those individuals
who are determined, either by the presenter or by POST, to be ineligible
for testing.
(4) Module III Requalification Examination Process:
(A) Application: An individual seeking to requalify Module III train-
ing through the examination process shall submit a written request to a
POST-approved Module III Requalification Examination Presenter that
includes:
1. The individual's full name, mailing address, daytime phone num-
ber, and POST identification number;
2. A copy of the individual's Module III course completion certificate
or other verifiable documentation showing prior successful completion
of Module III. This documentation shall include the individual's name,
the name of the presenting institution, the number of hours completed,
and the ending date of the training;
3. A certified check or money order payable to the presenter (see
(c)(4)(B) below for fees);
4. A criminal history clearance from the Department of Justice.*
*A11 requests to test for the firearms component from applicants who
are not sponsored by a local or other law enforcement agency, or who are
not peace officers employed by a state or local agency, department or dis-
trict, shall include a criminal history clearance in compliance with PC
1351 1.5 prior to admission to firearms testing. No firearms testing shall
be administered to any applicant prior to receipt of the Department of Jus-
dee criminal history clearance form. The criminal history clearance need
not be redone where there has been a lapse of less than 180 days since the
last clearance.
(B) Examination Fees: POST-approved Module III Requalification
Examination presenters are authorized to charge fees for the administra-
tion of the POST-Constructed Comprehensive Module III End-of-
Course Proficiency Test, the PC 832 Arrest Methods Skills Test, and the
PC 832 Firearms Skills Test. In addition to the initial examination fees,
the presenter may charge fees for retesting. Failure to appear for requali-
fication testing or retesting may result in forfeiture of examination fee(s).
Fees may vary by presenter. Examination fees shall not exceed actual test
administration costs and are subject to POST audit.
(C) Requirements for Administering the Requalification Exams: Only
POST-approved/authorized course presenters who have received train-
ing in the administration of the Requalification Exams and who agree to
•
Page 60
Register 2008, No. 25; 6-20-2008
Title 11
Commission on Peace Officer Standards and Training
§ 1008
abide by the terms of a formal POST test use and security agreement shall
administer and score the examinations. All examinations shall be admin-
istered and scored in accordance with the specified procedures listed be-
low using POST minimum passing scores.
1 . All requalification applicants shall be tested at a POST-approved
location within 90 days of notification of eligibility to lake the requali-
fication exam.
2. At least 30 days in advance of the test, eligible requalification appli-
cants shall be notified as to the specific date, time and location of testing.
3. Individuals desiring to be tested after failure to appear for a sched-
uled requalification exam must reestablish eligibility to be tested by com-
pleting the requirements described in Regulation 1008(c)(4)(A).
4. All examination results shall be mailed to POST by the examination
administrator, postmarked within five working days of the date of test-
ing.
5. The presenter shall notify all examinees in writing as to examination
results, postmarked within five working days of requalification examina-
tion completion. The presenter shall also issue a completion certificate
within five working days showing that the individual successfully com-
pleted the Module III RequaHfication Examination.
6. The presenter shall maintain, as a matter of record, all documents
submitted by an individual who participates in the Module III Requali-
fication Examination.
(D) Requalification Examination Retesting: One requalification exam
retest shall be permitted for any test failed, contingent upon advance pay-
ment of appHcable examination fees [see (c)(4)(B) above]. Such retest-
ing must occur within 90 days of the requalification examination. For
firearms and arrest skills tests, individuals will have the option of either
retesting immediately or within 90 days. All required examinations must
be passed to complete the Module III Requalification Examination Pro-
cess.
1 . Individuals who fail to achieve a passing score upon requalification
exam retesting, or who fail to appear for requalification exam retesting,
shall be required to successfully complete Module III training in order to
meet the Module III requalification requirements.
(d) Requalification Requirement for the Regular Basic Course —
Modular Format, Module II.
(1) Three-Year Requalification Requirement: Requalification is re-
quired for any individual who seeks appointment or reappointment to a
position for which Module II of the Regular Basic Course — Modular
Format is required as the minimum training standard [reference Regula-
tion section 1007(a)] when the individual:
(A) Has previously served in a California Level II reserve peace offi-
cer position and has:
1. Successfully completed a POST-certified Module III and Module
II, but subsequently has a three-year or longer break from the last date
of service.
OR
(B) Has NOT previously served in a California Level II reserve peace
officer position and has:
1 . Successfully completed a POST-certified Module III and Module
II, but subsequently has a three-year-or-longer break from the last date
of successful completion of Module II.
(2) Requalification Methods: When requalification is required, as de-
termined above, it must be achieved before an individual may exercise
peace officer powers. Upon successful requalification the individual is
eligible, for up to three years, to be appointed or reappointed as a Califor-
nia Level II reserve peace officer. The provisions and means for requali-
fication are as follows:
(A) Repeating and successfully completing Module II or
(B) Demonstrating continued mastery of Module II training material
by passing the POST-Constructed Comprehensive Module 11 End-of-
Course Proficiency Test, the PC 832 Course Arrest Methods Skills Test
and the PC 832 Firearms Skills Test. This can be accomplished through
the completion of the Module II Requalification Examination Process
[for eligibility refer to 1008(d)(3)].
1. Six-Year Exception: An individual who successfully completed
Module 11 on or after July 1, 2008 but who never served in a California
Level II reserve peace officer position, may requalify by successfully
completing the Module II Requalification Examination Process one time
within six years from the date of completion of Module II. After six years,
an individual must successfully complete Module II to requalify, regard-
less of when the Requalification Examination Process was completed.
(3) Eligibility for the Module II Requalification Examination Process:
Only individuals who have previously completed POST-certified Mod-
ules III and II are eligible to participate in the Module II Requalification
Examination Process.
(A) Individuals seeking to be tested shall receive written notification
from the presenter regarding eligibility to be tested within 30 days of re-
ceipt by the presenter of all documentation required in subsections
1008(d)(4)(A) below.
(B) Individuals receiving notification that they are ineligible to be
tested shall be given an explanation for ineligibility. An individual may
submit a new request with the additional documentation, which will be
processed according to subsection 1008(d)(4)(A) below. POST shall
have final approval or disapproval of the eligibility of any individual
seeking admission to any part of the testing process. All applicable ex-
amination fees will be returned, with the notification, to those individuals
who are determined, either by the presenter or by POST, to be ineligible
for testing.
(4) Module II Requalification Examination Process:
(A) Application: An individual seeking to requalify Module II training
through the examination process shall submit a written request to a
POST-approved Module II Requalification Examination Presenter that
includes:
1. The individual's full name, mailing address, daytime phone num-
ber, and POST identification number;
2. A copy of the individual's Module III and Module II Course
completion certificates or other verifiable documentation showing prior
successful completion of Module III and Module II. This documentation
shall include the individual's name, the name of the presenting institu-
tion, the number of hours completed, and the ending date of the training;
3. A certified check or money order payable to the presenter (see
(d)(4)(B) below for fees);
4. A criminal history clearance from the Department of Justice. ■■=
*A11 requests to test for the firearms component from applicants who
are not sponsored by a local or other law enforcement agency, or who are
not peace officers employed by a state or local agency, department or dis-
trict, shall include a criminal history clearance in compliance with PC
1351 1.5 prior to admission to firearms testing. No firearms testing shall
be administered to any applicant prior to receipt of the Department of Jus-
tice criminal history clearance form. The criminal history clearance need
not be redone where there has been a lapse of less than 1 80 days since the
last clearance.
(B) Examination Fees: POST-approved Module II Requalificafion
Examination presenters are authorized to charge fees for the administra-
tion of the POST-Constructed Comprehensive Module II End-of-
Course Proficiency Test, the PC 832 Arrest Methods Skills Test, and the
PC 832 Firearms Skills Test. In addition to the initial examination fees,
the presenter may charge fees for retesting. Failure to appear for requali-
fication testing or retesting may result in forfeiture of examination fee(s).
Fees may vary by presenter. Examination fees shall not exceed actual test
administration costs and are subject to POST audit.
(C) Requirements for Administering the Requalification Exams: Only
POST-approved/authorized course presenters who have received train-
ing in the administrafion of the Requalificafion Exams and who agree to
abide by the terms of a formal POST test use and security agreement shall
administer and score the examinations. All examinations shall be admin-
Page 61
Register 2008, No. 25; 6-20-2008
§ 1009
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
istered and scored in accordance with the specified procedures listed be-
low using POST minimum passing scores.
1. All requalification applicants shall be tested at a POST-approved
location within 90 days of notification of eligibility to take the requali-
fication exam.
2. At least 30 days in advance of the test, eligible requalification appli-
cants shall be notified as to the specific date, time and location of testing.
3. Individuals desiring to be tested after failure to appear for a sched-
uled requalification exam must reestablish eligibility to be tested by com-
pleting the requirements described in Regulation 1008(d)(4)(A).
4. All examination results shall be mailed to POST by the examination
administrator, postmarked within five working days of the date of test-
ing.
5. The presenter shall notify all examinees in writing as to examination
results, postmarked within five working days of requalification examina-
tion completion. The presenter shall also issue a completion certificate
within five working days showing that the individual successfully com-
pleted the Module II Requalification Examination.
6. The presenter shall maintain, as a matter of record, all documents
submitted by an individual who participates in the Module II Requali-
fication Examination.
(D) Requalification Examination Retesting: One requalification exam
retest shall be permitted for any test failed, contingent upon advance pay-
ment of applicable examination fees [see (d)(4)(B) above]. Such retest-
ing must occur within 90 days of the requalification examination. For
firearms and arrest skills tests, individuals will have the option of either
retesting immediately or within 90 days. All required examinations must
be passed to complete the Module II Requalification Examination Pro-
cess.
1 . Individuals who fail to achieve a passing score upon requalification
exam retesting, or who fail to appear for requalification exam retesting,
shall he required to successfully complete Module II training in order to
meet the Module II requalification requirements.
(e) Requalification Requirement for the Regular Basic Course —
Modular Format, Module I.
(1) Individuals who have successfully competed Modules III, II and
I, have met the requirements of the Regular Basic Course. The requali-
ficafion requirements specified for the Regular Basic Course [reference
Regulafion secfion 1008(b)] also apply to Module I.
PAM Section D-10 adopted June 16, 1999, and amended July 1, 2002,
September 15, 2004, January 1, 2006, and August 26, 2006 is herein in-
corporated by reference.
PAM Section D-1 1 adopted effective January 28, 1982, and amended
August 17, 1986, November 2, 1986, January 29, 1988, February 22,
1996, June 16, 1999, July 1, 2002, and September 21, 2005 is herein in-
corporated by reference.
The document. Training and Testing Specifications for Peace Officer
Basic Courses, adopted effective January 1 , 2001 and amended effective
October 1, 2001, January I, 2002, April 26, 2002. September 15, 2004,
July 1, 2005, January 1, 2006, July 1, 2007, August 8, 2007, January 1,
2008, and July 1 , 2008 is herein incorporated by reference.
The document. Instructor's Guide to teaming Activities for Leader-
ship, Ethics and Community Policing December 2005, adopted effective
January 1, 2006 is herein incorporated by reference.
NOTE: Authority cited: Sections 832.3, 13503, 13506 and 13510, Penal Code.
Reference: Sections 832.3, 13505, 13506, 13510, 13510.5 and 135 11, Penal Code.
History
1 . Repealer and new section filed 5-14-82; designated effective 7-1-82 (Register
82, No. 20).
2. Amendment of NOTE filed 2-10-83; effecfive upon filing pursuant to Govern-
ment Code Section 11 346.2(d) (Register 83, No. 7).
3. Amendment filed 1-9-86; effective thirtieth day thereafter (Register 86, No. 2).
4. Amendment filed 7-18-86; effective thirtieth day thereafter (Register 86, No.
29).
5. Amendment filed 10-3-86; effective thirtieth day thereafter (Register 86, No.
40).
6. Amendment filed 12-30-87; operative l-29-88(Register 88, No.3).
7. Amendment (includins amendment of PAM D-1 1, incorporated bv reference)
filed 1-23-96; operative 2-22-96 (Register 96, No. 4).
8. Amendment of section heading and section, amendment of PAM section D-l 1
(incorporated by reference), and new PAM section D-10 (incorporated by ref-
erence) filed 5-17-99; operative 6-16-99 (Register 99, No. 21).
9. Amendment of section heading and secdon and amendment of PAM section
D-10, PAM section D-1 1 and the document. Training mid Testing Specifica-
tions for Peace Officer Basic Courses (incorporated by reference) filed
4-26-2002; operative 7-1-2002 (Register 2002, No. 17).
10. Amendment of PAM sections D-1 1 and D-12, amendment of last paragraph
and document Training and Testing Specifications for Peace Officer Basic
Courses (incorporated by reference) and amendment of NoTi- filed 8-26-2004;
operative 9-15-2004 pursuant to Government Code section 1 1343.4 (Reeister
2004, No. 35).
11. Editorial connection amending Notk (Register 2005, No. 8).
12. Amendment of last paragraph and amendment of document Trainini> and Test-
ing Specifications for Peace Officer Basic Courses (incorporated by reference)
filed 6-15-2005; operative 7-1-2005 pursuant to Government Code section
1 1343.4 (Register 2005. No. 24).
13. Amendment of subsections (a)(1) and (b)(1) and amendinent of PAM section
D-1 1 filed 8-22-2005; operative 9-21-2005 (Register 2005, No. 34).
14. Amendment of PAM secfion D-10 and document Training and Testing Speci-
fications for Peace Officer Basic Courses, new document Instructor's Ciiide to
Learning Activities for Leadersliip, Etliics and Community Policing December
2005 (all incorporated by reference) and amendment of subsection (b)(3)(B)
filed 12-22-2005; operative 1-1-2006 pursuant to Government Code section
1 1343.4 (Register 2005, No. 51).
15. Amendment of PAM section D-10 (incorporated by reference) and amend-
ment of subsection (b)(3)(B) filed 7-27-2006; operative 8-26-2006 (Register
2006, No. 30).
16. Amendment of document Training and Testing Specifications for Peace Offi-
cer Basic Courses (incorporated by reference) and amendment of subsection
(b)(3)(B) filed 6-1-2007; operative 7-1-2007 (Register 2007. No. 22).
17. Amendment of penulfimate paragraph and document Training and Testing
Specifications for Peace Officer Basic Courses (incorporated by reference)
filed 8-8-2007; operative 8-8-2007 pursuant to Government Code section
1 1343.4 (Register 2007, No. 32).
18. Amendment of penultimate paragraph and document Training and Testing
Specifications for Peace Officer Basic Courses filed 12-10-2007; operative
1-1-2008 pursuant to Government Code section 1 1343.4 (Register 2007, No.
50).
19. Amendment of subsection (b), new subsections (c)-(e)(l) and amendment of
penultimate paragraph and document Training and Testing Specifications for
Peace Officer Basic Courses (incorporated by reference) filed 6-17-2008; op-
erafive 7-1-2008 pursuant to Government Code section 11343.4 (Register
2008, No. 25).
§ 1009. Academy Instructor Certificate Program (AlCP).
(a) The Academy Instructor Certificate Program. The AICP is de-
signed to promote general instructional excellence in instructors who
teach Regular Basic Course curriculum.
(1) There are three AICP components:
(A) Academy Instructor Certification Course
(B) POST Academy Instructor Certificate
(C) Triennial Academy Instructor Certificate re-certificafion require-
ment.
(2) Effective March 1 , 2008, each Regular Basic Course academy shall
participate in the AICP program by following the requirements specified
in this regulafion. A participafing academy shall require certificafion of
all Regular Basic Course instrucfional staff. A participafing academy that
employs instructors who fail to become certificated within the required
fime-period is subject to removal from the AICP, and decertificafion as
basic course presenter pursuant to Regulation 1057.
(3) Regular Basic Course instructors who are employed by an acade-
my prior to March 1 , 2008 shall possess the Academy Instructor Cerfifi-
cate within three years of March 1 , 2008. Prior to instructing any compo-
nent of the Regular Basic Course, any individual who is appointed on or
after March 1 , 2008 to an Academy, a Level-I, or a Level II instructor
position shall:
(A) Complete the Academy Instructor Certification Course (AICC),
Regulation 1082, or pass the AICC Equivalency Process, Regulation
1009(c)(4), and
(B) Possess the Academy Instructor Certificate.
(4) Regular Basic Course instructors who teach certain specialized
subjects must satisfy additional requirements, as specified in Regulation
Page 62
Register 2008, No. 25; 6-20-2008
Title 11
Commission on Peace Officer Standards and Training
§1009
1070. Regular Basic Course instructors who also perform the duties of
Academy Director, Academy Coordinator, or Academy Recruit Training
Officer must satisfy additional requirements, as specified in Regulation
1071.
(b) Academy Instructor Certification Course. The Academy Instructor
Certification Course is designed to develop Regular Basic Course
instructors' training delivery, adult learning techniques, planning, pre-
sentation, and facilitation skills. When the subject is taught in the Regular
Basic Course, successful completion of this course is a prerequisite to
teaching a specialized subject specified in Regulation 1070.
(1) General Requirements for Academy Instructor Certification
Course:
(A) The course shall be POST-certified in accordance with the re-
quirements specified in Regulations 1052-1056.
(B) The instructor must be an experienced instructor development
trainer skilled in competencies emphasized in Academy Instructor Certi-
fication Course curriculum (Regulation 1082).
(C) The Academy Instructor Certification Course minimum course
content as specified in Regulation 1082 shall be followed. Guidelines for
an expanded course outline are provided in the publication Guidelines
and Curriculum for the Academy Instructor Certificate Program.
(D) Priority for enrollment shall be accorded to an academy's current
Regular Basic Course instructors or Regular Basic Course instaictor ap-
plicants.
(E) Student re-evaluations shall be limited to one re-evaluation, to be
completed within 1 80 days.
(F) An experienced instructor development trainer who is skilled in the
competencies emphasized in the Academy Instructor Certification
Course curriculum shall complete and sign all competency verifications.
(2) The Academy Director/designee shall:
(A) Complete and sign a Competency Verification Checklist, POST
form 2-1 23, for each student enrolled in the Academy Instructor Certifi-
cation Course.
(B) Provide remediation for students not successful in completing the
Academy Instructor Certification Course.
(C) Issue the Academy Instructor Certificate awards as specified in
subsection 1009(e) below.
(D) Notify POST of all Academy Instructor Certificate awards within
15 days of issuance.
(E) Maintain all required documentation as specified in subsections
1009(c), (d), and (e) below for each individual participating in those com-
ponents. The documents are subject to a POST audit of the AICP upon
request.
(F) Provide one re-evaluation to any candidate who requests a re-
evaluation.
(G) Provide each individual awarded the Academy Instructor Certifi-
cate with information on re-certification requirements as specified in
subsection 1009(f) below.
(c) POST Academy Instructor Certificate Requirements. The Acade-
my Instructor Certificate shall be awarded to individuals who have met
the following criteria:
(1) Successful completion of a POST-certified Academy Instructor
Certification Course, and
(2) Successful demonstration* of all competencies listed on the Com-
petency Verification Checklist, POST 2-123, as verified by the Acade-
my Director/designee through one or a combination of the following:
(A) Observation of individual within the Academy Instructor Certifi-
cation Course classroom via a presentation made to classroom peers, or
(B) Observation of individual within a Regular Basic Course academy
class.
* Any competencies not demonstrated via methods described in (2)(A)
and (B) above may be demonstrated by oral examination.
(3) Approval by the Academy Director/designee on the Competency
Verification Checklist, POST 2-123,
OR
(4) Compledon of an equivalency process for an Academy Instructor
Certificate, which includes:
(A) Successful completion of a minimum of 24 hours of a general
instructor development course(s) as documented by a certificate of
course compledon or an expanded course outline;
(B) Completion of a self-study program on "adult learning and the Ba-
sic Course instructional system" as outlined in the POST-provided tuto-
rial package; and
(C) Successful demonstrafion"'' of competencies listed on the Compe-
tency Verificafion Checklist, POST 2-123, performed by teaching in an
Academy Instnictor Certification Course, a Regular Basic Course, or to
academy staff The Competency Verification Checklist shall be assessed
and approved by an experienced instructor-development trainer skilled
in competencies emphasized in the Academy Instructor Certification
Course curriculum.
* Any competencies not demonstrated via the methods described in
(4)(C) above may be demonstrated by oral examination.
(d) Re-evaluations of Competency. Any individual who receives an
unsafisfactory evaluafion on the "Competency Verification Checklist"
may be re-evaluated as follows:
( 1 ) The candidate shall submit a written request to the Academy Direc-
tor for a re-evaluafion within 10 days of receiving the unsatisfactory
evaluation.
(2) The Academy Director/designee shall provide appropriate remedi-
afion.
(3) The Academy Director/designee shall provide one opportunity for
re-evaluadon.
(4) The re-evaluadon shall be scheduled at a mutually agreeable date,
dme, and place, but must occur within 1 80 days of the candidate's date
of completion of the Academy Instructor Certification Course or comple-
don of the tutorial package for those following the equivalency process.
(5) A new Competency Verification Checklist shall be completed in
accordance with Regulation 1009(b)(1)(F).
(6) The teaching demonstrafion for the competency verificadon may
be performed in an Academy Instructor Cerfificadon Course, Regular
Basic Course, or to academy staff
(e) Academy Issuance of the Academy Instmctor Certificate. Require-
ments for an academy's issuance of the Academy Instructor Certificate
shall be as follows:
(1 ) The Academy Director/designee shall issue the Academy Instruc-
tor Cerdficate within 30 days to an individual who has sadsfied the certif-
icate requirements in Reguladon 1009(c) above.
(3) Academy Instructor Development Course* (24-hour minimum)
*POST recommends distribution of pre-reading materials to enrolled
students.
(A) Basic Course Instrucdonal System
(B) Roles and Responsibilities of Law Enforcement Training Instruc-
tors
(C) Adult Learning Concepts
(D) Lesson Planning
(E) Presentation Skills
(F) Facilitadon Skills
(G) Use of Learning Resources and Training Aids
(H) Evaluation Techniques
(1) Legal Issues
(J) Safety Protocols
(2) The Academy Director/designee shall provide the following in-
formation to POST within 15 days of certificate issuance, via the POST
electronic AICP System:
(A) Date of issuance/award
(B) Name of individual
(C) Social Security Number
(D) Individual' s employing academy
Page 62.1
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(E) Individual's subject(s) of instruction in the Regular Basic Course
(f) Triennial Re-certification Requirement. The Academy Instmctor
Certificate shall be renewed every three years. Individuals seeking re-
certification shall provide documentation that supports compliance with
the requirements set forth in subsections (I) and (2) below.
(1) Re-certification shall be granted to an individual who, prior to the
three-year renewal date, meets the following requirements as approved
by the Academy Director/designee:
(A) Delivery of a minimum of 24 hours of teaching/presentations
(which exercise or expand instructor core competencies), and
(B) Completion of a minimum of 8 hours of "professional develop-
ment" training through a course, conference, symposium, self-directed
study, or any other training experience approved by the Academy Direc-
tor/designee. The professional development training shall cover general
instructor development or specialized training development which exer-
cises or expands instructor core competencies.
(2) Documentation shall be provided via the POST electronic AICP
System. An individual must provide personal log-in information and ei-
ther a POST course control number along with hours and subject(s)
taught or the location(s), date(s), subject(s), subject description(s), and
hour(s) for the training, conference, symposium, etc. as described in sub-
sections (f)(1)(A) and (B) above. The Academy Director/designee may
require additional documentation for evaluation purposes.
(3) The Academy Director/designee, upon approval of a re-certifica-
tion, shall notify POST within 1 5 days of the renewal date. The re-certifi-
cation issuance date shall be on the 3-year anniversary of certificate is-
suance. Notifications shall be provided via the POST electronic AICP
System.
(g) POST-Certified Academy Instructor designation. An individual
who possesses a valid and unexpired Academy Instructor Certificate
shall be recognized as a "POST-CerUfied Academy Instructor."
NOTE: Authority cited: Sections 13503, 13506, 13510 and 13510.5, Penal Code.
Reference: Sections 13503, 13506, 13510 and 13510.5, Penal Code.
History
1. New section filed 7-21-2003; operative 8-20-2003 (Register 2003, No. 30).
For prior history, see Register 2002, No. 49.
2. Amendment filed 2-29-2008; operative 3-1-2008 pursuant to Government
Code section 11 343.4 (Register 2008, No. 9).
§ 1 01 0. Participation in the POST Program.
NOTE: Authority cited: Section 13506, Penal Code. Reference: Sections 13503
and 13523, Penal Code.
History
1 . Amendment filed 2-10-83; effective upon filing pursuant to Government Code
Section 11346.2(d) (Register 83, No. 7).
2. Amendment filed 9-23-88; operative 10-23-88 (Register 88, No. 40).
3. Amendment of subsections (a) and (b) filed 1 1-29-88; operative 12-29-88
(Register88, No. 51).
4. Amendment of section heading and section filed 12-3-2002; operative
1-2-2003 (Register 2002, No. 49).
5. Renumbering of former section 101 to sections 9030 and 9031 filed 6-6-2007;
operative 7-6-2007 (Register 2007, No. 23).
§ 1 011 . Certificates and Awards.
NOTE: Authority cited: Sections 13506 and 13510.3, Penal Code. Reference: Sec-
tions 13506, 13510.1 and 13510.3, Penal Code.
History
1 . Amendment filed 2-1 0-83; effective upon filing pursuant to Government Code
section 1 1346.2(d) (Register 83, No. 7).
2. Amendment filed 9-23-88; operative 10-23-88 (Register 88, No. 40).
3. Amendment of PAM Section F-1 incorporated by reference and effective Janu-
ary 17, 1990 filed 12-18-89; operative 1-17-90 (Register 89, No. 51).
4. Amendment of subsection (b)(1), new subsection (b)(2), subsection renumber-
ing, amendment of subsections (b)(3), (b)(4) and (c), and amendment of last
paragraph filed 6-29-92; operative 7-29-92 (Register 92, No. 27).
5. Amendment of subsection (e) filed 6-10-93; operative 7-12-93 (Register 93,
No. 24).
6. New subsection (f), amendment of antepenultimate paragraph, new last para-
graph and amendment of Note filed 1-9-98; operative 2-8-98 (Register 98,
No. 2).
7. Editorial correction of penultimate paragraph (Register 98, No. 2).
8. Amendment of PAM sections F-1 and F-6 (incorporated by reference) and
amendment of subsection (f) filed 7-27-2006; operative 8-26-2006 (Register
2006, No. 30).
9. Repealer filed 2-2-2007: operative 3-4-2007 (Register 2007, No. 5).
§ 1012. Conditions for Continuing Employment.
(a) Every full-time peace officer employed by a participating depart-
ment shall be required to serve in a probationary status for not less than
1 2 months from the date appointed to a full-time peace officer position.
(b) In order to continue to exercise peace officer powers, any individu-
al appointed to a full-tiine peace officer position pursuant to Penal Code
secUon 830. 1 (a) must obtain a Basic CerUficate as set forth in Penal Code
section 832.4.
NOTE: Authority cited: Section 1 1422, Government Code; and Section 832.4, Pe-
nal Code. Reference: Sections 832.4 and 13506. Penal Code.
History
1. Renumbering of former section 1004 to new section 1012, including amend-
ment of section heading and Noti., filed 10-7-2002; operative 7-1-2003 (Reg-
ister 2002, No. 41). For prior history of section 1012, see Register 91, No. 16.
§1013. Code of Ethics.
The Law Enforcement Code of Ethics, as stated in PAM, section C-3,
shall be administered to all peace officer trainees during the basic course
and to all other persons at the time of appointment.
Note: Authority cited: Section 13506, Penal Code. Reference: Secfion 1 3503. Pe-
nal Code.
History
1 . Amendment filed 2-10-83; effective upon filing pursuant to Government Code
section 1 1346.2(d) (Register, No. 7).
2. Amendment filed 8-27-90; operadve 9-26-90 (Register 90, No. 42).
§ 1014. Training for Non-Sworn and Paraprofessional
Personnel.
(a) Reimbursement shall be provided to Regular Program agencies for
the training of non-sworn personnel performing police tasks and para-
professional personnel, as provided for by Regulation 1015 and POST
Administrative Manual Section E-l-4a.
(b) Request for Approval.
(1) Non-Sworn or Paraprofessional Personnel. Whenever it is neces-
sary for the employing jurisdiction to obtain prior written approval from
the Commission for non-sworn or paraprofessional personnel to attend
reimbursable training, the agency shall include in the approval request
the following informarion regarding each individual. (See PAM, secfion
E-l-4a.)
(A) The trainee's name and job title.
(B) Job descripfion.
(C) Course title, locafion and dates of presentation.
(2) Request for approval must reach the Commission 30 days prior to
the starting date of the course.
(c) Reimbursement. Reimbursement for non-sworn and paraprofes-
sional personnel is computed in the same manner (except as noted below)
as for sworn personnel according to the reimbursement plan for each
course appropriate for the employee's classification as set forth in the
POST Administrative Manual, Section E-l-4a. No reimbursement is
provided for the training of non-sworn personnel for expenses asso-
ciated with courses enumerated in Regulation 1005(a)(b)(c)(d)(e), ex-
cept as provided in PAM, section E-l-4a (3), (4), and (5). PAM section
E-l-4a adopted effective April 15, 1982, and amended 5-1-87 is herein
incorporated by reference.
PAM section E-l-4(a) adopted effected April 15, 1982 and amended
May 31, 1987, October 10, 1990, January 21, 1994, August 1, 2005, and
August 26, 2006 is herein incorporated by reference.
Note: Authority cited: Sections 13503, 13506 and 13510, Penal Code. Refer-
ence: Sections 13503, 13506 and 13523, Penal Code.
History
1 . Amendment filed 2-10-83; effective upon filing pursuant to Government Code
Section 11346.2(d) (Register 83, No. 7).
2. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No.
25).
3. Amendment filed 8-12-83; effective thirtieth day thereafter (Register 83, No.
33).
Page 62.2
Register 2008, No. 25; 6-20-2008
Title 11
Commission on Peace Officer Standards and Training
§1015
4. Amendment filed 5-1-87; operative 5-31-87 (Register 87. No. 19).
5. Change without regulatory effect amending of PAM section E-1^ pursuant to
section 100, title 1 , California Code of Regulations (Register 90, No. 44).
6. Amendment oflast paragraph filed 12-22-93; operative 1-21-94 (Register 93,
No. 52).
7. Amendment oflast paragraph filed 8-1-2005; operative 8-1-2005 pursuant to
Government Code section 1 1343.4 (Register 2005, No. 31).
8. Amendment of PAM section E-1-4 (incorporated by reference) and amend-
ment of subsection (c) filed 7-27-2006; operative 8-26-2006 (Resister 2006,
No. 30).
§1015. Reimbursements.
(a) Proportionate Reimbursement. Reimbursements to cities, coun-
ties, and districts shall be granted by the Commission in accordance with
section 13523 Penal Code.
( 1 ) Marshals' and district attorneys' departments are included in the
Regular Program for reimbursement even though individual officers
employed by the agencies have retained specialized peace officer classi-
fication.
(2) A jurisdiction that employs limited function peace officers may be
reimbursed for allowable expenses of these officers that are related to at-
tendance of POST-certified courses.
(b) Reimbursement for Travel, Subsistence, Commuter Lunch, Tu-
ition and Back-fill salary.
( 1 ) Requests for Reimbursement.
Each request for reimbursement must be submitted on a form provided
by the Commission and submitted to the training institution at the begin-
ning of a POST-certified training course. No further action is required
by the participating jurisdiction to receive reimbursement except for
those courses requiring a report to POST as a condition of successful
completion, such as Field Management Training and Team Building
Workshops. Upon completion of the training, reimbursement will be au-
tomatically computed and paid to the jurisdiction.
(2) Training Expenses May Be Claimed Only Once. When a trainee
has attended a course certified by the Commission for which reimburse-
ment has been legally requested and paid, an employing jurisdiction may
not receive reimbursement for subsequent attendance by the same trainee
of the same course except where attendance of the course is authorized
to be repeated periodically, such as for Seminars, Advanced Officer
Courses, and selected Technical Courses which deal with laws, court de-
cisions, procedures, techniques and equipment which are subject to rapid
development or change. Exceptions or special circumstances must be ap-
proved by the Executive Director prior to beginning the training course.
(3) Reimbursement is provided only for expenses related to attendance
of POST certified courses.
(4) Reimbursement may be provided only for satisfactorily completed
training acquired by full-time employees in an on-duty status. See the
POST Administrative Manual, section E-I-4c and e., (adopted effective
April 15, 1982), herein incorporated by reference.
(5) Reimbursement may be made to a jurisdiction which terminates a
basic course trainee, allows a trainee to resign prior to completion of a
certified basic course, or if the trainee is unable to complete a certified
basic course due to illness, injury, or other physical or academic deficien-
cy, provided the background investigation requirements of Regulation
1002 or Regulation 1018(c), respectively, (based on the applicability of
the regulation to the classification of the trainee) have been completed
prior to the date the trainee was appointed and the date the course began.
The remaining reimbursement entitlement for a trainee eligible to be re-
enrolled may be applied to attendance of any certified basic course which
is subsequently attended by the trainee.
(6) Reimbursement may be paid to a jurisdiction when a peace officer
trainee fails a certified Basic Course only because of not passing a locally
required training subject(s), but the trainee otherwise safisfactorily com-
pletes the course.
(7) When a peace officer trainee has attended a POST-certified basic
course for which reimbursement has been provided, an employing juris-
dicfion may receive reimbursement for subsequent attendance of a
POST-cerfified basic training course by the same trainee who has a
three-year or longer break in service as a peace officer and must be re-
trained (section 1008(b)).
(8) Reimbursement for partial completion of a certified Motorcycle
Training Course or instructor training courses may be provided if the
trainee fails to complete the course due to an inability to perform the skills
required for successful completion.
(9) A Drug Asset Forfeiture Account is established for all money ac-
cruing to the Peace Officers' Training Fund from drug asset forfeitures.
Funds within the Drug Asset Forfeiture Account will be distributed to ci-
[The next page is 63.]
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Title 11
Commission on Peace Officer Standards and Training
§1018
ties, counties, and districts participating in the POST program under Pe-
nal Code section 13522, and to State agencies, as partial reimbursement
of costs incurred by full-time peace officers who complete drug training
courses. Annual reimbursement from this account will be made for com-
pletion of any POST-certified narcotics and dangerous drug course. Ex-
cluded are courses not specifically certified as drug courses and for which
POST is unable to track attendance by course content.
(10) Reimbursement is authorized for California law enforcement
agencies in counties bordering states contiguous to California, and
whose officers attend POST-certified training courses in those states
(Oregon, Nevada and Arizona). Agencies in other than contiguous coun-
ties may be reimbursed only if the Executive Director or his designee
grants prior approval. Prior approval will be granted only upon showing
a special need.
(c) Reimbursement for Training Presentation.
(1) With the exception of tuition-based courses, contract courses, and
Web-Based Training, an agency presenter may receive reimbursement
for up to the actual course presentation costs [refer to Regulation 1001]
for expenses incurred in training full-time employees from agencies eli-
gible for POST reimbursement.
(2) Training presentation reimbursement shall be paid at a uniform rate
per student hour.
(3) Training presentation reimbursement shall only be provided for the
total number of POST-approved reimbursement training hours attended
by eligible trainees as described in Regulation 1015(c)(1).
(d) Back-fill (replacement)/Days-Off Reimbursement
(1) The Commission will reimburse any eligible agency. Section
13523 Penal Code, for the agency's expense of paying salary at the over-
time rate: (1 ) to a peace officer, who replaces another peace officer for
his/her attendance at selected POST-certified training, or (2) to a peace
officer who is assigned to training on his/her days off, or, (3) to a public
safety dispatcher or dispatch supervisor who replaces another public
safety dispatcher, or dispatch supervisor for his/her attendance at se-
lected POST-certified training, or (4) to a public safety dispatcher, or dis-
patch supervisor who is assigned to training on his/her days off.
(2) Reimbursement claims may be made only for attendance at POST-
certified training courses identified by the Commission. Training courses
that qualify for reimbursement are restricted to: (a) courses developed
and presented with Federal funds allocated by Federal law, STOP vio-
lence against women, (b) courses designed to address high-priority, in-
service training needs of entry-level peace officers, and (c) courses de-
signed to address high-priority, in-service training needs of public
safety dispatchers and dispatch supervisors. As such courses are certi-
fied, there will be a notation of eligibility for reimbursement.
(3) Reimbursement shall be paid at 100% of actual salary cost (at the
time and one-half overtime rate) incurred to keep a position filled while
the incumbent attends training. Payment is subject to availability of
funds.
PAM Section E-l^c adopted effective April 15, 1982 and amended
January 21, 1994, is herein incorporated by reference.
PAM Section E-l^e adopted effective April 15, 1982 is herein incor-
porated by reference.
Note; Refer to PAM, Section E, Reimbursements, for detailed information on re-
imbursement procedures.
NOTE: Authority cited: Sections 13503, 13506, 13510 and 13520, Penal Code.
Reference: Sections 13510, 13511, 13512, 13518, 13520, 13522, 13523, 13524
and 13525, Penal Code; Section 11489, Health and Safety Code; and Statutes
1997, Chapter 9, Section 2, (Senate Bill 350).
History
1 . New subsection (a)( 1 ) filed 5-14-82; designated effective 7-1-82 (Register 82,
No. 20).
2. Amendment filed 2-1 0-83; effective upon filing pursuant to Government Code
section 1 1346.2(d) (Register 83, No. 7).
3. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No.
25).
4. Amendment of subsection (f) filed 3-5-85; effective thirtieth day thereafter
(Register 85, No. 10).
5. New subsection (a)(2) filed 1-9-86; effective thirtieth day thereafter (Register
86, No. 2).
6. Relettering of former subsection (h) to subsection (i) and new subsection (h)
filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
7. Amendment of subsections (a), (c) and (t)-(h) filed 11-29-88; operative
12-29-88 (Register 88, No. 51).
8. New subsection (j) filed 6-13-91; operative 7-13-91 (Register 91, No. 35).
9. Amendment of subsection (b), new subsection (c), subsection relettering, and
amendment of NoTi: filed 2-1-93; operative 2-1-93 (Register 93, No. 6). A
Certificate of Compliance must be transmitted to OAL 6-1-93 or emergency
language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-1-93 order transmitted to OAL 5-24-93 and
filed 7-6-93 (Register 93, No. 28).
1 1 . New subsections (c) and (d)( 1 )-(3), subsection redesignalion and amendment
of NoTH filed 12-22-93; operative 1-21-94 (Register 93, No. 52).
12. Amendment of subsection (c), new subsections (e)-(e)(3), and amendment of
Note filed 2-26-98; operative 3-1-98 pursuant to Government Code section
1 1343.4(d) (Register 98, No. 9).
13. Amendment of subsection (e)(3) filed 8-20-98 as an emergency; operative
8-20-98 (Register 98, No. 34). A Certificate of Compliance must be transmitted
to OAL by 12-18-98 or emergency language will be repealed by operation of
law on the following day.
14. Certificate of Compliance as to 8-20-98 order transmitted to OAL 10-27-98
and filed 12-7-98 (Register 98, No. 50).
15. Amendment of subsections (e)-(e)(3) filed 4-1-99; operative 5-1-99 (Regis-
ter 99, No. 14).
16. New subsection (c)(10) filed 1-7-2000; operative 2-6-2000 (Register 2000,
No. 1).
17. Amendment of subsections (e)(]) and (e)(2) filed 4-11-2001; operative
7-1-2001 (Register 2001, No. 15).
18. Amendment of subsection (c)(5) filed 8-22-2005; operative 9-21-2005
(Register 2005, No. 34).
19. Repealer of subsection (b), subsection relettering and amendment of newly
designated subsections (b)(1), (c)(3) and (d) filed 2-9-2006; operative
3-1 1-2006 (Register 2006. No. 6).
20. Amendment of subsection (c)( 1 ) filed 7-27-2006; operative 8-26-2006 (Reg-
ister 2006, No. 30).
§ 1016. Services Provided by the Commission.
Counseling services are provided only to a local jurisdiction, and only
upon request for the purpose of improving its administration, manage-
ment, and operations. Aid may also be given to such agencies in imple-
menting recommended procedures or practices. See PAM, Section G.
NOTE: Authority cited: Secdon 13506, Penal Code. Reference: Sections 13503
and 13513, Penal Code.
History
1 . Amendment filed 2-10-83; effecdve upon filing pursuant to Government Code
Section 11346.2(d) (Register 83, No. 7).
2. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No.
25).
§ 1017. Standards for Approved Courses.
NOTE: Authority cited: Section 11422, Government Code. Reference: Section
13506, Penal Code.
History
1. Repealer filed 2-10-83; effective upon filing pursuant to Government Code
Section 1 1346.2(d) (Register 83, No. 7).
§ 1018. Public Safety Dispatcher Programs.
(a) The Commission shall establish a Public Safety Dispatcher Pro-
gram for the purpose of raising the level of competence of public safety
dispatchers having primary responsibility for providing dispatching ser-
vices for local law enforcement agencies listed in subsection (a) of Penal
Code section 13510.
Public Safety Dispatcher is defined in regulation 1001. Consistent
with that definition, selection and training requirements set forth below
apply to all persons employed, full-time or part-time, by the participat-
ing agency to duties including receiving emergency calls for law enforce-
ment service and/or the dispatching of law enforcement personnel. The
selection and training requirements do not apply to persons employed as
peace officers assigned to the above described duties.
(b) Specialized Public Safety Dispatcher Program. Any public juris-
diction or agency, other than those described in Penal Code section
13510(a), which employs public safety dispatchers whose primary re-
sponsibility is providing dispatch services for law enforcement person-
nel, may participate in the Specialized Public Safety Dispatcher Pro-
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Register 2007, No. 23; 6-8-2007
§1019
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
gram. Such participants shall not be eHgible for reimbursement. All mles
and procedures, except reimbursement provisions, that apply to the Pub-
lic Safety Dispatcher Program shall also apply to the Specialized Public
Safety Dispatcher Program.
(c) Minimum Selection Standards for Public Safety Dispatchers.
Every public safety dispatcher candidate shall be subject to the follow-
ing requirements:
(1) Background Investigation: A thorough background investigation
shall be conducted before hire to verify the absence of past behavior in-
dicative of unsuitability to perform public safety dispatcher duties. The
background investigation shall be conducted as prescribed in PAM sec-
tion C-1.
(2) Medical Examination: A medical examination shall be conducted
before hire to verify the absence of any medical condition that would pre-
clude the safe and efficient performance of dispatcher duties. The depart-
ment shall retain the signed written verification that the medical ex-
amination was conducted by a licensed physician and surgeon, in
accordance with this requirement.
(3) Oral Communications: Oral communication skills shall be eva-
luated before hire to assure the presence of skill levels commensurate
with the performance of dispatcher duties.
(4) Verbal, Reasoning, Memory, and Perceptual Abilities Assessment
(as defined in section (A)l-^ below): These abilities shall be evaluated
before hire to assure the presence of ability levels commensurate with the
performance of dispatcher duties, as measured by the POST Entry-Level
Dispatcher Selection Test Battery or alternative job-related tests of these
abilities.
(A) Ability Definitions:
1 . Verbal ability includes written and oral comprehension (the ability
to read passages and listen to orally imparted information and retrieve
facts, draw conclusions, and derive meaning); and written expression
(the ability to use language to convey information clearly in writing).
2. Reasoning ability includes at least one of the following: (1 ) deduc-
tive reasoning (the ability to apply general rules to specific problems to
attain logical answers); or (2) information ordering (the ability to correct-
ly follow a given rule or set of rules to arrange things or actions in a cer-
tain order).
3. Memory ability includes the capacity to store and retrieve facts, de-
tails, and other information.
4. Perceptual ability includes speed and accuracy (the abihty to quick-
ly and accurately compare letters and numbers presented orally and in
written form); and time sharing (the ability to shift back and forth be-
tween two or more sources of information, both written and orally im-
parted, in performing a task or set of tasks.
(B) Exemption. Any candidate who has: (1) successfully completed
the Public Safety Dispatcher's Basic Course or passed the POST Basic
Dispatcher Training Equivalency Examination (Commission Procedure
F-5), and (2) completed probation as a dispatcher during previous em-
ployment shall be exempt from the requirements set forth in section
1018(c)(4).
(d) Minimum Training Standards for Public Safety Dispatchers.
(1) Every public safety dispatcher shall satisfactorily complete the
POST-certified Public Safety Dispatchers' Basic Course as set forth in
PAM, section D-1-6 before or within 12 months after the date of ap-
pointment, promotion, reclassification, or transfer to a public safety dis-
patcher position; or possess the Public Safety Dispatcher Certificate.
(2) Every public safety dispatcher, and public safety dispatch supervi-
sor, shall also satisfactorily complete the Continuing Professional Train-
ing requirement set forth in Regulation 1005. (d).
(e) Probation Period. Every full-time employed public safety dis-
patcher after hire shall demonstrate competence in the performance of
the duties of a public safety dispatcher by satisfactory completion of a
probationary period of at least 12 months. Upon entry into the program,
departments with a probation period of less than 1 2 months, when estab-
lished by ordinance, charter, or memorandum of understanding, shall be
granted a waiver of this requirement until a 12-month probation period
can be established.
(f) The Commission shall award public Safety Dispatcher Certificates
to dispatchers who qualify as provided in PAM, section F-5, for the pur-
pose of fostering professionalization.
PAM section D-1-5 adopted effective December 29, 1988 and
amended December 19, 1994, July 1 , 2002, and September 15, 2004, Jan-
uary 1, 2006, and August 26, 2006 is herein incorporated by reference.
The document, Training Specifications for The Public Safety Dis-
patchers' Basic Course adopted effective December 19, 1994 and
amended April 23, 1 999 and July 1 , 2002 is herein incorporated by refer-
ence.
NOTE: Authority cited: Sections 832,3, 13503, 13506 and 13510, Penal Code.
Reference: Sections 832.3 and 13510, Penal Code.
History
1. New section filed 1 1-29-88; operative 12-29-88 (Register 88, No. 51).
2. Amendment filed 5-6-91; operative 6-5-91 (Register 91, No. 21).
3. Amendment of subsections (d) and (f) filed 12-19-94: operative 1 -1 8-95 (Reg-
ister 94, No. 51).
4. New subsections (c)(4)-(c)(4)(B) filed 2-29-96; operative 7-1-97 (Register
96, No. 9).
5. Amendment of subsection (d) and PAM section D-1-6 reference filed 4-2-96;
operative 5-2-96 (Register 96, No. 14).
6. Editorial correction of History 4 (Register 97, No. 3).
7. Amendment of penultimate paragraph and document Training, Specifications
for the Public Safety Dispatchers' Basic Course, incorporated by reference,
filed 7-8-97; operative 1-1-98 (Register 97, No. 28).
8. Amendment of subsection (a) filed 11-4-97; operaUve 12-4-97 (Register 97,
No. 45).
9. Amendment of last paragraph and amendment of the document. Training Speci-
fications for the Public Safety Dispatchers ' Basic Course (incorporated by ref-
erence) filed 3-24-99; operative 4-23-99 (Register 99, No. 13).
10. Amendment reorganizing subsection (d) into subsections (d)-(d)(l) and new
subsccfion (d)(2) filed 8-19-99; operative 7-1-2000 (Register 99, No. 34).
11. Amendment of antepenulfimate paragraph filed 10-17-2001; operative
1-1-2002 (Register 2001, No. 42).
12. Amendment of subsection (f) and amendment of PAM section D-1-5 and the
document. Training Specifications for the Public Safety Dispatchers' Basic
Course (incorporated by reference) filed 3-7-2002; operadve 7-1-2002 (Reg-
ister 2002, No. 10).
13. Amendment of PAM section D-1-5 and amendment of Note filed
8-26-2004; operative 9-15-2004 pursuant to Government Code section
11343.4 (Register 2004, No. 35).
14. Amendment of subsecfions (c)(l)-(2) filed 8-22-2005; operative 9-21-2005
(Register 2005, No. 34).
15. Amendment of PAM section D-1-5 and subsections (a) and (f) filed
7-27-2006; operative 8-26-2006 (Register 2006, No. 30).
16. Amendment of subsecfion (f) filed 2-2-2007; operative 3^t-2007 (Register
2007, No. 5).
§ 1019. Feasibility Studies for Peace Officer Status
Requests.
NOTE: Authority cited: Sections 13503, 13506 and 13540, Penal Code. Reference:
Sections 13540, 13541, 13542 and 13543, Penal Code.
History
1. New section filed 7-16-90; operative 8-15-90 (Register 90, No. 34).
2. Amendment of section heading, section and Note filed 9-1 1-2000 as an emer-
gency; operadve 9-11-2000 (Register 2000, No. 37). A Certificate of Com-
pliance must be transmitted to OAL by 1-9-2001 or emergency language will
be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 9-11-2000 emergency amend-
ment by operation of Government Code section 1 1346.1(f) (Register 2001, No.
8).
4. New subsection (a)(2), subsection renumbering and amendment of subsection
(e) and Note filed 7-12-2001; operative 8-1 1-2001 (Register 2001, No. 28).
5. Renumbering of former section 1019 to new secuon 9020 filed 6-8-2007; op-
erative 7-8-2007 (Register 2007, No. 23).
§ 1020. Reimbursement for Purchase of Satellite Antenna.
Note: Authority cited: Secfions 13503, 13506 and 13520, Penal Code. Reference:
Section 13523, Penal Code.
History
1 . Ne w section filed 2- 1 -9 3 as an emergency ; operative 2-1-93 (Register 93 , No .
6). A Certificate of Compliance must be transmitted to OAL 6-1-93 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-1-93 order transmitted to OAL 5-24-93 and
filed 7-6-93 (Register 93, No. 28).
3. Amendment of subsecfions (a), (b)(1), (b)(3), (c)(l)-(c)(2)(A) and (e) filed
6-10-98; operafive 7-10-98 (Register 98, No. 24).
•
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Title 11
Commission on Peace Officer Standards and Training
§1052
4. Amendment of subsections (a), (b)(3) and (c)(2) filed 1-22-2001; operative
2-21-2001 (Register 2001, No. 4).
5. Repealer filed 2-9-2006; operative 3-1 1-2006 (Register 2006, No. 6).
§ 1 021 . Reimbursement for Purchase of Interactive
Multimedia Training Delivery System.
NOTH; Authority cited: Sections 1 3503, 13306 and 13520, Penal Code. Reference:
Secfion 13523, Penal Code.
History
1 . New section filed 2-1-93 as an emergency; operative 2-1-93 (Register 93, No.
6). A Certificate of Compliance must be transmitted to OAL 6-1-93 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-1-93 order transniitted to OAL 5-24-93 and
filed 7-6-93 (Register 93, No. 28).
3. Amendment of section heading and section filed 8-17-98; operative 9-16-98
(Register98. No. 34).
4. Amendment of subsection (a) filed 1-22-2001 ; operative 2-21-2001 (Register
2001. No. 4).
5. Repealer filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
Article 2. Commission on Peace
Officer Standards and Training —
Conflict of Interest Code
NOTE: It having been found, pursuant to Government Code Sec-
tion 1 1409(a), that the printing of the regulations constituting the Con-
flict of Interest Code is impractical and these regulations being of limited
and particular application, these regulations are not published in full in
the California Code of Regulations. The regulations are available to the
public for review or purchase at cost at the following locations:
COMMISSION ON PEACE OFFICER
STANDARDS AND TRAININCi
1601 ALHAMBRA BLVD.
SACRAMENTO, CA 95816
FAIR POLITICAL PRACTICES COMMISSION
428 "J" STREET
SACRAMENTO, CA 958)4
ARCHIVES
SECRETARY OF STATE
1020 "O" STREET
SACRAMENTO, CA 95814
The Conflict of Interest Code is designated as Article 2 of Division 2
of Title 1 1 ofthe California Code ofRegulations, and consists of sections
numbered and titled as follows:
Article 2. Conflict of Interest Code
Section
1045. General Provisions
Appendix
NOTE: Authority cited: Sections 87300 and 87304, Government Code. Reference:
Section 87300, et seq.. Government Code.
History
1. New Article 2 (Sections 1020-1056) filed 11-28-77; effective thirtieth day
thereafter. Approved by Fair Political Practices Commission 6-8-77 (Register
77, No. 48).
2. Repealer of Article 2 (Sections 1 020-1056) and new Article 2 (Section 1020 and
Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by Fair
Political Practices Commission 4-1-80 (Register 81, No. 9).
3. Change without regulatory effect renumbering former section 1020 to section
1045, and amendment of agency street addresses filed 2-24-93 pursuant to sec-
fion 100, title 1, California Code of Regulafions (Register 93, No. 9).
4. Amendment of section and appendix filed 12-6-95; operative 1-5-96. Ap-
proved by Fair Political Practices Commission 10-20-95. Submitted to OAL
for printing only (Register 95, No. 49).
Article 3. Regulatory Procedures
§ 1 051 . Course Certification Program.
(a) The Commission administers the Course Certification Program to
provide needed and quality training to law enforcement persormel. Ref-
erences to a course being "POST-certified" means that the Commission
has approved presentation of the course in accordance with Regulations
1052-1055.
NOTE: Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sec-
tion 13503(e), Penal Code.
History
1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
2. Amendment of section filed 1-22-2001 ; operative 2-2 1-2001 (Reaister 200 1 .
No. 4).
§ 1052. Requirements for Course Certification.
(a) Instructor-Led Training:
Each instructor-led training (Web-based, classroom, or other) course
certification request shall be evaluated in accordance with the following
factors:
( 1 ) Need and justification for course
(2) Course content
(3) Hours of Instruction
(4) Qualifications of instructors, coordinators, and/or academy staff
(Reference Regulations 1070 and 1071 for minimum training standards)
(5) Potential clientele and volume of trainees
(6) Physical facilities appropriate for the training
(7) Methods of course presentation
(8) Availability of staff to administer the course
(9) Course evaluation processes
(10) Cost of course
(11) Instructor/trainee ratios
(12) Provisions for student safety
(b) Self-paced training (e.g., CD-ROM or Web-based Training).
Each self-paced training course certification request shall be eva-
luated in accordance with the following factors:
(1) Need and justification for course
(2) Course content
(3) Proposed Continuing Professional Training hours
(4) Estimated completion time for a course
(5) Estimated completion times for individual learning activities and
evaluations
(6) Qualification of course developers (Reference Regulations 1070
and 1071 for minimum training standards)
(7) Potential clientele and volume of trainees
(8) Course objectives
(9) Learning activities that support the course objectives
(10) Evaluation activities that determine if the course objectives were
met
(c) In addition to the factors specified in Regulation 1052(a) or (b),
each request for certification of a Regular Basic Course presented by an
academy [as defined in Commission Procedure D-l-3(a)(5)] shall be
evaluated in accordance with the following factors:
(1) Each academy shall designate an academy director whose qualifi-
cations, based upon education, experience, and training shall include a
demonstrated ability to manage an academy.
(A) Academy management responsibilities shall include:
1 . Integrating and sequencing instruction;
2. Managing instructional methods, testing, and remediation;
3. Hiring, assigning, and evaluating performance ofthe instructor(s),
coordinator(s), training officer(s), and staff;
4. Coordinating, budgeting, and controlling academy resources; and
5. Maintaining academy discipline.
(2) Each academy shall designate an academy coordinator whose
qualifications, based upon knowledge, experience, and training, shall in-
clude a demonstrated ability to coordinate the instruction and manage-
ment of the Regular Basic Course instructional system.
(A) Regular Basic Course instructional system coordination responsi-
bilities shall include:
1. Developing sequenced instructional schedules;
2. Overseeing and evaluating instructional, technological, testing, and
remediation methods;
3. Participating in the hiring process of instructor(s), training officer(s)
and staff, and making recommendations for their selection and assign-
ment; and
4. Evaluating instructor(s') and training officer(s') performance.
(3) Each academy shall be supervised at all times by an academy direc-
tor or coordinator when instruction is being conducted.
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§1053
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(4) Each college academy shall institute an advisory committee of law
enforcement officials to assist in providing logistical support and valida-
tion of the training.
(5) Each academy shall comply with the minimum training standards
for directors, coordinators and recmit training officers as prescribed in
Regulation 1071.
(d) Only those courses for which there is a identifiable and unmet need
shall be certified.
(e) Courses for which POST has established minimum curriculum
and/or hourly requirements must comply with those requirements at the
time of the certification request and any subsequent presentations. (See
Regulation(s) 1081, 1082 and any training specifications referenced in
PAM, section D-1 , which have been incorporated into regulation by ref-
erence.) An exception would be a course pilot presentation that is later
determined to meet newly adopted or amended curriculum and hourly re-
quirements, in which case, retroactive POST certification and presenta-
tion approval may be granted. In addition to meeting the curriculum and
hourly requirements, a pilot presentation must meet the requirements set
forth in Regulations 1052-1057. Any trainee who has successfully com-
pleted a retroactively POST-certified pilot presentation shall receive
credit for the training (thus satisfying the training mandate) even though
the training occurred prior to the adoption of training mandate or required
curriculum/hours.
(f) Training presented in conjunction with association meetings or
conferences may be certified subject to the requirements set forth in Reg-
ulations 1051-1058, along with the following conditions:
( 1 ) Training shall not be certified as POST reimbursable
(2) Training presented by an association or in conjunction with an as-
sociation meeting or conference shall not be certified if attendance is re-
stricted to association members.
(g) The Commission shall only endorse or co-sponsor courses, semi-
nars, or conferences when POST has assisted in planning the event, de-
veloping the subject matter or program, and selecting instructors or
speakers.
(h) No course shall be certified which restricts attendance to a single
agency, unless the purpose of the course is to improve that agency and
attendance by non-agency personnel would jeopardize the success of the
course.
(i) The presenter of a POST-certified course shall review all audio-vi-
sual training materials prior to use as a training resource. The review of
audio-visual training material shall emphasize the avoidance of materi-
als that depict situations, tactics, and procedures that could lead a trainee
to take inappropriate actions on the job. The review shall also include
careful examination of depictions of law enforcement work to assure
consistency with existing law and accepted practices. (For reference, see
"POST Guidelines for Reviewing Audio-Visual Training Materials").
( 1 ) For the purposes of this regulation, "audio-visual training materi-
als" are defined as audio tapes, CD-ROM discs, computer animations,
digitized audio and video files, DVD discs, films, slides, videotapes, and
other similar media. Classroom hand-out materials are not included.
(2) Regulation of 1052(h) shall be effective July 14, 1993 and shall ap-
ply to all audio-visual training materials being considered for use in
POST-certified courses commencing after that date. The regulation shall
apply to materials previously used by the course presenters only as they
are considered for re-use in POST-certified courses.
(3) Audio-visual materials cataloged on the "POST-Approved Media
List," maintained by the Commission on Peace Officer Standards and
Training, need not be subjected to the review process described in this
section.
(4) Publicly available broadcast material pertinent to current training
topics need not be subjected to the review process described in this sec-
tion.
NOTE; Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sec-
tion 13503(e), Penal Code.
History
1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
2. New subsections (g)-(g)(4) filed 7-14-93; operative 7-14-93 pursuant to Gov-
ernment Code section 11346.2(d) (Register 93, No. 29).
3. Amendment of subsection (d) and new subsections (d)(l)-(2) filed 5-12-94;
operative 5-29-94 (Register 94, No. 19).
4. New subsections (b)-(b)(4) and subsection relettering filed 10-28-96; opera-
tive 1 1-27-96 (Register 96, No. 44).
5. Amendment of subsections (d), (g). (h)(2) and (h)(3) filed 1-22-2001 : operative
2-21-2001 (Register 2001, No. 4).
6. Amendment of subsections (a)( 1 ) and (a)(2), new subsection (b)(5) and amend-
ment of subsection (d) filed 7-17-2001; operative 7-1-2002 (Reeister 2001,
No. 29).
7. Amendinent of subsection (d) filed 4-7-2003; operative 5-7-2003 (Register
2003, No. 15).
8. Amendment filed 7-27-2006; operative 8-26-2006 (Register 2006, No. 30).
§ 1053. Course Certification Request and Review Process.
Course Certification Request. Any person or organization desiring to
have a course certified shall first lelephonically contact a POST regional
consultant for an evaluation of the factors described in Regulation
1052(a) or (b). If the evaluation is favorable, a complete course certifica-
tion request shall be submitted to POST via the Electronic Data Inter-
change (EDI) System.
(a) Instructor-led training. The following information, provided via
the EDI, shall constitute a complete course certification request for
instmctor-led training and for the instructor-led portion of a blended
learning course:
( 1 ) Course Administration Information collected via EDI shall consist
of the following:
(A) Agency submitting request
(B) Course title
(C) College affiliation
(D) Plan requested
(E) Course length — hours
(F) Format: Hours per day, days per week, weeks
(G) Presentations per year
(H) Units granted: semester or quarter
(1) Participating law enforcement agencies and esfimated number of
yearly trainees from each agency
(J) Enrollment restrictions
(K) Maximum number of students
(L) Address of course site
(M) Facilities — number and size of classrooms
(N) Course objectives and narrative description of course
(O) Method of presentation — all techniques used: lecture, demonstra-
tion, simulation, role playing, conference, other
(P) Number of instructors
(Q) Training aids used
(R) Required project
(S) Method of evaluating stated objectives
(T) Name and title of person requesfing course certification
(U) Contact number
(V) Date of request
(W) Secondary course title
(X) Fiscal year
(Y) Variable/fixed format
(Z) Course is specific to dispatchers: yes or no
(AA) Publish in POST course catalog: yes or no
(BB) Categories
(CC) Course is a legislative mandate: yes or no
(DD) Course is in response to POST regulatory training requirements:
yes or no
(EE) Course requires standardized curriculum: yes or no
(FF) Revisit content prior to course
(GG) Course is highly dynamic: yes or no
(HH) Course requires a safety guideline: yes or no
(II) Subventions
(JJ) Pre-requisites required: yes or no
(KK) Proposed presentafion dates
(LL) On-site/Off-site presentations
(MM) Material agency fees
(NN) E-mail address
(2) Course Instructor Resume, completed by the course presenter for
each instructor assigned to instruct in any POST certified/approved
course. The presenter Attestation/Evaluafion section of the resume form
shall be completed for each instructor of a "Specialized Training Sub-
Page 66
Register 2007, No. 42; 10-19-2007
Title 11
Commission on Peace Officer Standards and Training
§1053
ject" listed in Regulation 1070 who has been evaluated and found to meet
the instructor training requirements of Regulations 1070 and 1082. The
Course Instructor Resume information collected via EDI shall consist of
the following:
(A) Instructor's name (first, middle, last)
(B) Current occupation
(C) Current employer (primary)
(D) Business address: street city state zip
(E) Business phone number
(F) Business email
(G) Course assigned to instruct
(H) Training presenter
(I) POST presenter number
(J) Course number if known
(K) Subject(s) assigned to instruct (e.g., firearms, legal update)
(L) Highest degree
(M) Year obtained
(N) Major
(0) Education/teaching credential
(P) College/university (include city and state)
(Q) Types of general law enforcement experience relative to this
instructional assignment (e.g., patrol, swat, traffic), number of years
(R) Other law enforcement-related experience relative to this instruc-
tional assignment (e.g., college instructor, attorney), number of years
(S) Instructor development training (general instructor skills: adult
learning, assessment, presentation skills, testing): Course titles —
POST-certified, course control number, total hours, completion date
(T) Instructor development training (general instructor skills: adult
learning, assessment, presentation skills, testing): Course titles — non
POST-certified, presenter, total hours, completion date
(U) Instructor training specific to this course — initial training and any
update training (e.g., driver instructor course, driver instructor update
course): course titles — POST-certified, course control number, total
hours, completion date
(V) Instructor training specific to this course — initial training and any
update training (e.g., driver instructor course, driver instructor update
course): course titles — non post-certified, presenter, total hours,
completion date
(W) Professional license certificates relevant to this course (e.g.,
EMT, NAUI, R.N.)
(X) The name of the specialized subject the instructor is assigned to
teach and the required instructor course title as listed in regulation 1082
(e.g., firearms instructor)
(Y) Completion of POST-certified instructor course — regulation
1070(b: course titles — post-certified, course control number, hours
(Z) Equivalency evaluation for instructor course — regulation
1070(c): titles/subject areas, course control number if known, hours,
date, presenter
(AA) Attestation for (Y) or (Z) above: presenter/designee, position
title, date
(BB) Titles of directly related courses/subjects taught
(CC) Other teaching experience (course titles/subjects)
(DD) Presenter/designee authorized to approve instructor
(EE) Presenter's contact information: office number, cell number, fax
number, email address
(3) Course Budget if the proposed course will require a tuition. (Refer-
ence Regulation 1054, Requirements for Course Budget.) Course Budget
information collected via EDI shall consist of the following:
(A) Agency presenting the course
(B) Course category
(C) Course title
(D) Direct costs — services: instruction, coordination, clerical, print-
ing/reproduction
(E) Direct costs — supplies: books/pamphlets/handouts, certificates,
notebooks, paper/office supplies
(F) Direct costs — equipment
(G) Direct costs — travel: coordinator, instructors
(H) Direct costs — miscellaneous
(1) Indirect costs
(J) Subventions
(K) Name of person submitting budget and date
(L) Services — instruction: name, number of instructor hours, hourly
rate
(M) Services — coordination: name, number of coordinator hours,
hourly rate
(N) Services — clerical: name, number of hours, houriy rale
(0) Services — printing/reproduction: item, cost
(P) Supplies — books/pamphlets/handouts: item, quantity, cost
(Q) Supplies — certificates: item, quantity, cost
(R) SuppHes — notebooks: item, quantity, cost
(S) Supplies — office supplies: item, quantity, cost
(T) Equipment: item, specific cost
(U) Travel: coordinator's name, origin & destination, mode of trans-
portation, specific costs (e.g., transportation, per diem, etc.)
(V) Miscellaneous: item, cost
(W) Subventions: source of subventions, type of subventions (cash,
equipment, services, etc.), cash value of subvention
(X) General coordination
(Y) Presentation coordination
(Z) Site indicator
(AA) Course facihties cost
(4) Expanded course outline that minimally includes subject topics to
the third level of detail, to sufficiently indicate the technical information
in the subject areas. See 1053(c)(2) of an exception. A generic outline ex-
ample is as follows:
Course Name or Title
I. Introduction
A. Instructors
B. Course description
C. Administration
II. Topic 1 or Section I
A. First subtopic/section content
1 . Content breakdown goes here
B. Second subtopic/section goes here
1 . Content breakdown goes here
(5) Hourly distribution schedule indicating, by day of the week, the in-
structors and topics scheduled during each course hour. (Example for-
mats are available from POST.)
(6) Course safety pohcies and procedures for courses that include ma-
nipulative skills training. (Reference POST Guidelines for Safety in Cer-
tified Courses for clarification and sample policies). The policies and
procedures must minimally address:
(A) Rules of Safety and Conduct,
(B) Reporting and Handling Injuries,
(C) Ratios of Instructional Staff to Students.
(b) Self-paced training (e.g., CD-ROM or Web-based training.) The
following forms and related materials shall constitute a complete pack-
age for self-paced training, including the self-paced portion of a blended
learning course:
(1) Self-Paced Training Course Certification Request (POST 2-124,
8/06)
(2) Course Developer Resume (POST 2-215, 8/06). The course pre-
senter shall complete a resume for each course developer assigned to
create any POST certified/approved self-paced course. The presenter
Attestation/Evaluation section of the resume form shall be completed for
at least one developer of a "Specialized Training Subject" listed in Regu-
lation 1070 who has been evaluated and found to meet the instructor
training requirements of Regulation 1070 and 1082.
(3) Access to the WBT. For review purposes, the presenter shall pro-
vide POST with the Uniform Resource Locator (URL) or other access re-
sources (e.g., CD-ROM or DVD disc), log-on requirements, and any
other information or media that would be supplied to a student taking the
WBT.
(4) An expanded course outline which minimally includes topics to the
fourth level of detail to sufficiently indicate the technical information in
the subject areas. The outline shall also show the connection between
course content and objectives, learning activities, and evaluations. A ge-
neric outline example is as follows:
Page 67
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§1054
BARCLAYS CALIFORNIA CODE OF REGULATIONS
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Course Name or Title
I. Introduction
A. Course description
B. How to access and complete the on-line training
1 . Uniform Resource Locator (URL) and log-on requirements
2. Completion requirements
II. Topic I or Section I
A. First subtopic/section content
1 . Content breakdown goes here
(a) Learning activities, related objectives, and estimated times of
completion go here
2. Student evaluations, related objectives, and estimated times of
completion go here if done at the topic/section level. A typical evaluation
might include written, audio, and/or video scenarios depicting a situation
the student must successfully identify or analyze by answering multiple-
choice, true/false, or matching questions.
B. Second subtopic/section content
1 . Content breakdown goes here
(a) Learning activities, related objectives, and estimated times of
completion go here
2. Student evaluations, related objectives, and estimated times of
completion go here if done at the topic/section level. A typical evaluation
might include written, audio, and/or video scenarios depicting a situation
the student must successfully identify or analyze by answering multiple
choice, true/false, or matching questions.
III. Course Evaluation
A. Student evaluations, related objectives, and estimated times of
completion go here if done at the course level.
(5) Proposed Continuing Professional Training (CPT) hours
(6) An estimation of the total time required to complete the course
(7) The presenter's attestation of course developer approval and com-
mitment to adhere to the POST-Approved Expanded Course Outline,
and Conditions of Certification presentation. Any modifications to ob-
jectives, content, evaluations, total hours, etc., in a POST-certified
course must be submitted to POST for approval before presentation.
(c) Course Certification Review.
( 1 ) Within 14 calendar days of receiving a course certification request,
POST shall review the request and notify the requestor,via the Electronic
Data Interchange (EDI) System, of the status of the request. If the request
is incomplete, POST will identify the areas needing completion and shall
return the request via the EDI System before further action will be taken
to consider certification of the course.
(2) The Commission shall review each complete request for course
certification and base its decision on evaluation of those factors enumer-
ated in Regulation 1 052. Within 60 calendar days of receiving the course
certification request, POST will notify the requestor of the Commission' s
decision to approve or disapprove certification of the course.
(3) Any requestor not satisfied with a certification action may submit
an appeal to the Commission in accordance with Regulation 1058.
(d) Changes to Course Certification. After a course is certified by the
Commission under the conditions specified in the Course Certification
Request, the course shall not be changed or modified, as described below,
without POST approval. Course presenters must report any change(s) to
conditions of course certificafion or to the elements of the course: budget,
course content, hours of presentation, instructors, location, number of
presentations, hourly schedule, and scheduled times).
(1) Modifications are changes to a Course Presentation Request sub-
mitted to POST and approved by POST prior to the course presentafion.
(2) Modification Exception. An excepfion to the requirement to sub-
mit modificaUons for POST approval shall be allowed for the courses
listed below. After a presenter receives an initial certification for any of
the courses listed below, a POST 2-141 (07/05), Expanded Course Out-
line Exemption, shall be submitted in lieu of the expanded course outline
for any POST-directed changes to prescribed curriculum specified in the
training and testing specificafions adopted pursuant to the Administra-
tive Procedure Act. However, an updated, expanded course outline shall
sUll be submitted for all topics not prescribed by POST.
(A) Regular Basic Course
(B) PC832 Arrest and Firearms Course
(C) Reserve Officer Level III Module (Part 2)
(D) Reserve Officer Level II Module
(E) Reserve Officer Level I Module
(F) Specialized Investigators' Basic Course
(G) Requalification Course
(H) Public Safety Dispatchers' Basic Course
(I) Invesfigafion and Trial Preparation Course
(3) Corrections are changes to a Course Presentation Request sub-
mitted to POST and approved by POST after the course presentation.
NOTE: Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sec-
tion 13503(e), Penal Code.
History
1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
2. Amendment of subsection (a)(3) filed 12-22-93; operative 1-21-94 (Register
93. No. 52).
3. Change without regulatory effect amending subsection (a)(]) filed 6-2-2000
pursuant to section 100, title 1, California Code of Regulations (Register 2000,
No. 22).
4. Amendment filed 1-22-2001; operative 2-21-2001 (Register 2001. No. 4).
5. Amendment of subsection (a)(2) filed 7-17-2001; operafive 7-1-2002 (Regis-
ter 2001, No. 29).
6. Amendment of subsections (a)(2). (a)(4) and (a)(6) and redesignation and
amendment of former subsection (a)(6)(D) as (a)(7) filed 6-6-2003; operative
7-6-2003 (Register 2003, No. 23).
7. Amendment of subsecdons(a)(l )-(7) and (b)(1) and new subsections (cHc)(9)
filed 6-15-2005; operative 7-1-2005 pursuant to Government Code section
11343.4(c) (Register 2005. No. 24).
8. Amendment filed 7-27-2006; operative 8-26-2006 (Register 2006. No. 30).
9. Amendment filed 10-15-2007; operative 1 1-14-2007 (Register 2007, No. 42).
§ 1054. Requirements for Course Budget.
Course coordinators presenting, or planning to present, a POST-certi-
fied tuidon-based course are to use the following tuition and budget re-
quirements and limits when submitting the Course Administration In-
formauon and Course Budget via the EDI System. Allowable per
presentation costs for establishing tuition and course budgets are as fol-
lows:
(a) InstrucUonal Costs. Up to $35 per hour, except as noted below, for
each hour of instrucfion, per instructor, may be claimed. Fringe benefits
and instructor preparafion shall be included in this amount. Up to $90 per
instructional hour may be approved in instances of special need for par-
ficular experfise, based upon written justification from the presenter. On
those limited occasions where it may be necessary to obtain special ex-
pertise to provide training, the maximum of $90 per instrucdonal hour
may be exceeded upon prior approval of the Executive Director.
(b) Development Costs for Tuition-Based Courses. When POST has
specifically requested development of a new course or revision of an ex-
isting course, presenter development costs may be negotiated with
POST. When approved by the Execufive Director, such costs shall be
prorated as a portion of tuition for an agreed-upon number of presenta-
Uons.
(c) Coordination. Coordination costs may be requested based on the
type of services performed. Coordination is categorized as:
( 1 ) General Coordinafion, and
(2) Presentation Coordinafion.
General Coordination: General Coordination is the performance of
tasks associated with the development, pre-planning, and maintenance
of any cerfified course. Maintenance includes: scheduling, selecting in-
structors, eliminafing duplicafive subject matter, providing alternate in-
structors/instrucUon as necessary, allocating instrucdonal dme to each
subject, evaluating instructors, selecdng training sites, supervising sup-
port staff, and administradve reporting. General Coordination costs may
be charged at the rate of $55 per 8 hours of instrucfion but may not exceed
$440 per presentation.
Presentafion Coordination: Presentation Coordination is the perform-
ance of tasks related to course quality control, i.e., observing and evaluat-
ing instructors at the instrucdonal site; identifying the need and arranging
for the appearance of alternate instructors when assigned instructors are
not available; and being responsible for the development of a posidve
learning environment. It is required that the Presentation Coordinator be
in the classroom, or its immediate vicinity, to resolve problems that may
Page 68
Register 2007, No. 42; 10-19-2007
Title 11
Commission on Peace Officer Standards and Training
§1055
arise relating to the presentation of a course. Approved rates for presenta-
tion coordination, per instmctional hour, may range from $15 to $25.
Rates that exceed $ 1 5 per hour must be supported by written justification
that substantiates the higher cost of the coordinator.
(d) Clerical Support. Actual hourly rates for clerical support may be
allowed up to $ 1 5 per instmctional hour in accordance with the following
formula:
Course
Length
24 hours or less
25 to 40
More than 40 hours
Maximum Hours of
Clerical Support Permitted
24 hours
40 hours
100 hours
(e) Printing/Reproduction. The actual cost for printing of brochures
and handouts may be allowed. Requests for reproduction costs shall not
exceed 9 cents per page. Student workbooks are not considered handouts.
(f) Books/Films/Videotapes/Instructional Materials/Equipment. Ac-
tual expenses may be allowed, provided each expense is identified. Ex-
pendables, such as programmed texts, may be allowed in the same man-
ner. A one-time expenditure for purchase of textbooks may be allowed,
provided the textbooks will be used in future course presentations. Films,
videotapes, and instructional aids should be rented or obtained without
charge. When rental costs for multiple presentations will exceed the cost
of acquisition, purchase may be authorized by POST. If a film/videotape,
instructional material, or equipment purchase is authorized by POST in
advance, such materials shall be used in future course presentations and
will remain the property of POST. Purchase cost shall be prorated over
a reasonable number of presentations based on the item's anticipated ser-
vice life. If the course is decertified, or if the purchased books, films, vid-
eotapes, instructional materials, or equipment are no longer necessary for
use in the course, they shall be delivered to POST.
(g) Paper/Office Supplies/Mailing. Actual expenses may be allowed,
provided each expense is identified.
(h) Coordinator/Instructor(s) Travel. An estimate is to be made of nec-
essary travel expenses for advance budget approval. Expenses for local
area travel are allowable only when travel exceeds 25 miles one-way, or
if travel is necessary to an additional course site. If a course presentation
is authorized outside of a 25-mile radius of the presenter's principle
place of business, travel expenses may be allowed in accordance with ex-
isting State regulations covering travel and per diem.
(i) Miscellaneous. Any other cost of materials and other direct items
of expense may be approved by POST, based upon documented costs.
(j) Indirect Costs. Indirect costs are allowable for expenses not assign-
able as direct costs. Indirect costs may not exceed 20% of the total direct
costs.
(k) Calculation of tuition. All budgeted costs (direct and indirect) are
added to determine the total cost. The tuition cost per student shall be de-
termined by dividing the total cost by the maximum number of students
approved per presentation (see Regulation 1055(f)). For each presenta-
tion, course presenters may exceed the maximum enrollment up to 20%
to compensate for unavoidable under-enrollments due to late cancella-
tions. However, it is the presenter's responsibility to monitor over-enrol-
lment so that by the end of the fiscal year, the total number of students
does not exceed the approved maximum number established by the terms
of certification. In the event over-enrollment is not properly managed
and adjusted during the fiscal year, the Commission may:
(1) Reduce the course tuition.
(2) Require the presenter to conduct presentation(s) without tuition,
(3) Require the presenter to provide prorated refunds to trainees, or
(4) Decertify the course.
(/) Subventions.
Course presenters shall include in the Course Budget any outside sub-
ventions that support presentation of the proposed course.
Note-. Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sec-
tion 13503(e), Penal Code.
History
i. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
2. Amendment of section heading, first paragraph, subsections (b)-(c). and new
subsection (/) and (m) filed 12-22-93; operative 1-21-94 (Register93, No. 52).
3. Amendment of subsections (a), (c)(2), (d)-(f) and (j) filed 7-8-99; operadve
7-8-99 pursuant to Government Code section 1 1 343.4(d) (Register 99. No. 28).
4. Change without regulatory effect amending tlrst paragraph filed 6-2-2000 pur-
suant to section 100, title 1 , California Code of Regulations (Resister 2000, No.
22).
5. Amendment of first paragraph and subsections (b), (c), (e) and (/) and repealer
of subsection (m) filed 1-22-2001; operative 2-21-2001 (Register 2001. No.
4).
6. Amendment of first paragraph and subsections (d), (h) and (/) filed 1 0-1 5-2007;
operative 1 1-14-2007 (Register 2007, No. 42).
§ 1055. Requirements for Course Presentation.
(a) Term of Certification: Course certification shall be made on a fiscal
year basis, subject to annual review. A course shall be certified for a spe-
cified number of presentations during a fiscal year. It shall be subject to
the restrictions or stipulations specified by POST.
(b) Certification Non-Transferable: A course that has been certified
is valid for presentation only by the presenter receiving the certification
and is not transferable to another presenter.
(c) Publicity: A certified course, if publicized, must use the exact title
as certified by POST. No course may be publicized prior to course certifi-
cation. The POST certification number shall be shown on all materials
being publicized. Presenters shall clearly indicate on any course an-
nouncements, brochures, bulletins, or publications that POST has certi-
fied the individual course offering.
(d) Course Presentation Request: A Course Presentation Request shall
be submitted to POST via the Electronic Data Interchange (EDI) System
for each proposed course presentation. POST must receive the Course
Presentation Request at least 30 calendar days prior to the course presen-
tation.
The Course Presentation Request submitted via EDI shall consist of
the following information:
( 1 ) Course certification number
(2) Certified course title/skills and knowledge module title
(3) Course presenter
(4) Address where training will be presented
(5) Course presentation starting date and time and ending date and
time.
(6) Total number of training days
(7) Maximum enrollment
(8) Tuition
(9) Driver Training Fee
( 1 0) For travel required for off-site course instruction; whether trans-
portation is furnished by trainee/other, number of miles to other site from
original site (round trip), number of required trips
(11) Second course site
(e) Limitations on Course Enrollments: The Commission shall desig-
nate the maximum number of students who may attend each course dur-
ing a fiscal year.
(f) Cheating: Students who cheat, as defined in Commission Regula-
tion 1001, shall be subject to discipline and possible dismissal in the fol-
lowing entry-level, mandated training courses:
(1) Arrest & Firearms Course, Regulation 1081(a)
(2) Aviation Security Course, Regulation 1 08 1 (a)
(3) Reserve Peace Officer training courses. Modules A, B, and C and
(D), Regulation 1081(a)
(4) School Peace Officer Course Regulation 1081(a)
(5) All basic training courses. Commission Procedure D-1-1
(6) Modular Format — Levels III, II, and I, Regulation 1081(a): Basic
(Regular) Course (Penal Code § 832.3) and Reserve Peace Office Course
(Penal Code § 832.6).
(g) Required Documents to Submit Upon Completion of Presentation:
A completed Course Roster (POST 2-111, Rev. 7/96) shall be prepared
and submitted to the Commission after completion of each certified
Page 68.1
Register 2008, No. 9; 2-29-2008
§1056
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
course presentation. The following documents shall accompany each
Course Roster:
( 1 ) Any Training Reimbursement Requests (POST 2-273 Rev. 8/93)
that are provided to the presenter by trainees, and
(2) A written statement from the course coordinator explaining how
successful completion was accomplished when a trainee is reported as
completing the course, but has missed more than five percent of the certi-
fied hours of the Regular Basic Course (or modules of any of its formats)
or ten percent of the certified hours of any other POST-certified course.
All documents must be submitted to the Commission no later than 10
calendar days following the ending date of the presentation. Subsequent
to submission of these documents, the coordinator shall contact the Com-
mission about needed corrections.
(h) Retention of Certification Documents: For any POST-certified
course, a current copy of the documents required by Regulation 1053(a)
and (b) must be kept on file at the presenter's facility for inspection by
POST.
NOTE: Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sec-
tion 13503(e), Penal Code.
History
1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
2. Amendment of subsections (e) and (i) filed 12-22-93; operative 1-21-94 (Reg-
ister 93, No. 52).
3. Amendment of subsections (i)(2)-(3) and ()) and new subsecdon (i)(4) filed
6-2-94; operative 7-5-94 (Register 94, No. 22).
4. New subsection (i) and subsection relettering filed 1-14-97; operative 2-13-97
(Register 97, No. 3).
5. Amendment filed 1-22-2001; operative 2-21-2001 (Register 2001, No. 4).
6. New subsection (/) filed 7-17-2001; operative 7-1-2002 (Register 2001, No.
29).
7. Amendment filed 7-27-2006; operative 8-26-2006 (Register 2006, No. 30).
8. Repealer of subsection (/) filed 2-2-2007; operafive 3-4-2007 (Register 2007,
No. 5).
9. Amendment filed 10-15-2007; operative 11-14-2007 (Register 2007, No. 42).
§1056. Annual Recertification.
Each certified course is reviewed prior to the beginning of a new fiscal
year. Every presenter shall receive a Course Certification Report from
POST for each certified course. These reports shall be reviewed and
signed by the presenter or presenter's designee and returned to POST to
ensure certification for the proceeding fiscal year. A POST review shall
include evaluation of the continuing need for the course, currency of cur-
riculum, and adherence to requirements for course certification per Reg-
ulation 1052 and course presentation per Regulation 1055. POST-devel-
oped multimedia training courses (e.g., telecourses, CD-ROM courses,
and Web-based courses) are automatically recertified and shall not re-
ceive a course certification report.
NOTE: Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sec-
tion 13503(e), Penal Code.
History
1. New section filed 3-25-91; operafive 4-24-91 (Register 91, No. 16).
2. Amendment filed 1-22-2001; operative 2-21-2001 (Register 2001, No. 4).
3. Amendment filed 7-27-2006; operafive 8-26-2006 (Register 2006, No. 30).
§1057. Decertification.
Courses may be decertified by action of the Commission when:
(a) There is no longer a demonstrated need for the course; or
(b) There is failure to comply with requirements set forth in Regula-
tions 1052-1055; or
(c) There are other causes warranting decertification as determined by
the Commission.
Note: Authority cited; Secfions 13503 and 13506, Penal Code. Reference; Sec-
tion 13503(e), Penal Code.
History
1. New section filed 3-25-91; operafive 4-24-91 (Register 91, No. 16).
§1058. Appeals Process.
(a) Any course certification/decertification decision may be appealed
to the POST Executive Director. The appeal, and all relevant course doc-
umentation the appellant believes supports the appeal, must be submitted
in writing to the Executive Director within 30 calendar days of the date
of the certification/decertification notice.
Within 30 calendar days of receiving the appeal, the Executive Direc-
tor shall respond to the appellant in writing with a decision and the rea-
sons for the decision.
(b) The Executive Director's decision may be appealed to the Com-
mission. The appeal, and all relevant course documentation the individu-
al believes supports the appeal, must be submitted in writing to the Com-
mission within 30 calendar days of the date of the Executive Director's
decision.
Appeals received at least 45 calendar days prior to the next scheduled
Commission meeting will be heard at that meeting. Appeals received
with less than 45 days remaining prior to the next scheduled Commission
meeting will be heard at a subsequent meeting. The Commission shall
notify the appellant of the date, time, and location of the hearing within
10 calendar days of the receipt of the appeal to the Commission. The ap-
pellant or appellant's designated representative(s) shall have the right to
present evidence at the hearing.
The Executive Director shall notify the appellant in writing of the
Commission's decision within 10 calendar days following the conclu-
sion of the hearing.
Note; Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sec-
tion 13503(e), Penal Code.
History
1. New secdon filed 8-8-91 ; operative 9-9-91 (Register 91, No. 50).
2. Amendment filed 10-15-2007; operafive 11-14-2007 (Register 2007, No. 42).
§ 1060. Requirements for Verifying Successful Completion
of a Non POST Certified Course.
An individual who has successfully completed a Commission-se-
lected, non POST-certified course may receive credit for the maximum
hours specified in Commission Procedure D-2-3 for the course attended.
Successful completion is defined as the award of a "Certificate of
Completion" or a "Letter of Completion" issued by the training institu-
tions. Of the total number of hours credited for course attendance, 24
hours (unless the course is less than 24 hours) will be applied toward the
Continuing Professional Training Requirement.
To receive credit for the successful completion of a Commission se-
lected, non POST-certified course, the individual must submit the fol-
lowing to POST:
(a) A copy of the Certificate of Course Completion (please reduce cer-
tificate copy to 8 1/2 X 11 inches) or,
(b) If no certificate is roufinely issued, a letter signed by the presenfing
institudon chief officer attesting to the trainee's successful completion
of the course, and
(c) A completed POST Non-Cerfified Training Notification form,
POST 2-213 (09/05).
NOTE: Authority cited: Secdons 1 3503, 1 3506 and 1 35 10, Penal Code. Reference:
Secdons 13503, 13506 and 13510, Penal Code.
History
1 . New section filed 10-12-2000; operadve 1 1-1 1-2000 (Register 2000, No. 41 ).
2. Amendment of subsecdon (c) filed 8-12-2005; operafive 9-1 1-2005 (Register
2005, No. 32).
§ 1070. Minimum Training Standards for Instructors of
POST-Certified Specialized Subjects.
(a) Minimum training standards. Instructors of any of the specialized
subjects* listed in subsection (b) below shall successfully complete the
corresponding training course listed in subsecfion (b), or complete the
equivalency process outlined in subsecfion (c).
(1) Effective March 1, 2008, completion of the Academy Instructor
Certificafion Course specified in Regulafion 1082 or passage of the
AICC Equivalency Process specified in Regulation 1009(c)(4) shall be
a prerequisite to teaching any* of the specialized subjects hsted in Regu-
lation 1070(b) when the subject is taught in the Regular Basic Course.
*The following specialized subjects Hsted in Regulation 1070(b) are ex-
cluded: Institute of Criminal Investigation, Motorcycle Training, and Su-
pervisory Leadership Institute.
(2) Presenters who employ instructors of specialized subjects shall at-
test, via the EDI Course Instructor Resume, that the instructor(s) meet the
minimum training standard applicable to instructors as follows:
Page 68.2
Register 2008, No. 9; 2-29-2008
Title 11
Commission on Peace Officer Standards and Training
§1071
(A) Primary instructors (defined in Regulation 1001): All primary
instructors shall meet the minimum training standard prior to instructing
in the specialized subject. (This also includes instructors of specialized
instructor training courses.)
(B) Instructors (non-primary): All non-primary instructors who on or
after July 1 , 2002 are 1 ) first assigned to instaict in a specialized subject
area or 2) transfer to a different training institution and are assigned to
instruct in a specialized subject area shall meet the minimum training
standard prior to instructing in the specialized subject. (This also includes
instructors of specialized instructor training courses.)
(C) Guest Speakers (defined in Regulation 1001): Guest speakers are
exempt from the minimum training standard.
(b) Specialized Subjects and Training Course Requirement. The spe-
cialized subjects listed in the left column may be the subject of a stand-
alone course or a specialized subject taught within a larger course.
To satisfy the training course requirement, a POST-certified course
must be a foundational-type instructor course and must meet the mini-
mum content requirements specified in Regulation 1082 [unless ex-
empted by subsection 1082(c)]. For example, an "advanced" or "update"
course will not satisfy the requirement. Generally, the POST-certified
course must be the same title as the instructor course title listed in the
"Training Course" column.
The minimum content requirements for the training courses listed in
the right column below are specified in Regulation 1082.
Specialized Subject
Arrest and Control Techniques
Baton/Impact Weapons
Chemical Agents
Defensive Tactics
Diversionary Devices
Driver Training
Driver Training-Simulator
Electronic Weapons
Firearms (all firearms types)
First Aid/CPR
Force Options Simulator
Hazardous Materials
Institute of Criminal Investigation
Less Lethal Weapons
Motorcycle Training
Physical Training (Basic Course)
Supervisory Course
Supervisory Leadership Institute
Racial Profiling
Tenorism & Weapons of Mass
Destruction (WMD) Awareness
Terrorism & Weapons of Mass
Destruction (WMD) Awareness
Terrorism & Weapons of Mass
Destruction (WMD) Awareness
Terrorism & Weapons of Mass
Destruction (WMD) Awareness
Training Course (must meet minimum
content requirements specified in
Regulation 1082).
Arrest and Control Instructor or
Defensive Tactics Instructor
Baton/Impact Weapons Instructor or
Defensive Tactics Instructor
Chemical Agents Instructor
Defensive Tactics Instructor or Arrest and
Control Instructor
Diversionary Devices Instructor
Driver Training Instructor and Driver
Awareness Instructor
Driver Training Simulation Instructor
and Driver Training Instructor
Electronic Weapons Instructor
Firearms Instructor {corresponding
firearm type)
First Aid/CPR Instructor
Force Options Simulator Instructor
Hazardous Materials Train-the-Trainer
Institute of Criminal Investigation
Instructor
Less Lethal Force Instructor
Motorcycle Training Instructor
Physical Training Instructor
Supervisory Course Instructor
Supervisory Leadership Institute Instnictor
Racial Profiling Instructor
Basic Course for Response Personnel
(SEMS/NIMS/ICS)
ICS 300 & 400 Train-the-Trainer
(SEMS/NIMS/ICS)
Law Enforcement Response to Terrorism
(LERT) Instructor
Public Safety Communications Terrorism
Awareness Instructor Course
(PSC-TAC)
(c) Equivalency Process. The training course specified in (b) above
may be safisfied through an equivalency evaluafion performed by the
employing presenter. An individual requesting an evaluation to meet the
minimum training course standard shall submit to the presenter an ex-
panded course outline for each course to be considered in the evaluation.
The course outline(s) must specify the course title(s), training date(s),
and training institution(s). Presenters will base their evaluations on a
comparison of the submitted expanded course outline(s) against the
minimum content requirements specified in Regulation 1082. The em-
ploying presenter shall retain the documentation for approved equivalen-
cies. Although presenters are not required to submit the documentation
to POST, their attestation of equivalency, via the EDI Course Instructor
Resume submitted to POST, pursuant to Regulation 1053.
(d) Proof of Completed Training Course. Presenters of the specialized
subjects specified in (b) above shall maintain documentation which dem-
onstrates the satisfaction of the minimum training course standard. The
required documentation shall be made available for POST inspection
upon request and shall consist of:
(1) A copy of the certificate of course completion verifying the re-
quired training course in (b) above, or
(2) A POST training record that indicates successful completion of the
training course in (b) above, or
(3) The expanded course outline(s) of the course(s) evaluated for
equivalency per (c) above.
NOTE: Authority cited: Sections 13303, 13306 and 13319.12, Penal Code. Refer-
ence: Sections 13503(e), L35 19.4 and 13519.12, Penal Code.
History
1. New secfion filed 7-17-2001; operative 7-1-2002 (Register 2001, No. 29).
2. Amendment of subsection (a) and amendment of Note filed 8-27-2002; opera-
tive 9-26-2002 (Register 2002, No. 33).
3. Amendment of subsection (a) filed 2-6-2003; operative 3-8-2003 (Register
2003, No. 6).
4. Amendment of section heading and section filed 7-21-2003; operative
8-20-2003 (Register 2003, No. 30).
5. Amendment of subsection (b) and amendment of Note filed 10-24-2005; op-
erafive 11-23-2003 (Register 2003, No. 43).
6. Amendment of subsection (b) filed 12-21-2006; operative 1-20-2007 (Regis-
ter 2006, No. 51).
7. Amendment of sub,section (b) filed 3-6-2007; operative 4-5-2007 (Register
2007, No. 10).
8. Amendment of subsections (b) and (d)-(d)(3) filed 8-1-2007; operative
8-31-2007 (Register 2007, No. 31).
9. Amendment of subsection (b) filed 8-1-2007; operative 8-31-2007 (Register
2007, No. 31).
10. Amendment of subsections (a) and (c) filed 10-13-2007; operative
1 1-14-2007 (Register 2007, No. 42).
11. Amendment filed 2-29-2008; operative 3-1-2008 pursuant to Government
Code section 1 1343.4 (Register 2008, No. 9).
§ 1 071 . Minimum Training Standards for Regular Basic
Course Academy Directors, Coordinators, and
Recruit Training Officers.
(a) Minimum Training Standards — Academy Director, Coordinator,
and Recruit Training Officer. An individual appointed after July 1 , 2002
to one of the staff positions of the Regular Basic Course — standard for-
mat shall complete, within one year from the date of appointment, the
minimum training standard specified below:
Stafi" Position Training Standard
(Content for the following
courses is in Regulation 1083)
Academy Director/Coordinator
Course*
Academy Director/Coordinator
Course*
Academy Recruit Training Officer Recruit Training Officer Course
^Attendance at the Academy Director/Coordinator Course is not required of the
director, if the Academy Director has attended as a coordinator within three years
prior to appointment as the Academy Director.
(b) DocumentaUon. Directors shall maintain documentation that dem-
onstrates satisfaction of the minimum training standards as required for
the staff positions indicated above in subsection (a). DocumentaUon shall
be a cerdficate of course completion issued by the training presenter of
the required training standard in (a) above, or a POST training record that
confirms completion of the training standard. All documentation that
demonstrates satisfaction of the minimum training standards is subject
to POST inspection upon request.
NOTE: Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sec-
tion 13303(e), Penal Code.
History
1. New section filed 7-17-2001; operafive 7-1-2002 (Register 2001, No. 29).
2. Amendment of subsection (a) filed 7-21-2003; operative 8-20-2003 (Register
2003, No. 30).
3. Amendment of secfion heading and section filed 4-14-2005; operative
5-14-2005 (Register 2005, No. 15).
4. Amendment of section heading and section filed 2-29-2008; operative
3-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No.
9).
Academy Director
Academy Coordinator
Page 68.3
Register 2008, No. 25; 6-20-2008
§1080
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
§ 1080. PC 832, Arrest and Firearms Course
Requalification.
(a) PC 832 Arrest and Firearms Course Requalification Requirement
and Exemptions:
( 1 ) Three-year Rule: Requalification of PC832 is required before ex-
ercising peace officer powers when:
(A) An individual does not become employed as a peace officer within
three years of successfully completing PC 832 training, or
(B) An individual, subsequent to completing PC 832 training, has a
three-year-or-longer break in service as a peace officer.
Only service in a peace officer position for which PC832 training is
required by law maintains the currency of an individual's PC832 certifi-
cation. The three-year period begins on the date the course was com-
pleted, or the individual' s last date of service in the peace officer position.
(2) Exemptions to the Three-Year Rule: An individual who meets any
of the following criteria listed below, as specified in Penal Code section
832(e)(2), is exempt from the PC 832 Course Requalification Require-
ment [Regulafion 1080(a) above]:
(A) Is returning to a management level law enforcement position at the
second level of supervisor or higher.
(B) Has successfully completed Basic Course Requalification as pro-
vided for in Commission Regulation 1008.
(C) Has maintained proficiency by teaching the PC 832 Arrest and
Firearms Course described in Procedure D-1.
1 . Under this provision an individual may seek exemption for either
module. Arrest Procedures or Firearms, or both modules.
2. For the purpose of granting an exemption on the basis of teaching
experience, "maintained proficiency" shall be defined as having taught
the entire module(s) for which an exemption is being sought. Additional-
ly, exemptions shall be granted only for recent teaching experience that
was gained within three years of the exemption request.
(D) Has been employed continuously, with no more than a 60-day
break in service between law enforcement employers, in another state or
with a federal agency as a peace officer.
(E) Has previously met the PC 832 training requirement, has been ap-
pointed as a peace officer under subdivision (c) of Penal Code Section
830. 1 , and has been continuously employed as a custodial officer, as de-
fined in PC 83 1 or 83 1 .5, by the agency making the peace officer appoint-
ment since completing PC 832 training.
(3) Documentation of Exemption: Written documentation determined
by the department head as satisfying any of the exemptions listed in
1080(a)(2)(A)-(D) above shall be retained by the employing agency for
at least the duration of the individual's employment with the department.
This retention period is recommended so that the employing agency can
provide supporting documentation of the exemption, if it is requested
during a POST inspection.
(b) Requalification Opfions: Requalification may be accomplished by
one of two methods as follows:
( 1 ) Repeating and successfully completing PC 832 training as a sepa-
rately cerdfied course or completing a larger POST-certified course
which includes PC 832 training, i.e., the Regular Basic Course, Module
III, Specialized Investigators' Basic Course, Basic Course Requalifica-
tion Course [for eligibility refer to 1008(b)], or
(2) Demonstrating continued mastery of PC 832 training material by
passing the examinations enumerated in Procedure D-1 . This can be ac-
complished through the completion of the PC 832 Requalification Ex-
aminafion Process [for eligibility refer to 1080(c)].
(c) Eligibility for PC 832 Requalification Examination Process: Only
individuals who have previously completed POST-certified PC 832
training, as a separately certified course or within a larger POST-certi-
fied course as specified in 1 080(b)( ] ), are eligible to participate in the PC
832 Requalification Examination Process.
(1) Individuals seeking to be tested shall receive written notification
from the presenter regarding eligibility to be tested within 30 days of re-
ceipt by the presenter of all documentation required in subsections
1080(d)(l)(A)-(C) below.
(2) Individuals receiving nofification that they are ineligible to be
tested shall be given an explanation for ineligibility. An individual may
submit a new request with the additional documentation, which will be
processed according to subsection 1080(d)(1) below. POST shall have
final approval or disapproval of the eligibility of any individual seeking
admission to any part of the testing process. All applicable examination
fees will be returned, with the notification, to those individuals who are
determined, either by the presenter or by POST, to be ineligible for test-
ing.
(d) PC 832 Requalification Examination Process:
(1) Application: An individual seeking to requalify PC 832 training
through the examination process shall submit a written request to a
POST-approved PC 832 Requalification Examination Presenter that in-
cludes:
(A) The individual's full name, mailing address, daydme phone num-
ber, and social security/POST identificadon number;
(B) A copy of the individual's PC 832 Course compledon certificate
or other verifiable documentation showing prior successful completion
of a PC 832 Course. This documentadon shall include the individual's
name, the name of the presendng insdtution, the number of hours com-
pleted, and the ending date of the training;
(C) A cerdfied check or money order payable to the presenter (see (2)
below for fees);
(D) A criminal history clearance from the Department of Jusdce.*
*A11 requests to test for the firearms component from applicants who
are not sponsored by a local or other law enforcement agency, or who are
not peace officers employed by a state or local agency, department or dis-
trict, shall include a criminal history clearance in compliance with PC
135 1 1 .5 prior to admission to firearms tesdngs. No firearms testing shall
be administered to any applicant prior to receipt of the Department of Jus-
tice criminal history clearance form. The criminal history clearance need
not be redone where there has been a lapse of less than 1 80 days since the
last clearance.
(2) Examinadon Fees: POST-approved PC 832 Requalificadon Ex-
aminadon presenters are authorized to charge fees for the administration
of the POST-Constructed PC 832 Arrest Written Test, the PC 832 Arrest
Methods Skills Test, and the PC 832 Firearms Skills Test. In addidon to
the inidal examination fees, the presenter may charge fees for retesting.
Failure to appear for requalificadon testing or retesting may result in for-
feiture of examinadon fee(s). Fees may vary by presenter. Examination
fees shall not exceed actual test administradon costs and are subject to
POST audit.
(3) Requirements for Administering the Requalification Exams: Only
POST-approved/authorized course presenters who have received train-
ing in the administration of the Requalification Exams and who agree to
abide by the terms of a formal POST test use and security agreement shall
administer and score the examinations. All examinadons shall be admin-
istered and scored in accordance with the specified procedures hsted be-
low using POST ininimum passing scores.
(A) All requalification applicants shall be tested at a POST-approved
locadon within 90 days of nodficadon of eligibility to take the requalifi-
cation exam.
(B) At least 30 days in advance of the test, eligible requalification ap-
plicants shall be notified as to the specific date, time, and location of test-
ing.
(C) Individuals desiring to be tested after failure to appear for a sched-
uled requahfication exam must reestablish eligibility to be tested by com-
pleting the requirements described in Regulation 1080(d)(l)(A)-(D).
(D) All examination results shall be mailed to POST by the examina-
tion administrator, postmarked within five working days of the date of
testing.
(E) The presenter shall notify all examinees in writing as to examina-
tion results, postmarked within five working days of requalification ex-
amination completion. The presenter shall also issue a completion certif-
Page 68.4
Register 2008, No. 25; 6-20-2008
Title 11
Commission on Peace Officer Standards and Training
§1081
icate within five working days showing that the individual successfully
completed the PC 832 Requalification Examination.
(F) The presenter shall maintain, as a manner of record, all documents
submitted by an individual who participates in the PC 832 Requalifica-
tion Examination.
(4) Requalification Examination Retesting: One requalification exam
retest shall be permitted for any test failed, contingent upon advance pay-
ment of applicable examination fees [see (2), above]. Such retesting must
occur within 90 days of the requalification examination. For firearms and
arrest skills tests, individuals will have the option of either retesting im-
mediately or within 90 days.
(A) Individuals who fail to achieve a passing score upon requalifica-
tion exam retesting, or who fail to appear for requalification exam retest-
ing, shall be required to successfully complete the appropriate PC 832
training (i.e.. Arrest, Firearms, or both) in order to meet the PC 832
Course requalification requirements of Penal Code section 832(e)(1).
NOTE: Authority cited: Sections 832(f), 1 3503 and 13506, Penal Code. Reference:
Sections 832(eHg), Penal Code.
History
1. New section filed 4-26-90; operative 5-26-90 (Register 90, No. 21).
2. Amendment of subsections (a), (a)( 1 )(A) and (a)( 1 )(C)-(D) filed 1 2-23-9 1 ; op-
erative 7-1-92 (Register 92, No. 19).
3. New subsection (a)(1)(E) filed 5-18-93; operative 6-17-93 (Register 93, No.
21).
4. Amendment of section heading and subsection (a)(1)(A) and new subsections
(b)-(b)(2)(B) filed 9-9-93; operative 10-1 1-93 (Register 93. No. 37).
5. Amendment of subsection (a)( 1 )(C), repealer of subsection (a)(1)(D) and sub-
section redesignadon, amendment of subsections (a)(2)-(3), new subsection
(b)(l)(C)4 and amendment of subsection (b)(1)(D) filed 11-14-94; operative
12-14-94 (Register 94, No. 46).
6. Editorial correction of subsections (b)(l)(B)l, (b)(1)(C), (b)(l)(C)2 and
(b)(2)(B) (Register 94, No. 46).
7. Amendment of section heading and section filed 3-7-2000; operative
4-6-2000 (Register 2000, No. 10).
8. Amendment of section heading and secfion filed 1-22-2001; operative
2-21-2001 (Register 2001, No. 4).
9. Amendment of section heading and section filed 8-21-2003; operative
1-1-2004 (Register 2003, No. 34).
10. New subsection (a)(2)(E) and amendment of subsections (d)(2), (d)(4),
(d)(4)(A) and Note filed 1-26-2005; operafive 3-1-2005 (Register 2005, No.
4).
11. Amendment of subsection (b)(1) filed 1-19-2007; operative 1-19-2007 pur-
suant to Government Code section 1 1343.4(c) (Register 2007, No. 3).
12. Amendment of subsections (b)(1) and (d)(1)(A) filed 6-17-2008; operative
7-1-2008 pursuant to Government Code secfion 1 1343.4 (Register 2008, No.
25).
§ 1 081 . Minimum Standards for Legislatively Mandated
Courses.
(a) Legislatively mandated courses, as specified in Commission Regu-
lation 1005(f), pertain to training mandated by the Legislature for various
kinds of peace officers and other groups for which the Commission has
responsibility to establish minimum standards. The Commission may ap-
prove legislatively mandated courses that can be completed in fewer than
the minimum hours. In such cases, the courses must be competency-
based, where each student demonstrates mastery of clearly specified
learning outcomes. Legislatively mandated courses shall meet the fol-
lowing minimum content and hours. Regulations 1052-1056 specify the
requirements for certification and presentation of these courses.
Credit for legislatively mandated courses that can be completed in
fewer hours when using technology-based delivery (i.e., interactive mul-
timedia) will be the same number of hours credited for a traditional in-
structor-led course. Testing is required to demonstrate competency.
Alcoholic Beverage Control (ABC) — 160 Hours Narcotic Enforce-
ment (Business and Professions Code section 25755)
Narcotics Investigation Course (80 Hours)*
(1) Drug Enforcement Laws
(2) Drug and User Identification
(3) Search Warrants
(4) Search and Seizure
(5) Surveillance
(6) Clandestine Laboratories
(7) Asset Seizure and Forfeiture
(8) Informants
(9) Officer Safety
(10) Entry and Search Techniques
(11) Undercover Techniques
( 1 2) Smuggling
(13) Investigative Resources
( 1 4) Examination
*This course may be satisfied by completion of the 80-hour, POST-certified
course presented as a single training course, or by completion of two or more
POST-certified courses (totaling a minimum of 80 hours) which include the above
curriculum.
ABC Narcotics Investigation Field Training Program (80 Hours)
ABC Investigators are required to complete an 80-hour field training
program on narcotics investigation that includes on-the-job instrucuon
and hands-on experience associated with all content areas of the Narcot-
ics Invesfigation Course. Field training shall be conducted under the su-
pervision of investigators selected by ABC. Investigators selected may
be either ABC investigators or investigators employed by local police or
sheriff's departments. Investigators selected must possess a POST Basic
Certificate and have completed at least one year of experience as a full-
time narcotics investigator. ABC shall maintain records that individual
ABC investigators have completed this field training.
Anti-Reproductive Rights Crimes — 2 hours (Penal Code Secfion
13778)
(1) Identificafion of essential elements of ARRC crimes
(2) Recognifion of anti-aborfion extremists
(3) Invesfigafion of incidents
(4) Development of and sharing of intelligence to prevent crimes
(5) Protecfion of the rights of protestors and vicdms
(6) Compliance with reporting requirements
Arrest and Firearms — 64 hours (Penal Code secfion 832) (Certified
course; requirement satisfied by Basic Course.) See PAM, D-1
Aviation Security (Penal Code section 832.1) — 40 hours (Certified
Course)
(1) Introduction and Background
(2) Criminal Threat to the Aviation Industry
(3) Federal Organization, Regulations, and Jurisdiction
(4) Legal Aspects
(5) Psychological Aspects
(6) Aviation Explosives
(7) Multi-Agency Task Forces
(8) Airfield Operations
(9) Aviation Security Questions and Issues Examination and Critique
Basic (Regular) (Penal Code section 832.3) (Certified Course) See
PAM, section D-1
Basic Course for Response Personnel (SEMS/NIMS/ICS) 8-hours
(A) Course Overview and Objectives
(B) Introduction to the Standardized Emergency Management System
(SEMS) and the National Incident Management System (NIMS)
(C) The Incident Command System (ICS)
(D) SEMS/NIMS Multi-agency Coordination Systems
(E) Incident Action Planning
(F) Resource Management
(G) Mutual Aid
(H) Transfer of Command/Demobilization
Baton/Impact Weapon Training for County Sheriff or Police Security
Officers — 8 Hours (Penal Code section 831.4 and 12002(f).)
(1) Legal and Ethical Aspects of Force
(2) Baton/Impact Weapon Familiarization and Uses of Impact Weap-
ons
(3) First Aid for Baton/Impact Weapon Injuries
(4) Practical — Techniques
Campus Law Enforcement Course — 32 hours
(1) Role and Responsibility of School Police
(2) Laws and Liability/Mandated Reporting Requirements
(3) Tactical Awareness in the Educational Environment
(4) Campus/Community Oriented Policing and Problem Solving
(5) Mediation/Conflict Resolution
Page 68.5
Register 2008, No. 25; 6-20-2008
§1081
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(6) Standardized Emergency Management/Incident Command Sys-
tems
(7) Dynamics of Student Behavior
(8) Written Examination
Note: This course satisfies the training specified in Penal Code sections 832.2 and
832.3(g).
Carcinogenic Materials — 4 Hours (Health and Safety Code section
1797.187)''
( 1 ) Hazardous Materials, Responsibilities and Considerations for First
Responders.
(2) Hazardous Carcinogenic Materials Identification, Associated
Ri.sks, and Minimizing Exposure to Responding Officers.
(4) Chemical Agents for Peace Officers (Penal Code section
12403)
Chemical Agents — Module A (4 Hours)
(1) Evolution of Chemical Agents
(2) Legal Aspects of Chemical Agents
(3) Types of Chemical Agents
(4) Orientation to Chemical Agent Delivery Methods
(5) Aerosol Chemical Agent Deployment Tactics
(6) Care and Maintenance of Aerosol Chemical Agent Devices
(7) Disposal of Aerosol Chemical Agent Devices
(8) Practical Application
Chemical Agents — Module B (2 hours)
(1) Use of Gas Masks
(2) Practical Application
Chemical Agents — Module C (4 hours)
( 1 ) Deployment of Tactical Chemical Agent Munitions
(2) Scene Decontamination
(3) Practical Application
Module A satisfies the training requirements of PC 12403 for any
peace officer whose training need is limited to carrying aerosol chemical
agent devices. Modules A and B, included in the Regular Basic Course,
satisfy the training requirements of PC 12403 for all peace officers who
will be using aerosol chemical agents and who are expected to use a gas
mask in a chemical agent environment. The addition of Module C satis-
fies the training requirements for peace officers who are responsible for
the deployment of tactical chemical agent munitions.
Chemical Agent Training for Private Investigators, Private Patrol Op-
erators, and Uniformed Patrol Employees of a Private Patrol Operator —
2 Hours (Penal Code 12403.5)
The POST-approved course of instruction shall consist of the follow-
ing:
(1) Self Defense, History of Chemical Agents, and Aerosol Weapons
(2) Effectiveness as a self-defense weapon
(3) Mechanics of Tear Gas Use
(4) Medical Aspects of First Aid
(5) Practical Use
(6) Field Training and Demonstration
(7) Discard of Weapons
Child Abuse Investigation — 24 Hours (Penal Code section 13517)
(Certified Course; requirement satisfied by the Basic Course; optional
Technical Course.)
(1) General Child Abuse Investigative Procedures
(2) Child Neglect and Emotional Abuse/Deprivation
(3) Physical Child Abuse
(4) Sexual Abuse and Exploitation of Children
(5) Interview and Interrogation Techniques
(6) Community Child Care Facilities
(7) Course Critique and Student Evaluation
Developmental Disabilities and Mental Illness — 4 Hours (Penal
Code section 13519.2)
(1) Legal Requirements for Taking Person Into Custody
(2) Mental Health/Regional Center Referral Resources
(3) Practical Exercises
(4) Identification of Primary Disability or Problem*
(5) Causes, Nature and Behavior Factors of Mental Illness*
(6) Causes, Nature and Behavior Factors of Developmental Disabili-
ties*
(7) Procedures Required for Detention Under Authority of section
5150, Welfare and Institutions Code*
(8) Alternate Methods for Handling Developmentally Disabled or
Mentally 111*
*For in-service officers completing basic training priorto 7-1-90, supplementary
training consists of 2 hours emphasizing the indicated topics.
Domestic Violence (Basic Course) — 8 Hours (Penal Code section
13519)
(1 ) Overview of Domestic Violence
(2) Legislative Intent/POST Guidelines
(3) Enforcement of Laws
(4) Court Orders
(5) Tenancy
(6) Documenting Domestic Violence Incidents
(7) Victim Assistance and Referral
(8) Practical Application/Student Evaluation
Domestic Violence Update (In-Service Patrol Officers*) — 2 Hours
(Penal Code section 13519(e))
( 1 ) Recent Domestic Violence Related Law Changes
(2) Recent Changes to POST's Guidelines for Law Enforcement Re-
sponse to Domestic Violence
*For in-service officers below the rank of supervisor who are assigned to patrol
duties and would normally respond to domestic violence calls or incidents of do-
mestic violence. To be completed every two years.
Elder/Dependent Adult Abuse — 2 Hours (Penal Code section
13515).
( 1 ) Relevant laws
(2) Recognition of elder and dependent adult abuse
(3) Reporting Requirements and Procedures
(4) Neglect of elders and dependent adults
(5) Fraud of elders and dependent adults
(6) Physical abuse of elders and dependent adults
(7) Psychological abuse of elders and dependent adults
(8) The role of local adult protective services and public guardian of-
fices
Every city police officer or deputy sheriff at a supervisory level and
below who is assigned field or investigative duties shall complete a
POST-certified Elder/Dependent Adult Abuse Course within 1 8 months
of assignment to field or investigative duties.
Electronic Surveillance — 16 Hours [Penal Code section 629.44(a)]
( 1 ) Legal Aspects
(2) Technical Aspects
(3) Practical Aspects
Hearsay Testimony Course — 1 Hour
( 1 ) The new role of officers at preliminary hearings, rules of evidence,
and need for accuracy and thoroughness of investigations.
(2) Reporting and documenting crimes to facilitate hearsay testimony
in preliminary hearings.
(3) Testifying to hearsay statements in a preliminary hearing. This
course must be completed by all law enforcement officers who have less
than five years of service and who wish to testify to hearsay evidence in
preliminary hearings as required by Penal Code section 872(b).
High-Speed Vehicle Pursuit Training — 1 hour minimum annually.
[Penal Code Section 135 19.8(a)-(e)] For all peace officers of an agency
authorized by law to conduct vehicle pursuits.
(1) Vehicle Safety, Operation and Tactics
(2) Agency Vehicle Pursuit Policy
(3) Assessing Risk, Dangers and Conditions
(A) Public Safety
(B) Officer Safety
(C) Importance of Balancing the Known Offense and Need for Appre-
hension Against the Risks to Officers and the Public
(4) Consideration of Law Enforcement Vehicle Pursuit Issues
(A) When to Initiate a Pursuit
(B) The Number of Involved Law Enforcement Units Permitted
Page 68.6
Register 2008, No. 25; 6-20-2008
Title 11
Commission on Peace Officer Standards and Training
§1081
(C) Responsibilities of Primary and Secondary Law Enforcement
Units
(D) Driving Tactics
(E) Helicopter Assistance
(F) Communications
(G) Capture of Suspects
(H) Termination of a Pursuit
(1) Supervisory Responsibilities
(J) Blocking, Ramming, Boxing and Roadblock Procedures
(K) Speed Limits
(L) Interjurisdictional Considerations
(M) Conditions of the Vehicle, Driver, Roadway, Weather and Traffic
(N) Hazards to Uninvolved Bystanders or Motorists
(0) Reporting and Post-pursuit Analysis
When used in conjunction with an agency's pursuit policy, the
California Law Enforcement Vehicle Pursuit Guidelines (Rev. 2/2007)
and/or Pursuit Driving Update (2007) telecourse DVD can be used to sat-
isfy this requirement. Note: POST videos typically require 2-5 training
hours.)
High Technology Crimes — 4Hours* (Penal Code section 13515.55)
(l)Law
(2) Recognition of High Technology Crimes
(3) Computer Evidence Collection and Preservation
*Note: Required for every city police officer and deputy sheriff at a supervisory
level who is assigned field or investigative duties.
Human Trafficking Training — 2 hours (Penal Code § 13519.14)
( 1 ) The dynamics and manifestations of Human Trafficking
(2) Identifying and communicating with victims
(3) Providing documentation that satisfy the law enforcement agency
endorsement required by federal law
(4) Collaboration with federal law enforcement officials
(5) Therapeutically appropriate investigative techniques
(6) The availability of civil and immigration remedies and community
resources
(7) Protection of the victim
Participating in the Human Trafficking Training course or courses by
peace officers or the agencies employing them is voluntary.
Humane Officer Firearms — 15 Hours (Civil Code section 607f)
The required course is the Firearms portion of the P.C. 832 Course,
with an examination.
ICS 300 & 400 Course for Response Personnel (SEMS/NIMS/ICS) —
1 6 hours
(A) Course Introduction and Objectives
(B) Incident Command System (ICS) Review
(C) Incident Action Planning
(D) Incident Command System (ICS) Organization
(E) Comprehensive Tabletop Exercises — Minimum of six (6)
(F) Course Review
(G) Final Examinations
Investigation of the Sudden Death of Infants — 2 hours
( 1 ) Standard Procedures for Investigating the Sudden Death of Infants.
(2) Sudden Infant Death Syndrome (SIDS) Awareness.
Law Enforcement Response to Terrorism (LERT) — 8-hours (Penal
Code Section 13519.12)
(1) An overview of conventional, chemical, biological, radiological,
nuclear, and explosive devices
(2) Threat and hazard recognition with an emphasis on ability to deter-
mine local vulnerabilities and basic intelligence gathering and sharing,
and historical issues
(3) Understanding the structure and function of an Incident Command
System
(4) Initial response actions, including preliminary assessment, notifi-
cations, resource needs, and safety considerations
(5) Coordination with other emergency service first responders
(6) Gathering, verifying, assessing, and communicating incident in-
formation
(7) Understanding mass casualty implications and decontamination
requirements
(8) Balancing lifesaving activities with evidence preservation
(9) General awareness and additional training for each of the first re-
sponder categories specific to each discipline.
Laser Operator Course — 8 Hours (Vehicle Code Section 40802)
( 1 ) Radar Review
(2) Scientific Principals
(3) General Operational Considerations
(4) Operation of Specific Laser Devices
(5) Legal Considerations
(6) Examination
Note: Required for peace officers issuing speed violation citations using laser or
any other electronic speed measuring devices who has already successfully com-
pleted a Radar Operator Course, and where a traffic and engineering survey is be-
yond five years.
Mental Illness and Developmental Disabilities Course — 8 hours (Pe-
nal Code Section 13515.25)
(1) Cause and Nature of Mental Illness and Developmental Disabili-
ties
(2) Indicators of Mental Illness and Developmental Disabilities
(3) Verbal Intervention Strategies
(4) Responding to Violent Subjects
(5) Alternatives to Lethal Force
(6) Community and State Resources
Missing Persons — 4 Hours (Penal Code section 13519. 1)
(1) Benefits for Law Enforcement Involvement and Sensitivity*
(2) Initial Response Procedures
(3) Locating Missing Persons
(4) Legal Requirements for Initial Response and Follow-up*
*For in-service officers compledng basic training prior to 1-1-89. supplementary
training consist of two hours emphasizing the indicated topics.
Public Safety Communications Terrorism Awareness Course (PSC-
TAC) — 8 hours (Penal Code section 13519.12
( 1 ) Introduction and Overview
(2) The Terrorist Threat
(3) Weapons of Mass Destruction (WMD)
(4) Target Assessment
(5) Counter-Terrorism Measures
(6) Emergency Management (SEMS/NIMS/ICS)
(7) Communications Response
(8) Psychological Impacts
Racial Profiling Training [Penal Code section 13519.4(f)]
Part I — Initial* — Five hours
(1) Why Are We Here?
(2) Racial Profiling Defined
(3) Legal Considerations
(4) History of Civil Rights
(5) Impact of Racial Profiling
(6) Community Considerations
(7) Ethical Considerations
Part II — Refresher** — Two Hours
( 1 ) Review of Applicable Initial Training
(2) Update on Changes in Law and Practices
*Included in Basic Course after 1-1-04.
**To be completed every five years after initial training.
Radar Operator Course — 24 Hours* (Vehicle Code section 40802)
(1) Speed and Enforcement
(2) History and Theory
(3) Laws and Court Decisions
(4) Stationary Radar Operation
(5) Moving Radar Operation
(6) Radar Effects
(7) Visual Speed Determination
(8) Radar Evidence
(9) Practical Exercises and Field Testing
Page 68.7
Register 2008, No. 16; 4-18-2008
§1081
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(10) Courtroom Testimony
(11) Written Examination
*N()Ti-:: Required for peace officers issuing speed violation citations using radar
speed measuring devices and where a traffic and engineering survey is beyond five
years.
Reserve Peace Officer (Penal Code section 832.6) (Certified Course;
requirement satisfied by the Basic Course.) See Regulation 1007.
Rifle Course — Part II — 16 Hours [Long/Short Barrel. Penal Code
section 12020(b)(1)]**
( 1 ) Law Update
(2) Review of Use of Force Issues. Agency Policies and Mission
(3) Safety Issues
(4) Nomenclature, Specifications and Capabilities
(5) Firearm Care, Breakdown, and Cleaning
(6) Tactical Considerations
(7) Skill Development and Qualification
** Prerequisite: Completion of the Regular Basic Course. Reserve Training Mod-
ules I or II, and III, or Resei've Modules A, B, C, and D.
Sexual Assault Investigation — 40 Hours (Penal Code section 1 35 1 6)
(Certified Course) Satisfies the Sexual Abuse and Exploitation of Chil-
dren training requirement specified in 13516 P.C.
(1) Introduction/Overview*
(2) Laws Related To Sexual Assault*
(3) Victim Dynamics & Interaction*
(4) Offender Dynamics & Interaction
(5) Interviews*
(6) Investigative Techniques and Resources*
(7) Special Sexual Assault Cases
(8) Sexual Abuse and Exploitation of Children*
(9) Evidence*
(10) Case Management
(11) Investigator Wellness
•''Basic Course includes 12 hours of instruction addressing these topics.
Sexual Harassment — 2 Hours [Penal Code Section 13519.7(c)]
( 1 ) Legal Aspects
(2) Behaviors Constituting Sexual Harassment
(3) Responding to Unwanted Behavior
(4) Complaint Process
Requirement satisfied by the Basic Course. Peace officers who com-
pleted basic training prior to 01-01-95 must complete supplemental sex-
ual harassment training by 01-01-97. The sexual harassment curricu-
lum, pages 4-9 of the document Sexual Harassment In The Workplace
Guidelines and Curriculum (J994), adopted effective December 17,
1994 is herein incorporated by reference.
Shotgun Course — Part I — 16 Hours [Long/Short Barrel, Penal Code
section 12020(b)(1)]*
( 1 ) Law Update
(2) Review of Use of Force Issues, Agency Policies and Mission
(3) Safety Issues
(4) Nomenclature, Specifications and Capabilities
(5) Firearm Care, Breakdown, and Cleaning
(6) Tactical Considerations
(7) Skill Development and Qualification
* This training requirement can be satisfied by completing the Regular Basic
Course, Reserve Training Modules I or 11, or Reserve Modules A, B, C, and D
which contained POST-certified shotgun training.
Stalking Course — 2 hours (Penal Code Section 13519.05)
(1) Stalking Law
(2) Criminal Threats Law
(3) Other Crimes that Constitute Stalking Behavior
(4) Preliminary and Follow-up Invesfigation of Stalking Cases
(5) Conducting a Threat Assessment
(6) Civil Remedies and Community Resources in Support of Victim
(7) Appropriate Treatment and Protection of a Victim
State Agency Peace Officers (Penal Code section 13510.5) (Cerdfied
Course)
The Advanced Officer Course described in PAM section D-2 shall
satisfy the minimum training required by P.C. 13510.5.
Traffic Accident Investigation (Vehicle Code section 40600) (Certi-
fied Course)
( 1 ) Introduction and Orientation
(2) Collision Invesfigation Reporting Procedures
(3) Accident-Related Traffic Laws
(4) Accident Invesfigation Procedures
(5) Skidmarks/Tiremarks Idenfificafion
(6) Diagramming
(7) Physical Evidence
(8) Vehicle Factors
(9) Human Factors
(10) Driving Under the Influence
(11) Hit and Run
(12) Prosecufion/Court Presentafions
(13) Pracfical Exercise (Scenarios)
(14) Final Examinafion
(b) Certain legislatively mandated courses, referred to in Commission
Regulafions 1005(0 and 1081(a), that are specified in Title 4, Chapter 1,
and the courses that begin with section 135 1 6 of the Penal Code, may be
waived through a POST evaluafion of previous training. The evaluation
may indicate full or parfial satisfacfion of the mandated course's mini-
mum content requirements.
( 1 ) Requirements and Procedures for Evaluation
(A) Eligibility: A department head desiring an evaluafion of training
to determine its satisfacfion of the minimum content requirements of one
of the mandated courses as described in 1081(b) above, shall submit a
written request to the POST Executive Director. The request for a train-
ing evaluafion shall be accompanied by a training oufiine which speci-
fies: dates of training, total hours trained, instructional goals, required
topics, instrucfional methodology and testing requirements.
(B) Previous Training Restrictions: The completion date of the train-
ing that is the subject of the request for evaluation cannot be more than
three years prior to the date the request for evaluation is received by the
Executive Director.
(C) Nofificafion of Determination: Written notification stating if the
evaluated training meets (all or partially) the minimum requirements of
the mandated training shall be mailed to the department head within 30
days of receipt of the request. When partial satisfaction of the mandated
course is determined, the notification shall indicate which minimum con-
tent requirements are satisfied and those that are not.
(D) Evaluation of Make-up Content: Whenever the evaluated training
is deemed as partial safisfaction of the mandated course's minimum con-
tent requirements, the missing course content may be presented and the
department may request an evaluation as described in (A) above.
The California Law Enforcement Vehicle Pursuit Guidelines (Rev.
2/2007), adopted effective July 1 , 2007, is herein incorporated by refer-
ence.
The Pursuit Driving Update (2007) telecourse DVD, adopted effec-
tive July 1 , 2007, is herein incorporated by reference.
NOTE: Authority cited: Sections 831.4. 12002(f), 12403.5, 13503, 13506, 13510,
13511.3, 13515, 13519(f), 13519.4, 13519.8, 13519.12, 13519.14and 13778, Pe-
nal Code. Reference: Sections 832, 832.1, 832.2, 832.3, 832.6, 872(b), 12002(f),
12403, 12403.5, 13503(e), 13510, 13510.5, 13511.3, 13515, 13515.25, 13515.55.
13516, 13517, 13519, 13519(e), 13519.1, 13519.2, 13519.3, 13519.4, 13519.8,
13519.12, 13519.14 and 13778, Penal Code; Sections 40600 and 40802, Vehicle
Code; Section 25755, Business and Professions Code; and Section 1797.187,
Health and Safety Code.
History
1. New section filed 4-26-90; operative 5-26-90 (Register 90, No. 21).
2. New subsection (a)( 19) filed 8-6-90 as an emergency; operative 8-6-90 (Reg-
ister 90, No. 39). A Certificate of Compliance must be transmitted to OAL by
1 2-4-90 or emergency language will be repealed by operation of law on the fol-
lowing day.
3. Certificate of Compliance as to 8-6-90 order transmitted to OAL 1 1-27-90 and
filed 12-19-90 (Register 91, No. 6).
4. New subsection (a)(16) filed 3-19-91 ; operative 4-1 8-91 (Register 91, No. 14).
5. New subsection (a)( 17) filed 3-25-91 ; operative 4-24-91 (Register 91, No. 15).
6. New subsection (a)(7), amendment of reference note, and renumbering of exist-
ing subsections (a)(7H14) to (a)(8)-(15) filed 4-24-91; operative 5-24-91
(Register 91, No. 21).
Page 68.8
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Title 11
Commission on Peace Officer Standards and Training
§1082
•
7. New subsection (a)(18) filed 5-3-91; operative 6-29-91 (Register 91, No. 28).
8. New subsection (a){20) filed 9-24-91; operative 10-23-91 (Register 91, No.
52).
9. Amendment filed 12-23-91; operative 7-1-92 (Register 92, No, 19).
10. Amendment of subsections (a)(15) and (a)(19)(C) filed 2-22-94; operative
3-24-94 (Register 94, No. 8).
1 1 . Editorial correction amending subsection (a)( 1 ) Firearms Course and reposi-
tioning final paragraph (Register 94, No. 35).
12. Amendment of secfion (a)(4) filed 11-14-94; operative 12-14-94 (Reeister
94, No. 46).
13. New subsections (a)(21)-(a)(21)(D) filed 11-16-94; operative 12-16-94
(Register 94. No. 46).
14. New subsection (b) filed 4-18-95; operative 5-18-95 (Register 95, No. 16).
15. New subsections (a)(22)-(a)(23)(C) and amendment of NOTK filed 8-21-95;
operative 9-20-95 (Register 95, No. 34).
16. Amendment of subsection (a)(5) and Notf. filed 7-26-96; operative 8-25-96
(Register 96, No. 30).
17. Amendment of subsection (a) filed 1-14-97; operative 2-13-97 (Resister97,
No. 3).
18. New subsections (a)(24)-(a)(24)(D) and amendment of Note filed 7-8-97;
operative 8-7-97 (Register 97, No. 28).
19. Amendment of subsecfion (a)(8), new subsections (a)(25)-(a)(25)(B) and
amendment of Note; filed 8-4-98; operative 9-3-98 (Register 98, No. 32).
20. New subsections (a)(26)-(a)(26)(F) and amendment of Note filed 8-5-98;
operative 9-4-98 (Register 98, No. 32).
21. Amendment of subsections (a) and (b) and amendment of Note filed 3-22-99;
operative 4-21-99 (Register 99, No. 13).
22. Amendment of subsections (a)(I2)-(a)(12)(K). repealer of subsections
(a)(12)(L)-(M), and amendment of Note filed 5-11-99; operative 6-10-99
(Register 99, No. 20).
23. New subsections (a)(27)-(a)(27)(C) and amendment of NOTE filed 6-30-99;
operative 7-30-99 (Register 99, No. 27).
24. Change without regulatory effect amending subsection (a)(24) and Note filed
3-7-2000 pursuant to secfion 100, title 1, California Code of Regulations (Reg-
ister 2000, No. 10).
25. New subsecfions (a)(28)-(a)(29)(F) filed 4-4-2000; operative 5-4-2000
(Register 2000, No. 14).
26. New subsections (a)(30)-(a)(30)(G) filed 4-6-2000; operative 5-6-2000
(Register 2000, No. 14).
27. Amendment of subsections (a)(20)-(a)(20)(H) and amendment of Note filed
6-12-2000; operafive 6-12-2000 pursuant to Government Code section
1 1343.4(d) (Register 2000, No. 24).
28. Amendment of subsections (a)(2) and (a)(2)(C), repealer and new subsections
(a)(2)(F)-(H) and new subsecfion (a)(2)(I) filed 6-5-2001 ; operafive 8-1-2001
(Register 2001, No. 23).
29. Editorial correction of section (Register 2001, No. 38).
30. Amendment of subsections (a)(26)-(a)(26)(F) and new subsections
(a)(26)(G)-(H) filed 1-9-2002; operative 2-8-2002 (Register 2002, No. 2).
31. New subsections (a)(31)-(a)(31)(G) filed 3-14-2002; operafive 4-13-2002
(Register 2002, No. 11).
32. New subsections (a)(32)-(a)(32)(F) and amendment of Note filed
4-25-2002; operative 5-25-2002 (Register 2002, No. 17).
33. New subsecfions (a)(33)-(a)(33)irB. and amendment of Note filed 7-1-2002;
operative 7-31-2002 (Register 2002, No. 27).
34. Change without regulatory effect amending subsections (a)(31) and (a)(32)
filed 2-3-2003 pursuant to section 100, title 1, California Code of Regulations
(Register 2003, No. 6).
35. Amendment of subsection (a)(33) filed 7-3-2003 as an emergency; operative
7-3-2003 (Register 2003, No. 27). A Certificate of Compliance must be trans-
mitted to OAL by 10-31-2003 or emergency language will be repealed by op-
eration of law on the following day.
36. Amendment of subsections (a)(1) and (a)(33) filed 8-21-2003; operative
1-1-2004 (Register 2003, No. 34).
37. New subsections (a)(34)-(a)(34)(F) and amendment of Note filed
9-29-2003; operative 10-29-2003 (Register 2003, No. 40).
38. New subsections (a)(35)-(a)(35)(I) and amendment of Note filed
10-24-2005; operative 1 1-23-2005 (Register 2005, No. 43).
39. Amendment of subsections (a), (a)(22) and (b) filed 7-27-2006; operative
8-26-2006 (Register 2006, No. 30).
40. Reinstatement of section (a)(33) as it existed prior to 7-3-2003 emergency
amendment by operation of Government Code section 11346.1(0 (Register
2006, No. 47).
41. New subsection (a)(37) filed 12-21-2006; operative 1-20-2007 (Register
2006, No. 51).
42. Amendment filed 6-4-2007; operative 7-1-2007 pursuant to Government
Code section 1 1343.4 (Register 2007, No. 23).
43. Amendment of subsection (a) filed 8-1-2007; operative 8-31-2007 (Register
2007, No. 31).
44. Amendment of subsection (a) filed 8-1-2007; operative 8-31-2007 (Register
2007, No. 31).
45. Amendment of subsection (a), last paragraph and Noti<; filed 4-14-2008; op-
erative 4-14-2008 pursuant to Government Code section 11343.4 (Register
2008. No. 16).
§ 1082. Minimum Content Requirements for Instructor
Courses.
(a) Minimum course content. The instmctor courses listed in regula-
tions 1009 and 1070, and in subsection (d) below, shall meet the mini-
mum content requirements as specified in subsection (d). Regulations
1052-1056 specify the requirements for certification and presentation of
these courses. Effective March 1 , 2008, completion of the Academy
Instructor Certification Course specified in Regulation 1082(d) or pas-
sage of the AICC Equivalency Process specified in Regulation
1009(c)(4) shall be a prerequisite to teaching any* of the specialized sub-
jects listed in Regulation 1070(b) when the subject is taught in the Regu-
lar Basic Course, in addition to the requirement to complete the required
instructor course listed in Regulation 1082(d).
*The following instructor courses listed in Regulation 1070(b) are ex-
cluded from the AICC completion requirement: Institute of Criminal In-
vestigation (ICI) Instructor, Motorcycle Training Instructor. Supervisory
Course Instructor, and Supervisory Leadership Institute (SLI) Instructor
courses.
(b) Additional Requirements. Requirements for certification and pre-
sentation of these courses are specified in Regulations 1 052- 1 056. Addi-
tional requirements for the Academy Instaictor Certification Course are
specified in Regulation 1009.
(c) POST-certified Courses. A POST-certified course by the same
title as the instructor training course specified in Regulation 1 070 (b) and
which began prior to July 1 , 2002, shall be deemed as meeting the mini-
mum content requirement. POST-certified courses beginning on or after
July 1 , 2002, shall be evaluated by the course presenter for compliance
with the minimum course content specified in subsection (d) below.
(d) Instructor Courses and Minimum Content. The instructor courses
listed below (either POST-certified and beginning after July 1 , 2002, or
courses used in an equivalency process), shall meet minimum content re-
quirements as follows:
Arrest and Control Instructor
(A) Body Physics and Dynamics
(B) Control Techniques
(C) Handcuffing
(D) Injury Prevention
(E) Prisoner Restraint
(F) Searches
(G) Use of Force
(H) Weaponless Defense
(I) Weapon Retention/Takeaway
(J) Adult Learning Concepts
(K) Legal Issues
(L) Performance Evaluation Techniques
(M) Safety Protocols
(N) Written, Oral, and/or Demonstration Assessment {in each topic
area)
Academy Instructor Certification Course (AICC)
(A) Basic Course Instructional System
(B) Roles and Responsibilities of Law Enforcement Training Instruc-
tors
(C) Adult Learning Concepts
(D) Lesson Planning
(E) Presentation Skills
(F) Facilitation Skills
(G) Use of Learning Resources and Training Aids
(H) Evaluation Techniques
(I) Legal Issues
(J) Safety Protocols
Page 68.9
Register 2008, No. 16; 4-18-2008
§1082
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(K)Written, Oral, and/or Demonstration Assessment (in each topic
area)
A model expanded course outline is located in the Guidelines and Cur-
riculum for the Academy Instructor Certificate Program publication.
Baton/Impact Weapons Instructor
(A) Blocking Techniques
(B) Drawing Techniques
(C) Patterns of Movement
(D) Stances
(E) Strike Zones
(F) Striking Techniques
(G) Use of Force
(H) Adult Learning Concepts
(I) Evaluation Techniques
(J) Legal Issues
(K) Performance Evaluation Techniques
(L) Safety Protocols
(M) Written, Oral, and/or Demonstration Assessment (in each topic
area)
Chemical Agents Instructor
(A) Decontamination
(B) Delivery Methods
(C) Disposal of Aerosol Devices
(D) First Aid Protocols
(E) Gas Mask Application
(F) Maintenance of Aerosol Devices
(G) Adult Learning Concepts
(H) Legal Issues
(I) Performance Evaluation Techniques
(J) Safety Protocols
(K) Written, Oral, and/or Demonstration Assessment {in each topic
area)
Defensive Tactics Instructor
(A) Body Physics and Dynamics
(B) Control Techniques
(C) Handcuffing
(D) Injury Prevention
(E) Prisoner Restraint
(F) Searches
(G) Use of Force
(H) Weaponless Defense
(I) Weapon Retention/Takeaway
(J) Adult Learning Concepts
(K) Legal Issues
(L) Performance Evaluation Techniques
(M) Safety Protocols
(M) Written, Oral, and/or Demonstration Assessment (in each topic
area)
The content for this course is a composite of the "Arrest and Control
Instructor" and "Baton/Impact Weapons Instructor" courses.
Diversionary Devices Instructor
(A) Device Deployment and Ignition
(B) Overpressure
(C) Types of Devices
(D) Types of Diversions
(E) Adult Learning Concepts
(F) Legal Issues
(G) Performance Evaluation Techniques
(H) Safety Protocols
(I) Written, Oral, and/or Demonstration Assessment (in each topic
area)
Driver Awareness Instructor
(A) Course Management
(B) Defensive Driving
(C) Pre-Shift Inspection
(D) Reverse Driving Practical Application
(E) Vehicle Control Techniques
(F) Vehicle Dynamics
(G) Adult Learning Concepts
(H) Legal Issues
(I) Performance Evaluation Techniques
(J) Safety Protocols
(K) Written, Oral, and/or Demonstration Assessment (/// each topic
area)
Driver Training Instmctor
(A) Defensive Driving
(B) Pursuit Guidelines
(C) Risk Assessment
(D) Vehicle Control Techniques
(E) Adult Learning Concepts
(F) Legal Issues
(G) Performance Evaluation Techniques
(H) Safety Protocols
(I) Written, Oral, and/or Demonstration Assessment (in each topic
area)
Driver Training Simulation Instructor
(A) Code 3 and Pursuit Decision Making
(B) Driving Coordination/Communication Tactics
(C) Scenario Design
(D) Simulator Calibration/Troubleshooting
(E) Simulator Orientation
(F) Vehicle Control Techniques
(G) Vehicle Dynamics
(H) Work Station Operation
(I) Adult Learning Concepts
(J) Legal Issues and SB 719 (Stats, of 2005)
(K) Performance Evaluation Techniques
(L) Safety Protocols
(M) Written, Oral, and/or Demonstration Assessment (in each topic
area)
Electronic Weapons Instructor (16 hours)
(A) Introduction/Registration
(B) History and Definitions
(C) Exposures
(D) Electronic Weapons and Nomenclature
(E) Legal/Ethical Considerations
(F) Medical Aspects
(G) Deployment and Documentation
(H) Practical Application and Testing
Firearms Instructor
(A) Coaching
(B) Firearms Maintenance
(C) Fundamentals of Shooting
(D) Range Preparation
(E) Tactical Considerations
(F) Target Analysis
(G) Use of Force Guidelines
(H) Adult Learning Concepts
(I) Legal Issues
(J) Performance Evaluation Techniques
(K) Safety Protocols
(L) Written, Demonstration Assessment (in each topic area)
First Aid/CPR Instructor
(A) Abdominal/Chest Injuries
(B) Bleeding
(C) Bums
(D) Cardiovascular System
(E) Communicable Diseases
(F) CPR Techniques
(G) Dressings/Bandages
(H) Environmental Emergencies
(I) Fractures
Page 68.10
Register 2008, No. 16; 4-18-2008
Title 11
Commission on Peace Officer Standards and Training
§ 1082
(J) Obstetric/Pediatric Emergencies
(K) Patient Assessments
(L) Respiratory System
(M) Shock
(N) Wounds
(0) Adult Learning Concepts
(P) Legal Issues
(Q) Performance Evaluation Techniques
(R) Safety Protocols
(S) Written. Oral, and/or Demonstration Assessment (/// each topic
area)
Force Options Simulator Instructor
(A) Force Options
(B) Scenarios Application
(C) Simulator Weapons Familiarization
(D) Tactics
(E) Adult Learning Concepts
(F) Legal Issues
(G) Performance Evaluation Techniques
(H) Safety Protocols
(1) Written, Oral, and/or Demonstration Assessment {in each topic
area)
Hazardous Materials Instructor (Train-the-Trainer)
(A) Haz Mat Containment
(B) Haz Mat Identification and Assessment
(C) Incident Management
(D) Notification Protocols
(E) Placarding/Labeling
(F) Responder Awareness Actions
(G) Simulated Incidents
(H) Adult Learning Concepts
(I) Legal Issues
(J) Performance Evaluation Techniques
(K) Safety Protocols
(L) Written, Oral, and/or Demonstration Assessment (in each topic
area)
ICS 300 & 400 Train-the-Trainer Course (SEMS/NIMS/ICS) — 24
hours
(A) Course Introduction and Objectives
(B) Trainer Orientation
(C) Incident Command System (ICS) Review
(D) Incident Action Plarming
(E) Incident Command System (ICS) Organization
(F) Comprehensive Tabletop Exercises — Minimum of seven (7)
(G) Course Review
(H) Final Examination
Institute of Criminal Investigation (ICI) Instructor
(A) Workshop on adult experience-based learning
(B) Workshop for instructional competency verification
(C) Student teaching in a classroom environment, under the observa-
tion of a Master Instructor
(D) Legal Issues
(E) Safety Protocols
Law Enforcement Response to Terrorism (LERT) Instructor
(A) Defining terrorism
(B) Overview of conventional, chemical, biological, radiological, nu-
clear, and explosive devices
(C) Current terrorist threats and historical issues
(D) Anti-terrorism concepts
(E) Threat and Vulnerability assessments
(F) Role of the Terrorism Liaison Officer (TLO)
(G) Information and Intelligence sharing
(H) Weapons of mass destruction (WMD)
(I) WMD Incident Response
(J) Safety and response strategies
(K) Standardized Emergency Management System (SEMS) and the
Incident Command System (ICS)
(L) Adult learning concepts and fundamental instructional methodol-
ogies
(M) Course testing and evaluation
Less Lethal Force Instructor
(A) Apprehension Techniques
(B) Level of Effectiveness
(C) Medical Treatment Protocol
(D) Precautions
(E) Projectile Specifications
(F) Psychological Effects
(G) Reporting Procedures
(H) Adult Learning Concepts
(I) Legal Issues
(J) Performance Evaluation Techniques
(K) Safety Protocols
(L) Written, Oral, and/or Demonstration Assessment {in each topic
area)
Motorcycle Training Instructor
(A) Apexing
(B) Braking Demonstrations
(C) Cone Patterns
(D) Defensive Riding
(E) Enforcement Stops
(F) Incline Work
(G) Motorcycle Maintenance
(H) Pullouts
(I) Street Riding Techniques
(J) Adult Learning Concepts
(K) Legal Issues
(L) Performance Evaluation Techniques
(M) Safety Protocols
(N) Written, Oral, and/or Demonstration Assessment {in each topic
area)
Physical Training Instructor
(A) Anatomy/Physiology
(B) Biomechanics
(C) Calisthenics
(D) Circuit Training
(E) Conditioning Principles
(F) Exercise Prescription
(G) Injury Prevention and Assessment
(H) Motivation
(I) Adult Learning Concepts
(J) Legal Issues
(K) Performance Evaluation Techniques
(L) Safety Protocols
(M) Written, Oral, and/or Demonstration Assessment in each topic
area
Public Safety Communications Terrorism Awareness Instructor
Course (PSC-TAIC)
(A) Introduction and Course Overview
(B) The Terrorist Threat
(C) Weapons of Mass Destruction (WMD)
(D) Target Assessment
(E) Counter-Terrorism Measures
(F) Emergency Management (SEMS/NIMS/ICS)
(G) Communications Response
(H) Psychological Impact
(I) Testing, Tabletop Scenario and Course Critique
(J) Adult Learning Concepts
(K) Facilitation Skills
(L) Use of Technology Delivery Systems
(M) Course Material Resources
Page 68.11
Register 2008, No. 16; 4-18-2008
§1083
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(N) Small Group Curricula Presentations
(0) Certification Process
Racial Profiling Instructor
(A) Modeling of Core Course
(B) Facilitation Skills
(C) Racial Profiling Defined
(D) Legal Considerations
(E) History of Civil Rights
(F) Community Considerations
(G) Facilitator Guide Orientation
(H) "Teach Back"
Supervisory Course Instructor
(A) Workshop on experience-based learning and facilitation skills
(B) Competency verification/evaluation session
Supervisory Leadership Institute (SLI) Instructor
(A) Workshop on experience-based learning and facilitation skills
(B) Competency verification/evaluation session.
(C) Legal Issues
(D) Safety Protocols
Train-the-Trainer Course for Response Personnel (SEMS/NIMS/
ICS)
(A) Course Overview and Objectives
(B) Introduction to Standardized Emergency Management
(SEMS)/National Incident Management System (NIMS)
(C) Introduction to the Incident Command System (ICS)
(D) The Incident Command System (ICS)
(E) SEMS/NIMS Multi-agency Coordination Systems
(F) Incident Action Planning (lAP)
(G) Resource Management
(H) Mutual Aid
(1) Transfer of Command/Demobilization
(J) SEMS/NIMS Public Information
(K) SEMS/NIMS Preparedness
(L) SEMS/NIMS Communications, Information, Management and
Supporting Technologies
(M) SEMS/NIMS Review and Testing
(N) The Role of the Trainer
NOTE; Authority cited: Sections 13503, 13506 and 13519.12, Penal Code. Refer-
ence: Sections 13503(e), 13519.4 and 13519.12, Penal Code.
History
1. New section filed 7-17-2001; operative 7-1-2002 (Register 2001, No. 29).
2. New subsections (a)(18)-(a)(18)(H), subsection renumbering and amendment
of Note filed 8-27-2002; operadve 9-26-2002 (Register 2002, No. 35).
3. New subsections (a)(20)-(a)(20)(B) and subsection renumbering filed
2-6-2003; operative 3-8-2003 (Register 2003, No. 6).
4. Amendment of section heading and section filed 7-21-2003; operative
8-20-2003 (Register 2003, No. 30).
5. New subsections (d)(l5)-(d)(15)(M), subsection renumbering and amendment
of Note filed 10-24-2005; operative 11-23-2005 (Register 2005, No. 43).
6. New subsections (d)(19)-(d)(19)(0), subsection renumbering and repealer of
footnote to newly designated subsection (d)(20) filed 12-21-2006; operative
1-20-2007 (Register 2006, No. 51).
7. Amendment of subsection (d) filed 3-6-2007; operative 4-5-2007 (Register
2007, No. 10).
8. Amendment of subsection (d) filed 8-1-2007; operative 8-31-2007 (Register
2007, No. 31).
9. Amendment of subsection (d) filed 8-1-2007; operative 8-31-2007 (Register
2007, No. 31).
10. Amendment of subsections (a) and (d) filed 2-29-2008; operative 3-1-2008
pursuant to Goveniment Code section II 343.4 (Register 2008, No. 9).
§ 1083. Minimum Content Requirements for Academy Staff
Courses.
(a) Minimum course content. The POST-cerlified courses listed in
this regulation, which is responsive to Regulation 1071, shall meet the
minimum content requirements as stated below.
( 1 ) Academy Director/Coordinator Course
(A) Academy Management Guidelines
(B) Basic Training Support System
(C) Budgeting
(D) Ethics and Professionalism
(E) Instaictional Planning
(F) Instructional Quality
(G) Instructional Resources
(H) Learning Domain Instructional System
(1) Testing Regulations and Management
(J) Legal Issues
(K) Performance Evaluation Techniques
(L) Safety Protocols
(2) Recruit Training Officer Course
(A) POST Administration/Organization Overview
(B) Communication and Instructional Techniques
(C) Role Modeling
(D) Counseling Techniques
(E) Evaluation and Documentation
(F) Liability and Legal Issues
(G) Physical Training and Other Special Training Issues
(H) Leadership, Ethics, and Professionalism
NOTE: Authority cited: SecUons 13503 and 13506, Penal Code. Reference: Sec-
tions 13503(e) and 13519.4, Penal Code.
History
1. New section filed 7-21-2003; operative 8-20-2003 (Register 2003, No. 30).
For prior history, see Register 2002, No. 49.
2. New subsecfions (a)(3)-(a)(3)(J) filed 4-14-2005; operative 5-14-2005 (Reg-
ister 2005, No. 15).
3. Repealer of subsections (a)(3)-(a)(3)(J) filed 2-29-2008; operafive 3-1-2008
pursuant to Government Code section II 343 .4 (Register 2008, No. 9).
§ 1084. Standardized POST Training Curriculum.
To promote the effectiveness of law enforcement, this regulation esta-
blishes the minimum required topics and the minimum hours for specific,
non-mandated training courses. Training courses may exceed these top-
ics and hours.
(a) Electronic Weapons (Four Hours Minimum)
( 1 ) Introduction and Registration
(2) History and Definitions
(3) Exposures and Safety
(4) Electronic Weapons and Nomenclature
(5) Legal/Ethical Considerations
(6) Medical Aspects
(7) Deployment and Documentation
(8) Practical Application and Testing
NOTE: Authority cited: Secfions 13503 and 13506, Penal Code. Reference: Sec-
tion 13503(e), Penal Code.
History
\. New section filed 8-16-2006; operative 9-15-2006 (Register 2006, No. 33).
* *
Page 68.12
Register 2008, No. 16; 4-18-2008
Barclays Official
California
Code of
Regulations
Title 11. Law
Division 3. Gambling Control
VoL 15
XMOIVISOM
^
\A/EST
Barclays Official California Code of Regulations
425 Market Street • Fourth Floor • San Francisco, CA 94105
800-888-3600
Title 11
Gambling Control
Table of Contents
Division 3. Gambling Control
Table of Contents
Page
Chapter 1 . The Bureau of Gambling Control 69
Article 1. Bureau of Gambling Control
Powers and Jurisdiction 69
§ 2000. Jurisdiction.
§ 2001. Exemptions and Extensions for
Compliance.
Article 2. Definitions 69
§ 2010. Definitions.
Article 3. Administration 69
§ 2020. Service of Notices, Orders and
Communications.
§ 202 1 . Separation from Employment:
Designation of Bureau Employees.
Article 4. Licensure Qualifications and
Requirements 70
§ 2030. Designated Agent.
§ 2031. Application and Investigative Fees.
§ 2032. Application Process.
§ 2033. Irregular Operation, Tournament or
Special Event Authorization and Fees.
§ 2034. Public and Local Governmental
Objections to Applications.
§ 2035. Application Withdrawal.
§ 2036. Certification of Work Permits.
§ 2037. Schedule of Investigation and
Processing Costs.
§ 2038. Required Forms.
Article 5. Operation of Gambling
Establishments 71
§ 2050. Owner or Key Employee on Premises.
§2051. Gambling Chips.
§ 2052. Information To Be Furnished by
Licensees.
§ 2053. Adequate Financing.
Article 6. General Reporting 72
§ 2060. Employee Reports.
Article 7. Games 72
§ 2070. Unsuitable Gaming Activities.
§ 2071. Gaming Activity Authorization.
§ 2072. Report of Gaming Activities.
Article 13. Transitional Provisions 73
§ 2140. Definitions.
§2141. Provisional Licenses.
§ 2142. Presumption of Suitability.
Page i
(7- i8-2nns)
Title 11
Gambling Control
§2021
Division 3. Gambling Control
Chapter 1. The Bureau of Gambling Control
Article 1. Bureau of Gambling Control
Powers and Jurisdiction
§ 2000. Jurisdiction.
The following regulations are adopted by the Chief of the Bureau of
Gambling Control (Bureau) pursuant to the Gambling Control Act
("Act") commencing with Business and Professions Code sec-
tion 19800.
NOTE: Authority cited: Sections 19826(f) and 19827, Business and Professions
Code. Reference: Sections 19826 and 19827, Business and Professions Code.
History
1 . New article 1 (sections 2000-2001 ) and renumbering and readoption of former
section 1101.1 to new section 2000, including amendment of section heading
and section and new Noth, filed 10-12-99; operative 10-12-99 pursuant to
Government Code section 1 1343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending section and Note filed 1-6-2004
pursuant to section 100, title 1, California Code of Regulations (Register 2004,
No. 2).
3. Change without regulatory effect amending chapter heading, article heading
and section filed 5-28-2008 pursuant to section 100, title 1, California Code of
Regulations (Register 2008, No. 22). For prior history of chapter 1, sections
1 1 00-1 906.3, see Register 99, No. 39, Register 99, No. 42, Register 99, No. 44
and Register 2008, No. 3.
§ 2001. Exemptions and Extensions for Compliance.
Upon a showing of good cause, the Chief, in his or her sole discretion,
may grant a temporary exemption or extension of time only for any of the
requirements or deadlines provided for in these regulations. Such exemp-
tion or extension shall be in writing and designate a specific time period
for the exemption or extension.
NOTE: Authority cited: Sections 19826(f) and 19827, Business and Professions
Code. Reference: Section 19826, Business and Professions Code.
History
1. Renumbering and readoption of former section 1 101.4 to new section 2001, in-
cluding amendment of section heading and section and new Note, filed
10-12-99; operative 10-12-99 pursuant to Government Code section
1 1343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to
section 100, title 1, California Code of Regulations (Register 2004, No. 2).
3. Change without regulatory effect amending section filed 5-28-2008 pursuant
to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
Article 2. Definitions
§2010. Definitions.
For purposes of these regulations, the following terms have the follow-
ing meanings:
(a) "Act" means the California Gambling Control Act, Chapter 5,
(commencing with Section 19800) of, Division 8 of, the Business and
Professions Code.
(b) "Approval" means authorization by the Bureau for certain acts,
transactions, events and/or processes as provided in the Act.
(c) "Chip" means a tangible representative of value issued by a licens-
ee to a patron.
(d) "Day" means calendar day unless otherwise specified.
(e) "Designated Agent" means a person(s) appointed by the owner(s)
of a gambling establishment or the primary owner of a third-party pro-
vider of proposition player services or gambling business to serve as their
representative.
(f) "Gaming Activity" means any activity or event including, but not
limited to, jackpots, bonuses, promotions, cashpots, tournaments, etc.,
that is appended to, or relies upon any controlled game.
(g) "Wager" means a sum of money or thing of value risked or bet on
the outcome of a controlled game.
NOTE: Authority cited: Sections 19800, 19801, 19803, 19810, 19850 and 19910,
Business and Professions Code. Reference: Sections 19805(f), 19851, 19854,
19867, 19880 and 19890, Business and Professions Code; and Sections 15001,
15001.1 and 15001.2, Government Code..
History
1. New article 2 (section 2010) and renumbering and readoption of former section
1 101.3 to new section 2010, including amendment of section and new Noil..
filed 10-12-99; operative 10-12-99 pursuant to Government Code section
1 1343.4(d) (Register 99, No. 42).
2. Change without regulatory effect repealing subsections (b), (e), (k) and (/), rclet-
tering subsections, amending newly designated subsection (e) and amending
Note filed 11-10-2003 pursuant to section 100, title 1, California Code of Reg-
ulations (Register 2003, No. 46).
3. Repealer of former subsections (f)-(h), new subsection (f), subsection reletter-
ing and amendment of Note filed 6-21-2004 as an emergency; operative
6-2 1-2004 (Register 2004, No. 26). A Certificate of Compliance must be trans-
mitted to OAL by 10-19-2004 or emergency language will be repealed by op-
eration of law on the following day.
4. Repealer of former subsections (f)-(h), new subsection (f), subsection rcletter-
ing and amendment of Note refiled 10-19-2004 as an emergency; operative
10-19-2004 (Register 2004. No. 43). A Certificate of Compliance mu.st be
transmitted to OAL by 2-16-2005 or emergency language will be repealed by
operation of law on the following day.
5. Certificate of Compliance as to 10-19-2004 order, including amendment of
subsections (e) and (0, transmitted to OAL 2-16-2005 and filed 3-30-2005
(Register 2005, No. 13).
6. Change without regulatory effect amending subsections (b) and (c) filed
5-28-2008 pursuant to section 100, title 1, California Code of Regulations
(Register 2008, No. 22).
Article 3. Administration
§ 2020. Service of Notices, Orders and Communications.
(a) Except as otherwise provided by law or these regulations, notices
and other written communications shall be sent to an applicant, licensee,
or designated agent by first-class mail at the address of the establish-
ment, unless a different address is otherwise designated by the applicant,
licensee, or designated agent.
(b) The time specified in any such notice or communication shall com-
mence to run from the date such mailing is postmarked.
(c) Any change of address shall be reported to the Bureau, in writing,
within 10 days of any such change, and shall specifically request that all
notices and written communications be sent to the changed address.
NOTE: Authority cited: Sections 19826 and 19827, Business and Professions
Code. Reference: Section 19827, Business and Professions Code.
History
1 . Renumbering and readoption of former section 1 200 to new article 3 heading,
renumbering, readoption and amendment of former section 1203 heading to
new section 2020 heading and renumbering, readoption and amendment of for-
mer sections 1203.1, 1203.2 and 1203.4 to new subsections 2020(a)-(c) filed
9-21-99; operative 10-21-99 (Register 99, No. 39). For prior history see His-
tory following chapter 1 heading.
2. Editorial correction of History 1 (Register 99, No. 44).
3. Change without regulatory effect correcfing previous misnumbering and
amending Note filed 10-22-99 pursuant to section 100, title 1, California Code
of Regulations (Register 99, No. 44).
4. Change without regulatory effect amending NOTE filed 1-6-2004 pursuant to
section 100, title 1, California Code of Regulations (Register 2004, No. 2).
5. Change without regulatory effect amending subsection (c) filed 5-28-2008 pur-
suant to secfion 1 00, title 1 , California Code of Regulations (Register 2008, No.
22).
§ 2021 . Separation from Employment: Designation of
Bureau Employees.
Pursuant to Business and Professions Code section 1 998 1 , subdivision
(a), specified Bureau employees shall not, for a period of 3 years follow-
ing separation from employment, act in certain capacities involving ad-
ministrative action or the issuance, amendment, awarding, or revocation
of a license, permit, or approval. Bureau employees subject to the provi-
sions of Business and Professions Code section 19981, subdivision (a)
include:
a. Chief
b. Assistant Bureau Chief
Page 69
Register 2008, No. 22; 5-30-2008
§2030
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
c. Special Agent in Charge
d. Special Agent Supervisor
e. Special Agent or Special Agent Trainee
f. Field Representative
g. Auditor
h. Department of Justice Administrator I, Department of Justice Ad-
ministrator II, or Department of Justice Administrator III
i. Staff Services Analyst working in a permitting, licensing or approval
capacity
j. Associate Governmental Program Analyst working in a permitting,
licensing or approval capacity or,
k. Any employee whose class is not listed and whose job description
involves actions related to the issuance, amendment, awarding, or re-
vocation of a permit, license, or approval.
NOTE: Authority cited: Section 19826. Business and Professions Code. Refer-
ence: Section 19981, Business and Professions Code.
History
1. New section filed 12-19-2007; operative 1-18-2008 (Register 2007, No. 51).
Article 4.
Licensure Qualifications and
Requirements
§ 2030. Designated Agent.
(a) An applicant or a licensee may designate a person(s) to serve as
their agent(s), on a form Appointment of Designated Agent, BGC-APP.
008 (Rev. 1 1-07), incorporated by reference into Title 4, CCR, section
12342. The Bureau retains the right to exercise its discretion to disap-
prove, in whole or in part, such designation.
(b) In the discretion of the Bureau, an applicant or licensee may be re-
quired to appoint a designated agent(s) if the Bureau determines the need
for such an agent(s) exists.
NOTE: Authority cited: Sections 19826 and 19827, Business and Professions
Code; and Stats. 1997, c. 867 (S.B.8), Section 66.5. Reference: Section 19826.
History
1. New article 4 (sections 2030-2036) and section filed 10-12-99; operative
10-12-99 pursuant to Government Code section 1 1343.4(d) (Register 99, No.
42).
2. Change without regulatory effect amending section and Noth filed 1 1-10-2003
pursuant to section 100, title 1, California Code of Regulations (Register 2003,
No. 46).
3. Change without regulatory effect amending section filed 3-28-2008 pursuant
to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
§ 2031. Application and Investigative Fees.
NOTE: Authority cited: Sections 19824A, 19825 and 19830, Business and Profes-
sions Code; and Stats. 1997, c. 867 (S.B.8), Section 66.5. Reference: Sections
19855, 19860, 19941 and 19942, Business and Professions Code; and Stats. 1997,
c. 867 (S.B.8), Section 62.
History
1. Renumbering, readoption and amendment of former section 1402 heading to
new section 2031 heading and renumbering and readoption of former section
1402.4 to body of new secdon 2031, including amendment of section and new
Note, filed 10-12-99; operative 10-12-99 pursuant to Government Code sec-
tion 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect repealing section filed 1 1-10-2003 pursuant
to section 100, title 1, California Code of Regulations (Register 2003, No. 46).
§ 2032. Application Process.
NOTE: Authority cited: Secfions 19824A, 19825 and 19830, Business and Profes-
sions Code; and Stats. 1997, c. 867 (S.B.8), Section 66.5. Reference: Sections
19834, 19852, 19853, 19853.5, 19856 and 19859, Business and Professions Code.
History
1. Renumbering and readoption of former section 1401 .1 heading to new section
2032 heading and renumbering and readoption of portions of former sections
1401.1, 1401.4 and 1401.6 to new subsections 2032(a)-(c), including amend-
ment of secfions and new Note, filed 10-12-99; operative 10-12-99 pursuant
to Government Code section 1 1343.4(d) (Register 99, No. 42).
2. Change without regulatory effect repealing section filed 1 1-10-2003 pursuant
to section 100, title 1, California Code of Regulations (Register 2003, No. 46).
§ 2033. Irregular Operation, Tournament or Special Event
Authorization and Fees.
NOTE: Authority cited: Sections 19826 and 19827, Business and Professions
Code. Reference: Sections 19951 and 19952, Business and Professions Code.
History
1. Renumbering and readoption of former section 1701.5 to new section 2033, in-
cluding amendment of section heading and section and new Note, filed
10-12-99; operative 10-12-99 pursuant to Government Code section
1 1343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending subsection (b) and Note filed
1-6-2004 pursuant to section 1 00. title 1 , California Code of Regulations (Reg-
ister 2004, No. 2).
3. Change without regulatory effect repealing section filed 5-22-2006 pursuant
to section 100, title'l. California Code of Regulations (Register 2006, No. 21).
§ 2034. Public and Local Governmental Objections to
Applications.
NOTE; Authority cited: Sections 19824 A, 19825 and 19830, Business and Profes-
sions Code; and Stats. 1997, c. 867 (S.B.8), Section 66.5. Reference: Section
19852, Business and Professions Code.
History
1. Renumbering and readoption of former section 1408 heading to new section
2034 heading and renumbering and readopfion of former sections 1408.1,
1408.2 and 1408.4 to new subsections 2034(aHc), including amendment of
sections and new Note, filed 10-12-99; operative 10-12-99 pursuant to Gov-
ernment Code section 1 1343.4(d) (Register 99, No. 42).
2. Change without regulatory effect repealing secdon filed 1 1-10-2003 pursuant
to section 1 00, title 1, CaUfomia Code of Regulations (Register 2003, No. 46).
§ 2035. Application Withdrawal.
NOTE: Authority cited: Sections 19824A, 19825 and 19830, Business and Profes-
sions Code; and Stats. 1997, c. 867 (S.B.8), Section 66.5. Reference: Section
19857, Business and Professions Code.
History
1. Renumbering and readoption of former section 1403 to new section 2035, in-
cluding amendment of section heading and section and new Note, filed
10-12-99; operative 10-12-99 pursuant to Government Code section
1 1343.4(d) (Register 99, No. 42).
2. Change without regulatory effect repealing section filed 1 1-10-2003 pursuant
to secdon 100, title 1, Califomia Code of Regulations (Register 2003, No. 46).
§ 2036. Certification of Work Permits.
NOTE: Authority cited: Secdons 19824A, 19825 and 19830, Business and Profes-
sions Code; and Stats. 1997, c. 867 (S.B.8), Secdon 66.5. Reference: Section
19910.5, Business and Professions Code.
History
1. Renumbering, readopdon and amendment of former secdon 1906 heading to
new section 2036 heading and renumbering and readoption of former section
1 906. 1 to new subsection 2036, including amendment of section and new Note,
filed 10-12-99; operadve 10-12-99 pursuant to Government Code section
11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect repealing section filed 1 1-10-2003 pursuant
to secdon 100, title 1, Califomia Code of Regulations (Register 2003, No. 46).
§ 2037. Schedule of Investigation and Processing Costs.
(a) An applicant shall submit a deposit in accordance with Business
and Professions Code sections 19867 and 19984, and Title 4, CCR,
Chapters 2. 1 and 2.2, in addition to the application fee required under
Business and Professions Code section 1 995 1 (a), before the Bureau initi-
ates any background investigation or review related to a license, a finding
of suitability, or an approval. During the investigation or review, the
Chief may require an applicant to deposit any additional sums as are re-
quired to pay all costs and charges of the investigation or review. Addi-
tional deposits are due to the Bureau within fifteen (15) days from the
date of the request for the required deposit. All costs and charges of the
investigation or review must be paid before the Bureau may approve a
contract or make a recommendation to the Califomia Gambling Control
Commission. The invesdgation or review concludes upon the Califomia
Gambling Control Commission's approval or denial of the application or
the granting of a request to withdraw the application. For contracts, the
review concludes upon the Bureau's approval or denial of the application
or the request to withdraw the application. At the conclusion of the inves-
tigation or review, the Bureau shall provide the applicant with an item-
ized accounting of the costs incurred and shall refund any unused portion
of the deposit.
Page 70
Register 2008, No. 22; 5-30-2008
Title 11
Gambling Control
§2051
•
•
( 1 ) The Bureau's schedule of deposits for investigation and processing
costs under Business and Professions Code section 1 9867 shall be as fol-
lows:
(A) An applicant (Sole Proprietor, Corporation, Partnership, Share-
holder, Partner, etc.), other than a trust, for an initial State Gambling Li-
cense, shall submit a deposit in the amount of $5,000;
(B) An applicant for an initial State Gambling License that is a trust
shall submit a deposit in the amount of $900;
(C) An applicant for an initial State Gambling License as an unin-
volved spouse with community property interest shall submit a deposit
in the amount of $750;
(D) An applicant for an initial Key Employee License shall submit a
deposit in the amount of $ 1 ,200;
(E) An applicant (Sole Proprietor, Corporation, Partnership, Share-
holder, Partner, etc.), other than a Trust, for a Renewal of a State Gam-
bling License, shall submit a deposit in the amount of $600;
(F) An applicant for a Renewal of a State Gambling License as an unin-
volved spouse with community property interest shall submit a deposit
in the amount of $200;
(G) An applicant for a Renewal of a Key Employee License shall sub-
mit a deposit in the amount of $200;
(H) If after a review it is determined that further investigation is need-
ed, a deposit in the amount of $200 shall be required for the review of an
application for a Renewal of a State Gambling License for a Trust.
(1) An application for a Game or Gaming Activity review shall be ac-
companied by a deposit in the amount of $315; and
(J) If after a review it is determined that further investigation is needed,
a deposit in the amount of $252 shall be required to review an amendment
or change to any Bureau-approved game or gaming activity.
(2) The Bureau's schedule of deposits for investigation and processing
costs under Business and Professions Code section 19984 and Title 4,
CCR, Chapters 2.1 and 2.2, shall be as follows:
(A) An application for Proposition Player Contract approval shall be
accompanied by a deposit in the amount of $600;
(B) An application for Proposition Player Contract Amendment ap-
proval shall be accompanied by a deposit in the amount of $450.
(C) A completed supplemental information package as defined in Title
4, CCR, Chapters 2. 1 and 2.2 for Primary Owner or Owner shall be ac-
companied by a deposit in the amount of $5,000;
(D) A completed supplemental information package as defined in
Title 4, CCR, Chapters 2. 1 and 2.2 for a Supervisor shall be accompanied
by a deposit in the amount of $1,200;
(E) A request for an expedited review of a Proposition Player Contract
shall be accompanied by a deposit in the amount of $360;
(F) If after a review of the supplemental information package as de-
fined in Title 4, CCR, Chapters 2. 1 and 2.2 of a Player or Other Employee
it is determined that further investigation is needed, a deposit in the
amount of $315 shall be required.
NOTE: Authority cited: Sections 19826, 19867 and 19984, Business and Profes-
sions Code. Reference: Sections 19805(b), (i) and (j), 19827, 19853(b), 19867,
19950(b), 19951 and 19984, Business and Professions Code.
History
1. New section filed 6-21-2004 as an emergency; operative 6-21-2004 (Register
2004, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-19-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-19-2004 as an emergency, including amendments; op-
erative 1 0-1 9-2004 (Register 2004, No. 43). A Certificate of Compliance must
be transmitted to OAL by 2-16-2005 or emergency language will be repealed
by operation of law on the following day.
3. Certificate of Compliance as to 10-19-2004 order, including amendment of
section, transmitted to OAL 2-16-2005 and filed 3-30-2005 (Register 2005,
No. 13).
4. Change without regulatory effect amending subsections (a), (a)( 1 ), (a)( 1 )(J) and
(a)(2) filed 5-28-2008 pursuant to section 100, title 1 , California Code of Regu-
lations (Register 2008, No. 22).
§ 2038. Required Forms.
In accordance with Title 1 1, CCR, section 2071, an applicant shall re-
quest approval from the Bureau prior to offering for play any game or
gaming activity. The following application forms and instructions for
making such requests are hereby incorporated by reference:
(a) BGC-APP.026 (Rev. 1 1/07) Application for Game Review
(b) BGC-APP.027 (Rev. 1 1/07) Application for Gaming Activity Re-
view
NOTE: Authority cited: Sections 1 9826(f) and (g). Business and Professions Code.
Reference: Sections 19826(t) and (g) and 19866, Business and Professions Code.
History
1. New section filed 6-21-2004 as an emergency; operative 6-2 1 -2004 ( Register
2004, No. 26). A Certificate of Compliance must be transmitted to OAL by
10-19-2004 or emergency language will be repealed by operation of law on the
following day.
2. New section refiled 10-19-2004 as an emergency; operative 10-19-2004 (Reg-
ister 2004, No. 43). A Certificate of Compliance must be transinitted to OAL
by 2-16-2005 or emergency language will be repealed by operation of law on
the following day.
3. Certificate of Compliance as to 10-19-2004 order, including amendment of
section, transmitted to OAL 2-16-2005 and filed 3-30-2005'"(Register 2005,
No. 13).
4. Change without regulatory effect amending secfion filed 5-28-2008 pursuant
to secfion 100, title 1, California Code of Regulations (Register 2008, No. 22).
Article 5. Operation of Gambling
Establishments
§ 2050, Owner or Key Employee on Premises.
(a) A gambling establishment shall have on the premises, at all times
that the establishment is open to the public, an owner licensee or a key
employee who shall have the responsibility and authority to ensure im-
mediate compliance with the Act and these regulations.
(b) Subdivision (a) notwithstanding, gambling establishments with a
reported gross revenue of less than $200,000 for the preceding fiscal year,
upon written request by the owner licensee, the Bureau, in its discretion,
may approve a written plan whereby the owner licensee or a designated
employee, who shall have the responsibility and authority to ensure com-
pliance with the Act and these regulations, shall be promptly available by
telephone. The plan shall identify each such individual by name, title,
and telephone contact number, as well as identifying the days and hours
available as the designated contact.
NOTE: Authority cited: Secfions 19826(f) and 19827, Business and Professions
Code. Reference: Sections 19920 and 19924, Business and Professions Code.
History
1. New article 5 (sections 2050-2053) and renumbering and readoption of former
section 1501 to new section 2050, including amendment of section and new
Note, filed 10-12-99; operative 10-12-99 pursuant to Government Code sec-
don 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to
section 100, tide 1, California Code of Regulations (Register 2004, No. 2).
3. Amendment of subsection (b) filed 6-21-2004 as an emergency; operative
6-2 1-2004 (Register 2004, No. 26). A Certificate of Compliance must be trans-
mitted to OAL by 10-19-2004 or emergency language will be repealed by op-
eration of law on the following day.
4. Amendment of subsection (b) refiled 10-19-2004 as an emergency; operative
10-19-2004 (Register 2004, No. 43). A Certificate of Compliance must be
transmitted to OAL by 2-16-2005 or emergency language will be repealed by
operation of law on the following day.
5. Certificate of Compliance as to 10-19-2004 order, including further amend-
ment of subsection (b), transmitted to OAL 2-16-2005 and filed 3-30-2005
(Register 2005, No. 13).
6. Change without regulatory effect amending subsection (b) filed 5-28-2008 pur-
suant to section 100, title 1, California Code of Regulations (Register 2008, No.
22).
§2051. Gambling Chips.
Each gambling establishment shall maintain a set of chips for use at
gambling tables. These chips shall be designed, manufactured, and con-
structed so as to prevent the counterfeiting of such chips, and licensees
may be required to submit their chips to the Bureau for approval.
Page 71
Register 2008, No. 22; 5-30-2008
§2052
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
NOTH: Aulhority cited: Sections 19826 and 19827, Business and Professions
Code. Reference: Section 19924, Business and Professions Code.
History
1. Renumbering and readoption of former section 1505 to new section 2051, in-
cluding amendment of section iieading and section and new NoTi;, filed
10-12-99; operative 10-12-99 pursuant to Government Code section
1 1343.4(d) (Register 99, No. 42).
2. Change without regulatoi7 effect amending NoTi-: filed 1-6-2004 pursuant to
section 100, title 1, California Code of Regulations (Register 2004, No. 2).
3. Change without regulatory effect amending section filed 5-28-2008 pursuant
to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
§ 2052. Information To Be Furnished by Licensees.
(a) On or before January 1 and July 1 of each year, the gambling estab-
lishment shall submit to the Bureau a written report which identifies ev-
ery person who at any time during the prior six months, received, or had
a right to receive, payments which were calculated or based upon the
earnings, profits or receipts generated from controlled gambling at the
gambling establishment.
(b) On or before January 1 and July 1 of each year, the gambling estab-
lishment shall submit to the Bureau a written report which identifies ev-
ery person to whom, at any time during the prior six months, any interest
in the assets, earnings, profits or receipts of the gambling establishment
have been pledged or hypothecated.
(c) Within five days of any owner licensee or key employee obtaining
knowledge or notice of any possible violation of the Act or these regula-
tions, a written report shall be submitted to the Bureau, which details the
nature of the violation, the identities of those persons involved in the
violation, and describes what actions have been taken to address the
violation.
Note: Authority cited: Sections 19826(f) and 19827, Business and Professions
Code. Reference: Section 19924, Business and Professions Code.
History
1. Renumbering and readoption of former section 1502 to new section 2052, in-
cluding amendment of secdon and new Note, filed 10-12-99; operative
10-12-99 pursuant to Government Code section 1 1343.4(d) (Register 99, No.
42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to
section 100, title 1, California Code of Reguladons (Register 2004, No. 2).
3. Change without regulatory effect amending section filed 5-28-2008 pursuant
to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
§ 2053. Adequate Financing.
(a) The Bureau may require a gambling establishment to present satis-
factory evidence that there is adequate financing available to protect the
public's health, safety and welfare.
(b) A gambling establishment shall maintain a separate, specifically
designated, insured account with a licensed financial insritution in an
amount not less than the total value of the chips in use by the gambling
establishment. The funds from that account may only be used to redeem
the chips of that gambling establishment. That account may not be used
as collateral, or encumbered or hypothecated in any fashion. Alternative-
ly, the Bureau may allow the gambling establishment to provide some
other form of security acceptable to the Bureau, in lieu of maintaining the
required account.
(c) A gambling establishment shall maintain a separate, specifically
designated, insured account with a licensed financial institution in an
amount not less than the total amount of the monies that patrons of that
gambling establishment have on deposit with the gambling establish-
ment. The funds from that account may only be used to return to the pa-
trons the balance of monies on deposit with the gambling establishment.
That account may not be used as collateral, or encumbered or hypothe-
cated in any fashion. Altemarively, the Bureau may allow the gambling
establishment to provide some other form of security acceptable to the
Bureau, in lieu of maintaining the required account.
Note: Authority cited: Secrions 19826(f) and 19827, Business and Professions
Code. Reference: Sections 19920 and 19924, Business and Professions Code.
History
1. New section filed 10-12-99; operadve 10-12-99 pursuant to Government
Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to
secdon 100, dtle 1, California Code of Reguladons (Register 2004, No. 2).
3. Change without regulatory effect amending section filed 5-28-2008 pursuant
to secdon 100, title 1 , California Code of Regulations (Register 2008. No. 22).
Article 6. General Reporting
§ 2060. Employee Reports.
(a) Upon request of the Bureau, a licensee shall promptly supply a list
of all einployees and each einployee's job classificarion and job descrip-
tion.
(b) Within 10 days after making any changes in the organizational
structure, an owner licensee shall submit to the Bureau an updated chart
idenufying such changes.
(c) On or before January 15 and July 15 of each year, each owner li-
censee shall submit a report identifying key employees, on a form pro-
vided by the Bureau, Key Employee Report, form BGC-LIC. 101 (Rev.
1 1-07), incorporated by reference into Title 4, CCR, section 12342.
NOTE; Authority cited: Sections 19826(f) and 19827, Business and Professions
Code; and Stats. 1997, c. 867 (S.B.8), Secdon 66.5. Reference: Sections 19805(q)
and 19826, Business and Professions Code.
History
1. New article 6 (secdon 2060), renumbering, readoption and amendment of for-
mer secdon 1302 heading to new section 2060 heading and renumbering and
readoption of former sections 1301.1, 1301.2 and first paragraph of section
1301 .3 to new subsections 2060(a)-(c), including amendment of sections and
new NOTi-:, filed 10-12-99; operative 10-12-99 pursuant to Government Code
section 11 343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending subsection (c) and Note filed
11-10-2003 pursuant to section 100, dtle 1, California Code of Regulations
(Register 2003, No. 46).
3. Change without regulatory effect amending section filed 5-28-2008 pursuant
to section 100, dtle 1 , California Code of Regulations (Register 2008, No. 22).
Article 7. Games
§ 2070. Unsuitable Gaming Activities.
It shall be an unsuitable method of operation for a gambling establish-
ment to:
(a) Offer for play any game that is prohibited or made unlawful by stat-
ute, local ordinance, regulation, or final judgment by a competent court
of law;
(b) Offer to play any gaming activity which is not authorized by the
Bureau pursuant to the Act and these regulations for play at that gambling
estabUshment;
(c) Fail to display at every table where a game is offered, the specific
name of the game, or the variation thereof, that is then available for play
at the table;
(d) Fail to give ample notice of the fee collecUon rates applicable to
each table to the patrons of the gambling establishment;
(e) Fail to determine and collect applicable fees from all players at the
table prior to the start of play of any hand or round; and
(f) Fail to place in a conspicuous place, or make readily available to
the patrons, a printed list of the rules of play for each gaming activity of-
fered at the gambling establishment.
NOTE; Authority cited: Sections 19826 and 19827, Business and Professions
Code. Reference: Sections 19801, 19826, 19866 and 19920, Business and Profes-
sions Code.
History
1 . New article 7 (sections 2070-2072), renumbering, readopdon and amendment
of former section 1701 heading to new section 2070 heading, renumbering,
readoption and amendment of former sections 1701.1 and 1701.2 to new sub-
sections 2070(a)-(c), new subsections (d)-(f) and new Note filed 10-12-99;
operative 10-12-99 pursuant to Government Code section 1 1343.4(d) (Regis-
ter 99, No. 42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to
section 100, tide 1, California Code of Regulations (Register 2004, No. 2).
3. Change without regulatory effect amending subsection (b) filed 5-28-2008 pur-
suant to section 100, title 1, California Code of Regulations (Register 2008, No.
22).
•
•
Page 72
Register 2008, No. 22; 5-30-2008
Title 11
Gambling Control
§2141
§ 2071 . Gaming Activity Authorization.
(a) As part of the application for initial licensure, every applicant shall
submit to the Bureau a report identifying all gaming activities proposed
to be offered at the gambling establishment. The report shall include, but
not be limited to, the following:
( 1 ) The name of each gaming activity;
(2) The ailes for each gaming activity, including, where applicable, a
description of the event that determines the winner of the gaming activ-
ity, the wagering conventions, and the fee collection and assessment
methods;
(3) A glossary of distinctive terms or phrases used in each gaming ac-
tivity;
(4) A statement for each gaming activity that explains why that gaming
activity is not prohibited or made unlawful by statute, local ordinance,
regulation, or final judgment by a competent court of law; and
(5) Such other information the Bureau, is its discretion, requests. Un-
less a reported gaming activity is specifically disapproved by the Bureau,
all gaming activities identified in the required report shall be deemed au-
thorized upon issuance of the initial license. It shall be an unsuitable
method of operation to offer for play any gaming activity that was not
specifically identified in the required report, without first obtaining au-
thorization from the Bureau to do so.
(b) At any time after initial licensure, a gambling establishment may
request the Bureau to authorize a gaming activity which has not been pre-
viously authorized by the Bureau, for use at that establishment. Within
30 days of a request for authorization of a gaming activity, the Bureau
shall review the request for completeness and notify the licensee of any
deficiencies in the request, or that the request is complete. Within 90 days
from the date a licensee is notified that the request is complete, the Bu-
reau shall act on the request. The request shall include, but not be limited
to, the following:
(1) The name of each requested gaming activity;
(2) The rules for each requested gaming activity, including, where ap-
plicable, a description of the event that determines the winner of the gam-
ing activity, the wagering conventions, and the fee collection and assess-
ment methods;
(3) A glossary of distinctive terms or phrases used in each gaming ac-
tivity;
(4) A statement for each gaming activity that explains why that gaming
activity is not prohibited or made unlawful by statute, local ordinance,
regulation, or final judgment by a competent court of law; and,
(5) Such other information the Bureau, in its discretion, requests. It
shall be an unsuitable method of operation to offer for play any requested
gaming activity without first obtaining authorization from the Bureau to
do so.
(c) The Bureau, in its sole discretion, may temporarily authorize the
play of a gaming activity during the pendency of the Bureau's review.
The Bureau, in its sole discretion, may withdraw this temporary autho-
rization at any time. Such temporary authorization does not create any
presumption as to the suitability or lawfulness of the gaming activity, nor
does it create any right, of any nature whatsoever, to the continuing play
of the temporarily authorized gaming activity at the establishment.
(d) If upon subsequent review it is determined by the Bureau that a
gaming activity is prohibited or made unlawful by statute, local ordi-
nance, regulation, or final judgment by a competent court of law, then the
authorization for that gaming activity shall be withdrawn.
(e) Within 10 days of service of notice from the Bureau either disap-
proving of, or withdrawing authorization for, a gaming activity as pro-
vided in subdivisions (a), (b) and (d) above, an objection thereto may be
filed with the Chief. The Chief, in his or her discretion, may then grant
or deny the objection. Judicial review of the Chiefs decision is subject
to the limitation of Business and Professions Code Section 19804.
NOTE: Authority cited: Sections 19826 and 19827, Business and Professions
Code. Reference; Sections 19801, 19826, 19865, 19866, 19920, 19924and 19932,
Business and Professions Code.
History
1. New section filed 10-12-99; operative 10-12-99 pursuant to Government
Code section 1 1343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Noxii filed 1-6-2004 pursuant to
section 100, title 1, California Code of Reguladons (Register 2004, No. 2).
3. Change without regulatory effect amending section filed 5-28-2008 pursuant
to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
§ 2072. Report of Gaming Activities.
On or before January 1 and July 1 ofeach year, each licensed gambling
establishment shall submit a report to the Bureau identifying all gaming
activities offered at the gambling establishment at any time during the
prior six months. The report shall include, but not be limited to, the fol-
lowing:
(a) The name of each gaming activity;
(b) The rules for each gaming activity, including, where applicable, a
description of the event that determines the winner of the gaming activ-
ity, the wagering conventions, and the fee collection and assessment
methods;
(c) A glossary of distinctive terms or phrases used in each gaming ac-
tivity;
(d) The dates on which each gaming activity was offered;
(e) Copies or transcripts of all advertisements used to promote the
gaming activity; and,
(f) Such other information the Division, in its discretion, requests.
NOTE; Authority cited: Secdons 19826 and 19827, Business and Professions
Code. Reference: Sections 19826 and 19866, Business and Professions Code.
History
1. New section filed 10-12-99; operative 10-12-99 pursuant to Government
Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Noth filed 1-6-2004 pursuant to
secfion 100, fitle 1, California Code of Reguladons (Register 2004, No. 2).
3. Change without regulatory effect amending first paragraph filed 5-28-2008
pursuant to secdon 1 00, title 1 , California Code of Reguladons (Register 2008,
No. 22).
Article 13. Transitional Provisions
§2140. Definitions.
For purposes of this Article, the following terms have the following
meanings:
(a) "Annual registration" means a registration issued under the former
Gaming Registration Act (former Business and Professions Code Sec-
tion 19800 et seq.).
(b) "Conditional registration" means a registration issued pursuant to
former Business and Professions Code Section 1 9807(c).
(c) "Provisional license" means a license that is either granted by op-
eradon of law pursuant to Statutes of 1 997, Chapter 867, Section 62, or
is issued by the Chief pursuant to that section.
Note: Authority cited: Secdons 19826(f) and 19827, Business and Professions
Code. Reference: Stats. 1997, c. 867 (S.B.8), Secdon 62.
History
1. New article 13 (sections 2140-2142), renumbering and readopdon of former
secdon 1901 heading to new section 2 140 heading, new first paragraph, renum-
bering, readopdon and amendment of former sections 1901.1 and 190 1.4 to new
subsections 2 140(a)-(b), new subsection (c) and new Note filed 10-12-99; op-
erative 10-12-99 pursuant to Government Code secdon 1 1343.4(d) (Register
99, No. 42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to
secdon 100, title 1, California Code of Regulations (Register 2004, No. 2).
3. Change without regulatory effect amending subsection (c) filed 5-28-2008 pur-
suant to section 1 00, title 1 , California Code of Regulations (Register 2008, No.
22).
§ 2141. Provisional Licenses.
(a) A provisional license is held subject to the same conditions, restric-
tions, and limitations on the authorization granted by the predecessor an-
nual or conditional registration.
(b) A provisional license is held subject to all terms and conditions un-
der which a state gambling license is held pursuant to the Act.
Page 73
Register 2008, No. 22; 5-30-2008
§2142
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(c) A provisional license creates no vested right to the issuance of a
state gambling license.
NOTE: Authority cited: Sections 19826(f) and 19827, Business and Professions
Code. Reference: Stats. 1997, c. 867 (S.B.8), Section 62(a) and (b)(1).
History
1. Renumbering, readoption and amendment of former section 1902 heading to
new section 2141 heading, renumbering, readoption and amendment of former
sections 1902.1-1902.3 to new subsections 2141(aKc) and new Noth filed
10-12-99; operative 10-12-99 pursuant to Government Code section
1 1343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Notk filed 1-6-2004 pursuant to
section 100, title 1, California Code of Regulations (Register 2004, No. 2).
§ 2142. Presumption of Suitability.
(a) Every natural person who holds a provisional license as a result of
holding a valid and unexpired annual registration on December 31,1 997,
shall be rebuttably presumed to be suitable for licensure pursuant to the
Act.
(b) The rebuttable presumption described in Stats. 1997, ch. 867. sec-
tion 62(g) subdivision (a) shall not apply to any other holder of a provi-
sional license.
NOTE: Authority cited: Sections 19826(f) and 19827. Business and Professions
Code. Reference: Stats. 1997, c. 867 (S.B.8), Section 62(c) and (g).
History
1. Renumbering, readoption and amendment of former section 1903 heading to
new section 2142 heading, renumbering, readoption and amendment of former
sections 1903.1-1903.2 to new subsections 2142(aHc) and new Notk filed
10-12-99; operative 10-12-99 pursuant to Government Code section
1 1343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending subsection (b) and Note filed
1 -6-2004 pursuant to section 1 00, title 1 , California Code of Regulations ( Reg-
ister 2004, No. 2).
* * *
Page 74
Register 2008, No. 22; 5-30-2008
^t.
Barclays Official
California
Code of
Regulations
Title 11. Law
Division 4. Proposition 65 Private Enforcement
Vol. 15
XHOIVISOIM
^
WEST
Barclays Official California Code of Regulations
425 Market Street • Fourth Floor • San Francisco, CA 94105
800-888-3600
Title 11
Proposition 65 Private Enforcement
Table of Contents
Division 4. Proposition 65 Private Enforcement
Table of Contents
Page
Chapter 1 . 79
§ 3000. Authority.
§3001. Definitions.
§ 3002. Complaints.
§ 3003. Settlements.
§ 3004. Judgments.
§ 3005. Electronic Filing.
§ 3006. Manner of Service.
§ 3007. OSHA Matters.
§3008. Affidavit of Compliance.
Appendix A. Report of Civil Complaint Filing 81
Appendix B. Report of Settlement 82
Appendix C. Report of Entry of Judgment 83
Appendix D. Director of the Division of Occupational Safety
and Health's Special Procedures for
Supplementary Enforcement of State
Plan Requirements Concerning Proposition
65, 8 Cal. Code Regs., § 338, as adopted
on October 12, 2000 84
Chapter
§3100.
§3101.
§ 3102.
§ 3103.
Chapter 3.
§ 3200
§3201
§3202
§ 3203
§3204
Certificates of Merit 84
General.
Contents.
Supporting Documentation.
Effect of Failure to Comply.
Settlement Guidelines 85
Authority and Scope.
Attorney's Fees.
Clear and Reasonable Warnings.
Reasonable Civil Penalty.
Other Provisions.
Page i
{4-25 2003)
Title 11
Proposition 65 Private Enforcement
§3003
Division 4. Proposition 65 Private
Enforcement
Chapter 1 .
§ 3000. Authority.
This chapter sets forth procedures necessary to comply with Health
and Safety Code section 25249.7(e) and (0 as amended by Ch.599, stat-
utes of 1999 and Chapter 578, statutes of 2001. Any private person pro-
ceeding "in the public interest" pursuant to Health and Safety Code
§ 25249.7(d) or bringing any other action (hereinafter "Private Enforc-
er"), who alleges the existence of violations of the Safe Drinking Water
and Toxic Enforcement Act of J 986 (Health and Safety Code sections
25249.5 or 25249.6) (hereinafter "Proposition 65"), shall comply with
the applicable requirements of this chapter.
NOTE: Authority cited: Section 25249.7(f), Health and Safety Code. Reference:
Sections 25249.7(e) and (t), Health and Safety Code.
History
1. New division 4, chapter 1 (sections 3000-3008, Appendices A-D) and section
filed 6-1-2001; operative 7-1-2001 (Register 2001, No. 22).
2. Amendment filed 12-31-2001 as an emergency; operadve 1-1-2002 (Register
2002, No. 1). A Certificate of Compliance must be transmitted to OAL by
5-1-2002 or emergency language will be repealed by operation of law on the
following day.
3. Amendment refiled 4-23-2002 as an emergency; operadve 5-1-2002 (Register
2002, No. 17). A Certificate of Compliance must be transmitted to OAL by
8-29-2002 or emergency language will be repealed by operation of law on the
following day.
4. Amendment refiled 8-29-2002 as an emergency; operative 8-29-2002 (Regis-
ter 2002, No. 35). A Certificate of Compliance must be transmitted to OAL by
1 2-27-2002 or emergency language will be repealed by operation of law on the
following day.
5. Certificate of Compliance as to 8-29-2002 order, including further amendment
ofsecdon, transmitted to OAL 12-4-2002 and filed 1-17-2003 (Register 2003,
No. 3).
§ 3001 . Definitions.
(a) "Subject to a Settlement" means that a written settlement agree-
ment has been signed by the private enforcer and the alleged violator, or
an oral agreement has been stated on the record in court in such manner
as to render the agreement enforceable pursuant to Code of Civil Proce-
dure section 664.6, even if the settlement is contingent on the entry of a
judgment pursuant to stipulation or other judicial approval.
(b) "Subject to a Judgment," means that the court has entered a judg-
ment pursuant to stipulation, or that the court has entered an order entit-
ling a party to entry of judgment (e.g., order granting a modon for sum-
mary judgment, order sustaining demurrer), regardless of whether the
actual form of judgment has yet been prepared, approved, or filed.
(c) "Private Proposition 65 Action," means any complaint filed by a
Private Enforcer in court in which a violation of Proposidon 65 is alleged
and the Private Enforcer is proceeding pursuant to Health and Safety
Code section 25249.7(d).
(d) "Other Private Action Alleging Violadons of Proposidon 65"
means a complaint filed by a Private Enforcer in which a violation of
Proposition 65 is alleged, but the plaintiff is not proceeding pursuant to
Health and Safety Code section 25249.7(d).
(e) "Settiement" means any agreement to resolve all or part of an ac-
tion, including any settiement by which injunctive relief, whether perma-
nent or preliminary, is agreed upon, and also includes any agreement pur-
suant to which the case is dismissed, except for a voluntary dismissal in
which no consideration is received from the defendant. Private Enforcers
shall comply with these requirements for each partial settiement and any
final settiement.
Note; Authority cited: Secdon 25249.7(f), Health and Safety Code. Reference:
Sections 25249.7(e) and (f). Health and Safety Code.
History
1, New section filed 6-1-2001; operative 7-1-2001 (Register 2001, No. 22).
2. Amendment of subsection (c) filed 12-31-2001 as an emergency; operative
1-1-2002 (Register 2002, No. 1). A Certificate of Compliance must be tran.s-
mitted to OAL by 5-1-2002 or emergency language will be repealed by opera-
tion of law on the following day.
3. Amendment of subsecdon (c) refiled 4-23-2002 as an emergency; operative
5-1-2002 (Register 2002, No. 17). A Certificate of Compliance must be trans^
mitted to OAL by 8-29-2002 or emergency language will be repealed by opera-
don of law on the following day.
4. Amendment of subsecdon (c) refiled 8-29-2002 as an emergency; operative
8-29-2002 (Register 2002, No. 35). A Certificate of Compliance must be trans-
mitted to OAL by 12-27-2002 or emergency language will be repealed b_\ op-
eration of law on the following day.
5. Certificate of Compliance as to 8-29-2002 order, including further amcndmcnl
of seed on, transmitted to OAL 1 2-^2002 and filed 1 - 1 7 -2003 ( Regi stcr 2( )03.
No. 3).
§ 3002. Complaints.
A Private Enforcer who commences a Private Proposition 65 Action
or an Other Private Action Alleging Violations of Proposition 65 shall
serve a file-endorsed copy of the complaint, and a completed version of
the Report of Civil Complaint Filing form attached as Appendix A to
these regulations, upon the Attorney General within five days after re-
ceipt of the file-endorsed copy of the complaint from the court. Any
amended complaint shall be served upon the Attorney General within
five days after filing with the court along with a Supplemental Report of
Civil Complaint Filing.
Note; Authority cited: Section 25249.7(f), Health and Safety Code. Reference;
Sections 25249.7(e) and (f). Health and Safety Code.
History
1. New section filed 6-1-2001; operadve 7-1-2001 (Register 2001, No. 22).
2. Amendment filed 1-17-2003; operative 1-17-2003 pursuant to Government
Code secdon 11343.4 (Register 2003, No. 3).
§ 3003. Settlements.
(a) Settiements of Private Proposition 65 Actions. The Private Enforc-
er shall serve the Settiement on the Attorney General with a Report of
Settiement in the form set forth in Appendix B within five days after the
action is Subject to a Settiement, or concurrentiy with service of the mo-
tion for judicial approval of settlement pursuant to Health and Safety
Code section 25249.7(f)(4), whichever is sooner. The motion and all sup-
porting papers and exhibits shall be served on the Attorney General no
later than forty-five days prior to the date of the hearing of the motion.
If court rules or other applicable orders do not permit a forty-five day pe-
riod, the Private Enforcer shall apply for permission to file the motion
with a forty-five day notice period. If court rules or other applicable or-
ders do not permit a forty-five day period, the Private Enforcer shall ap-
ply for permission to file the motion with a forty-five day notice period.
If the court denies the request in whole or in part, the motion shall be not-
iced for the maximum time permitted by the court, and a copy of the ap-
plication seeking a forty-five day time period and the court's order shall
be served on the Attorney General with the motion for approval. The for-
ty-five day period shall not apply in any case in which the Attorney Gen-
eral is a plaintiff in consolidated or related matters with the Private En-
forcer and the settiement is a Consent Judgment entered into by the
Attorney General and the Private Enforcer. The submission to the Attor-
ney General shall contain the entire agreement between the parties. The
papers filed with the court shall advise the court that the fact that the At-
torney General does not object or otherwise respond to a settiement shall
not be construed as endorsement of or concurrence in any settiement.
(b) Settiements of Other Private Actions Alleging Proposition 65
Violations. The Private Enforcer shall serve the Attorney General with
the Settiement and a Report of Settlement in the form set forth in Appen-
dix B within two days after the action is Subject to a Settlement. The At-
torney General shall have thirty days after actual receipt to review the
settlement. During the thirty-day period, the settlement shall not be sub-
mitted to the court, unless required by court order or rule or the Attorney
General has stated in writing that he does not object to entry of the settle-
ment. The fact that the Attorney General does not object or otherwise re-
spond to a settiement shall not be construed as endorsement of or concur-
rence in any settlement.
Page 79
Register 2003, No. 3; 1-17-2003
§3004
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
NOTE: Authority cited: Section 25249.7(f), Hcaitii and Safety Code. Reference:
Sections 25249.7(e) and (f). Health and Safely Code.
History
1. New section filed 6-1-2001; operative 7-1-2001 (Register 2001, No. 22).
2. Amendment filed 12-31-2001 as an emergency; operative 1-1-2002 (Register
2002. No. 1). A Certificate of Compliance must be transmitted to OAL by
5-1-2002 or emergency language will be repealed by operation of law on the
following day.
3. Amendment refiled 4-23-2002 as an emergency; operative 5-1-2002 (Register
2002, No. 17). A Certificate of Compliance must be transmitted to OAL by
8-29-2002 or emergency language will be repealed by operation of law on the
following day.
4. Amendment refiled 8-29-2002 as an emergency: operative 8-29-2002 (Regis-
ter 2002, No. 35). A Certificate of Compliance must be transmitted to OAL by
1 2-27-2002 or emergency language will be repealed by operation of law on the
following day.
5. Certificate of Compliance as to 8-29-2002 order, including further amendment
of section, transmitted to OAL 1 2-4-2002 and filed 1-17-2003 (Register 2003,
No. 3).
§ 3004. Judgments.
Within ten days after a case is subject to a judgment, a Private Enforcer
shall serve on the Attorney General a copy of any judgment or order entit-
ling a party to entry of judgment entered in a Private Proposition 65 Ac-
tion or Other Private Action Alleging Violations of Proposition 65 and
a completed version of the Report of Entry of Judgment form attached
as Appendix C to this regulation. If the judgment does not become final
because a notice of appeal is filed, the Private Enforcer shall serve a copy
of the notice of appeal on the Attorney General within ten days after re-
ceipt. The Private Enforcer shall serve on the Attorney General a copy
of any decision of an appellate court concerning the validity of the judg-
ment within five working days after receipt.
NOTE: Authority cited: Section 25249.7(f), Health and Safety Code. Reference:
Sections 25249.7(e) and (f). Health and Safety Code.
History
1. New secdon filed 6-1-2001; operative 7-1-2001 (Register 2001, No. 22).
2. Amendment filed 1-17-2003; operative 1-17-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 3).
§ 3005. Electronic Filing.
All documents required to be filed pursuant to sections 3002, 3003,
and 3004 shall be filed electronically, by submitting the forms and the
documents on-line to the Attorney General's website, unless the website
states that electronic filing is not currently available, or is not functioning
for a twenty-four hour period when electronic filing is attempted.
NOTE: Authority cited: Section 25249.7(f), Health and Safety Code. Reference:
Sections 25249.7(e) and (f). Health and Safety Code.
History
1. New section filed 6-1-2001; operadve 7-1-2001 (Register 2001, No. 22).
§ 3006. Manner of Service.
When this chapter requires that any document or information be pro-
vided to the Attorney General, unless the document is served electroni-
cally pursuant to section 3005, service shall be in a manner prescribed by
Code of Civil Procedure section 1010-1020, except that any settlement
shall be served by hand delivery or overnight mail service. The envelope
in which the document is transmitted shall state prominently "Proposi-
tion 65 Private Enforcement Matter." After receipt of the Complaint, the
Attorney General may then specify that future documents required by
this chapter to be filed in that case be served upon a particular office and
deputy.
Note: Authority cited: Section 25249.7(f), Health and Safety Code. Reference:
Sections 25249.7(e) and (f), Health and Safety Code.
History
1. New section filed 6-1-2001; operative 7-1-2001 (Register 2001, No. 22).
§ 3007. OSHA Matters.
For matters in which violations with respect to occupational exposures
are alleged, compHance with the Director of the Division of Occupational
Safety and Health's Special Procedures for Supplementary Enforcement
of State Plan Requirements concerning Proposition 65, 8 Cal.Code
Regs., § 338, as adopted on October 12, 2000, constitutes compliance
with these requirements, except for the filing of the Affidavit of Com-
pliance required by section 3008 and the requirements of section
3003(a). That regulation is set forth in Appendix D to these regulations.
Note: Authority cited: Section 25249.7(f), Health and Safety Code. Reference:
Sections 25249.7(e) and (f). Health and Safety Code.
History
1. New section filed 6-1-2001; operative 7-1-2001 (Register 2001. No. 22).
2. Amendment filed 12-31-2001 as an emergency; operafive 1-1-2002 (Register
2002, No. 1 ). A Certificate of Compliance must be transinitted to OAL by
5-1-2002 or emergency language will be repealed by operation of law on the
following day.
3. Amendment refiled 4-23-2002 as an emergency; operative 5-1-2002 (Register
2002. No. 17). A Certificate of Compliance must be transmitted to OAL by
8-29-2002 or emergency language will be repealed by operation of law on the
following day.
4. Amendment refiled 8-29-2002 as an emergency; operative 8-29-2002 (Regis-
ter 2002, No. 35). A Certificate of Compliance must be transmitted to OAL by
12-27-2002 or emergency language will be repealed by operation of law on the
following day.
5. Certificate of Compliance as to 8-29-2002 order, including further amendment
of section, transmitted to OAL 12-4-2002 and filed 1-17-2003 (Register 2003,
No. 3).
§ 3008. Affidavit of Compliance.
A Private Enforcer shall file with the court a declaration or affidavit,
meeting all applicable requirements of the Code of Civil Procedure, veri-
fying compliance with all requirements of this chapter.
(a) In a Private Proposition 65 Action, the declaration or affidavit shall
be filed when reply papers in support of the motion for approval of the
settlement would be filed, and shall include:
(1) Proper proof of service on the Attorney General of all documents
required to be served on the Attorney General by this regulation.
(2) If the case is resolved by settlement, a statement that at least forty-
five days (or the shorter time period allowed by the court pursuant to sec-
tion 3003), will elapse between service of the settlement on the Attorney
General and the hearing date. Any written response by the Attorney Gen-
eral to the settlement shall be submitted to the court with any additional
papers submitted to the court by the moving party, or at the hearing on
the motion, if permitted by the court. The affidavit shall expressly advise
the court that pursuant to section 3003 of this regulation, the failure of the
Attorney General to comment on a settlement shall not be construed as
endorsement of or concurrence in the settlement.
(b) In an Other Private Action Alleging Proposition 65 Violations, if
the case is resolved by settlement, the declaration or affidavit shall be
filed or lodged with the court at the same time as the judgment pursuant
to stipulation or other order disposing of the case is submitted to the court,
and shall include a statement that at least thirty days have elapsed since
service of the settlement on the Attorney General or that fewer than thirty
days have elapsed but the Attorney General has stated in writing that he
does not object to entry of the settlement. Any written response by the
Attorney General to the settlement shall be made an exhibit to the decla-
ration or affidavit. The affidavit shall expressly advise the court that pur-
suant to secfion 3003 of this regulaUon, the failure of the Attorney Gener-
al to comment on a settlement shall not be construed as endorsement of
or concurrence in the settlement.
NOTE: Authority cited: Section 25249.7(f), Health and Safety-Code. Reference:
Sections 25249.7(e) and (f). Health and Safety Code.
History
1 . New section and Appendices A-D filed 6-1-2001 ; operative 7-1-2001 (Regis-
ter 2001, No. 22).
2. Amendment of first paragraph and subsection (b) filed 4-23-2002 as an emer-
gency; operative 5-1-2002 (Register 2002, No. 17). A Certificate of Com-
pliance must be transmitted to OAL by 8-29-2002 or emergency language will
be repealed by operation of law on the following day.
3. Amendment of first paragraph and subsection (b) refiled 8-29-2002 as an emer-
gency; operative 8-29-2002 (Register 2002, No. 35). A Certificate of Com-
pliance must be transmitted to OAL by 12-27-2002 or emergency language
will be repealed by operafion of law on the following day.
4. Certificate of Compliance as to 8-29-2002 order, including further amendment
of section, transmitted to OAL 12-4-2002 and filed 1-17-2003 (Register 2003,
No. 3).
Page 80
Register 2003, No. 3; 1-17-2003
Title 11
Proposition 65 Private Enforcement
§ 3008
FORM JUS 1500
(03/01)
Appendix A.
Report of Civil Complaint Filing
State of California • Department of Justice • Attorney General's Office - Proposition 65 Enforcement Reporting
Attention: Prop 65 Coordinator, 1515 Clay Street, Suite 2000, Oakland, CA 04612
PRIVATE ENFORCEMENT RUNG • Health and Safety Code section 25249.7(e) and (f)
REPORT OF CIVIL COMPLAINT FILING
D Orig'tnal Filing O Supplemental Filing D Corrected Filing
Please print or type required information
•
PLAIt\mFF{S)
DEFENDANT(S)
CO JRT DOCKET N JMBER
<z
COURT NAME
SHORT CASE NAME
TYPE OF CLAIM (Check All That Apply)
D Propostion 65 Unlawlu) Discharge
O Proposition 65 Failure to Warn
□ B&P Code section 17200
G Other
RELIEF SOUGHT (Check Alt That Apply)
D Warning
O Discharge Ban
D Civil Penalty
COPY OF COMPLAINT MUST BE ATTACHED
NAME OF COf^ACT
ORGANIZATION
ADDRESS
TELEPHONE NUMBER
( )
FAX NUMBER
CtTY
STATE
ZIP
E-MAIL ADDRESS
FILING INSTRUCTIONS: This form can be completed online and printed. If electronic filing is not available, mail the completed
fomi with a copy of the complaint to the attention of the Prop 65 Coordinator at the address shown above. It you need additional
space to complete this form please use an attachment.
Page 81
Register 2003, No. 3; 1-17-2003
§3008
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
FORM JUS 1501
(03/01)
Appendix B.
Report of Settlement
State of California - Department of Justice - Attorney General's Office • Proposition 65 Enforcement Reporting
Attention: Prop 65 Coordinator, 1515 Ciay Street, Suite 2000, Oakland, CA 94612
PRIVATE ENFORCEMENT RUNG - Hsatth and Safety Code section 25249.7(e} and (f)
REPORT OF SETTLEMENT
D Original Ring D Supplemental Filing □ Gonrected Filing
Please print or type required information
PLAINrnFF(S)
z
o
DEFENDANT{S) INVOLVED IN SETTLEMENT
H
o
<
\u
I
H
R
v>
Ui
H
C
<
a
'
COURT DOCKET NUMBER
COUFTTNAME
luo
25
SHORT CASE NAME
2
INJUNCTIVE RELIEF
PAYMENT: CIVIL PENALTY
fWMENT: ATTORNEYS FEES
!WMENT; OTHER
z
O
O
a
S
3
VkfILL SETTLEMENT BE
IF YES, AFTER ENTRY OF JUDGMENT BY
0«TE SETTLEMENT SIGNED
SUBMrrrED TO COURT?
COURT REPORT OF ENTRY OF JUDGMENT
i
cc
n Yes n No
MUST BE SUBMITTED TO fflTORNEY GENEFIAL
/ /
COPY OF SETTLEMENT MUST BE ATTACHED
I
NAME OF CONTACT
ORGANIZATION
TH£PHONE NUMBER
( )
ADDRESS
FAX NUMBER
( )
CrrY STATE ZIP
E-MAIL ADDRESS
FILING INSTRUCTIONS: This form can be compieted online and printed. If electronic filing is not available, mail the completed
form with a copy of the settlement to the attention of the Prop 65 Coordinator at the address shown above. If you need additional
space to complete this form please use an attachment.
Page 82
Register 2003, No. 3; 1-17-2003
Title 11
Proposition 65 Private Enforcement
§3008
FORM JUS 1502
(03/01)
Appendix C.
Report of Entry of Judgment
State of California - Department of Justice - Attorney General's Office - Proposition 65 Enforcement Reporting
Attention: Prop 65 Coordinator, 1515 Clay Street, Suite 2000, Oakland, CA 94612
PRIVATE ENFORCEMENT RUNG - Health and Safety Code aection 25249.7(e) and (f)
REPORT OF ENTRY OF JUDGMENT
O Original Filing O Supplemental Filing O Corrected Filing
Please print or type required information
•
o
u.
z
l-
tr
O
o.
MX
c
£p
PLAINnFF(Si
DEFENDANfKS) INVOLVED IN JUDGMENT
CO JRT DOCKET N JMBER
COURT NAME
SHORT CASE NAME
IKUUNCTIVE RELIEF
PAYt/ENT: CIVIL PENALTY
DATE SUBMITTEDTO COURT
/ /
RAYMENT: ATTORNEYS FEES
IS JUDGMENT PURSUANT
TO SETTLEMENT?
□ Yes O No
PAYMENT: OTHER
IF YES. DATE SETTLEMENT WAS
REPORTED TO ATTORNEY GENERAL
l_l
COPY OF JUDGMENT MUST BE ATTACHED
NAME OF CONTACT
organ;2ation
TELEPHONE NUMBER
ADDRESS
RAX NUMBER
( L
CITY
STATE
ZIP
E-MAIL ADDRESS
FILING INSTRUCTIONS: This form can be completed online and printed. If electronic filing is not available, mail the completed
form with a copy of the judgment to the attention of the Prop 65 Coordinator at the address shown above. If you need additional
space to complete this form please use an attachment.
Page 83
Register 2003, No. 3; 1-17-2003
§3100
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Appendix D.
Director of the Division of Occupational Safety and Health's
Special Procedures for Supplementary Enforcement of
State Plan Requirements Concerning
Proposition 65, 8 Cal. Code Regs., § 338,
as adopted on October 12, 2000
§338. Special Procedures for Supplementary Enforcement of State
Plan Requirements Concerning Proposition 65.
(a) This section sets forth special procedures necessary to comply with
the terms of the approval by the United States Department of Labor of the
California Hazard Communication Standard, pertaining to the incorpo-
ration of the occupational applications of the California Safe Drinking
and Toxic Enforcement Act (hereinafter Proposition 65), as set forth in
62 Federal Register 31159 (June 6, 1997). This approval specifically
placed certain conditions on the enforcement of Proposition 65 with re-
gard to occupational exposures, including that it does not apply to the
conduct of manufacturers occurring outside the State of California. Any
person proceeding "in the public interest" pursuant to Health and Safety
Code § 25249.7(d) (hereinafter "Supplemental Enforcer") or any district
attorney or city attorney or prosecutor pursuant to Health and Safety
Code § 25249.7(c) (hereinafter "Public Prosecutor"), who alleges the ex-
istence of violations of Proposition 65, with respect to occupational ex-
posures as incorporated into the California Hazard Communication Stan-
dard (hereinafter "Supplemental Enforcement Matter"), shall comply
with the requirements of this section. No Supplemental Enforcement
Matter shall proceed except in compliance with the requirements of this
section.
(b) 22 CCR § 1 2903, setting forth specific requirements for the content
and manner of service of sixty-day notices under Proposition 65, in ef-
fect on April 22, 1997, is adopted and incorporated by reference. In addi-
tion, any sixty-day notice concerning a Supplemental Enforcement Mat-
ter shall include the following statement:
"This notice alleges the violation of Proposition 65 with respect to oc-
cupational exposures governed by the California State Plan for Occupa-
tional Safety and Health. The State Plan incorporates the provisions of
Proposition 65, as approved by Federal OSHA on June 6, 1997. This ap-
proval specifically placed certain conditions with regard to occupational
exposures on Proposition 65, including that it does not apply to the con-
duct of manufacturers occurring outside the State of California. The ap-
proval also provides that an employer may use the means of compliance
in the general hazard communication requirements to comply with Prop-
osition 65. It also requires that supplemental enforcement is subject to the
supervision of the California Occupational Safety and Health Adminis-
tration. Accordingly, any settlement, civil complaint, or substantive
court orders in this matter must be submitted to the Attorney General."
(c) A Supplemental Enforcer or Public Prosecutor who commences a
Supplemental Enforcement Matter shall serve a file-endorsed copy of
the complaint upon the Attorney General within ten days after filing with
the Court.
(d) A Supplemental Enforcer or Public Prosecutor shall serve upon the
Attorney General a copy of any motion, or opposition to a motion for
summary judgment or summary adjudication of issues, a demurrer, mo-
tion for preliminary or injunctive relief, or other dispositive motion, and
all memoranda of points and authorities in support of or opposing such
motions. These materials shall be served upon the Attorney General on
the same day which they are served on the opposing party. A Supplemen-
tal Enforcer or Public Prosecutor shall serve upon the Attorney General
any decision or order of a court granting or denying summary adjudica-
tion, a demurrer, preliminary or final injunctive relief, penalties, or dam-
ages relating to a Supplemental Enforcement Matter within five working
days after receipt.
(e) A Supplemental Enforcer or Public Prosecutor who agrees to a
settlement of a Supplemental Enforcement Matter shall serve the settle-
ment upon the Attorney General within two working days after the agree-
ment is signed by the parties. Where the settlement is submitted to a court
for its approval, the Supplemental Enforcer or Public Prosecutor shall
notify the court in writing upon presentation of the settlement of its sub-
mission to the Attorney General pursuant to this regulation. The submis-
sion to the Attorney General shall contain the entire agreement between
the parties.
(f) When this section requires that any document or information be
provided to the Attorney General, service shall be in a manner prescribed
by Code of Civil Procedure § 101 et seq. The envelope in which the doc-
ument is transmitted shall state prominently "Hazard Communication
Standard/Proposition 65 Supplemental Enforcement Matter." The Attor-
ney General may then specify that further documents be served upon a
particular office and deputy.
(g) The special procedures set forth in subsections (a) through (f) shall
be followed for motions or other applications for judicial enforcement of
any existing or future settlement agreements pertaining to Proposition
65, with reference to occupational exposures.
(h) Where, in the judgment of the Director and the Attorney General,
a Supplemental Enforcer or Public Prosecutor has not complied with the
provisions of this section, or the provisions of the OSHA approval deci-
sion of June 6, 1997, the Attorney General may seek to intervene in the
action, or take such actions within his authority as he deems appropriate
to assure compliance.
Note: Authority cited: Sections 54, 55 and 6380, Labor Code; and 62 Fed. Reg.
3 11 59 (June 6, 1997). Reference: Sections 54, 55 and 6380. Labor Code; and 62
Fed. Reg. 3 11 59 (June 6. 1997).
Chapter 2. Certificates of Merit
§3100. General.
Any notice of alleged violations provided pursuant to Health and Safe-
ty Code section 25249.7(d) in which violations of Health and Safety
Code section 25249.6 are alleged shall include a Certificate of Merit. The
Certificate of Merit shall be attached to, and be served with, all copies of
the notice of alleged violations. A second copy of the entire notice and
Certificate of Merit shall be served on the Attorney General, clearly
marked "Attorney General Copy: Contains Official Information Pur-
suant to Evidence Code Section 1040" and shall attach all supporting
documentation required by Section 3 102. The designated Attorney Gen-
eral Copy is deemed Official Information pursuant to Evidence Code
section 1040.
NOTE: Authority cited: Section 25249.7(d). (h) and (i), Health and Safety Code.
Reference: Section 25249.7(d), (h) and (i). Health and Safety Code.
History
L New chapter 2 (sections 3100-3103) and section filed 1-17-2003; operative
1-17-2003 pursuant to Government Code section 1 1343.4 (Register 2003, No.
3).
§3101. Contents.
(a) Health and Safety Code section 25249.7(d)( 1 ) requires that the cer-
tifier state that he or she "has consulted with one or more persons with
relevant and appropriate experience or expertise who has reviewed facts,
studies, or other data regarding the exposure to the listed chemical that
is the subject of the action, and that, based on that information, the person
executing the certificate believes there is a reasonable and meritorious
case for the private action." "Reasonable and meritorious case for the pri-
vate action" requires not only documentation of exposure to a listed
chemical, but a reasonable basis for concluding that the entire action has
merit. The certifier must have a basis to conclude that there is merit to
each element of the action on which the plaintiff will have the burden of
proof. The certifier does not need to have a basis to conclude that it will
be able to negate all affirmative defenses, but must certify that the in-
formation relied upon does not prove that any affirmative defense has
merit.
(b) The Certificate of Merit shall contain all of the following state-
ments, and appear in the following form:
CERTIFICATE OF MERIT
Health and Safety Code Section 25249.7(d)
I, (name of certifier), hereby declare:
•
Page 84
Register 2003, No. 3; 1-17-2003
Title 11
Proposition 65 Private Enforcement
§ 3201
1. This Certificate of Merit accompanies the attached sixty-day no-
tice(s) in which it is alleged the parties identified in the notices have vio-
lated Health and Safety Code secfion 25249.6 by failing to provide clear
and reasonable warnings.
2. 1 am the (noticing party/attorney for the noticing party).
3. I have consulted with one or more persons with relevant and ap-
propriate experience or expertise who has reviewed facts, studies, or oth-
er data regarding the alleged exposure to the listed chemical that is the
subject of the action.
4. Based on the information obtained through those consultauons, and
on all other information in my possession, 1 believe there is a reasonable
and meritorious case for the private action. I understand that "reasonable
and meritorious case for the private action" means that the information
provides a credible basis that all elements of the plainfiffs' case can be
established and the information did not prove that the alleged violator
will be able to establish any of the affirmative defenses set forth in the
statute.
5. The copy of this Cerfificate of Merit served on the Attorney General
attaches to it factual information sufficient to establish the basis for this
certificate, including the information identified in Health and Safety
Code section 25249.7(h)(2), i.e., ( 1 ) the identity of the persons consulted
with and relied on by the certifier, and (2) the facts, studies, or other data
reviewed by those persons.
Dated:
(Signature)
NOTE: Authority cited: Section 25249.7(d), (h) and (1). Health and Safety Code.
Reference: Section 25249.7(d), (h) and (i). Health and Safety Code.
History
1. New section filed 1-17-2003: operative 1-17-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 3).
§3102. Supporting Documentation.
(a) The "Attorney General Copy" of the notice of violation and Certifi-
cate of Merit shall physically attach the information set forth below. Sup-
porting documentation shall be provided in a legible and organized for-
mat. References to studies or other information are not sufficient.
(b) Identification of the person or persons with relevant and appropri-
ate experience or experdse shall include: ( 1 ) their full name and address;
and (2) sufficient information concerning their background, training and
knowledge to establish that they possess the necessary experience or ex-
pertise to render a competent opinion on the subject matter for which they
have been consulted.
(c) The "facts, studies, or other data regarding the exposure to the listed
chemical that is the subject of the action" sufficient to establish the basis
of the certificate of merit, i.e., that there is merit to each element of the
claim on which the plaintiff will have the burden of proof, shall support
each violation alleged in the notice as follows:
( 1 ) For consumer product exposures, sufficient facts, studies, or other
data shall be submitted for each consumer product or service, or each spe-
cific type of consumer product or service that cause the alleged violation
as set forth in the notice;
(2) For occupational exposures, sufficient facts, studies, or other data
shall be submitted for each occupational exposure set forth in the notice,
whether described by location of the employees, type of task performed,
or product used by the employees;
(3) For environmental exposures, sufficient facts, studies, or other data
shall be submitted for each location and source of exposure set forth in
the notice.
(d) The supporting documentation is not required to contain any in-
formation concerning the carcinogenicity or reproductive toxicity of the
listed chemical or chemicals to which an exposure is alleged.
NOTE: Authority cited: Section 25249.7(d), (h) and (i), Health and Safety Code.
Reference: Section 25249.7(d), (h) and (i), Health and Safety Code.
History
1. New section filed 1-17-2003; operative 1-17-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 3).
§ 31 03. Effect of Failure to Comply.
(a) Where a sixty-day notice does not attach a copy of the Certificate
of Merit meeting the requirements of subsection 3101(b), the noticing
party has no authority to commence an action pursuant to Health and
Safety Code section 25249.7(d).
(b) The Attorney General may contact the noticing party orally or in
writing concerning the Certificate of Merit. If such communications in-
clude material from the supporting documentation, then the portion of the
communications containing or specifically describing the supporting
documentation shall remain Official Information pursuant to Evidence
Code section 1 040.
(c) Where the Attorney General makes no response concerning a Cer-
tificate of Merit, no inference shall be drawn from the lack of response
concerning the adequacy of the Certificate or supporting documentation.
NOTE; Authority cited: Section 25249.7(d). (h) and (i). Health and Safety Code.
Reference: Section 25249.7(d), (h) and (i). Health and Safety Code.
History
1. New section filed 1-17-2003; operative 1-17-2003 pursuant to Government
Code section 11343.4 (Register 2003. No. 3).
Chapter 3. Settlement Guidelines
§ 3200. Authority and Scope.
This chapter contains the Attorney General's guidelines for review of
settiements by persons proceeding "in the public interest" pursuant to
Health and Safety Code section 25249.7(f)(4). The provisions of this
chapter are guidelines, which are not binding on litigants or the courts,
but provide the Attorney General's view as to the legality and appropri-
ateness of various types of settiement provisions, and the type of evi-
dence sufficient for the private plaintiff to sustain its burden of support-
ing the proposed settiement. The guidelines are not a comprehensive
identification of all factors that should be considered in reviewing settle-
ments, but identify particular issues that are likely to occur frequently.
This should assist the parties in fashioning settiements to which the At-
torney General is unlikely to object, and assist the courts in determining
whether to approve settlements.
NOTE; Authority cited: Section 25249.7(f)(4) and (5), Health and Safety Code.
Reference: Section 25249.7(f)(4) and (5). Health and Safety Code.
History
]. New chapter 3 (sections 3200-3204) and section filed 1-17-2003; operative
1-17-2003 pursuant to Government Code section 1 1 343.4 (Register 2003, No.
3).
§ 3201 . Attorney's Fees.
Code of Civil Procedure section 1021 .5 permits an award of attorney's
fees to a "successful party ... in any action which has resulted in the en-
forcement of an important right affecting the public interest if: (a) a sig-
nificant benefit . . . has been conferred on the general public or a large
class of persons, (b) the necessity and financial burden of private enforce-
ment ... are such as to make the award appropriate, and (c) such fees
should not in the interest of justice be paid out of the recovery, if any."
These guidelines are intended to be consistent with existing law inter-
preting Code of Civil Procedure section 1021.5, but provide assistance
to the litigants and the court in applying them to issues commonly arising
under Proposition 65. These guidelines apply to settlements under which
the basis for a fee award is provided by Code of Civil Procedure section
1 02 1 .5 . Where there is a different or additional basis for an award of fees.
parts of these guidelines may not apply. Since the Legislature has man-
dated that the court must determine that the attorney's fees in all settle-
ments of Private Proposition 65 actions must be "reasonable under
California law," the fact that the defendant agreed to pay the fee does not
automatically render the fee reasonable. The fact that the fee award is part
of a settiement, however, may justify applying a somewhat less exacting
review of each element of the fee claim than would be applied in a con-
tested fee application.
(a) Successful Party. The fact that a defendant changed its conduct
prior to entry of a court order or judgment does not preclude a finding that
Page 85
Register 2003, No. 3; 1-17-2003
§3202
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
the plaintiff was successful. If the plaintiffs action was the cause or "cat-
alyst" of the change in conduct, the plaintiff may be deemed successful.
(b) Public Benefit.
( 1 ) In a case alleging failure to warn, a settlement that provides for the
giving of a clear and reasonable warning, where there had been no warn-
ing provided prior to the sixty-day notice, for an exposure that appears
to require a warning, is presumed to confer a significant benefit on the
public. If there is no evidence of an exposure for which a warning plausi-
bly is required; there is no public benefit, even if a warning is given. If
the relief consists of minor or technical changes in the language, appear-
ance, or location of a warning in a manner that is not likely to significantly
increase its visibility or effectiveness in communicating the warning to
the exposed persons, there is no significant public benefit. Where a settle-
ment sets forth a standard or formula for when a given product requires
a warning, supporting evidence should show that at least some of the
products in controversy in the action either are, or at some time were,
above the warning level, or the existence of the standard or formula itself
may not establish the existence of a public benefit.
(2) Reformulation of a product, changes in air emissions, or other
changes in the defendant's practices which reduce or eliminate the expo-
sure to a listed chemical, in lieu of the provision of a warning, constitute
a sufficient showing of public benefit.
(3) In a case alleging violations of Health and Safety Code section
25249.5, the reduction or elimination of the discharge of listed chemicals
establishes a significant public benefit.
(c) Necessity of Private Enforcement. To establish necessity of private
enforcement, the plaintiff should establish that its continued prosecution
of the action was necessary to obtain the relief in the settlement. For ex-
ample, where a defendant proposed in writing to provide certain relief,
and the settlement or judgment does not provide any significant addition-
al relief, additional fees incurred after the time that the offer was rejected
may not be reasonable or necessary.
(d) Reasonable Fees. Hourly fees should be those reasonable for attor-
ney of similar skill and experience in the relevant market area. Once a
lodestar fee is a calculated, a multiplier of that amount is not reasonable
unless a showing is made that the case involved a substantial investment
of time and resources with a high risk of an adverse result, and obtained
a substantial public benefit. No fees should be awarded based on addi-
tional time spent in response to the Attorney General' s inquiries or partic-
ipation in the case, unless specifically identified and approved by the
court.
(e) Documentation. All attorney's fees should be justified by contem-
poraneously kept records of actual time spent, which describe the nature
of the work performed. Declarations relying on memory or recreated,
non-contemporaneously kept records may raise an issue concerning the
accuracy of the time estimate.
(0 "Contingent Fee" Awards. A "contingenf fee is an attorney's fee
paid pursuant to an agreement between the plaintiff and the plaintiffs at-
torney under which the attorney will be paid a specified amount or per-
centage of the total recovery obtained for the plaintiff Where a plaintiff
obtains an award of funds that belong exclusively to the plaintiff without
any restriction, these fees generally are not considered to have been
awarded by the court, and are reviewed by courts only under specified
circumstances (e.g., compromise of a claim of a minor). In Proposition
65 cases, however, there typically is no award of damages or other unre-
stricted funds to the plaintiff (other than the plaintiffs 25% of any civil
penalty recovery). Accordingly, simply denominating a fee award as
"contingent" and based on the total monetary recovery does not necessar-
ily render the fee amount "reasonable under CaUfomia law," and such
fees should be justified under Code of Civil Procedure section 1021 .5 or
another applicable theory.
NOTE: Authority cited: Section 25249.7(f)(4) and (5), Health and Safety Code.
Reference: Section 25249.7(f)(4) and (5), Health and Safety Code.
History
1. New section filed 1-17-2003; operative 1-17-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 3).
§ 3202. Clear and Reasonable Warnings.
Health and Safety Code section 25249.7(f)(4)(A) requires that, in or-
der to approve a settlement, the court must find that "Any warning that
is required by the settlement complies with" the clear and reasonable
warning requirement of Proposition 65. This guideline provides addi-
tional information concerning the Attorney General's interpretation of
the statute and existing regulations governing clear and reasonable warn-
ings and factors that will be considered in his review of settleinents.
Nothing in this guideline shall be construed to authorize any waiTiing that
does not comply with the statute and regulations, or to preclude any warn-
ing that complies with the statute and regulations or to conflict with regu-
lations adopted by the Office of Environmental Health Hazard Assess-
ment. This guideline is intended to address some of the types of warnings
commonly found in settlements, not to provide comprehensive stan-
dards.
(a) Supporting evidence. In order to sustain its burden of producing ev-
idence sufficient to support the conclusion that the warning is legal, the
plaintiff should provide ( 1 ) the text and appearance of the warning, along
with a sufficient description of where the warning will appear in order to
ascertain whether the warning will be "reasonably conspicuous" under
the circumstances of purchase or use of the product; and (2) sufficient
proof that the product causes exposure to a listed chemical to enable a
finding that the warning would be truthful.
(b) Warning language. Where the settling parties agree to language
other than the "safe harbor" language set forth in the governing regula-
tions (22 CCR § 12601(b)) the warning language should be analyzed to
determine whether it is clear and reasonable. Certain phrases or state-
ments in warnings are not clear and reasonable, such as (1) use of the ad-
verb "may" to modify whether the chemical causes cancer or reproduc-
tive toxicity (as distinguished from use of "may" to modify whether the
product itself causes cancer or reproductive toxicity); (2) additional
words or phrases that contradict or obfuscate otherwise acceptable warn-
ing language. Certain other deviations from the safe-harbor warnings are
generally clear and reasonable, such as (1) Using the language "Using
this product will expose you to a chemical . . ." in lieu of "This product
contains a chemical . . ."; or (2) deleting the reference to "the state of
California" from the safe-harbor language.
(c) Premises warnings for environmental tobacco smoke. A number of
cases involve provision of warnings due to exposure to environmental to-
bacco smoke caused by entry of persons (other than employees) on prem-
ises where smoking is permitted at any location on the premises.
1 . Location of signs. (A) For hotels or apartment buildings in which
entry to guest rooms or apartments is on an enclosed hallway and there
is a common ventilation system, the sign should be posted at main and
subsidiary entrances to the building (including any entrance from a park-
ing structure), and at the registration counter or administrative office
open to the public or guests. (B) For hotels or apartment complexes in
which entry to guest rooms or apartments is to areas open to ambient air;
signs should be posted at a kiosk or gate where cars drive in, if any, and
at the registration counter or other administrative office open to the pub-
lic or guests.
2. Language of Signs. The following language is appropriate and le-
gally sufficient;
"WARNING; This facility allows smoking in some areas. Tobacco
smoke, and many of the chemicals in it, are known to the state of Califor-
nia to cause cancer, and birth defects or other reproductive harm. [Op-
tional; Smoking is permitted only in the following areas of this facility;
(identify areas, e.g., "swimming pool area," "foyers," "designated guest
rooms," "outdoor patios."]"
3. Successful parties. The plaintiff is not successful and has not con-
ferred a substantial public benefit if the defendant had posted signs sub-
stantially complying with subparagraphs (1) and (2); and the only addi-
tional reUef obtained is the posting of additional signs in guest rooms or
in hallways that lead to guest rooms in which smoking is permitted.
Page 86
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Title 11
Proposition 65 Private Enforcement
§3204
(d) Environmenlal Exposure Warnings. In determining whether envi-
ronmental exposure warnings eomply with the law. the parties should
consider 22 CCR section 1260 1(d)(2), which requires, among other
things, that the warning "be provided in a conspicuous manner and under
such conditions as to make it likely to be read, seen or heard and under-
stood by an ordinary individual in the course of normal daily activity, and
reasonably associated with the location and source of the exposure." 22
CCR section 12601(d)( 1 ) also requires that such warnings "target the af-
fected area." Settlements meeting these requirements should:
( 1 ) include a warning other than signs posted at the facility wherever
the area for which the exposure occurs at a level requiring a warning ex-
tends beyond the boundaries of the facility to an area of persons who do
not actually enter or walk by the facility.
(2) Use hand-delivered or mail-delivered notices rather than media
advertisements unless the area of persons to be warned is so large as to
make such delivery substantially more expensive than media advertise-
ments;
(3) If newspaper notices are used, they should appear in the main news
section of the newspaper with the largest circulation in the area for which
a warning is given, be at least 1/4 page in size, and contain a graphic de-
piction of the location of the facility for which the warning is given and
the area for which the warning is given.
NOTE: Authority cited: Section 25249.7(f)(4) and (5), Health and Safety Code.
Reference: Section 25249.7(f)(4) and (5), Health and Safety Code.
History
1. New section filed 1-17-2003; operative 1-17-2003 pursuant to Government
Code section 11 343 .4 (Register 2003, No. 3).
§ 3203. Reasonable Civil Penalty.
Penalties will be evaluated based on the factors set forth in the Health
and Safety Code section 25249.7(b)(2). The following factors are "[other
factors] which justice may require" to be considered within the meaning
of Health and Safety Code section 25249.7(b)(2)(G):
(a) A settlement with little or no penalty may be entirely appropriate.
Civil penalties, however (75% of which must be provided to the Depart-
ment of Toxic Substances Control) should not be "traded" for payments
of attorney's fees.
(b) Where a settlement provides additional payments to an entity in
lieu of a civil penalty (including, for example, funds for environmental
activities, public education programs, and funds to the plaintiff for addi-
tional enforcement of Proposition 65 or other laws), such payments may
be a proper "offset" to the penalty amount or cy pres remedy, but are only
proper if the following requirements are met:
( 1 ) The funded activities have a nexus to the basis for the litigation, i.e.,
the funds should address the same pubhc harm as that allegedly caused
by the defendant(s) in the particular case.
(2) The recipient should be an entity that is accountable, i.e., is able to
demonstrate how the funds will be spent and can assure that the funds are
being spent for the proper, designated purpose.
(3) If the entity receiving the funds will in turn make grants of funds
to other entities for specified purposes, the method of selection of the ulti-
mate recipient of settlement funds must be set forth in the settlement
agreement or in a separate public document referenced in the agreement.
The selection procedure may vary depending on the facts of the particular
case, but must give significant weight to a prospective grantee's ability
to perform the funded task and its reliability and accountability.
(c) Where a settlement provides that certain penalties are assessed, but
may be waived in exchange for certain conduct by the defendant, the nec-
essary actions must be related to the purposes of the litigation, provide
environmental and public health benefits, and provide a clear mechanism
for verification that the qualifying conditions have been satisfied.
NOTE: Authority cited: Section 25249.7(f)(4) and (5), Health and Safety Code.
Reference: Sections 252497(b)(2) and 25249.7(f)(4) and (5), Health and Safety
Code.
History
1. New section filed 1-17-2003; operative 1-17-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 3).
§ 3204. Other Provisions.
Certain other provisions of a settlement may either be unlawful or con-
trary to public policy, and could provide the basis for an objection by the
Attorney General.
(a) Releases or other language describing the intended scope of claims
resolved or barred by the settlement shall not purport to:
(1) Be on behalf of the People of the State of California. Appropriate
language is that the plaintiffs "suing 'in the public interest' pursuant to
Health and Safety Code section 25249.7(d)" and "suing 'in the interest
of . . . the general public' pursuant to Business and Professions Code sec-
tion 17204" (whichever applies to the action).
(2) Release or resolve any claim by individuals with personal injuries,
unless those claims were properly raised in the complaint and litigated
in the action.
(3) Release or resolve any claim concerning listed chemicals that are
not present in the product at the time of entry of judgment, or any claim
concerning chemicals that are not on the list of chemicals known to the
state to cause cancer or reproductive toxicity, but may become listed in
the future.
(4) Release or resolve any claim concerning chemicals or exposures
not set forth in the sixty-day notice of violation.
(5) Immunize any defendant from any duty caused by a change in law,
or to impose a duty that is removed by a change in law.
NOTE: Authority cited: Section 25249.7(f)(4) and (5), Health and Safety Code.
Reference: Section 25249.7(f)(4) and (5), Health and Safety Code.
History
1. New section filed 1-17-2003; operative 1-17-2003 pursuant to Government
Code section 1 1343.4 (Register 2003, No. 3).
* *
Page 87
Register 2003, No. 3; 1-17-2003
Barclays Official
California
Code of
Regulations
Title 11. Law
Division 5. Firearms Regulations
Vol. 15
XHOIVISOM
^
WEST
Barclays Official California Code of Regulations
425 Market Street • Fourth Floor • San Francisco, CA 94105
800-888-3600
Title 11
Firearms Regulations
Table of Contents
Division 5. Firearms Regulations
Table of Contents
Page
Chapter 1 . Firearms Division Fees
§4001. DROSFees.
§ 4002. Miscellaneous Report Fees.
§ 4003. POST Certification Fees.
§ 4004. Peace Officer Candidate Firearms
Clearance Fees.
§ 4005. Security Guard Firearms Clearance
Fees.
§ 4006. CCW Fees.
Chapter 2. Department of Justice
Regulations for the Centralized
List of Firearms Dealers
89
§ 4037.
§ 4038.
§ 4039.
§ 4040.
§4041.
Chapter 4.
§ 4045.
Chapter 5.
Article 1.
Title, Scope, and
§ 4016.
§4017.
Definitions
Title and Scope.
Definition of Key Terms.
. . 89
Article 1.
Article 2.
Centralized List
§ 4046.
§ 4047.
§ 4048.
Article 2.
§ 4049.
Article 3.
§4018.
§4019.
§ 4020.
§4021.
Applications, Fees, and
Placement Terms
Applicant Information.
Fees.
Processing Times.
Term of Centralized List Placement.
. . 90
Article 3.
Compliance Inspections
. . 91
§ 4022.
§ 4023.
Firearms Dealer Inspections.
Notification of Inspection Results and
Corrective Action.
Article 4.
Removal from Centralized
List
. . 91
§ 4024.
Removal from Centralized List.
Chapter 3.
Article 1.
§ 4030.
Article 2.
§4031.
Article 3.
§ 4032.
§ 4033.
§ 4034.
§ 4035.
Article 4.
§ 4036.
Department of Justice
Regulations on Non-Dealer Sales
or Transfers of Firearms
Through Licensees or Dealers
and Issuance of Certificates of
Eligibility Pursuant to Penal
Code Sections 12070, 12071,
12071.1, and 12082 92
General 92
Scope.
Definitions 92
Definition of Key Terms.
Transfers 92
Transfers of Concealable Firearms.
Criteria for Processing Section 12082
Transactions.
Dealer Fees.
Confidentiality of Records.
Certificate of Eligibihty 92
Qualifications.
§ 4050.
§ 4051.
§ 4052.
§ 4053.
§ 4054.
§ 4055.
Article 4.
§ 4056.
Application for Certificate of
Eligibility.
Processing Time.
Term of Certificate of Eligibility.
Fees.
Applicant Denial Review Process.
Evidence of Residency
Documentation 93
Definitions and Requirements.
Department of Justice
Regulations for Laboratory
Certification and Handgun
Testing 94
General: Title; Scope;
Extensions for Compliance 94
Title.
Scope.
Extensions for Compliance.
Definition of Key Terms 94
Definition of Key Terms.
DOJ-Certification: Who Must
Be DOJ-Certified;
Application for DOJ-
Certification; Pre-DOJ-
Certification Requirements;
Grounds for Denial; DOJ-
Certification Period;
Processing Times; Appeal
Process 95
Who Must Be DOJ-Certified.
Application for DOJ-Certification.
Pre-DOJ-Certification Requirements.
Grounds for Denial.
DOJ-Certificafion Period.
Appeal Process
Operational Requirements:
Absence of Conflict of
Interest; Security and
Safety Requirements;
Licensing/Minimum Standards
Compliance; Which Handguns
Must Be Tested, Who May
Submit Handguns, Submission
Requirements; Testing
Procedures; Test Reporting;
Required Records, Retention
Periods, Reporting Changes;
Off-Site Locations;
Inspections 97
Absence of Conflict of Interest.
Page i
(7^21 2006)
Table of Contents
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
§ 4057.
§ 4058.
§ 4059.
§ 4060.
§4061.
§ 4062.
§ 4063.
§ 4064.
Article 5.
§ 4065.
Article 6.
§ 4066.
Article 7.
§ 4067.
§ 4068.
Article 8.
§ 4069.
Article 9.
§ 4070.
§4071.
Article 10.
§ 4072.
§ 4073.
§ 4074.
Chapter 6.
Article 1.
§ 4080.
§4081.
Article 2.
§ 4082.
Article 3.
§ 4083.
§ 4084.
§ 4085.
Security and Safely.
Licensing/Minimum Standards
Compliance.
Which Handguns Must Be Tested,
Who May Submit Handguns,
Submission Requirements.
Testing Procedures.
Test Reporting.
Required Records. Retention Periods,
Reporting Changes.
Off-Site Location.
Inspections.
Application Fees lOl
Application Fees.
DOJ-Certification
Revocation 101
DO.I-Certification Revocation.
DOJ-Certification Renewal:
DOJ-Certification Renewal
Procedures; DOJ-
Certification After
Expiration lOl
DOJ-Certification Renewal
Procedures.
DOJ-Certification After Expiration.
Service of Notices, Orders,
and Communications 102
Service of Notices, Orders, and
Communications.
Roster of Certified
Handguns; Roster of
Certified Handgun Listing
Renewal Procedures 102
Roster of Certified Handguns.
Roster of Certified Handgun Listing
Renewal Procedures.
Fees for the Roster of
Certified Handguns 102
Fees for the Roster of Certified
Handguns.
Annual Retest of up to 5 Percent of
Certified Handgun Models.
Reinstatement of Handguns Removed
from the Roster of Certified
Handguns.
Department of Justice
Regulations for Certified
Firearms Safety Device
Laboratories, Firearms Safety
Device Standards and Testing,
and Standards for Gun Safes 103
General: Title; Scope;
Extensions for Compliance 103
Title and Scope.
Extensions for Compliance.
Definition of Key Terms 104
Definition of Key Terms.
Certified FSD Laboratories 104
Who Must be a Certified FSD
Laboratory.
Application for Firearms Safety
Device Laboratory Certification.
Pre-Certification Requirements.
§ 4086.
Grounds for Denial.
§ 4087.
Certification Period for Certified FSD
Laboratories.
§ 4088.
Processing Times.
§ 4089.
Appeal Process.
Article 4.
Operational Requirements,
Firearms Safety Device
Standards, Gun Safe
Standards, Proof of
Purchase or Ownership of a
Gun Safe, Affixation of
Required Warning
. 106
§ 4090.
Absence of Conflict of Interest.
§4091.
Security and Safety.
§ 4092.
Licensing/Minimum Standards
Compliance.
§ 4093.
Firearms Safety Devices Testing and
Submission Requirements.
§ 4094.
Firearms Safety Device Standards.
§ 4095.
Testing Procedures.
§ 4096.
Test Reporting.
§ 4097.
Requked Records, Retention Periods,
Reporting Changes.
§ 4098.
Off-Site Locafion.
§ 4099.
Inspections.
§ 4100.
Gun Safe Standards.
§4101.
Gun Safe — Proof of Ownership of an
Acceptable Gun Safe.
§ 4102.
Lock Box — Proof of Ownership of
an Acceptable "Lock Box" Type
Firearms Safety Device.
§ 4103.
Required Warning Notice —
Affixation to Firearms Sold Without
Accompanying Packaging.
Article 5.
DOJ Suspension or Revocation
of FSD Laboratory
Certification
. 113
§ 4104.
DOJ Suspension or Revocation of
FSD Laboratory Certification.
Article 6.
FSD Laboratory Certification
Renewal; FSD Laboratory
Certification After
Expiration
. 113
§ 4105.
FSD Laboratory Certification Renewal
Procedures.
§ 4106.
FSD Laboratory Certification After
Expiration.
Article 7.
Service of Notices, Orders,
and Communications
. 113
§4107.
Service of Notices, Orders, and
Communications.
Article 8.
Roster of Approved Firearms
Safety Devices, Appeal
Process
. 113
§4108.
Roster of Approved Firearms Safety
Devices.
§ 4109.
Appeal Process for DOJ Exclusion of
a Firearms Safety Device Model from
the Roster of Approved Firearms
Safety Devices.
Chapter 7.
Dangerous Weapons
. 114
Article 1.
General Provisions
. 114
§4125.
Title.
§ 4126.
Scope.
Article 2.
Definitions
. 114
§ 4127.
Definition of Key Terms.
Page ii
(7-21-2006)
Title 11
Firearms Regulations
Table of Contents
licle 3.
Licenses and Permits
§4128.
General.
§4129.
Limited Term Permits/Licenses;
Conditions.
§4130.
Record Keeping.
§4131.
Disposition of Trade-in Machine
Guns.
:icle 3.5.
Documentation of Necessity
§4132.
Sales.
§4133.
Training; Research & Development;
and/or Manufacturing.
§4134.
Commercial Motion Picture,
Television Production, or Other
Commercial Entertainment Event.
§4135.
Collection of Destructive Devices.
§4136.
Repair and Maintenance.
§4137.
Activities Sanctioned by
Military — AssauU Weapons.
icle 4.
Investigations
114
§4138.
§4139.
Article 5.
§ 4140.
§4141.
Article 6.
§ 4142.
§4143.
§ 4144.
§ 4145.
§ 4146.
§ 4147.
§ 4148.
Article 7.
§ 4149.
§4150.
117
General.
Investigation of New Information.
Security
General Compliance.
Security Requirements.
Application Forms,
Processing Time, Reporting
Requirements, Renewals,
Fees, Denials, Revocations
118
118
§4151.
§ 4152.
§4153.
Chapter 38.
§ 5455.
Chapter 39.
Article 1.
§ 5459.
Article 2.
§ 5469.
Article 3.
§ 5470.
§5471.
§ 5472.
§ 5473.
119
Application Forms.
Processing Time.
Renewal of Permit/License.
Fees.
Denial of Application, Reasons,
Reconsideration.
Revocation and/or Denial of Renewal
of Permit/License, Reasons.
Waiting Period.
Appeal Process 120
Notice of Revocation or Notice of
Denial of Renewal.
Administrative Hearing.
Article 4.
§ 5480.
§5481.
§ 5482.
§ 5483.
§ 5484.
Chapter 40.
§ 5495.
§ 5499.
Time and Place of Administrative
Hearing.
Evidence Rules.
Proposed Decision.
Regulations for Olympic Pistol
Exemptions 121
Exemption of Olympic Pistols.
Department of Justice
Regulations for Assault Weapons
and Large Capacity Magazines 122
General 122
Title and Scope.
Definitions of Terms Used to
Identify Assault Weapons 122
Definitions.
Assault Weapon Registration 122
Requirements for Assault Weapon
Registrations Pursuant to Penal Code
Section 12285.
Fees.
Processing Times.
Voluntary Cancellations.
Large Capacity Magazine
Permits 123
Requirements for Large Capacity
Magazine Permits Pursuant to Penal
Code Section 12079.
Processing Times.
Term Length of Large Capacity
Magazine Permits.
Large Capacity Magazine Permit
Record Keeping.
Large Capacity Magazine Permit
Revocations.
Assault Weapons Identification 124
California Penal Code Section
12276(a)-(c) Assault Weapons List.
California Penal Code Section
12276(e) Assault Weapons List.
Page ill
Title 11
Firearms Regulations
§ 4017
Division 5. Firearms Regulations
Chapter 1 . Firearms Division Fees
§4001. ORGS Fees.
As authorized pursuant to subdivisions (f) and (i) of section J 2076 of
the Penal Code, the Firearms Division fees for Dealers' Records of Sale
(DROS) are as follows:
(a)( 1) DROS fee for a single handgun: $19
(2) DROS fee for each additional handgun submitted at the same time
as first DROS: $15
(b) DROS fee for one or more rifles or shotguns: $19
NOTE: Authority cited: Section 12076, Penal Code. Reference: Sections 12072,
12076, 12083, 12084 and 12289, Penal Code.
History
1. New division 5 (chapter 1), chapter 1 (sections 4001-4006) and section filed
1 1-1-2004 as an emergency; operative 1 1-1-2004 (Register 2004, No. 45). A
Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emer-
gency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1 1-1-2004 order transmitted to OAL 3-1-2005
and filed 4-1 1-2005 (Register 2005, No. 15).
§ 4002. Miscellaneous Report Fees.
As authorized pursuant to subdivisions (f) and (j) of section 12076 of
the Penal Code, the Firearms Division fees for voluntary firearm owner-
ship report, intra-familial transfer of handgun or handgun acquired by
operation of law report, new resident's importation of handgun report,
and curio and relic (C & R) collector's out-of-state acquisition of C &
R handgun report are as follows:
(a) Fee for voluntary firearm ownership report: $19 per firearm re-
ported
(b) Fee for intra-familial transfer of handgun or handgun acquired by
operation of law report: $19 for one or more handguns reported
(c) Fee for new resident's importation of handgun report: $19 per
handgun reported
(d) Fee for C & R collector's out-of-state acquisition of C & R hand-
gun report: $ 1 9 per handgun reported
NOTE: Authority cited: Secfion 12076, Penal Code. Reference: Sections 12072,
12076 and 12078, Penal Code.
History
1 . New section filed 1 1-1-2004 as an emergency; operative 1 1-1-2004 (Register
2004, No. 45). A Certificate of Compliance must be transmitted to OAL by
3-1-2005 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 1 1-1-2004 order transmitted to OAL 3-1-2005
and filed 4-11-2005 (Register 2005, No. 15).
§ 4003. POST Certification Fees.
As authorized pursuant to section 1 35 11 .5 of the Penal Code, the Fire-
arms Division fee for Peace Officer Standards Training (POST) firearms
clearance certification is $19.
Note: Authority cited: Section 1351 1.5, Penal Code. Reference: Section 13511.5,
Penal Code.
History
1 . New section filed 1 1-1-2004 as an emergency; operafive 1 1-1-2004 (Register
2004, No. 45). A Certificate of Compliance must be transmitted to OAL by
3-1-2005 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 1 1-1-2004 order transmitted to OAL 3-1-2005
and filed 4-1 1-2005 (Register 2005, No. 15).
§ 4004. Peace Officer Candidate Firearms Clearance Fees.
As authorized pursuant to subdivision (c) of section 832.15 of the Pe-
nal Code, the Firearms Division fee for peace officer candidate firearms
clearance is $19.
NOTE; Authority cited: Section 832.15, Penal Code. Reference; Section 832.15,
PenaJ Code.
History
1 . New secfion filed 1 1-1-2004 as an emergency; operative 1 1-1-2004 (Register
2004, No. 45). A Certificate of Compliance must be transmitted to OAL by
3-1-2005 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 1 1-1-2004 order transmitted to OAL 3-1-2005
and filed 4-1 1-2005 (Register 2005, No. 15).
§ 4005. Security Guard Firearms Clearance Fees.
As authorized pursuant to subdivision (a) of section 7583.26 of the
Business and Professions Code, the Firearms Division fees for security
guard firearm clearances are as follows:
(a) Initial fee for two year security guard firearms clearance: $38
(b) Renewal fee for two year security guard firearms clearance: $38
NOTE: Authority cited: Section 7583.26, Business and Professions Code. Refer-
ence: Section 7583.26, Business and Professions Code.
History
1. New section filed 1 1-1-2004 as an emergency; operative 1 1-1-2004 (Register
2004, No. 45). A Certificate of Compliance must be transmitted to OAL by
3-1-2005 or emergency language will be repealed by operation of law on the
following day.
2. Certificate of Compliance as to 1 1-1-2004 order transmitted to OAL 3-1-2005
and filed 4-1 1-2005 (Register 2005, No. 15).
§ 4006. CCW Fees.
As authorized pursuant to subdivision (a) of secfion 12054 of the Penal
Code, the Firearms Division fees for licenses to carry concealed weapons
(CCW) are as follows:
(a)(1) Inifial fee for 90 day employment CCW license: $22
(2) Renewal fee for 90 day employment CCW license: $22
(b)(1) Inifial fee for 2 year resident CCW license: $44
(2) Renewal fee for for 2 year resident CCW license: $44
(c)(1) Inifial fee for 3 year judicial CCW license: $66
(2) Renewal fee for 3 year judicial CCW license: $66
(d)( 1 ) Inifial fee for 4 year reserve peace officer CCW license: $88
(2) Renewal fee for 4 year reserve peace officer CCW license: $88
NOTE: Authority cited: Section 12054, Penal Code. Reference: Secfion 1 2054, Pe-
nal Code.
History
1 . New section filed 1 1-1-2004 as an emergency; operative 1 1-1-2004 (Register
2004, No. 45). A Certificate of Compliance must be transmitted to OAL by
3-1-2005 or emergency language will be repealed by operation of law on the
following day.
2 . Certificate of Compliance as to 1 1 - 1 -2004 order transmitted to OAL 3- 1 -2005
and filed 4-1 1-2005 (Register 2005, No. 15).
Chapter 2. Department of Justice
Regulations for the Centralized List of
Firearms Dealers
Article 1. Title, Scope, and Definitions
§ 401 6. Title and Scope.
This chapter shall be known as the "Department of Justice Regulafions
for the Centralized List of Firearms Dealers." The provisions of these
regulafions shall apply to the Centralized List of Firearms Dealers and the
firearms dealer inspecfions conducted by the Department.
NOTE: Authority cited: Secfion 12071, Penal Code. Reference: Secfions 12071,
12073, 12076, 12077, 12078 and 12081, Penal Code; and Secfions 178.124.
178.124a and 178.125, Code of Federal Regulations.
History
1 . Change without regulatory effect renumbering division 1 , chapter 1 3.4 (articles
1-4, sections 986-989) to division 5, chapter 2 (articles 1-4, sections
4016^024) and renumbering section 986 to section 4016 filed 6-28-2006 pur-
suant to section 1 00, title 1 , California Code of Regulations ( Register 2006, No.
26).
§4017. Definition of Key Terms.
(a) "Centralized List" means the list, maintained by the Department of
Justice, of all persons licensed to sell firearms pursuant to Penal Code
section 1207L
(b) "Contact person" means a person authorized to act on behalf of a
firearms dealer.
(c) "DOJ representafive" means an employee of the Department of
Jusfice authorized to conduct firearms dealer compliance inspections.
Page 89
Register 2006, No. 26; 6-30-2006
§4018
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(d) "Firearms dealer" or "dealer" means an individual listed on the
Centralized List of firearms dealers pursuant to Penal Code secdon
12071(a)(l)(A)-(F).
(e) "Firearms transaction records" mean records related to a dealer's
firearms business, including: DOJ Dealer Records of Sale (DROS); DOJ
Basic Firearms Safety Certificate records; Bureau of Alcohol, Tobacco
and Firearms (ATF) Acquisition and Disposition records; and any ATF
Forms 4473.
(f) "Reasonable access" means that items to be inspected by a DOJ rep-
resentative are free from physical obstruction or other impediments that
would make access difficult or unsafe.
(g) "Removal from the Centralized List" means the removal of a dealer
from the Centralized List who knowingly or with gross negligence vio-
lates the provisions of Article 4 of Chapter 1 of Title 2 of Part 4 of the
Penal Code including any applicable DOJ regulations. The term does not
include expiration from the Centralized List for dealer failure to maintain
and submit to the Department, current federal, state and local licenses or
permits required pursuant to Penal Code section 12071, nor for dealer
failure to renew the annual placement on the Centralized List.
NOTE; Authority cited; Section 12071, Penal Code. Reference: Sections 12071,
12073, 12076, 12077, 12078 and 12081, Penal Code; and Sections 178.124,
178.124a and 178.125, Code of Federal Regulations.
History
1. Change without regulatory effect renumbering section 986.1 to section 4017
filed 6-28-2006 pursuant to section 1 00, title 1, California Code of Regulations
(Register 2006, No. 26).
Article 2. Centralized List Applications,
Fees, and Placement Terms
§ 401 8. Applicant Information.
Applications for annual placement on the Centralized List shall be
filed on Department of Justice form BCIA 4080 (rev. 12/96) which will
require the following information signed, dated, and certified under pen-
alty of perjury: applicant's name; dealership name; dealership physical
address; dealership mailing address; dealership telephone number; deal-
ership telephone facsimile number (if any); days and hours of operation;
local licensing authority; local law enforcement agency; local inspection
authority (if any); DOJ Certificate of Eligibility (COE) number and ex-
piration date; Federal Firearms License (FFL) number and expiration
date; local firearms license number and expiration date; and, the State
Board of Equalization Seller's Permit number. The application shall in-
clude copies of the current FFL, COE, local firearms license, and State
Board of Equalization Seller's Permit.
NOTE; Authority cited: Section 12071, Penal Code. Reference: Section 12071, Pe-
nal Code.
History
1 . Change without regulatory effect renumbering section 987 to section 401 8 filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§4019. Fees.
Centralized List placement applications shall be accompanied by the
appropriate fees as follows:
(a) A Centralized List initial fee and subsequent annual fee of $20 for
each applicant at a single location shall be submitted. The annual fee shall
be due on January 3 1 st of each year regardless of the date of initial place-
ment on the Centralized List.
(b) A dealer inspection initial fee and subsequent annual fee of $95 per
dealership location shall be submitted. The annual fee shall be due on
January 3 1 st of each year regardless of the date of initial placement on
the Centralized List. Dealers whose place of business is located in a juris-
diction with a local firearms dealer compliance inspection program are
not subject to this $95 inspection fee. Upon request, an annual list of such
jurisdictions is available from the Department.
NOTE; Authority cited: Section 12071(0 and (g). Penal Code. Reference: Secdon
12071(f) and (g). Penal Code.
History
1. Change without regulatory effect renumbering section 987.1 to section 4019
filed 6-28-2006 pursuant to section 1 00, title 1 . Cafifomia Code of Reaulations
(Register 2006, No. 26).
§ 4020. Processing Times.
(a) The time standards for processing Centralized List placement ap-
plications are as follows:
( 1 ) Within 20 days after the date of receipt of an initial or renewal ap-
plication, the Department shall either inform the applicant, in writing,
that the application is complete and accepted for processing, or return the
application as deficient and specify what information is required.
(2)(A) Within 30 days from the date of receipt of a completed applica-
tion for the initial placement on the Centralized List, the Department shall
complete the processing of the application.
(B) Within 20 days from the date of receipt of a completed application
for continued placement on the Centralized List, the Department shall
complete the processing of the application.
(b)(1) The Department's minimum, median, and maximum times for
processing an initial application, from the date of receipt of a completed
application to the final determination are as follows:
(A) Minimum time: 5 days
(B) Median time: 15 days
(C) Maximum time: 30 days
(2) The Department's minimum, median, and maximum times for pro-
cessing a continued placement application, from the date of receipt of a
completed application to the final determination, are:
(A) Minimum time: 5 days
(B) Median time: 10 days
(C) Maximum time: 20 days
(c) If the Department fails to meet its time standards for processing an
application, the applicant, within 30 days from the date of the notice of
the final decision granting or denying the application, may apply in writ-
ing for a full reimbursement of all application fees. The Department shall
respond within 10 days of receipt of a request for reimbursement. If the
reimbursement request is denied, the applicant may appeal the denial, in
writing, direcUy to the Attorney General. The appeal must be filed within
30 days of the date the appUcant was notified of the reimbursement denial
and shall set forth a concise statement of facts and chronology of events
regarding the application. Following any investigation of the matter
which the Attorney General deems appropriate, and within 30 days from
the date of receipt of the appeal, a decision shall be issued. The appeal
shall be decided in the applicant's favor if the Department exceeds the
maximum time period for the processing of the application and the De-
partment has failed to establish good cause for exceeding this time peri-
od. Information regarding this appeal process shall be included with all
Centralized List application forms.
NOTE: Authority cited: Sections 15376 and 15378, Government Code. Reference:
Sections 15376 and 15378, Govemment Code.
History
1. Change without regulatory effect renumbering section 987.2 to section 4020
filed 6-28-2006 pursuant to section 1 00, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 4021 . Term of Centralized List Placement.
(a) The term of a Centralized List placement shall be from January 1
through December 3 1 . The effective date shall begin upon actual place-
ment on the Centralized List.
(b) The term of a Centralized List placement shall expire for any of the
following reasons:
(1) failure to submit an application for continued placement pursuant
to sections 4018, and 4019 of these regulations; or
(2) failure to maintain and submit copies of renewals of current feder-
al, state, and local licenses or permits within 30 days after their respective
expirations.
Page 90
Register 2006, No. 26; 6-30-2006
Title 11
Firearms Regulations
§4024
•
NOTi:; Authority cited: Section 1207 1 , Penal Code. Reference: Section 12071 , Pe-
nal Code.
History
1. Change without regulatory effect renumbering section 987.3 to section 4021,
includinc amendment of subsection (b)(1), filed 6-28-2006 pursuant to section
100. title 1. California Code of Regulations (Register 2006, No. 26).
Article 3. Compliance Inspections
§ 4022. Firearms Dealer Inspections.
(a) The Department may conduct on-site inspections at a dealer's
business premises to determine compliance with firearms laws pursuant
to Article 4 of Chapter 1 of Title 2 of Part 4 of the Penal Code, including
the following:
( 1 ) firearms transfer requirements pursuant to Penal Code sections
12071. 12072. 12078, and 12082; and
(2) firearms dealer records and record retention requirements pursuant
to Penal Code sections 12071. 12072, 12073, 12076, 12077, 12078,
12081, and 12082; and
(3) firearms dealership facility requirements pursuant to Penal Code
section 12071.
(b) The dealer or contact person shall ensure that the DOJ representa-
tive has reasonable access to all firearms transaction records, the firearms
inventory, security features, and all areas within the business premises to
which the DOJ representative may need access to conduct the inspection.
Upon request by the DOJ representative, the dealer or contact person
shall:
( 1 ) make available for inspection all dealer licenses and permits re-
quired pursuant to Penal Code section 12071(a); and
(2) locate firearms that are in the waiting period according to the deal-
ers records or records of the Department; and
(3) clarify or explain illegible, unclear, or conflicting entries contained
in the firearms transaction records; and
(4) identify the type and location of security measures and devices
used at the business premises.
Note: Authority cited: Section 12071, Penal Code. Reference; Sections 12070,
12071, 12072, 12073, 12076, 12077, 12078, 12081 and 12082, Penal Code; and
Sections 178.124, 178.124a and 178.125, Code of Federal Regulations.
History
1 . Change without regulatory effect renumbering section 988 to section 4022 filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 4023. Notification of Inspection Results and Corrective
Action.
(a) The Department will notify the dealer, in writing, of the results of
the inspection as soon as possible upon completion of the inspection.
(b) If the dealer fails to comply with any of the firearm laws in Article
4 of Chapter 2 of Title 2 of Part 4 of the Penal Code, including any appli-
cable DOJ regulations, the notification will cite the violations and may
specify coirective action requirements. The notification will include an
acknowledgment prepared by the Department, that the dealer is aware of
the violation(s) and has performed all specific and general corrective ac-
tions necessary to correct past violations and to ensure future violations
do not occur.
(1) The dealer shall comply with the corrective action requirements if
any. including the return of the acknowledgment, signed by the dealer or
contact person, and postmarked no later than 30 days after the date of the
notification, unless the Department deterinines the violation requires
more immediate attention. If immediate attention is required, the dealer
must comply within the time frame specified in the Department's notifi-
cation.
(2) The Department may conduct a follow-up inspection to confirm
the dealer has complied with the corrective action. If a follow-up inspec-
tion is conducted and the dealer is found to have complied with the cor-
rective action the Department will notify the dealer of such no later than
30 days after the follow-up inspection.
NOTE: Authority cited: Section 12071, Penal Code. Reference: Section 12071 , Pe-
nal Code.
History
1. Change without regulatory effect renumbering section 988.1 to section 4023
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Article 4. Removal from Centralized List
§ 4024. Removal from Centralized List.
(a) If a dealer does not comply with corrective action requirements, or
upon determination by the Department that a dealer has otherwise know-
ingly or with gross negligence violated firearms laws pursuant to Article
4 of Chapter 1 of Title 2 of Part 4 of the Penal Code, including any appli-
cable DOJ regulations, the Department may remove the dealer from the
Centralized List.
(b) All hearings related to the removal of a dealer from the Centralized
List shall be conducted in accordance with Chapter 5 (commencing with
section 11500) of Part 1 ofDivision 3 ofTitle 2 of the Government Code.
NOTE: Authority cited: Section 12071, Penal Code. Reference: Section 12071 , Pe-
nal Code; and Chapter 5 (commencing with Section 1 1500) of Part 1 ofDivision
3 of Title 2 of the Government Code.
History
1 . Change without regulatory effect renumbering section 989 to section 4024 filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulauons
(Register 2006, No. 26).
Page 91
Register 2006, No. 26; 6-30-2006
§4030
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Chapter 3. Department of Justice
Regulations on Non-Dealer Sales or
Transfers of Firearms Through Licensees or
Dealers and Issuance of Certificates of
Eligibility Pursuant to Penal Code Sections
12070, 12071, 12071.1, and 12082
Article 1. General
§ 4030. Scope.
The provisions of these regulations apply to sales and other transfers
of firearms, as defined in subdivision (a) of section 403 1 , by individuals
through dealers pursuant to Penal Code section 12082, and to the is-
suance of Certificates of Eligibility by the Department of Justice to per-
sons described in Penal Code Sections 12070, 12071, and 12071.1.
NOTE: Authority cited: Sections 12070, 12071, 12071.1 and 12082, Penal Code.
Reference: Sections 12001, 12070, 12071, 12071.1, 12072 and 12082, Penal
Code.
History
1. Change without regulatory effect renumbering division 1, chapter 13 (articles
1-4, sections 980-985), to division 5, chapter 3 (articles 1-4, sections
4030-4041) and renumbering section 980 to section 4030, including amend-
ment of section, filed 6-28-2006 pursuant to section 100, title 1, California
Code of Regulations (Register 2006, No. 26).
Article 2. Definitions
§ 4031 . Definition of Key Terms.
(a) The term "firearm" means any firearm within the definition of Pe-
nal Code section 12001.
(b) The term "dealer" means a person having a valid license to sell fire-
arms issued pursuant to Penal Code section 12071 .
(c) The term "section 12082 transaction" means the transfer of a fire-
arm as provided in Penal Code section 12082.
(d) The term "transferor" means any person who wishes to sell or
otherwise transfer a firearm through a dealer pursuant to Penal Code sec-
tionl2082.
(e) The term "transferee" means any person who wishes to acquire a
firearm in a transaction pursuant to Penal Code section 12082.
(f) The term "personal information" means personal information as
defined in Civil Code section 1798.3.
(g) The term "Department" means the Department of Justice of the
State of California.
(h) The term "Certificate of Eligibility" means a certificate which
states that the Department has checked its records and determined that the
applicant is not prohibited from acquiring or possessing firearms pur-
suant to Sections 12021 and 12021.1 of the Penal Code, and Sections
8100 and 8103 of the Welfare and Institutions Code, or Title 27, Part
1 78.32 of the Code of Federal Regulations at the time the check was per-
formed.
(i) The term "applicant" means a person applying to obtain a Certifi-
cate of Eligibility.
NOTE: Authority cited: Sections 12070, 12071, 12071.1 and 12082, Penal Code.
Reference: Sections I200I, 12021, 12021.1, 12070, 12071, 12071.1, 12072 and
12082, Penal Code; Sections 8100 and 8103, Welfare and Institutions Codes; Sec-
tion 1798.3, Civil Code; and Title 27, Part 178, Subchapters 32 and 41, Code of
Federal Regulations.
History
1 . Change without regulatory effect renumbering section 98 1 to section 403 1 filed
6-28-2006 pursuant to section 100, title 1, Cahfomia Code of Regulations
(Register 2006, No. 26).
Article 3. Transfers
§ 4032. Transfers of Concealable Firearms.
Except as provided in Penal Code Sections 12078 and 12084, no per-
son shall sell, lease or transfer any firearm to a person who is not a dealer
unless the transaction is processed by a dealer pursuant to Penal Code
Section 12082.
NOTE: Authority cited: Sections 12072 and 12082, Penal Code. Reference: Sec-
tions 12071, 12072, 12078, 12082 and 12084. Penal Code.
History
1 . Change without regulatory effect renumbering section 982 to section 4032 filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 4033. Criteria for Processing Section 12082
Transactions.
(a) All dealers shall process a section 1 2082 transaction upon the re-
quest of the transferor. All such requests shall:
(1) Be in writing and contain all of the terms of the transaction, and
(2) Be signed by the transferor and the transferee.
(b) Except as otherwise provided in Penal Code section 12082, a deal-
er shall process a section 12082 transaction in the same manner as if it
were a dealer retail sale.
NOTE: Authority cited: Section 12082, Penal Code. Reference: Section 12071,
12072, 12073, 12076 and 12077, Penal Code.
History
1. Change without regulatory effect renumbering section 982.1 to section 4033
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 4034. Dealer Fees.
All dealers shall display on the business premises where it can easily
be seen, a schedule of fees for processing Section 1 2082 transactions and,
prior to processing, the dealer shall notify the parties of the specific fee(s)
to be charged for the transaction. The dealer may also require payment
of all fees prior to initiating a section 12082 transaction.
Note: Authority cited: Section 1 2082, Penal Code. Reference: Section 12082, Pe-
nal Code.
History
1. Change without regulatory effect renumbering section 982.2 to section 4034
filed 6-28-2006 pursuant to section 100. title 1, California Code of Regulations
(Register 2006, No. 26).
§ 4035. Confidentiality of Records.
Except as otherwise provided in Penal Code sections 12076 and
12077, personal information obtained by dealers in compliance with
those sections is confidential and shall not be disclosed by the dealer ex-
cept in the manner provided in Civil Code section 1 798.24 for the disclo-
sure of personal information by government agencies.
Note: Authority cited: Section 12082, Penal Code. Reference: Section 1798.24,
Civil Code.
History
1. Change without regulatory effect renumbering section 982.3 to section 4035
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Article 4. Certificate of Eligibility
§ 4036. Qualifications.
(a) Applicant must be at least 18 years old.
(b) Applicant must not be in a class of persons described in Penal Code
Sections 12021, 12021.1, or Welfare and Institutions Code Sections
8 100 or 8103, or Title 27, Part 1 78.32 of the Code of Federal Regulations.
Note: Authority cited: Sections 12070, 12071 and 12071.1, Penal Code. Refer-
ence: Sections 12021, 12021.1, 12070, 12071, 12071.1 and 12072, Penal Code;
Sections 8100 and 8103, Welfare and Institutions Codes; and Title 27, Part 178.32,
Code of Federal Regulations.
History
1 . Change without regulatory effect renumbering section 983 to section 4036 filed
6-28-2006 pursuant to section 100, tide 1, California Code of Regulations
(Register 2006, No. 26).
Page 92
Register 2006, No. 26; 6-30-2006
Title 11
Firearms Regulations
§4045
§ 4037. Application for Certificate of Eligibility.
(a) Applicant shall complete and submit an application form pre-
scribed by the Department which will require the following information:
Name, address, date of birth, driver's license number, telephone number;
business information, if applicable, to include business name, primary
business address, and business telephone number. The application shall
also require additional information requesting responses to questions
asking the applicant if he or she: 1 ) has ever been convicted of a felony
or an offense specified in Penal Code Sections 12021. 12021.1, or
12001 .6; 2) is a mental patient or on leave of absence from a mental hos-
pital; 3) has ever been adjudicated by a court to be a danger to others,
found not guilty by reason of insanity of any crime, or found incompetent
to stand trial for any crime, pursuant to Section 8103 of the Welfare and
Institutions Code; or 4) is currently under a restraining order.
(b) Applicant shall also submit two current Department fingerprint
cards (Form BID-7), with complete sets of fingerprints prepared by the
Department, or any other agency which is qualified to provide finger-
printing services. For this purpose the Department shall make applicant
fingerprint cards available to local law enforcement agencies at no
charge. This subsection does not apply to applications for renewal of a
Certificate of Eligibility.
(c) Applicant shall submit the appropriate Certificate of Eligibility
fees as set forth in subdivision (b) of Section 4040.
NOTE: Authority cited: Sections 11105(i), 12070, 12071 and 12071.1, Penal
Code. Reference: Sections 12021, 12021.1, 12070, 12071, 12071.1 and 12072,
Penal Code; and Sections 8100 and 8103, Welfare and Institutions Codes; and
Title 27, Part 178, Code of Federal Regulations.
History
1. Change without regulatory effect renumbering section 983.1 to section 4037,
including amendment of subsection (c), filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 4038. Processing Time.
(a) The following time standards apply to the processing of applica-
tions for Certificates of Eligibility:
(1) Within 30 days after the date of receipt of an initial or renewal
application, the Department shall either inform the applicant, in writing,
that the application is complete and accepted for processing, or return the
applications as deficient and specify what information is required.
(2)(A) Within 120 days from the date of receipt of a completed appli-
cation for an initial Certificate of Eligibility, the Department shall con-
clude the processing of the application.
(B) Within 60 days from the date of receipt of a completed application
for a renewal of a Cerfificate of Eligibility, the Department shall conclude
the processing of the application.
(b)(1) The Department's minimum, median, and maximum times for
processing an initial application, from the date of receipt of a completed
application to the final determination are:
(A) Minimum time: 30 days
(B) Median time: 75 days
(C) Maximum time: 1 20 days
(2) The Department's minimum, median, and maximum times for pro-
cessing a renewal application, from the date of receipt of a completed
application to the final determination, are;
(A) Minimum fime: 20 days
(B) Median time: 40 days
(C) Maximum time: 60 days
(c) If the Department fails to meet the time period for the processing
of an initial or a renewal certificate, the applicant, within 30 days of the
final decision granting or denying the application, may apply in writing
for a full reimbursement of all application fees. The Department shall re-
spond within 10 days of receipt of a request for reimbursement; and, if
the reimbursement is denied by the Department, the applicant may direct-
ly appeal the denial, in writing, to the Attorney General. The appeal shall
set forth a concise statement of facts and chronology of events regarding
the application. An appeal concerning an application on which reim-
bursement is denied must be filed within 30 days of the date the applicant
was notified of the denial. The appeal shall promptly be reviewed and a
decision shall issue within 30 days after conducfing any investigation of
the matter which the Attorney General deems appropriate. This appeal
shall be decided in the applicant's favor if the Department has exceeded
its maximum dme period for the issuance or denial of the certificate and
the Department has failed to establish good cause for exceeding this time
period. The Department shall include the information regarding this ap-
peal process on all Certificate applications.
NOTE: Authority cited: Sections 15376 and 15378, Govemmoni Code. Reference:
Sections 15376 and 15378, Government Code.
History
1. Change without regulatory effect renumbering section 983.2 to section 4038
filed 6-28-2006 pursuant to section 1 00, title 1 , Califomia Code of Regulations
(Register 2006, No. 26).
§ 4039. Term of Certificate of Eligibility.
The term of a Certificate of Eligibility shall not exceed one year from
the date issued.
NOTE: Authority cited: Sections 12070, 12071 and 12071.1, Penal Code, Refer-
ence: Sections 12070, 12071 and 12071.1, Penal Code.
History
1 . Change without regulatory effect renumbering section 984 to section 4039 filed
6-28-2006 pursuant to section 100, dtle 1, Califomia Code of Regulations
(Register 2006, No. 26).
§ 4040. Fees.
As authorized pursuant to subdivision (a) of section 1207 i of the Penal
Code, the Firearms Division fees for certificate of eligibility are as fol-
lows:
(a) Fee for initial application: $22
(b) Fee for renewal application: $22
NOTE: Authority cited: Section 12071, Penal Code. Reference: Sections 12071,
12071.1 and 12086, Penal Code; and Section 12101, Health and Safety Code.
History
1. Change without regulatory effect renumbering section 984.1 to section 4040
filed 6-28-2006 pursuant to section 1 00, title 1 , Califomia Code of Regulations
(Register 2006, No. 26).
§ 4041 . Applicant Denial Review Process.
Upon the denial of an application, the applicant may seek review of the
records upon which the denial was based pursuant to Penal Code Sections
11121 and may seek to have those records changed pursuant to Penal
Code Secdons 1 1 1 26. If within one year of the original application date,
the applicant is successful in correcfing the records to show that the appli-
cant is not in any prohibited class of persons, the applicant may resubmit
the application without addifional charge.
NOTE: Authority cited: Sections 12070, 12071 and 12071.1, Penal Code. Refer-
ence: Sections 11121, 11126, 12070, 12071 and 12071.1, Penal Code.
History
1 . Change without regulatory effect renumbering section 985 to section 4041 filed
6-28-2006 pursuant to section 100, title 1, Califomia Code of Regulations
(Register 2006, No. 26).
Chapter 4. Evidence of Residency
Documentation
§ 4045. Definitions and Requirements.
The following definiuons and requirements apply to documents in-
tended to serve as evidence of residency for the acquisition of a handgun
pursuant to Penal Code secdon 12071(b)(8)(C):
a.l. "Udlity bill" means a statement of charges for providing direct
service to the individual's residence by either a physical connecdon (i.e.,
hard wired telephone or cable connecdon, or a water or gas pipeline con-
necdon), or a telemetric connecdon (i.e., satellite television or radio
broadcast service) to a non-mobile, fixed antenna reception device.
2. The utility bill statement date must be within three months of the
current date.
3. The utility bill must bear on its face the individual's name and either
of the following:
A. The individual's current residential address as declared on the
Dealer's Record of Sale (DROS) form.
Page 93
Register 2006, No. 26; 6-30-2006
§4046
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
B. The indi vidua!' s residential address as it appears on his or her
California Driver License or California Identification Card, or change of
address attachment thereto.
b. 1. "Residential lease" means either of the following:
A. A signed and dated contract by which the individual (tenant) agrees
to pay a specified monetary sum or provide other consideration for the
right to occupy an abode for a specified period of time.
B. A signed and dated rental agreement by which the individual (ten-
ant) agrees to pay a specified monetary sum or provide other consider-
ation at fixed intervals for the right to occupy an abode.
2. The residential lease must bear the individual's name and either of
the following:
A. The individual's current residential address as declared on the
Dealer's Record of Sale (DROS) form.
B. The individual's address as it appears on his or her California Driver
License or California Identification Card, or change of address attach-
ment thereto.
c. 1 . "Property deed" means either of the following:
A. A valid deed of trust for the individual's property of current resi-
dence that identifies the individual as a grantee of the trust.
B. A valid Certificate of Title issued by a licensed title insurance com-
pany that identifies the individual as a title holder to his or her property
of current residence.
2. The property deed must bear the individual's name and either of the
following:
A. The individual's current residential address as declared on the
Dealer's Record of Sale (DROS) form.
B. The individual's address as it appears on his or her California Driver
License or California Identification Card, or change of address attach-
ment thereto.
d. "Other evidence of residency as permitted by the Department of Jus-
tice" means either of the following:
1. A current, government-issued (city, county, special district, state,
or federal) license, permit, or registration, other than a California Driver
License or California Identification Card, that has a specified expiration
date or period of validity. The license, permit, or registration must bear
the individual's name and either of the following:
A. The individual's current residential address as declared on the
Dealer's Record of Sale (DROS) form.
B . The individual' s address as it appears on his or her California Driver
License or California Identification Card, or change of address attach-
ment thereto.
2. A valid peace officer credential issued by a California law enforce-
ment agency to an active, reserve, or retired peace officer.
NOTE; Authority cited: Section 12071, Penal Code. Reference: Sections 12071
and 12072, Penal Code.
History
1 . Change without regulatory effect renumbering division 1 , chapter 13.8 (section
996) to division 5, chapter 4 (section 4045) filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
Chapter 5. Department of Justice
Regulations for Laboratory Certification and
Handgun Testing
Article 1. General: Title; Scope; Extensions
for Compliance
§4046. Title.
This chapter shall be known as "The Department of Justice Regula-
tions for the Laboratory Certification and Handgun Testing Programs,"
may be cited as such, and is referred to herein as "these regulations."
NOTE: Authority cited: Sections 12129-12131.5, Penal Code. Reference: Sec-
tions 12126-12133, Penal Code.
History
1 . Change without regulatoi7 effect renumbering division 1, chapter 1 2.4 (ailicles
1-10. sections 968. 10-968.99), to division 5, chapter 5 (articles 1-10, sections
4046-4074) and renumbering section 968.10 to section 4046 filed 6-28-2006
pursuant to section 100, title 1 , California Code of Regulations (Register 2006,
No. 26).
§ 4047. Scope.
The provisions of these regulations will implement, interpret, and
make specific the laboratory certification and handgun testing programs
mandated by Cahfomia Penal Code §§ 12125 through 12133 which be-
caine effective January 1 , 2000. These regulations will also establish pro-
cedures to create and maintain both a roster of DOJ-Certified Laborato-
ries and a roster of certified handguns. These regulations will apply to any
person, firm, and/or corporation who wishes to become certified as a
handgun testing laboratory and. with specified exemptions, to any person
in this state who manufactures or causes to be manufactured, imports into
the state for sale, keeps for sale, offers or exposes for sale, gives, or lends
any pistol, revolver, or other firearm capable of being concealed upon the
person.
NOTE: Authority cited: Sections 12125-12133, Penal Code. Reference: Sections
12126-12129, Penal Code.
History
1. Change without regulatory effect renumbering section 968.11 to section 4047
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 4048. Extensions for Compliance.
If a DOJ-Certified Laboratory provides written proof that through no
fault of its own it is not able to meet a deadline provided for in these regu-
lations, the DOJ may grant a temporary extension of time to meet that
deadline. Any such extension will be in writing and will designate a spe-
cific time period for the extension.
Note: Authority cited: Sections 12129-12131.5, Penal Code. Reference: Sec-
tions 12129-12131.5, Penal Code.
History
1 . Change without regulatory effect renumbering section 968.12 to section 4048
filed 6-28-2006 pursuant to section 100, title 1, Cahfomia Code of Regulations
(Register 2006, No. 26).
Article 2. Definition of Key Terms
§ 4049. Definition of Key Terms.
(a) "BATF" means the United States Department of the Treasury, Bu-
reau of Alcohol, Tobacco, and Firearms.
(b) "COE" means a Certificate of Eligibility issued by the California
Department of Justice (DOJ) pursuant to subdivision (a)(4) of Penal
Code § 12071 after a check of state and federal files has determined that
at the time the check was performed, and based upon available informa-
tion, the applicant was not a person who was prohibited from possessing
firearms pursuant to state and federal laws.
(c) "Completed Application" means: a completed Application for
DOJ-Certification, Form FD 019 (Rev. 6-00), including application At-
tachments A, B, and C; copies of any applicable licenses and/or certifi-
cates; any additional sheets used to provide full and complete answers to
questions on the application; copies of the laboratory's written proce-
dures relating to security and prohibited persons; and the application fee.
(d) "Compliance Test Report" means a report completed by a DOJ-
Certified Laboratory after a handgun model has met the requirements of
Penal Code §§ 12127 and 12128 and these regulations.
(e) "Corporation" means any entity organized under California Corpo-
rations Code § 102 (a) or similar statute if not a California corporation.
(f) "Day" means a calendar day unless otherwise specified in these
regulations.
(g) "DOJ" means the California Department of Justice.
(h) "DOJ-Certification" means the DOJ certificate issued as evidence
of compliance with the DOJ laboratory cerfificafion requirements as set
forth in these regulafions.
(i) "DOJ-Certified Laboratory" means a laboratory that has applied
for and been granted DOJ-Certification.
Page 94
Register 2006, No. 26; 6-30-2006
Title 11
Firearms Regulations
§ 4051
(j) "Firm" means a business unit, enterprise, or partnership of two or
more persons, that is not recognized as a legal person distinct from the
members comprising the entity.
(k) "Local License" means any regulatory and/or business license is-
sued by a city, county, and/or other local government agency.
(/) "Manufacturer/Importer" means either: a manufacturer of domesti-
cally produced handguns or, if one exists, a legal successor in interest or
another person with the consent of the manufacturer; and/or a federally
licensed importer of foreign manufactured handguns.
(m) "Model" means the manufacturer's/importer's designation which
uniquely identifies a specific design of handgun subject to the descriptive
limitations imposed by subdivision (a) of Penal Code § 12131.5.
(n) "Pistol" means a handgun in which the chamber is part of the bar-
rel. A pistol can either be semiautomatic or non-semiautomatic, but not
fully automatic.
(o) "Reasonable Access" means that areas and/or items to be inspected
by an authorized DOJ employee are free from physical obstruction and/
or other impediments that would make access difficult and/or unsafe.
(p) "Revolver" means a handgun with a cylinder having several cham-
bers so arranged as to rotate around an axis and be discharged successive-
ly by the same firing mechanism through a common barrel.
(q) "Roster of Certified Handguns" means a list of all pistols and re-
volvers that have been tested by a DOJ-Certified Laboratory, have been
determined not to be unsafe handguns, and that may be sold in California
pursuant to Penal Code § 12130. The roster will list, for each firearm, the
manufacturer, model number, model name, and other information
deemed necessary by the DOJ to facilitate identifying that handgun mod-
el.
(r) "Standard Ammunition" means commercially produced factory
loaded ammunition wliich is available for purchase at consumer-level re-
tail outlets.
(s) "Similar" means a handgun listed on the Roster of Certified Hand-
guns that was not subject to testing because it satisfied the requirements
of Penal Code § 12131.5.
(t) "Refined or modified" means an improvement applied to the test
handguns, that is not made to retail handguns, which may result in im-
proved performance during testing. Refining or modifying a handgun in-
cludes, but is not limited to, using material preparation, assembly tech-
niques, or break-in processes that are different from those used to
produce retail models.
(u) "Identical magazines" means magazines submitted for, and used
during, testing shall not be of a higher functional quality, which might
result in improved performance from those provided to retail customers.
(v) "Responsible party" includes, but is not limited to, firearm
manufacturers/importers and law enforcement agencies.
NOTE: Authority cited: Sections 12126-12131.5. Penal Code. Reference: Sec-
tions 1001.6, 12021, 12071 and 12125-12133, Penal Code; Section 102(a), Cor-
porations Code; and Chapter 44 Sections 920 et seq.. Title 1 8 of the United States
Code.
History
1. Change without regulatory effect renumbering section 968.20 to section 4049
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Article 3. DOJ-Certification: Who Must Be
DOJ~Certified; Application for
DOJ-Certification; Pre-DOJ-Certification
Requirements; Grounds for Denial;
DOJ-Certification Period; Processing Times;
Appeal Process
§ 4050. Who Must Be DOJ-Certified.
(a) Any laboratory wishing to participate in the California Handgun
Testing Program described in these regulations must apply for and obtain
a DOJ-Certification.
(b) Any proposed change in the ownership of five percent or more of
a DOJ-Certified Laboratory from that reported on the initial application
shall require the submission of an Application for DOJ-Certification,
Form FD 019 (Rev. 6-00), by the proposed ownership enfity or owners.
NOTE: Authority cited: Section 12130, Penal Code. Reference: Sections
12126-12128, 12130 and 12131.5. Penal Code.
History
1. Change without regulatory effect renumbering section 968.30 to section 4050
filed 6-28-2006 pursuant to section 1 00, title 1 . California Code of Regulations
(Register2006, No. 26).
§ 4051 . Application for DOJ-Certification.
The DOJ will accept completed applications from laboratories seeking
DOJ-Certification. For renewals. Parts B, C, D, F, and G of the applica-
tion has boxes that can be checked if there have not been any changes
since the previous application was submitted. Application for DOJ-Cer-
tification shall be made on Form FD 019 (Rev. 6-00) which shall include
the following:
(a) Laboratory information: name of applicant laboratory; physical
and mailing addresses; telephone and fax numbers; local licensing au-
thority, business license number, and expiration date; the local law en-
forcement agency with jurisdiction over the laboratory; federal firearms
hcense number, type, and expiration date (if licensed); business hours;
e-mail address (if applicable); and copies of licenses and/or certificates
idendfied on the applicadon.
(b) COE holder information: name, title, COE number, and COE ex-
piration date of any owner, chief executive officer, or person who pos-
sesses or has applied for a COE pursuant to subdivision (a) of § 4052 of
these regulations.
(c) Ownership information: ownership structure; the name, fitle/rela-
tion to laboratory/percentage owned and/or controlled, address, tele-
phone and fax numbers, state corporafionypartnership number and ex-
piraUon date, and local business license number and expirafion date of
any owner that is not a natural person; and the name, title/relation to labo-
ratory/percentage owned and/or controlled, address, and telephone num-
ber of each owner, partner, officer, director and any person who owns
and/or exercises control of five percent or more of outstanding common
stock; and if a corporation or partnership either original certified copies
of the articles of incorporation or a current roster of general and limited
partners.
(d) Facility Management and Testing Supervision information: name
and tiUe of the manager or director of the laboratory and/or unit of the lab-
oratory that will conduct handgun tests, the persons supervising handgun
tests, and persons participating and/or performing handgun tests; a copy
of the laboratory's security procedures; the name, address, and telephone
number of any 24-hour security service or monitored alarm system that
is employed by the laboratory, and a copy of the contract for services; and
a copy of the procedures for ensuring that persons prohibited from
possessing firearms will not have access to firearms and a description of
the method to be used to identify any such persons.
(e) Required Equipment information: whether the laboratory will ob-
tain the required equipment at the time the application is submitted or at
a later date.
(f) Off-Site Location information, if applicable: name of the owner;
telephone number; physical address; and the testing to be performed and/
or equipment to be used at the off-site location.
(g) Authorized Representative information: name and title of the per-
son who has the legal authority to sign the application and attest to the
required matters on behalf of the applicant laboratory.
(h) A signed certification stating that the laboratory and/or owner is
free from any conflicts of interest as defined by subdivisions (a)(3), (7),
(8), and, (9) of § 4053 of these regulations.
(i) A signed certification regarding: the informing of staff of laws re-
lating to prohibitions against firearms possession; the ensuring that pro-
hibited persons do not have access to, come into contact with, and/or pos-
sess firearms; the fact that the laboratory obtains and maintains any
required federal, state, and/or local licenses; and the fact that the labora-
Page 95
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§4052
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
tory does comply with all applicable federal, state, and/or local laws and/
or regulations.
(j) A signed certification regarding: the possession of the required
equipment; the maintenance and calibration of that equipment; and the
laboratory does comply with safety, design, operation, and licensing and
approval requirements.
(k) The initial application processing fee required by subdivision
(b)( 1 ) of § 4065 of these regulations.
NOTE: Authority cited: Section 12130, Penal Code. Reference: Sections 12001.6.
12021, 12026.1, 12071 and 12126-12131.5, Penal Code.
History
1 . Change without regulatory effect renumbering section 968.3 1 to section 4051 .
including amendment of sub.sections (b) and (h). filed 6-28-2006 pursuant to
section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 4052. Pre-DOJ-Certification Requirements.
(a) Pursuant to subdivision (a)(4) of Penal Code § 12071, the DOJ is-
sues COEs. One or more of the owner(s), chief executive officer(s), or
person(s) with primary responsibility for the operation of the laboratory
shall obtain and maintain a valid COE as a condition of obtaining and
maintaining DOJ-Certification.
(b) Once a completed application has been received, the DOJ will
schedule an on-site inspection of the applicant laboratory. During this in-
spection the applicant laboratory shall demonstrate its ability to conduct
handgun testing by doing all of the following:
(1) For the firing test:
(A) Fire 100 rounds through a semiautomatic pistol, stopping for 5 to
10 minutes after the first 50 rounds have been fired to allow the weapon
to cool, and stopping as needed to refill the empty magazine to capacity
before continuing. After the 100 rounds have been fired, tighten any
loose screws and clean the gun in accordance with the manufacturer's
instructions.
(B) Fire 100 rounds through a revolver, stopping for 5 to 10 minutes
after the first 50 rounds have been fired to allow the weapon to cool, and
stopping as needed to refill the empty cylinder to capacity before continu-
ing. After the 100 rounds have been fired, tighten any loose screws and
clean the gun in accordance with the manufacturer's instructions.
(C) Demonstrate the method to be used to determine whether there is
any crack or breakage of an operating part of the handgun that increases
the risk of injury to the user as set forth in subdivision (a)(2) of Penal
Code § 12127.
(2) For the drop tests:
(A) Have the following testing equipment available for inspection by
DOJ staff:
( 1 ) a drop test fixture capable of dropping a handgun from a drop
height of Im + 1cm - 0cm (39.4 in. + 0.4 in. - in.).
(2) a height gauge capable of measuring the required drop height.
(3) one or more concrete slabs with minimum dimensions of 7.5 X 15
X 15 cm (3X6X6 in.).
(B) Demonstrate that the drop test fixture is in proper working order
by dropping an object of the approximate size and weight of a handgun
from the fixture. The object shall drop and come to rest without interfer-
ence on or near the required concrete slab which shall rest upon a firm
surface.
(C) Demonstrate the ability to position a handgun in the drop fixture
at the required drop height and in each of the six drop positions identified
in Penal Code §12128.
(c) The handguns and ammunition used during the demonstration shall
be supplied by the applicant laboratory. The DOJ reserves the right to
supply the handguns and ammunition used during the demonstration.
NOTE: Authority cited: Sections 12127, 12128, 12130 and 12131.5, Penal Code.
Reference: Sections 12071, 12126 and 12130, Penal Code.
History
1. Change without regulatory effect renumbering section 968.32 to section 4052
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 4053. Grounds for Denial.
(a) An initial application for DOJ-Certification shall be denied if the
applicant laboratory:
( 1 ) Makes false statements on the application.
(2) Fails to ineet the security requirements identified in subdivision
(a)( 1 ) of § 4057 of these regulations.
(3) Is wholly or partly owned by, a part of, financed by, or in any other
way financially supported by any manufacturer/importer, wholesaler,
distributor, or dealer of handguns. As used in this subdivision, financial
support does not apply to situations wherein an applicant laboratory pro-
vides testing services to a manufacturer/importer, wholesaler, distribu-
tor, or dealer of handguns.
(4) Fails to demonstrate the ability to conduct the required testing in
an impartial, technically sound manner as set forth in subdivision (b) of
§ 4052 of these regulations, including having and using the equipment
required by subdivision (b)(2)(A) of that section.
(5) Fails to obtain the required COE(s).
(6) Fails to comply with any required local, state, and/or federal laws
and/or licensing requirements relating to handgun testing.
(7) Has any present or planned contractual, organizational, employ-
ment or other financial involvement and/or relationship (spouse(s), chil-
dren, sibling(s), parent(s), or in-law(s)) with any manufacturer/importer,
wholesaler, distributor, or dealer of handguns. This shall also apply to
any employee(s) directly involved in handgun testing, owner(s), share-
holders(s),partners(s),officer(s), and/or director(s) of the applicant labo-
ratory who has any such involvement or relationship.
(8) Is currently or plans to be a manufacturer/importer, wholesaler,
distributor, or dealer of handguns. This shall also apply to any em-
ployee(s) directly involved in handgun testing, owner(s), sharehold-
ers(s), partner(s), officer(s), and/or director(s) of the applicant laborato-
ry.
(9) Has a present or planned direct, indirect, and/or beneficial interest
aggregating $ 1 ,000 or more in any entity that is a manufacturer/importer,
wholesaler, distributor, or dealer of handguns. This shall also apply to
any employee(s) directly involved in handgun testing, owner(s), share-
holders(s), partner(s), officer(s), and/or director(s) of the applicant labo-
ratory.
(b) If the DOJ denies an application for DOJ-Certification, a Notice
of Denial will be provided to the applicant laboratory. The Notice shall
specify all grounds on which the denial is based.
(c) An applicant laboratory that has been served with a Notice of De-
nial may request a hearing. The written request must be received by the
DOJ no later than 20 days from the date of service of the Notice of Denial.
If a hearing is requested, it will be conducted in accordance with the Ad-
ministrative Procedure Act, Chapter 5 (commencing with section
1 1500), Part 1, Division 3, Title 2 of the Government Code. Failure to
make a written request for a hearing within the time specified above
constitutes a waiver of the right to a hearing. If this failure occurs or if the
applicant laboratory withdraws its appeal, the denial shall be final.
NOTE: Authority cited: Section 12130, Penal Code. Reference: Sections 12026.1,
12071, 12126-12128 and 12130, Penal Code; and Chapter 5 (commencing with
Section 11500), Part 1, Division 3. Title 2 of the Government Code.
History
1 . Change without regulatory effect renumbering section 968.33 to section 4053,
including amendment of subsections (a)(2) and (a)(4), filed 6-28-2006 pur-
suant to section 100, title 1 , California Code of Regulations (Register 2006, No.
26).
§ 4054. DOJ-Certification Period.
The DOJ-Certification shall be valid for two years from the date of is-
suance.
NOTE: Authority cited: Section 12130, Penal Code. Reference: Sections
12125-12128 and 12130, Penal Code.
History
1. Change without regulatory effect renumbering section 968.34 to section 4054
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Page 96
Register 2005, No. 26; 6-30-2006
Title 11
Firearms Regulations
§4057
§ 4055. Appeal Process
(a) If the DOJ fails to meet the time periods for concluding the proces-
sing of an Application for DOJ-Certification, Form FD 01 9 (Rev. 6-00),
the applicant may apply in writing for a full refund of all applicable ap-
plication fees. The request must be received by the DOJ within 20 days
from the date of service of the final decision granting or denying the ap-
plication.
(b) The DOJ shall respond within 10 days from the date of receipt of
a request for refund.
(c) If the refund is denied by the DOJ, the applicant may directly ap-
peal the denial in writing to the Attorney General. The appeal must be
filed within 20 days from the date of service of the refund denial. The ap-
peal shall set forth a concise statement of facts and a chronology of events
regarding the application.
(d) The appeal in subdivision (c) of this section will promptly be re-
viewed, and a decision will be issued within 30 days from the completion
of any investigation by the Attorney General. The appeal will be decided
in the applicant's favor if the DOJ has exceeded its maximum time period
for the issuance or denial of the DOJ-Certification, and the DOJ has
failed to establish good cause for exceeding this time period.
(e) The DOJ will provide information regarding this appeal process on
all Application for DOJ-Certification Forms, Form FD 019 (Rev. 6-00).
NOTE: Authority cited: Sections 15374-15378, Government Code. Reference:
Sections 15374-15378, Government Code; and Section 12130, Penal Code.
History
1. Change without regulatory effect renumbering section 968.36 to section 4055
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
Article 4. Operational Requirements:
Absence of Conflict of Interest; Security and
Safety Requirements; Licensing/Minimum
Standards Compliance; Which Handguns
Must Be Tested, Who May Submit
Handguns, Submission Requirements;
Testing Procedures; Test Reporting;
Required Records, Retention Periods,
Reporting Changes; Off-Site Locations;
Inspections
§ 4056. Absence of Conflict of Interest.
The DOJ-Certified Laboratory shall at all times ensure that:
(a) It is not wholly or partly owned by, a part of, financed by, or in any
other way financially supported by any manufacturer/importer, whole-
saler, distributor, or dealer of handguns. As used in this subdivision, fi-
nancial support does not apply to situations wherein an applicant labora-
tory provides testing services to a manufacturer/importer, wholesaler,
distributor, or dealer of handguns.
(b) None of the employee(s) directly involved in handgun testing,
owner(s), shareholders(s), partner(s), officer(s), and/or director(s) of the
DOJ-Certified Laboratory:
( 1 ) Has any contractual, organizational, employment or other financial
involvement and/or relationship (spouse(s), children, sibling(s), par-
ent(s), or in-law(s)) with any manufacturer/importer, wholesaler, dis-
tributor, or dealer of handguns.
(2) Is a manufacturer/importer, wholesaler, distributor, or dealer of
handguns.
(3) Has any direct, indirect, or beneficial interest aggregating $1,000
or more in any entity that is a manufacturer/importer, wholesaler, distrib-
utor, or dealer of handguns.
Note: Authority cited: Section 12130, Penal Code. Reference: 12125, 12127 and
12128, Penal Code.
History
1. Change without regulatory effect renumbering section 968.40 to section 4056
filed 6-28-2006 pursuant to secfion 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 4057. Security and Safety.
(a) The DOJ-Certified Laboratory shall have written security proce-
dures if handguns are to be stored and/or transported by the DOJ-Certi-
fied Laboratory. DOJ-Certified Laboratory staff shall be informed of
these written procedures which shall be available upon request, and in-
clude all of the following:
(1) The handgun(s) shall be stored unloaded in a safe or a secure room
which shall be locked while unattended, and shall meet all of the follow-
ing requirements:
(A) A safe shall be Underwriter's Laboratory approved.
(B) A secure room shall be away from any general living or work area.
All doors leading into a secure storage room shall be solid core with a
dead-bolt lock or the equivalent, or the handgun(s) shall be stored in an
anchored, locked metal box in the room. Anchored is defined as either
permanently mounted to the floor or having a gross weight of 1,000
pounds or more so that heavy equipment or tools would be required to
remove the box. Any secure storage room with direct entries, including
windows and skylights, from the exterior of the building shall have: steel
window guards (not recommended for private residences); an audible, si-
lent or sonic alarm to detect entry; or a 24-hour security guard service.
(2) If the handgun(s) will be stored at a location different from the prin-
cipal place of business, or at the applicant's residence and that residence
is rented/leased, the applicant shall submit to the DOJ written approval
from the owner and the location shall meet all security requirements.
(3) Ammunition shall be stored separately from the handguns in a se-
cure room, cabinet or box which shall be and locked while unattended.
(4) When transporting a handgun for delivery to an authorized recipi-
ent or off-site testing location, the handgun shall be transported as re-
quired by California Penal Code § 1 2026. 1 , or as required by any applica-
ble federal, state, and/or local statute and/or ordinance if outside of
California.
(5) Any handgun not actively being tested shall be locked in the safe
or the secure room or box. Upon receipt, a handgun shall be placed in the
laboratory's safe or the secure room or box until testing is commenced.
Any handgun to be shipped from the laboratory shall be kept in the safe
or secure room or locked metal box until arrival of the person authorized
to receive the handgun or until laboratory personnel are prepared to trans-
port the handgun for delivery to an authorized recipient.
(6) Any handgun that is lost or stolen shall be reported within ten (10)
working days to the submitting manufacturer/importer, local law en-
forcement agency, and DOJ. The DOJ-Certified Laboratory shall main-
tain the following records relating to any such handguns: the type, make,
model, caliber, barrel length, category, and serial number of the lost/sto-
len handgun; the date of the loss/theft; the date the loss/theft was reported
to the submitting manufacturer/importer, local law enforcement, and
DOJ; and any case/report number(s) assigned by the local law enforce-
ment agency to the loss/theft. The DOJ-Certified Laboratory shall main-
tain these records for at least ten (10) years.
(b) The DOJ-Certified Laboratory shall at all times ensure that:
(1) All persons conducting, supervising and/or observing handgun
testing under this program have and use personal safety equipment that
meets or exceeds applicable current federal, state and/or local standards
and the requirements of any occupational and/or industrial safety agency
having jurisdiction over the laboratory and its activities.
(2) The design and operation of the laboratory's facilities meet or ex-
ceed applicable current federal, state and/or local standards and/or re-
quirements.
(3) Laboratory testing staff are familiar with and exercise safe firearms
handling and operational practices as defined in all applicable federal,
slate, and/or local laws.
Page 97
Register 2006, No. 26; 6-30-2006
§4058
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(4) The following warning in block letters not less than one inch in
height is conspicuously posted within all areas where drop testing is per-
formed:
"NO AMMUNITION SHALL BE PRESENT IN OR AROUND
THIS DROP TESTING AREA OR IN THE POSSESSION OF ANY
PERSONNEL ACTIVELY ENGAGED IN CONDUCTING DROP
TESTS."
NOTE; Authority cited: Section 12130, Penal Code. Reference: Sections 12026.1
and 12130, Penal Code.
History
1. Change without regulatory effect renumbering section 968.41 to section 4057
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Reeulations
(Register 2006, No. 26).
§ 4058. Licensing/Minimum Standards Compliance.
The DOJ-Certified Laboratory shall at all times:
(a) Comply with all applicable local, state, and/or federal laws relating
to handgun testing.
(b) Ensure that any required licensing and/or approvals by any federal,
state, and/or local agency having jurisdiction over this laboratory have
been obtained and are maintained while holding a DOJ-Certification, in-
cluding the required COE(s).
(c) Inform staff of any applicable federal, state, and/or local laws,
which apply to the jurisdiction in which the laboratory does business, that
prohibit a person from possessing firearms, and ensure that persons
known to be prohibited from possessing firearms do not have access to,
come into contact with, or possess firearms.
(d) Have in its possession at all times while holding DOJ-Certification
the equipment identified in subdivision (b)(2)(A) of § 4052. The DOJ-
Certified Laboratory shall maintain and/or calibrate the equipment in ac-
cordance with the equipment manufacturer's recommendations and re-
quirements. The DOJ-Certified Laboratory shall ensure that records of
such maintenance and calibradon are available for use by testing person-
nel and for inspection by DO J staff.
NOTE: Authority cited: Section 12130, Penal Code. Reference: Section 12001.6,
12021, 12071, 12128 and 12130, Penal Code.
History
1 . Change without regulatory effect renumbering section 968.42 to section 4058,
including amendment of subsection (d), filed 6-28-2006 pursuant to section
100. title 1, California Code of Regulations (Register 2006, No. 26).
§ 4059. Which Handguns l\/lust Be Tested, Who May
Submit Handguns, Submission Requirements.
(a) Pursuant to subdivision (a) of Penal Code § 12130, any pistol, re-
volver, or other firearm capable of being concealed upon the person
manufactured in this state, imported into the state for sale, kept for sale,
or offered or exposed for sale, shall be tested by a DOJ-Certified Labora-
tory. The handguns submitted for testing shall not be modified in any way
from those thai would be sold if certification is granted. If it is determined
by the DOJ that the handguns submitted for testing are modified in any
way from those that are being sold after certification has been granted,
that model will be immediately removed from the Roster of Certified
Handguns.
(b) Pursuant to Penal Code § 12131.5, a handgun model shall be
deemed not to be unsafe if another handgun model has already been de-
termined not to be unsafe and the untested handgun differs from the
tested handgun only as specified in subdivision (a) of that section. Such
handguns will be reviewed on a case-by-case basis by the DOJ to deter-
mine whether or not a new test will be required.
(c) Other than the DOJ, only the manufacturer/importer of a handgun
model is authorized to submit that handgun model to a DOJ-Certified
Laboratory for testing.
(d) Three handguns of each model to be tested shall be submitted to
the DOJ-Certified Laboratory. Manufacturers/Importers may supply
any information that they believe may be needed by the laboratory for
proper and safe operafion of the handgun. The following information
shall be supplied in the English language with each handgun model sub-
mitted for testing:
( 1 ) Instaictions for field disassembly/assembly and diagram(s) identi-
fying all parts.
(2) Cleaning instructions. These may be different from and in addition
to the instructions that are provided when the handgun model is sold.
(3) A description of each safety feature designed into the handgun,
how each safety .feature is intended to function, and for those under
shooter control, how the shooter should operate (activate/deacfivate)
each safety feature.
(4) A statement regarding the ammunition the manufacturer/importer
markets and/or recommends that the handgun being tested is designed to
handle. This may also include information on ammunition known to be
beyond the design limits of the handgun and/or known not to function in
the handgun.
(e) The manufacturer/importer shall be allowed, but not required, to
provide the standard ammunition to be used during the firing test pro-
vided that, if applicable, it is the more powerful cartridge marketed/rec-
ommended by the manufacturer/importer. The manufacturer/importer
shall be allowed to inspect any laboratory supplied standard ammunition
before testing begins. The manufacturer/importer or DOJ-Certified Lab-
oratory shall indicate the ammunition lot number and submit to the DOJ
an executed Attachment A of the Compliance Test Report. Notwith-
standing the above, the DOJ may allow a handgun to be tested with newly
designed non-standard ammunition that is not yet "available for pur-
chase at consumer-level retail outlets." Any such ammunition shall be
commercially produced and factory loaded.
NOTE:Authoritycited: Sections 12127, 12128 and 12130, Penal Code. Reference:
Sections 12126-12131.5, Penal Code.
History
1 . Change without regulatory effect renumbering section 968.43 to section 4059
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 4060. Testing Procedures.
(a) The only persons allowed to conduct handgun tesfing are autho-
rized staff of the DOJ-Certified Laboratory. In addifion to this staff, rep-
resentatives of the manufacturer/importer and/or the DOJ shall be al-
lowed to be present during testing. Any such representadve(s) shall not
participate in the testing. However, if deemed necessary by the staff of
the DOJ-Certified Laboratory, representative(s) of the manufacturer/im-
porter may be asked to provide advice and/or guidance regarding the
characteristics, handling, and/or operafion of the handgun.
(b) Prior to beginning the required testing the DOJ-Certified Labora-
tory shall determine whether the safety device described in Penal Code
§ 12126(a)(1) or (b)(1) is present.
( 1 ) If the DOJ-Certified Laboratory needs guidance in making this de-
termination, the information required by subdivision (d) of § 4059 of
these regulations should be consulted. If the DOJ-Certified Laboratory
is still not able to make this determination, they should contact the
manufacturer/importer for additional information. Any additional in-
formation received from the manufacturer/importer shall be included
with the information submitted pursuant to subdivision (d) of § 4059 of
these regulations.
(2) If a DOJ-Certified Laboratory is still uncertain whether a positive
manually operated safety device is present on a pistol even after it re-
ceives additional information, the firing and drop tests should be per-
formed. If the pistol passes these tests, the laboratory should submit the
pistol to the DOJ with a letter explaining the steps taken to determine
whether the positive manually operated safety device is present. The lab-
oratory must indicate its preliminary decision regarding the positive
manually operated safety device. The letter should also include any in-
formation that would support the position taken by the laboratory. This
includes a description of the positive manually operated safety device(s)
incorporated into the pistol's design and an explanation of how this de-
sign replicates the positive manually operated safety device of a pistol de-
sign that has already been determined to meet the standards promulgated
by the BATE. The DOJ will use this information to determine whether
the pistol can be sold in California.
Page 98
Register 2006, No. 26; 6-30-2006
Title 11
Firearms Regulations
§4061
(c)(1) Commencing May 22, 2006, the DOJ-Certified Laboratory
shall conduct the required testing of a center-fire semiautomatic pistol
only after ascertaining the firearm has a functioning chamber load indica-
tor or a functioning magazine disconnect mechanism.
(2) Commencing January 1 , 2007, the DOJ-Certified Laboratory shall
conduct the required testing of a center-fire semiautomatic pistol which
accepts a detachable magazine only after ascertaining the firearm has
both a functioning chamber load indicator and a functioning magazine
disconnect mechanism.
(3) Commencing May 22, 2006, the DOJ-Certified Laboratory shall
conduct the required testing of a rim-fire semiautomatic pistol which ac-
cepts a detachable magazine only after ascertaining the firearm has a
functioning magazine disconnect mechanism.
(d)(l ) A functioning chamber load indicator must meet all of the fol-
lowing conditions:
(A) Explanatory text and/or graphics either incorporated within the
chamber load indicator or adjacent to the chamber load indicator is/are
permanently displayed by engraving, stamping, etching, molding, cast-
ing, or other means of permanent marking.
(B) Each letter of explanatory text must have a minimum height of
1/16 inch.
(C) The explanatory text and/or graphics shall be of a distinct visual
contrast to that of the firearm.
(D) The "loaded" indication, that portion of the chamber load indicator
that visually indicates there is a round in the chamber, shall be of a distinct
color contrast to the firearm.
(E) Only when there is a round in the chamber, the "loaded" indication
is visible on the firearm from a distance of at least twenty-four inches.
When there is no round in the chamber, the "loaded" indication must not
be visible.
(F) The text and/or graphics and the "loaded" indication together in-
form a reasonably foreseeable adult user of the pistol, that a round is in
the chamber, without requiring the user to refer to a user's manual or any
other resource other than the pistol itself.
(2) A functioning magazine disconnect mechanism must prevent the
ammunition primer from being struck with a pull of the trigger or at-
tempted pull of the trigger whenever a detachable magazine is not in-
serted in the pistol.
(e) The "firing requirement for handguns" is the first test to be under-
taken by the DOJ-Certified Laboratory. The firing test shall be con-
ducted in the manner prescribed in Penal Code § 1 2 1 27 and in accordance
with the following:
( 1 ) For the purposes of determining whether a handgun passes the "fir-
ing requirement for handguns," "malfunction" includes any failure to op-
erate as designed including the failure of a pistol's slide to remain open
after a manufacturer-approved magazine has been expended, provided
that the handgun was designed by the manufacturer to remain open.
(2) If the manufacturer/importer markets and/or recommends that the
handgun model is designed to handle multiple cartridges, the standard
ammunition used during the firing test shall be the more powerful mar-
keted/recommended cartridge. However, the DOJ-Certified Laboratory
shall not use any standard ammunition known to be beyond the design
limits of the handgun and/or known not to function in the handgun.
(3) If a pistol has multiple chambers the 600 rounds shall be evenly ap-
portioned between the chambers.
(4) The DOJ-Certified Laboratory shall determine whether there is
any crack or breakage of an operating part of the handgun that increases
the risk of injury to the user, as set forth in subdivision (a)(2) of Penal
Code§ 12127.
(5) Should a handgun fail the "firing requirements for handguns" test,
three handguns of that make and model must be re-submitted for the fir-
ing test. Handguns that do not pass the "firing requirements for hand-
guns" test may not be submitted for the "drop safety requirement for
handguns" testing.
(f) The "drop safety requirement for handguns" is the last test to be un-
dertaken by the DOJ-Certified Laboratory. The drop tests shall be con-
ducted in the manner prescribed in Penal Code § 1 2 1 28 and in accordance
with the following:
( 1 ) The drop height of Im -i- 1 cm - 0cm (39.4 in. + 0.4 in. - in.) shall
be measured from the lowermost portion of the handgun as situated in the
drop fixture to the top surface of the required concrete slab. The required
concrete slab shall rest upon a firm surface and the face of the slab shall
be perpendicular to the direction of the drop. If a handgun has an exposed
hammer, the hammer shall be fully cocked during each drop test. When
dropped the handgun shall initially strike the face of the required concrete
slab and then come to rest without interference.
(2) The primed cases used during the drop test shall be produced by
the ammunition manufacturer of and made from the same cases and prim-
ers as the standard ammunition that is used during the firing test as set
forth in §§ 4059(e) and 4060(e)(2) of these regulations.
(3) If a pistol has multiple chambers and/or firing pins, the tests shall
be conducted as follows. For each of the drop tests a primed case will be
placed in each chamber. If the hammer or firing pin alternates between
chambers, the pistol will be dropped once for each hammer or firing pin
position.
(4) Minimal damage, such as broken grips or sights, can and will occur
during the course of the drop testing. Damage and/or breakage that af-
fects the overall dimensions of the handgun shall be repaired prior to con-
tinuing the drop tests. After each of the first five drop tests the DOJ-Cer-
tified Laboratory shall determine whether the handgun has been rendered
incapable of firing a primed case prior to conducting the next drop test.
If so, the handgun model shall either be repaired, or the test shall be
stopped and three new handguns must be submitted for testing beginning
with the "firing requirement for handguns."
(5) After examining the primed case(s) for indentations after each drop
test, each primed case shall be fired to determine whether the primer was
functional. If not, the drop test shall be repeated with a new primed
case(s). A new primed case(s) will be used for the next drop test.
(6) Should a handgun fail the "drop safety requirement for handguns,"
or be found incapable of firing a primed case, three new handguns of that
make and model must be submitted for testing beginning with the "firing
requirements for handguns" test.
(g) A DOJ representative may request and shall be provided with spent
or unspent rounds of and/or the packaging for the standard ammunition
that is being used for firing tests. A DOJ representative may also request
and shall be provided with the packaging for and/or used or unused
primed cases that are being used for drop tests.
(h) The same three handguns that pass the "firing requirements for
handguns" test must also pass the "drop safety requirement for hand-
guns" before that make and model can be considered for certification,
(i) The DOJ-Certified Laboratory shall report a handgun to the DOJ
as "not unsafe" only if it has passed the required testing and the lab has
confirmed that any chamber load indicator and/or magazine disconnect
identified pursuant to subdivisions (c) and (d) of § 968.44 of these regu-
lations continues to function upon completion of the required testing.
NOTE: Authority cited: Sections 12126, 12127, 12128 and 12130, Penal Code.
Reference: Sections 12125-12131.5, Penal Code.
History
1. Change without regulatory effect renumbering section 968.44 to section 4060,
including amendment of subsections (b)(1) and (f)(2), filed 6-28-2006 pur-
suant to section 1 00, title 1 , California Code of Regulations (Register 2006, No.
26).
§ 4061 . Test Reporting.
(a) If a handgun model is certified as having passed the required test-
ing, the DOJ-Certified Laboratory shall submit to the DOJ a completed
Compliance Test Report and one of the tested handguns in accordance
with Penal Code § 1 2 1 30. The Compliance Test Report shall be on Form
FD 021 (Rev. 6-00) which shall require all of the information identified
in subdivision (a) of § 4062 of these regulations, and be signed by the per-
son authorized to sign on behalf of the DOJ-Cerlified Laboratory. The
DOJ will allow DOJ-Certified Laboratories to develop and use auto-
mated formats for the Compliance Test Report provided the proposed
Page 99
Register 2006, No. 26; 6-30-2006
§4062
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
format presents the information in the same order and with the same
wording as Form FD 021 (Rev. 6-00).
(b) The Compliance Test Report shall be submitted by the DOJ-Certi-
fied Laboratory within ten (10) working days of the completion of the
testing. Failure to submit the required Compliance Test Report to the
DOJ within the time frame identified above shall not invalidate the re-
sults of the testing. However, the DOJ-Certified Laboratory may be sub-
ject to inspection by the DOJ to determine whether grounds exist to re-
voke the DOJ-Certification.
(c) Manufacturers/Importers are prohibited from placing any state-
ment on the handgun itself, the labeling, and/or accompanying user in-
formation that in any way states, imphes, and/or otherwise suggests that
the model has been determined not to be unsafe until such time as the
model has successfully completed testing at a DOJ-Certified Laborato-
ry, and a letter of compliance for the model tested has been issued to the
manufacturer by the DOJ. At that time, the manufacturer/importer may
place the following statement in the required user information:
"The manufacturer/importer certifies that this model of handgun has
been tested and has been determined not to be an unsafe handgun as
defined in California Penal Code Section 12126. "
NOTE: Authority cited: Section 12130, Penal Code. Reference: Sections
12127-12131.5. Penal Code.
History
1. Change without regulatory effect renumbering section 968.45 to section 4061,
including amendment of subsection (a), filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 4062. Required Records, Retention Periods, Reporting
Ciianges.
(a) The DOJ-Certified Laboratory shall for a minimum of five (5)
years from the date of the Compliance Test Report maintain sufficient re-
cords to support the results of any and all such reports. The information
required to be recorded, reported, and maintained is:
(1) The name and address of the DOJ-Certified Laboratory that con-
ducted the test and the name of the person who should be contacted if
there are any questions regarding the testing and/or the report.
(2) The name and address of the manufacturer/importer which sub-
mitted the handgun model for testing. If the DOJ submitted the model,
this shall be noted in the records.
(3) Date, time, and location of the testing. This includes any off-site
equipment and/or facilities that are used during any portion of the testing.
(4) A unique reference number/identifier issued by the DOJ-Certified
Laboratory for the testing.
(5) The type (pistol or revolver), make, model, caliber, barrel length,
construction material, and serial numbers of all handguns that were
tested. This includes "replacement" handguns as allowed by subdivision
(b) of Penal Code § 12127 and subdivision (f)(4) of § 4060 of these regu-
lations. The serial number of the handgun which was submitted to the
DOJ shall also be identified.
(6) The manufacturer, cartridge, caliber, bullet weight and type, and
the lot number of the standard ammunition that was used during the firing
test.
(7) The manufacturer of the case and primer for the primed cases that
were used during the drop test.
(8) Whether the required safety device was present or any information
supporting the preliminary determination regarding the required safety
device.
(9) Statement confirming the presence of any chamber load indicator
and/or magazine disconnect required pursuant to subdivisions (b), (c),
and (d) of Penal Code § 12126 and subdivisions (c), (d) and (h) of § 4060
of these regulations.
(10) The results of each phase of the following required testing: the ini-
tial 20 rounds; the entire 600 rounds; the normal firing position, barrel
horizontal drop; the upside down, barrel horizontal drop; the on grip, bar-
rel vertical drop; the on muzzle, barrel vertical drop; the on either side.
barrel horizontal drop; and the exposed hammer/rearmost point of the de-
vice or handgun drop.
(11) The date the Compliance Test Report was submitted to the DOJ.
(12) A certification signed under penalty of perjury that standard am-
munition was used during the firing test and that, if applicable, it was the
more powerful cartridge marketed/recommended by the manufacturer/
importer.
(b) The following records shall also be maintained by all DOJ-Certi-
fied Laboratories:
(1 ) A listing of any and all off-site locations that have been reported
to the DOJ, and are or may be used by the DOJ-Certified Laboratory for
handgun testing.
(2) A current agreement or contract for any 24 hour security guard sys-
tem that is used to comply with subdivision (a)(1)(B) of § 4057 of these
regulations.
(3) A listing of all current employees who are directly involved in
handgun testing as well as the COE number for those employees who
possess a COE.
(4) Records relating to the current ownership of the laboratory.
(c) The DOJ-Certified Laboratory may record and maintain any other
handgun testing records it deems necessary.
(d) The DOJ-Certified Laboratory shall report within 10 working days
any changes:
(1) In the ownership, involvements, relationships, license prohibi-
tions, and/or interests identified in § 4056 of these regulations and ensure
that any such change would not constitute grounds for denial of an Ap-
plication for DOJ-Certification, Form FD 019 (Rev. 6-00).
(2) Involving: management personnel, handgun testing supervisor(s)
and/or personnel, persons authorized to sign Compliance Test Reports,
person(s) who hold COE(s); and/or the handgun testing equipment and/
or facilities of the laboratory.
NOTE: Authority cited: Sections 12126, 12129 and 12130, Penal Code. Reference:
Sections 12001.6, 12021 and 12125-12131.5, Penal Code.
History
1. Change without regulatory effect renumbering section 968.46 to section 4062,
including amendment of subsections (a)(5), (a)(9) and (d)(1), filed 6-28-2006
pursuant to section 100, title 1 , California Code of Regulations (Register 2006,
No. 26).
§ 4063. Off-Site Location.
(a) A DOJ-Certified Laboratory shall not be allowed to utilize any
handgun testing equipment and/or facilities that are physically situated
at a location other than the primary business address of the laboratory un-
less all of the following conditions are met:
(1 ) The off-site location is not more than 100 miles from the primary
business address.
(2) The DOJ-Certified Laboratory provides the following information
to the DOJ prior to beginning any testing at the off-site location: the name
of the facility/owner, telephone number, physical address of the location;
and the type of equipment and/or facilities to be used and/or the testing
to be performed at each location.
(b) Notwithstanding subdivision (a) of this section, if more than one
off-site location is needed for testing purposes, the applicant or DOJ-
Certified Laboratory must submit a completed Request to Utilize an
Additional Off-Site Location, Form FD 020 (Rev. 6-00) for each such
location. As set forth in subdivision (b)(4) of § 4065 of these regulations,
the DOJ-Certified Laboratory shall pay the actual reasonable costs in-
curred by the DOJ during an on-site inspection of the location.
(c) The DOJ reserves the right to prohibit a DOJ-Certified Laboratory
from conducting handgun tests at an off-site location if the results of any
such testing could not be rendered fairly, impartially, and independent of
any manufacturer, importer or other entity which has any direct and/or
indirect economic interest in the results of the testing.
NOTE: Authority cited: Section 12130, Penal Code. Reference: Sections 12127,
12128 and 12130, Penal Code.
Page 100
Register 2006, No. 26; 6-30-2006
Title 11
Firearms Regulations
§4068
•
History
1 . Change without regulatory effect renumbering section 968.47 to section 4063,
inchiding amendment of subsection (b), filed 6-28-2006 pursuant to section
1 00, title 1 , California Code of Regulations (Register 2006, No. 26).
§ 4064, Inspections.
(a) At any time during regular business hours and/or when testing is
being conducted, the DOJ-Certified Laboratory shall allow reasonable
access by any authorized DOJ employee(s), upon presentation of proper
identification. The DOJ ernployee(s) will inspect facilities and records
relating to handgun testing and observe any handgun tests being per-
formed to ensure compliance with any applicable federal, state, and/or
local law(s) and these regulations.
(b) Within six months of the date of DOJ-Certification the DOJ will
conduct a follow-up on-site compliance inspection of the DOJ-Certi-
fied Laboratory to observe actual handgun testing and inspect equipment
and facilities. As set forth in subdivision (b)(3) of § 4065 of these regula-
tions, the DOJ-Certified Laboratory shall pay the reasonable transporta-
tion costs incurred by the DOJ during this inspection.
(c) The DOJ-Certified Laboratory will be notified in writing of the re-
sults of any inspection conducted pursuant to this section within 15 days
from the date of the completion of the inspection. The notification will
include a list of any and all violations of any statute and/or these regula-
tions and the action required to correct each violation.
(d) The corrective action(s) shall be completed within 15 days of the
date of notification. An acknowledgment prepared by the DOJ to be
signed by the owner, chief executive officer, or person with primary re-
sponsibility for the operation of the laboratory that they have been made
aware of the violation(s), that the necessary corrective action(s) have
been performed, and that all necessary action(s) will be taken to ensure
that future violations do not occur. The acknowledgment shall be signed
and returned to the DOJ within 15 days from the date of service of the
notification unless the DOJ has determined that the violation requires im-
mediate attention. If immediate attention is required, the DOJ-Certified
Laboratory shall take the corrective action(s) within the time specified by
the DOJ in the notification.
(e) The DOJ-Certified Laboratory shall submit to the DOJ a monthly
schedule of the days on which it is planning to perform handgun testing.
The schedule for each month shall be submitted to the DOJ five days be-
fore the beginning of the month being reported. The DOJ may contact the
DOJ-Certified Laboratory telephonically for information regarding any
additions/deletions to the schedule. The DOJ will accept schedules sub-
mitted by electronic transmission.
NOTE: Authority cited: Section 12130, Penal Code. Reference: Sections 12126,
12127, 12128 and 12130, Penal Code.
History
1. Change without regulatory effect renumbering section 968.48 to section 4064,
including amendment of subsection (b), filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 5. Application Fees
§ 4065. Application Fees.
(a) Pursuant to subdivision (b) of Penal Code §§ 12130 and 1213 1, the
DOJ shall recover the full costs of laboratory certifications and renewals.
(b) Standard Fees:
(1) Initial Application for DOJ-Certification, Form FD 019 (Rev.
6-00), including the costs of the pre-certification on-site inspection
(staff salaries/wages, travel, lodging) as set forth in subdivision (b) of
§ 4052 of these regulations: $1,600.
(2) The actual costs associated with the post-DOJ-Certification fol-
low-up on-site compliance inspection(s) as set forth in subdivision (b)
of § 4064 of these regulations, not to exceed $1,500.
(3) Renewal Application for DOJ-Certification, Form FD 019 (Rev.
6-00), including the costs of one on-site inspection (staff salaries/wages,
travel, lodging) during the two-year term of the certification, as set forth
in § 968.48 of these regulations: $800
(4) The actual reasonable costs (staff salaries/wages, travel, lodging)
incurred during the inspection of each additional off-site location, not to
exceed the state per-diem in effect at the time of the inspection.
NOTE; Authority cited: Section 12130, Penal Code. Reference: Sections 12127,
12128 and 12130, Penal Code.
History
1 . Change without regulatory effect renumbering section 968.50 to section 4065,
including amendment of subsections (b)(1) and (b)(2), filed 6-28-2006 pur-
suant to section 100, title 1, California Code of Regulations (Register 2006, No,
26).
Article 6. DOJ-Certification Revocation
§ 4066. DOJ-Certification Revocation.
(a) A DOJ-Certification may be revoked. The following constitute
grounds for revocation:
(1) Any act of gross negligence.
(2) Repeated acts of negligence.
(3) Any violation of these regulations and/or any applicable statute.
(4) Any of the grounds for denial stated in § 4053 of these regulations
(5) Refusal to participate in DOJ-initiated retesting or reinstatement
testing as prescribed in §§ 4073 and 4074 of these regulations.
(b) Any revocation action will be conducted in accordance with the
Administrative Procedure Act, Chapter 5 (commencing with section
1 1500), Part 1 , Division 3, Title 2 of the Government Code.
(c) Upon revocation the laboratory will be removed from the roster of
DOJ-Certified Laboratories.
NOTE: Authority cited: Section 12130, Penal Code. Reference: Sections 12127,
12128 and 12130, Penal Code; and Chapter 5 (commencing with section 1 1500),
Part 1, Division 3, Title 2 of the Government Code.
History
1 . Change without regulatory effect renumbering section 968.60 to section 4066,
including amendment of subsection (a)(4) and (a)(5), filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 7. DOJ-Certification Renewal:
DOJ-Certification Renewal Procedures ;
DOJ-Certification After Expiration
§ 4067. DOJ-Certification Renewal Procedures.
A DOJ-Certification must be renewed prior to expiration in order to
remain vahd. The following is the procedure for DOJ-Certification re-
newal:
(a) The DOJ will mail an application to each DOJ-Certified Laborato-
ry 60 days prior to the expiration date of the DOJ-Certification.
(b) The DOJ-Certified Laboratory wishing to renew the DOJ-Certifi-
cation shall submit to the DOJ an Application for DOJ-Certification,
Form FD 019 (Rev. 6-00), with the renewal fee set forth in subdivision
(b)(3) of § 4065 of these regulations.
(c) Once these requirements are met and the application has been pro-
cessed, the DOJ will send a renewed DOJ-Cerfitlcation.
(d) If a laboratory fails to comply with these renewal requirements, the
DOJ-Certificafion shall expire by operaUon of law at midnight on the ex-
piration date stated on the DOJ-Certification.
NOTE: Authority cited: Section 12130, Penal Code. Reference: Sections 12001.6,
12021, 12026.1, 12071 and 12126-12131.5, Penal Code.
History
1 . Change without regulatory effect renumbering section 968.70 to section 4067,
including amendment of subsection (b), filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 368. DOJ-Certification After Expiration.
When a DOJ-CerUfication has expired and not been renewed prior to
the stated expiration date, the person, firm, or corporafion shall make a
new application to the DOJ on an Application for DOJ-Certificafion,
Form FD 019 (Rev. 6-00), together with the iniual application fee set
forth in subdivision (b)(1) of § 4065 of these regulafions.
NOTE: Authority cited: Section 12130, Penal Code. Reference: Sections 12125,
12127, 12128 and 12130, Penal Code.
Page 101
Register 2006, No. 26; 6-30-2006
§4069
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
History
1. Change without regulatoi^ effect renumbering section 968.71 to section 4068,
including amendment of section, filed 6-28-2006 pursuant to section 100, title
1, California Code of Regulations (Register 2006. No. 26).
Article 8.
Service of Notices, Orders, and
Communications
§ 4069. Service of Notices, Orders, and Communications.
(a) Except as otherwise provided by law or in these regulations, no-
tices, orders, and other communications may be sent by United States
mail, electronic transmission, and/or common carrier to an applicant or
DOJ-Certified Laboratory at the address of the applicant or DOJ-Certi-
fied Laboratory as shown on the application or DOJ-Certification.
(b) Notices and orders shall be deemed to have been served upon their
deposit, first-class postage prepaid, in the United States mail, and the
time specified in any such notice shall commence to run from the date of
such mailing.
NOTE: Authority cited: Sections 12129-12131.5, Penal Code. Reference: Sec-
tions 12126-1213.3, Penal Code.
History
1. Change without regulatory effect renumbering section 968.80 to section 4069
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
Article 9. Roster of Certified Handguns;
Roster of Certified Handgun Listing Renewal
Procedures
§ 4070. Roster of Certified Handguns.
(a) Within 10 days of the receipt of the Compliance Test Report, Form
FD 021 (Rev. 6-00), and one prototype handgun, from the DOJ-Certi-
fied Laboratory; and the receipt of the initial annual hsting fee from the
manufacturer/importer, the DOJ will determine whether the handgun is
not unsafe and may be sold in California. After the determination that the
model may be listed, the DOJ will add the handgun model to the Roster
of Certified Handguns. The listing will be valid for one year from the date
the model was added to the Roster, and shall be renewed as set forth in
§ 407 1 of these regulations.
(b) Within 10 days of the receipt of the initial annual listing fee and a
request from a manufacturer/importer to have a handgun model added to
the Roster pursuant to Penal Code § 12131.5, the DOJ will determine
whether the handgun model may be listed without testing. After the de-
termination that the model may be listed, the DOJ will add the handgun
model to the Roster. The listing will be valid for one year from the date
the model was added to the Roster, and shall be renewed as set forth in
§ 407 1 of these regulations.
(c) A handgun model may be removed from the Roster for any of the
following reasons:
( 1 ) If the annual maintenance fee is not paid as set forth in subdivision
(b) of Penal Code § 12131.
(2) If it is determined that the handgun models submitted for testing
were modified in any way from those that were sold after certification
was granted.
(3) If it is determined that the handgun is in fact unsafe based upon fur-
ther testing.
(d) A handgun model may remain on the Roster after a manufacturer/
importer discontinues manufacturing/importing the model or goes out of
business provided that all of the following requirements are met:
( 1 ) Evidence is provided that the manufacturer/importer has either dis-
continued manufacturing/importing the handgun model or gone out of
business.
(2) The manufacturer/importer is no longer offering the handgun mod-
el to licensed firearms dealers.
(3) Either a fully licensed wholesaler, distributor, or dealer submits a
written request to continue the listing and agrees to pay the annual main-
tenance fee as set forth in § 4072 of these regulations. The request shall
be submitted to the DOJ stating that all of the above conditions have been
met.
(e) A manufacturer/iinporter or other responsible party may submit a
written request to list a handgun model that was voluntarily discontinued
or was removed for lack of payment of the annual maintenance fee. The
written request must state that no modifications have been made to the
rnodel and be submitted to the DOJ together with the annual listing fee
as set forth in § 4072 of these regulations. If approved, the listing will be
valid for one year from the date the model was added to the Roster, and
shall be renewed as set forth in § 407 1 of these regulations.
NOTE: Authority cited: Sections 12131 and 12131.5, Penal Code. Reference: Sec-
tions 12125-12133, Penal Code.
History
1. Change without regulatoi7 effect renumbering section 968.90 to section 4070,
including amendment of subsections (a), (b) and (e), filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 4071 . Roster of Certified Handgun Listing Renewal
Procedures.
A handgun itiodel listing on the Roster of Certified Handguns must be
renewed prior to expiration in order to remain valid. The following is the
procedure for renewal of a listing:
(a) The DOJ will mail a renewal notice to each manufacturer/importer
or other responsible person 60 days prior to the expiration of the handgun
model hsting.
(b) The manufacturer/importer or other responsible person wishing to
renew the listing shall submit to the DOJ a copy of the renewal notice
with the annual maintenance fee set forth in § 4072.
(c) Once these requirements are met and the request has been pro-
cessed, the DOJ will send a notification that the listing has been renewed.
(d) If the manufacturer/importer or other responsible person fails to
comply with these renewal requirements, the handgun model listing shall
expire by operation of law at midnight on the date of expiration of the list-
ing and the model will be removed from the Roster.
NOTE: Authority cited: Sections 12131 and 12131.5, Penal Code. Reference: Sec-
tions 12125-12133, Penal Code.
History
1. Change without regulatory effect renumbering section 968.91 to section 4071,
including amendment of subsection (b), filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 1 0. Fees for the Roster of Certified
Handguns
§ 4072. Fees for the Roster of Certified Handguns.
(a) Pursuant to subdivision (b) of Penal Code § 12131, the DOJ shall
recover the full costs of creating and maintaining the Roster of Certified
Handguns by collecting fees from manufacturers/importers of or other
parties responsible for handgun models that are listed on the Roster of
Certified Handguns.
(b) Standard Fees:
( 1 ) Initial annual listing fee: $200 for each model
(2) Annual maintenance fee for listing: $200 for each model
(c) Annual maintenance fees are non-refundable. There is no refund
or rebate for disconfinuation prior to compleUon of a full year's listing
on the Roster.
NOTE: Authority cited: Sections 12131 and 12131.5, Penal Code. Reference: Sec-
tions 12126 and 12129-12131.5, Penal Code.
History
1. Change without regulatory effect renumbering section 968.95 to section 4072
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 4073. Annual Retest of up to 5 Percent of Certified
Handgun Models.
(a) Handguns may be selected for retesting randomly, or in instances
where the DOJ has reason to believe, or the DOJ has received a substan-
Page 102
Register 2006, No. 26; 6-30-2006
Title 11
Firearms Regulations
§4081
tiated written expressed concern, that a handgun may not be compliant
with the law, the DOJ may independently choose a model for retesting.
The DOJ will randomly select a laboratory to conduct retesting. The se-
lected laboratory will be in good standing and will not have conducted
the original test that resulted in the selected handgun's approval.
(b) All three handgun samples selected for retesting shall be identical
to the model originally submitted to the DOJ for approval, including, but
not limited to: caliber, finish, sights, magazine, and grips. The DOJ will
pay all costs associated with the retest under § 4073.
(c) If a handgun model fails retesting, the DOJ shall remove the hand-
gun model from the Roster of Certified Handguns within 48 hours of re-
ceipt and review of the Retest Compliance Test Report (on a form pre-
scribed by the DOJ).
( 1 ) If a handgun model selected for retesting fails, and that model was
originally tested under Penal Code §§ 12127 and 12128, all other hand-
guns that were approved as "similars" under Penal Code § 12131.5 based
on the results of that original test, will simultaneously be removed from
the Roster.
(2) If a handgun model selected for retesting fails, and that model was
originally approved as a "similar" under Penal Code § 1213 1.5, the hand-
gun originally submitted for testing under Penal Code §§ 12127 and
12128, as well as all other handguns that were approved as "similars"
based on the original test, will simultaneously be removed from the Ros-
ter.
(d) Upon receipt and review of a Retest Compliance Test Report show-
ing a handgun failing the testing procedure, a Notice of Removal will be
sent by DOJ within 48 hours to the manufacturer or importer who origi-
nally submitted the handgun for testing or listing.
(e) Handguns removed from the Roster as a result of failed retesting
will not be credited or refunded any fees, including, but not limited to,
initial annual listing fees and annual maintenance fees.
NOTE: Authority cited: Section 12131, Penal Code. Reference: Section 1 2 1 3 1 , Pe-
nal Code.
History
1. Change without regulatory effect renumbering section 968.97 to section 4073,
including amendment of subsection (b), filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 4074. Reinstatement of Handguns Removed from the
Roster of Certified Handguns.
(a) The DOJ will only recognize reinstatement testing requests made
by a responsible party. The requestor will be responsible for the reinstate-
ment testing costs and the annual maintenance fee as set forth in § 4072
of these regulations. Reinstatement testing costs must be paid prior to
testing.
(b) Reinstatement testing will be conducted in accordance with § 4073
of these regulations. Reinstatement testing shall be conducted by the
same laboratory that performed the original retest, using the same am-
munition brand and cartridge, and test personnel, unless otherwise autho-
rized by the DOJ.
(c) Upon the successful reinstatement of a handgun the DOJ may, on
a case-by-case basis, reinstate "similar" handguns without retesting in
accordance with Penal Code § 12131.5.
(d) If a handgun model has passed the required reinstatement testing,
the DOJ-Certified Laboratory shall submit to the DOJ a completed Rein-
statement Test Compliance Report (on a form prescribed by the DOJ) and
one of the tested handguns within ten (10) working days of the comple-
tion of the testing. The Reinstatement Compliance Report shall require
all of the information identified in subdivision (a) of § 4062 of these regu-
lations, and be signed by the person authorized to sign on behalf of the
DOJ-Certified Laboratory. Failure to submit the required Reinstatement
Compliance Test Report to the DOJ within the time frame above shall not
invalidate the results. However, the DOJ-Certified Laboratory may be
subject to inspection by the DOJ to determine whether grounds exist to
revoke the DOJ-Certification.
(e) If the handgun model fails reinstatement testing, the DOJ-Certified
Laboratory shall provide to the DOJ a Reinstatement Test Compliance
Report (on a form prescribed by the DOJ) within ten (10) working days
of the completion of the testing. Failure to submit the required Reinstate-
ment Compliance Test Report to the DOJ within the time frame above
shall not invalidate the results. However, the DOJ-Certified Laboratory
may be subject to inspection by the DOJ to determine whether grounds
exist to revoke the DOJ-Certification.
(f) Reinstatement testing fees are not refundable regardless of test re-
sults.
(g) Handguns reinstated to the Roster upon successful completion of
the reinstatement process will be subject to renewal at the annual expira-
tion date established prior to removal from the Roster.
NOTE: Authority cited: Section 12131. Penal Code. Reference: Section 12 1 3 1 , Pe-
nal Code.
History
1. Change without regulatoi7 effect renumbering section 968.99 to section 4074,
including amendment of subsections (a), (b) and (d), filed 6-28-2006 pursuant
to section 100, title 1 , California Code of Regulations (Register 2006, No, 26).
Chapter 6. Department of Justice
Regulations for Certified Firearms Safety
Device Laboratories, Firearms Safety Device
Standards and Testing, and Standards for
Gun Safes
Article 1 .
General: Title; Scope; Extensions
for Compliance
§ 4080. Title and Scope.
(a) This chapter shall be known as "Department of Justice Regulations
For Certified Firearms Safety Device Laboratories, Firearms Safety De-
vice Standards and Testing, and Standards For Gun Safes," may be cited
as such, and is herein referred to as "these regulations."
(b) The provisions of these regulations implement, interpret, and make
specific the laboratory certification and firearms safety device testing
programs mandated by California Penal Code sections 12087 through
1 2088.9, which became effective January 1 , 2000. These regulations also
establish procedures to create and maintain both a roster of FSD laborato-
ries and a roster of certified firearms safety devices. These regulations
additionally estabhsh standards for gun safes and Firearms Safety Device
(FSD) standards and testing requirements. These regulations also apply
to any person, firm, and/or corporation that wishes to become certified
as a Certified FSD Laboratory.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering division 1 , chapter 12.6 (articles
1-8, sections 977.10-977.90) to division 5, chapter 6 (articles 1-8, sections
4080-4109) and renumbering section 977.10 to section 4080 filed 6-28-2006
pursuant to section 100, title 1 , California Code of Regulations (Register 2006,
No. 26).
§ 4081 . Extensions for Compliance.
If a Certified Firearms Safety Device Laboratory provides the Depart-
ment of Justice (DOJ) with written proof that through no fault of its own
it is not able to meet a deadline provided for in these regulations, the DOJ
may grant a temporary extension of time to meet that deadline. Any such
extension shall be in writing and shall designate a specific time period for
the extension.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.15 to section 4081
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006. No. 26).
Page 103
Register 2006, No. 26; 6-30-2006
§4082
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Article 2. Definition of Key Terms
§ 4082. Definition of Key Terms.
(a) "ATF" means the United States Department of Justice, Bureau of
Alcofiol. Tobacco, Firearms and Explosives.
(b) "Certified Firearms Safety Device Laboratory" or "Certified FSD
Laboratory" means a laboratory that has been granted FSD Laboratory
Certification by the DOJ.
(c) "COE" means a Certificate of Eligibility issued by the DOJ pur-
suant to subdivision (a)(4) of Penal Code section 12071 and the regula-
tions issued thereunder after a check of state and federal files has deter-
mined that at the time the check was performed, and based upon available
information, the applicant was not a person who was prohibited from
possessing firearms pursuant to state and federal laws.
(d) "Common household tools" means: screwdrivers (8-10 inches in
length, flathead or Phillips, flathead sizes up to 5/8 inches), pipe
wrenches (9 1/2 - 10 inches in length), vice grip pliers (9 1/2-10 inches
in length), other pliers (9 1/2 - 10 inches arch joint, 6-6 1/2-inch slip
joint, 6-6 1/2-inch long nose), hacksaws ( 1 2-inch, standard carbon steel
blade), crowbars (16 inch), electric/cordless drills (1/3 horsepower
corded/9.6 volt cordless), hammers (16 ounce), chisels (1/4-inch to
1-inch blade width wood chisels), and crescent wrenches (10 inch).
(e) "Completed Application" means: a completed Application for
Firearms Safety Device Laboratory Certification, (DOJ Form FD 031),
including application copies of any applicable licenses and/or certifi-
cates; any additional sheets of paper used to provide full and complete
answers to questions on the application; and copies of the laboratory's
written procedures relating to security and prohibited persons.
(f) "Corporafion" means any entity organized under California Corpo-
rations Code secfion 102(a) or similar statute if not a California corpora-
tion.
(g) "Day" means a calendar day unless otherwise specified in these
regulations.
(h) "Disabled" means defeating the Firearms Safety Device thereby
rendering the firearm capable of firing (expelling a projectile by the force
of an explosion or other form of combustion.)
(i) "DOJ" means the California Department of Justice.
(j) "DOJ-Approved Safety Device" means a firearms safety device
that has been tested by a certified FSD laboratory, has been determined
to meet the standards for firearms safety devices, and may be sold in
California pursuant to Penal Code section 12088.2.
(k) "Firearms manufacturer/importer" means either: A licensed
manufacturer of domestically produced firearms or, if one exists, a legal
successor-in-interest or other person with the consent of the manufactur-
er; and/or a federally licensed importer of foreign manufactured fire-
arms.
(/) "Firearms safety device" means a device that locks and is designed
to prevent children and unauthorized users from firing a firearm. The de-
vice may be installed on a firearm, be incorporated into the design of a
firearm, or prevent access to the firearm.
(m) "Firearms Safety Device Compliance Test Report" means a report
completed by a Certified FSD Laboratory after a firearms safety device
has met the requirements of Penal Code secfion 12088.2 and these regu-
lafions.
(n) "Firearms safety device manufacturer or dealer" means either: a
manufacturer of firearms safety devices or a dealer of firearms safety de-
vices.
(o) "Firing Chamber" means the chamber that is lined up with the fir-
ing pin or striker.
(p) "Firm" means a business unit, enterprise, or partnership of two or
more persons, that is not recognized as a legal person distinct from the
members comprising the entity.
(q) "FSD Laboratory CertificaUon" means the DOJ cerfificate issued
as evidence of compliance with the DOJ laboratory certificafion require-
ments as set forth in these regulations.
(r) "Keyway" means the opening in a locked cylinder that is shaped to
accept a key bit or blade of a proper configurafion.
(s) "Local License" means any regulatory and/or business license is-
sued by a city, county, or other local government agency.
(t) "Model" means the manufacturer's designafion which uniquely
identifies a specific design of firearms safety device.
(u) "Plug" means the part of a cylinder which contains the keyway,
with tumbler chambers usually corresponding to those within the cylin-
der shell.
(v) "Properly installed" means the firearms safety device is installed
according to the instrucfions provided by the firearms safety device
manufacturer or dealer.
(w) "Reasonable Access" means that areas and/or items to be in-
spected by an authorized DOJ employee are free from physical obstruc-
fion and/or other impediments that would make access difficult and/or
unsafe.
(x) "Roster of Approved Firearms Safety Devices" means a DOJ list
of all DOJ-Approved Safety Devices. The roster shall Ust, for each DOJ-
Approved Firearms Safety Device, the manufacturer, model number,
model name, and other information deemed necessary by the DOJ to fa-
cilitate idenfifying that firearms safety device.
(y) "Lock Box" means a firearms safety device that fully contains and
encloses the firearm(s).
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1 . Change without regulatory effect renumbering section 977.20 to section 4082
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register2006, No. 26).
Article 3. Certified FSD Laboratories
§ 4083. Who Must be a Certified FSD Laboratory.
(a) Any laboratory wishing to pardcipate in the tesfing program de-
scribed in these regulafions must first become a Certified FSD Laborato-
ry-
(b) Any proposed change in the ownership of five percent or more of
a Certified FSD laboratory from that reported on the inifial application
shall require the submission of an Application for Firearms Safety De-
vice Laboratory CerUficafion (DOJ Form FD 03 1), by the proposed own-
ership entity or owners.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.30 to section 4083
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 4084. Application for Firearms Safety Device Laboratory
Certification.
The DOJ shall accept completed applications from laboratories seek-
ing FSD Laboratory Certificafion. Application for cerUficafion shall be
made on an Applicafion for Firearms Safety Device Laboratory CerUfi-
cafion (DOJ Form FD 031), which shall include the following informa-
fion:
(a) Laboratory informafion: name of applicant laboratory; physical
and maiUng addresses; telephone and fax numbers; local licensing au-
thority, business license number, and expiration date; the name of the lo-
cal law enforcement agency with jurisdiction over the laboratory; stale
corporation/partnership number and expiration date; federal firearms li-
cense number, type, and expiration date (if licensed); business hours; e-
mail address (if applicable); and copies of licenses and/or certificates
idenfified on the applicafion.
Page 104
Register 2006, No. 26; 6-30-2006
Title 11
Firearms Regulations
§4086
(b) COE holder information: name, title, COE number, and COE ex-
piration date of any owner, chief executive officer, or person who pos-
sesses or has applied for a COE and who is authorized to sign Compliance
Test Reports.
(c) Ownership information: ownership structure; the name, title/rela-
tion to laboratory/percentage owned and/or controlled, address, tele-
phone and fax numbers, state corporation/partnership number and ex-
piration date, and local business license number and expiration date of
any owner that is not a natural person; and the name, title/relation to labo-
ratory/percentage owned and/or controlled, address, and telephone num-
ber of each owner, partner, officer, director and any person who owns
and/or exercises control of five percent or more of outstanding common
stock; and if a corporation or partnership either original certified copies
of the articles of incorporation or a current roster of general and limited
partners.
(d) Facility management and testing supervision information: name
and title of the manager or director of the laboratory and/or unit of the lab-
oratory that will conduct firearms safety device tests, the person(s) super-
vising firearms safety device tests (if different from the manager or direc-
tor), and persons participating and/or performing firearms safety device
tests (if different); a copy of the laboratory's security procedures; the
name, address, and telephone number of any 24-hour security service or
monitored alarm system that is employed by the laboratory, and a copy
of the contract for services; and a copy of the procedures for ensuring that
persons prohibited from possessing firearms will not have access to fire-
arms, and a description of the method to be used to identify any such per-
sons.
(e) A signed certification regarding: possession of the required equip-
ment (whether the laboratory will obtain the required equipment at the
time the application is submitted or at a later date); the maintenance and
calibration of that equipment; compliance with safety, design, operation,
and licensing and approval requirements; the signature of the authorized
representative; and the county, state, and date of signamre.
(f) Off-site location information, if applicable: name of the owner;
telephone number; physical address; and the testing to be performed and/
or equipment to be used at the off-site location (if more than one off-site
location is desired, the applicant must also complete a Request to Utilize
an Additional Off-site Location (DOJ Form FD 032).
(g) Authorized representative information: name and title of the per-
son who has the legal authority to sign the application and attest to the
required matters on behalf of the applicant laboratory, signed certifica-
tion of the authorized representative, the county, state, and date of signa-
ture, and statements of certification that the laboratory agrees to give
complete and truthful answers to questions that are pertinent to the labo-
ratory's ability to perform firearms safety device tests and to comply with
all applicable federal, state, and/or local laws and/or regulations that re-
late to laboratory certification or firearms safety device testing.
(h) A signed certification stating that the laboratory and/or owner is
free from any conflicts of interest as defined by section 4090 of these reg-
ulations; the signature of the authorized representative; and the county,
state, and date of signature.
(i) A signed certification ensuring: the notification to staff of laws re-
lating to prohibitions against firearms possession, ensuring that prohib-
ited persons do not have access to, come into contact with, and/or possess
firearms; the laboratory obtaining and maintaining any required federal,
state, and/or local licenses; and the laboratory complying with all appli-
cable federal, state, and/or local laws and/or regulations; the signature of
the authorized representative; and the county, state, and date of signature.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.31 to section 4084,
including amendment of subsection (h), filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 4085. Pre-Certification Requirements.
(a) One or more of the owner(s), chief executive officer(s), or per-
son(s) with primary responsibility for the operation of the laboratory
shall obtain and maintain a valid COE as a condition of obtaining and
maintaining certification.
(b) Once a completed application has been received, the DOJ shall
schedule an on-site inspection of the applicant laboratory. During this in-
spection the applicant laboratory shall demonstrate its possession of all
necessary equipment and its ability to properly conduct all of the proce-
dures and tests described in section 4095 of these regulations.
NOTE: Authority cited: Sections 12088 and 12088.2. Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1 . Change without regulatory effect renumbering section 977.32 to section 4085,
including amendment of subsection (b). filed 6-28-2006 pursuant to section
100. title 1 , California Code of Regulations (Register 2006, No. 26).
§ 4086. Grounds for Denial.
(a) An initial application for firearms safety device laboratory certifi-
cation shall be denied if the applicant laboratory:
( 1 ) Makes false statements on the application.
(2) Fails to meet the security requirements identified in subsection (a)
of section 977.41 of these regulations.
(3) Is wholly or partly owned by, a part of, financed by, or in any other
way financially supported by any firearms and/or firearms safety device
manufacturer/importer, wholesaler, distributor, or dealer. As used in this
subsection, financial support does not apply to situations wherein an ap-
plicant laboratory provides testing services to a firearms and/or firearms
safety device manufacturer/importer, wholesaler, distributor, or dealer.
(4) Fails to demonstrate the ability to conduct the required testing as
set forth in section 4095 of these regulations in an impartial, technically
sound manner. Failure includes not having and using the equipment re-
quired by said subsection.
(5) Fails to obtain the required COE(s).
(6) Fails to comply with any required local, state, and/or federal laws
and/or licensing requirements relating to firearms safety device testing.
(7) Has any present or planned contractual, organizational, employ-
ment or other financial involvement and/or relationship (spouse(s), chil-
dren, sibling(s), parent(s), or in-law(s)) with any firearms and/or fire-
arms safety device manufacturer/importer, wholesaler, distributor, or
dealer. This would also apply to any employee(s) directly involved in
firearms safety device testing, owner(s), shareholders(s), partners(s), of-
ficer(s), and/or director(s) of the applicant laboratory who has any such
involvement or relationship.
(8) Is currently or plans to be a firearms and/or firearms safety device
manufacturer/importer, wholesaler, distributor, or dealer. This would
also apply to any employee(s) directly involved in firearms safety device
testing, owner(s), shareholders(s), partner(s), officer(s), and/or direc-
tor(s) of the applicant laboratory.
(9) Has a present or planned direct, indirect, and/or beneficial interest
aggregating $ 1 ,000 or more in any entity that is a firearms and/or firearms
safety device manufacturer/importer, wholesaler, distributor, or dealer.
This would also apply to any employee(s) directly involved in firearms
safety device testing, owner(s), shareholders(s), partner(s), officer(s),
and/or director(s) of the applicant laboratory.
(b) If the DOJ denies certification, the DOJ shall provide a notice of
denial to the applicant laboratory. The nofice will specify all grounds on
which the denial is based.
(c) An applicant laboratory that has been served with a notice of denial
may request a hearing. The written request must be received by the DOJ
no later than 20 days from the date of service of the notice of denial. If
a hearing is requested, it will be conducted in accordance with Chapter
5 (commencing with section 11500), Part 1, Division 3, Title 2 of the
Government Code. Failure to make a written request for a hearing within
Page 105
Register 2006, No. 25; 6-30-2006
§4087
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
the time specified above constitutes a waiver of the right to a hearing. If
this occurs or if the applicant laboratory withdraws its appeal, the denial
shall be final.
NOTE: Authority cited: Sections 12088 and 12088.2. Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatoi^ effect renumbering section 977.33 to section 4086,
includins amendment of subsection (a)(4). filed 6-28-2006 pursuant to section
100, title I , California Code of Regulations (Register 2006. No. 26).
§ 4087. Certification Period for Certified FSD Laboratories.
The period of certification shall be two years from the date of issuance.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1 . Change without regulatory effect renumbering section 977.34 to section 4087
filed 6-28-2006 pursuant to section 1 00, fitle 1 , California Code of Regulations
(Register 2006. No. 26).
§ 4088. Processing Times.
(a) The following processing times shall apply to initial applications:
( 1 ) Within 1 5 days from the date of receipt of an application, the DOJ
will either inform the applicant in writing that the application is complete
and accepted for processing, or return the application as deficient, and
specify what information is required.
(2) Within 20 days from the date of receipt of a completed and ac-
cepted application, the DOJ will schedule an on-site inspection unless
the time is waived by the applicant.
(3) Within 30 days from the date of receipt of a completed and ac-
cepted application the DOJ will conclude the processing of the applica-
tion unless the time is waived by the applicant. This includes: completing
the pre-certification on-site inspection and making a determination re-
garding the approval or denial of the application.
(b) The DOJ's minimum, median, and maximum times for processing
an initial application from the date of receipt of the completed application
to a final decision are:
( 1 ) Minimum time: 1 5 days.
(2) Median time: 20 days.
(3) Maximum time: 30 days.
(c) The following processing times will apply to applicafion renewal:
( 1 ) Within 1 5 days from the date of receipt of an applicafion for renew-
al, the DOJ will either inform the applicant in wrifing that the application
is complete and accepted for processing, or return the application as defi-
cient, and specify what information is required.
(2) Within 20 days from the date of receipt of a completed and ac-
cepted applicafion for renewal, the DOJ will schedule an on-site inspec-
tion unless the time is waived by the applicant.
(3) Within 30 days from the date of receipt of a completed applicafion
for renewal, the DOJ will conclude the processing of the applicafion un-
less the fime is waived by the applicant. This includes making a deter-
mination regarding the renewal of the applicafion.
(d) The DOJ's minimum, median, and maximum fimes for processing
a completed applicafion for renewal of certificafion from the date of re-
ceipt to a final decision are:
( 1 ) Minimum fime: 1 5 days.
(2) Median fime: 20 days.
(3) Maximum fime: 30 days.
NOTE: Authority cited: Section 15376, Government Code; and Sections 12088
and 12088.2, Penal Code. Reference: Section 15376, Government Code; and Sec-
dons 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.35 to section 4088
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 4089. Appeal Process.
(a) If the DOJ fails to meet the fime periods for concluding the proces-
sing of an applicafion, the applicant may apply in wrifing for a full refund
of all applicable application fees. The request must be received by the
DOJ within 20 days from the date of service of the final decision granting
or denying the application.
(b) The DOJ shall respond within ten days from the date of receipt of
a request for refund.
(c) If the refund is denied by the DOJ, the applicant may directly ap-
peal the denial in wrifing to the Attorney General. The appeal must be
filed within 20 days from the date of service of the refund denial. The ap-
peal shall set forth a concise statement of facts and a chronology of events
regarding the applicafion.
(d) The appeal in subsection (c) of this secfion will promptly be re-
viewed, and a decision will be issued within 30 days from the completion
of any invesfigation which the Attorney General deems appropriate. The
appeal in subsecfion (c) of this secfion will be decided in the applicant's
favor if the DOJ has exceeded its maximum time period for the issuance
or denial of the FSD Laboratory Cerfificafion, and the DOJ has failed to
establish good cause for exceeding this time period.
(e) The DOJ will provide informafion regarding this appeal process on
the Applicafion for Firearms Safety Device Laboratory Certification
(DOJ Form FD 031).
NOTE: Authority cited: Section 15378, Government Code; and Sections 12088
and 12088.2, Penal Code. Reference: Section 15378, Government Code; and Sec-
tions 12088 and 12088.2, Penal Code.
History
1 . Change without regulatory effect renumbering section 977.36 to section 4089
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
Article 4. Operational Requirements,
Firearms Safety Device Standards, Gun Safe
Standards, Proof of Purchase or Ownership
of a Gun Safe, Affixation of Required
Warning
§ 4090. Absence of Conflict of Interest.
The Certified FSD Laboratory shall at all fimes ensure that:
(a) It is not wholly or parfiy owned by, a part of, financed by, or in any
other way financially supported by any firearms and/or firearms safety
device manufacturer/importer, wholesaler, distributor, or dealer. As used
in this subsection, financial support does not apply to situations wherein
an applicant laboratory provides tesfing services to a firearms and/or fire-
arms safety device manufacturer/importer, wholesaler, distributor, or
dealer.
(b) None of the employee(s) direcfiy involved in firearms safety de-
vice tesfing, or the owner(s), shareholders(s), partner(s), officer(s), and/
or director(s) of the Certified FSD Laboratory will:
(1) Have any contractual, organizational, employment or other finan-
cial involvement and/or relationship (spouse(s), children, sibling(s), par-
ent(s), or in-law(s)) with any firearms and/or firearms safety device
manufacturer/importer, wholesaler, distributor, or dealer.
(2) Be a firearms and/or firearms safety device manufacturer/import-
er, wholesaler, distributor, or dealer.
(3) Have any direct, indirect, or beneficial interest aggregafing $ 1 ,000
or more in any entity that is a firearms and/or firearms safety device
manufacturer/importer, wholesaler, distributor, or dealer.
NOTE: Authority cited: Secfions 12088 and 12088.2, Penal Code. Reference: Sec-
fions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.40 to section 4090
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 4091 . Security and Safety.
(a) The Certified FSD Laboratory shall have written security proce-
dures if firearms are to be stored and/or transported by the laboratory. The
laboratory staff shall be informed of these written procedures, and these
procedures shall be made available to the DOJ upon request. The proce-
Page 106
Register 2006, No. 26; 6-30-2006
Title 11
Firearms Regulations
§ 4093
dures shall address, and the laboratory shall comply with, all of the fol-
lowing security and safety procedures:
(1 ) The firearm(s) shall be stored unloaded by one of the following
methods:
(A) Locked in a secure room that is a part of, or that constitutes, the
licensee's business premises away from any general living or work area.
All doors leading into the room shall be solid core with a dead-bolt lock
or the equivalent.
(B) In a locked safe that meets the standards for gun safes as defined
in section 4100 of these regulations or a vault in the licensee's business
premises.
(2) If the fireanTi(s) are stored at a location different from the principal
place of business, or at the applicant's residence and that residence is
rented/leased, the applicant shall submit to the DOJ written approval
from the owner and the location shall meet all security requirements.
(3) Ammunition shall be stored separately from the firearms in a se-
cure room, cabinet or box which shall be locked while unattended.
(4) When transporting a firearm for delivery to an authorized recipient
or off-site testing location, the firearm shall be transported as required
by California Penal Code section 1 2026. 1 , or as required by any applica-
ble federal, state, and/or local statute and/or ordinance when outside of
California.
(5) Any firearm not actively being used in the testing of a firearms
safety device shall be stored pursuant to subsection (a)(1) of this section.
Any firearm to be shipped from the laboratory shall be stored pursuant
to subsection (a)(1) of this section until arrival of the person authorized
to receive the firearm or until laboratory personnel are prepared to trans-
port the firearm for delivery to an authorized recipient.
(6) The Certified FSD Laboratory shall maintain proper inventory
control and shall report any firearm that is lost or stolen to the submitting
party, if applicable, the local law enforcement agency, and the DOJ with-
in ten working days of discovery of the loss or theft. The report shall in-
clude, but shall not be limited to, the make, model, serial number, and cal-
iber of the firearm. The laboratory shall maintain the following records
relating to any such firearms: the type, make, model, caliber, barrel
length, category, and serial number of the lost/stolen firearm; the date of
the loss/theft; the date the loss/theft was reported to the submitting party
(if applicable), local law enforcement, and the DOJ; and any case/report
number(s) assigned by the local law enforcement agency to the loss/theft.
The laboratory shall maintain these records for at least ten years.
(b) The Certified FSD Laboratory shall at all times ensure that:
(1) All persons conducting, supervising and/or observing firearms
safety device tesfing under this program have and use personal safety
equipment that meets or exceeds applicable current federal, state and/or
local standards and the requirements of any occupafional and/or indus-
trial safety agency having jurisdiction over the laboratory and its activi-
ties.
(2) The design and operation of the laboratory's facilities meet or ex-
ceed applicable current federal, state and/or local standards and/or re-
quirements.
(3) Laboratory testing staff are familiar with and exercise safe firearms
handling and operational pracfices as defined in all applicable federal,
state, and/or local laws. Staff shall also ensure that no ammunition shall
be present in the firearms safety device testing area during testing.
(4) The following warning in block letters not less than one inch in
height shall be conspicuously posted within all areas where firearms
safety device testing is performed:
"NO AMMUNITION SHALL BE PRESENT IN OR AROUND
THIS TESTING AREA DURING FIREARMS SAFETY DEVICE
TESTING, OR IN THE POSSESSION OF ANY PERSONNEL AC-
TIVELY ENGAGED IN CONDUCTING FIREARMS SAFETY DE-
VICE TESTS."
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.41 to section 4091.
including amendment of subsection (a)( 1 )( B ). filed 6-28-2006 pursuant to sec
tion 100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 4092. Licensing/Minimum Standards Compliance.
The Certified FSD Laboratory shall at all times:
(a) Comply with all applicable local, state, and federal laws relating to
firearms safety device testing.
(b) Ensure that any required licensing and/or approvals by any federal,
state, and/or local agency having jurisdiction over the laboratory have
been obtained and are maintained, including the required COE(s).
(c) Ensure that staff are informed of all applicable federal, state, and/or
local laws, which apply to the jurisdiction in which the laboratory does
business, that prohibit a person from possessing firearms, and ensure that
persons known to be prohibited from possessing firearms do not hav e ac-
cess to, come into contact with, or possess firearms.
(d) Have in its possession the equipment idenfified in sub.section (b)
of secfion 4095. The laboratory shall maintain and/or calibrate the equip-
ment in accordance with the equipment manufacturer's recommenda-
tions and requirements. The laboratory shall ensure that records of such
maintenance and calibration are available for use by testing personnel
and for inspection by DOJ staff.
NOTE: Authority cited: Sections 12088 and 12088.2. Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.42 to section 4092,
including amendment of subsection (d), filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 4093. Firearms Safety Devices Testing and Submission
Requirements.
(a) Each firearms safety device submitted for testing shall not be modi-
fied in any way from one of the same model that would be sold if certifica-
tion is granted. If it is determined by the DOJ that a DOJ-certified fire-
arms safety device is modified in any way from those that are being sold
after certification has been granted, the DOJ will immediately remove
that model of firearms safety device from the Roster of Approved Fire-
arms Safety Devices and may recall the firearms safety device pursuant
to Penal Code section 12088.4.
(b) Four firearms safety devices of each model to be tested shall be
submitted to the Certified FSD Laboratory. Three of the devices are to
be utilized by the laboratory for testing pursuant to subsection (c) of sec-
tion 4095 of these reguladons, and the other device is to be utilized for
tesfing pursuant to subsections (d) and (e) of section 4095 of these regula-
tions and forwarded by the laboratory to the DOJ pursuant to subsection
(a) of section 4096 of these regulations. Firearms safety device manufac-
turers or dealers may supply any information that they believe may be
needed by the laboratory for proper and safe operation of the firearms
safety device. The following information shall be provided in the English
language with each firearms safety device model submitted for testing:
(1) The model name and model number of the firearms safety device.
(2) A description of the firearms safety device.
(3) A description of how the firearms safety device is intended to func-
tion and how the user should install and operate (activate/deactivate) the
firearms safety device.
(4) The type, make, or model of firearm(s) for which the firearms safe-
ty device is designed.
(c) The DOJ may approve an untested firearms safety device and list
that firearms safety device on the Roster of Approved Firearms Safety
Devices subject to all of the following:
(1) The DOJ shall review each firearm safety device submitted pur-
suant to this subsection on a case-by-case basis to determine whether or
not a new test will be required.
(2) A model of firearms safety device made by the same manufacturer
must already be listed on the Firearms Safety Device Roster and the de-
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§4094
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
vice submitted for approval pursuant to this subsection shall differ from
the listed firearms safety device in only the following:
(A) Finish, including, but not limited to, color or engraving.
(B) Any feature that does not in any way alter the material or function-
ing of any of the components of the firearms safety device. Dimensional
changes in a firearms safety device may be approved by the DOJ without
additional testing on a case-by-case basis when the dimensional changes
do not alter the device's ability to operate in the same manner demon-
strated in the laboratory.
(C) Change in name or model number without affecting the design or
function of the firearms safety device.
(3) Any manufacturer seeking to have a firearms safety device ap-
proved under this subsection shall provide the DOJ with all of the follow-
ing:
(A) The model name and model number of the listed firearms safety
device.
(B) The model name and model number of each firearms safety device
the manufacturer seeks to have listed under this section.
(C) A statement, under oath, that each unlisted firearms safety device
for which listing is sought differs from the listed firearms safety device
only in one or more of the ways identified by this subsection and is in all
other respects identical to the listed firearms safety device.
(D) The DOJ may, at its discretion and at any time, require a manufac-
turer to provide to the DOJ an example of any firearms safety device
model for which listing is sought under this section, to determine whether
the model complies with the requirements of this section.
NOTE; Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.43 to section 4093,
including amendment of subsection (b), filed 6-28-2006 pursuant to section
100, title 1 , California Code of Regulations (Register 2006, No. 26).
§ 4094, Firearms Safety Device Standards.
(a) The firearms safety device shall be of a design that will not allow
its removal or deactivation except by utilizing a key, combination, or oth-
er unique method as intended by the manufacturer to allow access only
by authorized users, within the standards set forth in these regulations.
( 1 ) Combination locking systems shall have a minimum of 1 ,000 pos-
sible unique combinations consisting of a minimum of three numbers,
letters, or symbols per combination.
(2) Key locking systems shall be unique to the manufacturer's firearms
safety device(s).
(b) The firearms safety device shall render the firearm inoperable (un-
able to be fired) while the firearms safety device is properly installed. The
firearm shall be rendered inoperable immediately upon installation and
activation of the firearms safety device. Lock box style firearms safety
devices (devices that fully contain and enclose the firearm) must prevent
removal of, and access to, the enclosed firearm.
(c) A firearms safety device shall function by at least one of the follow-
ing methods:
( 1 ) By blocking travel of the trigger, striker, firing pin, or hammer.
(2) By preventing the action or cylinder from closing.
(3) By preventing the chamber(s) from accepting or holding a live car-
tridge.
(4) By preventing access to the firearm.
(d) When used in the manner designed and intended by the manufac-
turer, the firearms safety device shall be capable of repeated use and shall
pass the testing procedures described in these regulations.
(e) The firearms safety device shall be capable of withstanding manip-
ulation with common household tools, as described in section 4095 -
Testing Procedures, for an approximate ten-minute period without being
disabled.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.44 to section 4094,
including amendment of subsection (e), filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 4095. Testing Procedures.
The tests in this section are designed to replicate the forces that would
be exerted on firearms safety devices through the use of common house-
hold tools for an approximate ten-minute period.
(a) The only persons allowed to conduct firearms safety device testing
are authorized staff of the Certified FSD Laboratory. In addition to this
staff representatives of the firearms safety device manufacturer or dealer
and/or the DOJ shall be allowed to be present during testing. Any such
representative(s) shall not participate in the testing. However, if deemed
necessary by the staff of the laboratory, representative(s) of the firearms
safety device manufacturer or dealer may be asked to provide advice and/
or guidance regarding the characteristics, handling, and/or operation of
the firearms safety device.
(b) Each laboratory testing a firearms safety device pursuant to these
regulations must comply with the following test criteria relative to each
firearms safety device tested:
( 1 ) All tests shall be conducted within the following tolerances as ap-
plicable:
(A) Force: 0.5% of working range.
(B) Height: +1- 3mm (0.12 inches).
(C) Torque: 4.0% of reading.
(D) Weight: -t-/- 10 grams (.02 pounds).
(2) All tests shall be conducted at temperatures between 16 and 27 de-
grees Celsius (61-81 degrees Fahrenheit).
(3) A tensile loading device having a load and force measuring capac-
ity of 4,450 newtons ( 1 ,000 pounds force) shall be utilized for appropri-
ate tests.
(4) The American Society for Testing and Materials Standard Perfor-
mance Specification for Padlocks (ASTM) F883-97 is incorporated into
these regulations by reference. A shock impact fixture shall be
constructed utilizing the same design as the shock impactor fixture illus-
trated and detailed in said specification and a shackle cutting fixture shall
be constructed utilizing the same design as the shackle cutting fixture il-
lustrated and detailed in said specification.
(5) A mounting device shall be fashioned and used to align and to sup-
port the firearms safety device being tested on the mounting device when
being subjected to required shock loads.
(6) The firearms safety device shall be properly installed on a firearm
according to the manufacturer's instructions unless otherwise stated in
these regulations.
(7) Firearms safety devices may be tested when they are not installed
on a firearm if it is determined by the test laboratory that the firearm
would interfere with the test equipment's ability to apply measurable
forces to the firearms safety device. Testing a firearms safety device
while it is not installed on a firearm is allowed only when the measurable
forces are applied to areas of the firearms safety device that would be ex-
posed when the firearms safety device is properly installed. Firearms
safety devices shall be tested on a complete firearm whenever possible.
(8) The firearms safety device shall not be of a design to allow it to be
disabled or removed from the firearm through the partial destruction of
the firearm with common household tools. Partial destruction includes,
but is not limited to, cutting an exposed trigger guard or removing the
hammer spur of the firearm (if so equipped).
(9) Notwithstanding the firearms safety device manufacturer's
instructions, for each of the tests, a primed case will be placed in the firing
chamber if the chamber can be closed. The primed case shall be produced
by an ammunition manufacturer and consist of the same type of case and
primer as standard ammunition recommended by the firearm manufac-
turer. With the firearms safety device properly installed, the firearm shall
be rendered incapable of firing the primed case. If the firearm discharges
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Title 11
Firearms Regulations
§4095
the primed case during any of the tests, even if only capable of firing once
and even if unsafe to do so, the device is deemed to have failed testing.
(10) Notwithstanding the firearms safety device manufacturer's
instructions, for each test, the firearm shall be cocked, and the manual
safety shall not be applied.
(1 1) All of the tests designated in subsections (c)(1) through (c)(5) of
this section shall be performed on a single firearms safety device. The test
designated in subsection (c)(6) of this section shall be performed on a
separate single firearms safety device. The test designated in subsections
(c)(7) through (c)(8) of this section shall be performed on a separate
single firearms safety device. The test designated in subsection (d) or (e)
of this section shall be performed on a separate single firearms safety de-
vice.
(12) All lock box type devices (devices designed to fully contain and
enclose a firearm) shall be tested with a small handgun placed within the
device. The small handgun shall be loaded with a primed case and be no
greater than 5-inches (L) x 3-inches (H) x 1 1/4-inches (W) in size. The
small handgun may be in addition to any other firearm(s) used in testing.
Lock boxes designed to accommodate long guns must be tested with at
least one long gun placed within the container in addition to the small
handgun mentioned above. Lock boxes which cannot prevent the remov-
al of, or access to discharging, the firearm(s) contained within the device
will be considered disabled.
(13) Manipulation with a screwdriver, as described in these regula-
tions, is to be applied only to the areas directly affected (weakened) by
the proceeding test.
(c) Each Certified FSD Laboratory shall perform all of the following
tests on each firearms safety device model submitted to the laboratory for
testing pursuant to these regulations in an attempt to defeat the device,
cause the firearm to function, or cause the loaded primed case to dis-
charge:
(1) Picking or manipulating test (utilize a new firearms safety de-
vice)(does not apply if test cannot be performed on the device). Cylinders
in the firearms safety device shall resist picking with the use of paper
clips (jumbo size), paper clips (#1 size), and small screwdrivers that fit
in the keyway for two minutes each. Time shall be counted only while
tools are in contact with the lock. Combination locks shall resist manual
manipulation for two minutes. Time shall be counted only while hands
are manipulating the combination lock. This test shall be performed by
a tester with no specialized training or skills in lock picking or manipula-
tion (e.g. locksmith training or the use of reference guides on lock picking
or manipulation). In the case of a key lock, failure occurs if the lock
mechanism can be disengaged during six minutes of manipulation. In the
case of a combination lock, failure occurs if the combination lock can be
disengaged without the proper combination being entered during two
minutes of manipulation.
(2) Forced removal inspection. Inspect the firearm and firearms safety
device to determine if the firearms safety device is of such a design that
it may not be disabled or removed from the firearm through two minutes
of partial destruction of the firearm with common household tools. Par-
tial destruction attacks shall be limited to the firearm's trigger guard,
hammer spur, or barrel. For example, a firearms safety device that fully
encloses the trigger guard of the firearm may pass this inspection, while
a firearms safety device that would allow a portion of the trigger guard
to be sawed off to allow for removal of the firearms safety device may
fail this inspection. Failure occurs if inspection of the firearm and fire-
arms safety device indicates that the firearms safety device may be dis-
abled or removed through the partial destruction of the firearm as de-
scribed in this subsection. Failure also occurs if the firearm could be
fired, even if unsafe to do so, as a result of the forced removal inspection.
Attack by saw shall be performed in accordance with the specifications
and limitations of the Saw test (included by reference).
(3) Tensile test (does not apply if test cannot be performed on the de-
vice). This te.st is designed to test the strength of the firearms safety de-
vice utilizing a pulling action. Support the firearm and firearms safety de-
vice in a fixture designed to enable application of forces in tension along
a central axis of the mating locking components of the firearms safety de-
vice. Apply 1 ,000 newtons (225 pounds force) of forces slowly along the
central axis of the firearms safety device locking components without in-
terfering or giving support to either of the mating locking components of
the firearms safety device. For firearms safety devices that have clamp-
ing components, specific fixtures may be required to allow application
of the required force to the individual components. Failure occurs if the
firearms safety device is disabled or if the firearm is capable of firing dur-
ing the test. For instance, if the firearms safety device separates far
enough to allow for the discharge of the firearm while manipulating the
trigger.
(4) Shock test (does not apply if test cannot be performed on the de-
vice). This test is designed to test the firearms safety device and locking
mechanism ability to withstand shock. Using the shock impact fixture,
drop a one-kilogram (2.2 pound) weight from a distance of one meter +
one centimeter (39.4 inches + 0.4 inches) five times to the top of the fire-
arms safety device body aligned to impinge and penetrate the locking
keyway or combination lock using a chucked blade-type tool (chucked
blade-type tool should be crafted from the shank of a screwdriver with
a 1/4 to 5/8-inch (0.63 to 1 .6 centimeter) fiathead end). Additionally, us-
ing the shock impact fixture, drop a one-kilogram (2.2 pound) weight
from a distance of one meter (39.4 inches), five times to the top of the fire-
arms safety device body using a chucked steel rod tool. Failure occurs if
the firearms safety device is disabled by the shock test. Failure also oc-
curs if following the shock test, subsequent manipulation of the firearms
safety device with an 8 to 10-inch (20.3-25.4 cm) long screwdriver with
a 1/4 to 5/8-inch (0.63 to 1 .6-centimeter) fiathead end for fifteen seconds
allows the tester to discharge a primed case.
(5) Shackle or cable cutting test (does not apply if test cannot be per-
formed on the device). This test is designed to determine the firearms
safety device's resistance to cutting forces of 4,450 newtons (1,000
pounds force) for solid metal shackles or with hand forces of 445 newtons
(100 pounds force) for cables. The shackle of the firearms safety device
(if so equipped) shall withstand cutting through when blades made of
steel, hardened to a minimum hardness of Re 50, are used in conjuncfion
with the blade positioning holders of the shackle cutting fixture. The
shearing assembly must then be placed in a tensile loading device having
a compression load capability and compressed with a force of 4,450 new-
tons (1,000 pounds force). See the ASTM F883-97 standard for details
to build a shackle cutting fixture (this document is incorporated by refer-
ence into these regulations). The cable of the firearms safety device (if
so equipped) shall withstand cutting through with nine-and-one-half (9
l/2)-inch lineman pliers with a force of 100 pounds (445 newtons) for
two minutes. The force shall be applied to the handles of the pliers at a
point that is 6 (+/- 0.25 inches) inches from the center of the pHers' the
plier' s pivot pin, and the cable shall be placed between the blades so that
the cable's centerline is 0.75 inches {+/- 0.05 inches) from the center of
the pliers' pivot pin. The firearms safety device is to be supported on both
sides of the point of the shear cut with allowance for blade clearance.
Failure occurs if the firearms safety device is disabled.
(6) Plug pulling test (utilize a new firearms safety device)(does not ap-
ply if test cannot be performed on the device). This test is designed to test
a cylinder lock's ability to withstand a pulling action to dislodge the plug
from the cylinder, but not to test the lock's ability to withstand drilling.
Drill the keyway with a number 20 (0. 161 inch, 0.41 cenfimeter) diame-
ter drill bit and insert a self tapping screw of size AB 1 2 at least 1 9 milli-
meters 0.75 inches (1.90 centimeters) deep. Apply a required tension of
1,000 newtons (225 pounds force) axially between the case and installed
screw. Failure occurs if the firearms safety device can be opened by fif-
teen seconds of manipulation with an 8 to 10-inch (20.3 to 25.4 centime-
ter) long screwdriver with the largest flat blade (not to exceed 5/8 inch
(1 .6 centimeter)) that will fit into the keyway at the conclusion of the test.
Failure also occurs if the firearms safety device is disabled. If the self-
tapping screw cannot be inserted at least 0.75 inches ( 1 .90 centimeters),
insert the screw as far as possible, continue with the test and document
the depth to which the screw was inserted. The test does not need to be
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§4096
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
applied to keyways which cannot accept the self-tapping screw due to
the key way's size, design, or materials. In addition, if the firearms safety
device is of a design that it breaks the drill bit or self-tapping screw and
prevents the test from being performed the test does not apply and does
not need to be performed again on this device.
(7) Plug torque test (utilize a new firearms safety device)(does not ap-
ply if test cannot be performed on the device). This test is designed to test
the ability of a firearms safety device's key way, if so equipped, to with-
stand torque pressures. Install the firearms safety device in a rigid fixture
such as a vise to support it firmly but not restrict free rotation of the plug
in the cylinder. Insert a screwdriver with the largest flat blade (not to ex-
ceed 5/8 inch (1.6 centimeter) that will fit into the keyway, so that a
torque load of ten newton-meters (89 pounds force-inches) can be ap-
plied to the plug. The test technician may lightly tap the screwdriver
blade into the keyway so that the blade is seated and torque can be ap-
plied. Care should be taken so as not to mar the keyway beyond what is
necessary to create enough grip to perform the test. If a keyway resists
the insertion of the screwdriver blade or deforms so that torque cannot
be applied and the test cannot be performed, this test does not apply and
does not need to be performed again on this device. Torque may be ap-
plied in any combination of clockwise or counterclockwise directions.
Failure occurs if the firearms safety device is disabled.
(8) Sawing test (does not apply if test cannot be performed on the de-
vice). Sawing tests shall be performed using a sawing machine or hand
held saw. The firearms safety device may be held with an appropriate fix-
ture to hold the device steady while sawing. The sawing test is designed
to determine the firearms safety device's resistance to sawing of exposed
components. Exposed components may include, but are not limited to,
cables, lock bodies and hinges. The testing agent shall accomplish a test
using a new standard carbon steel hacksaw blade with 32 teeth per inch
(2.54 centimeters) with a constant vertical downward force often pounds
(44.5 newtons). Only one saw blade shall be used during the test. The test
shall consist of 60 cutting cycles per minute for two minutes by sawing
machine, or 1 20 cycles, with no time limit, by hand. One cutting cycle
is defined as the combination of one 6-inch forward and one 6-inch
backward cutting motion. The saw attack may consist of a series of sepa-
rate 120 cutting cycle attacks, but in no instance shall more than 120 cut-
ting cycles be applied to any one "specified" location. For example, the
testing agent may identify (specify) the hinge and lock body areas of a
firearms safety device as vulnerable to attack. A total of 120 cutting
cycles may be applied to the hinge of the device and an additional 120
cutting cycles may be applied to the lock body of the device. At the con-
clusion of the sawing test, the testing agent shall manipulate the firearms
safety device for fifteen seconds by hand in an attempt to disable the fire-
arms safety device. Failure occurs if the firearms safety device is dis-
abled.
(d) In addition to the tests specified in subsection (c) of this section,
the Certified FSD Laboratory shall perform the following tests on a mod-
el of each firearms safety device in which the firing chamber of the fire-
arm is capable of accommodating a primed case with the firing chamber
closed and the firearms safety device properly installed, that is submitted
to the laboratory for testing pursuant to these regulations. This require-
ment does not apply to a firearms safety device that prevents access to the
firearm by fully containing and enclosing the firearm (lock-box type de-
vices):
(1) (Utilize a new firearms safety device). The firearms safety device
shall be activated in accordance with the manufacturer's instructions as
specified in paragraphs (6), (9), and (10) of subsection (b) of this secfion.
The firearm shall be placed in a drop fixture capable of dropping the fire-
arm from a drop height of one meter + one centimeter (39.4 inches + 0.4
inches) onto a slab of concrete having minimum dimensions of 7.5 centi-
meters X 15 centimeters X 15 centimeters (3 inches X 6 inches X 6 in-
ches). The drop distance shall be measured from the lowermost portion
of the weapon to the top surface of the slab. The firearm shall be dropped
from a fixture and not from the hand. An approved drop fixture is a short
piece of string with the firearm attached at one end and the other end held
in an air vise until the drop is initiated. The firearm shall be dropped in
the following orientations;
(A) Normal firing position with the barrel horizontal.
(B) Upside down with the barrel horizontal.
(C) If the firearm is a handgun, on the grip with the barrel vertical.
(D) On the muzzle with the barrel vertical.
(E) On either side with the barrel horizontal.
(F) If there is an exposed hammer or striker, on the rearmost point of
the device, otherwise on the rearmost point of the weapon.
(2) At the conclusion of the drop test, the tester shall attempt to fire the
firearm in an attempt to discharge the primed case. Failure occurs if the
firearm can be operated manually, if a primed case is discharged during
any of the drop tests, or if the firearms safety device is disabled following
any of the orientation drop tests.
(e) In addition to the tests specified in subsection (c) of this section, the
Certified FSD Laboratory shall perform the following tests on a model
of each firearms safety device that fully contains and encloses the firearm
(lock-box type devices) that is submitted to the laboratory for testing pur-
suant to these regulations. This requirement does not apply to any lock-
box type firearms safety device that weighs more than 75 pounds (27.99
kilograms) or has a combined length and girth that is greater than or equal
to 1 10 inches (279.4 centimeters):
( 1 ) (Utilize a new firearms safety device. Test shall be conducted with
a firearm containing a primed case with the firing chamber closed inside
the firearms safety device. This test does not need to be performed with
an approved drop fixture and may be performed by hand.) The firearms
safety device shall be dropped from a height of one meter -i- one centime-
ter (39.4 inches + 0.4 inches) onto a slab of concrete having minimum
dimensions of 7.5 centimeters X 15 cendmeters X 15 cenfimeters (3 in-
ches X 6 inches X 6 inches). The drop distance shall be measured from
the lowermost portion of the firearms safety device to the top surface of
the slab. The firearms safety device shall be dropped in the following
orientations:
(A) With the locking mechanism facing directly up.
(B) With the locking mechanism facing directly down.
(2) Failure occurs if the firearms safety device is disabled or the fire-
arm contained within the enclosed container discharges.
(f) Failure of any test occurs if the firearms safety device is disabled,
if the firearm is made to function, or if the firearm discharges the primed
case during or as a result of the test. A failure of any one firearms safety
device in any of the tests constitutes a failure of the complete test.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.45 to section 4095
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 4096. Test Reporting.
(a) If a firearms safety device meets the required standards and has
passed the required tesdng, the Cerdfied FSD Laboratory shall submit to
the DOJ a completed Firearms Safety Device Compliance Test Report
(DOJ Form FD 033) and the firearms safety device udlized for the drop-
testing under subsections (d) or (e) of section 4095 of these regulations
in accordance with Penal Code secdon 12088(c). The Firearms Safety
Device Compliance Test Report shall require all of the informadon iden-
tified in subsecdon (a) of secdon 4097 of these regulations, and shall be
signed by the person authorized to sign on behalf of the laboratory.
(b) The Certified FSD Laboratory shall submit the required report to
the DOJ within ten (10) working days of the completion of the testing.
Failure to submit said report to the DOJ within the time frame identified
above shall not invalidate the results of the testing. However, the DOJ
may inspect the laboratory to determine whether grounds exist to revoke
the certification of the laboratory.
(c) Firearms safety device manufacturers or dealers are prohibited
from placing any statement on the firearms safety device itself, the label-
ing, and/or accompanying user information that in any way states, im-
Page 110
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Title 11
Firearms Regulations
§4099
plies, and/or otherwise suggests that the firearms safety device has been
approved for sale in California under Penal Code sections 1 2088 through
12088.9 unless the firearms safety device is on the Roster of Approved
Firearms Safety Devices. At that time and only while the firearms safety
device is listed on the Roster of Approved Firearms Safety Devices, the
firearms safety device manufacturer or dealer may place the following
statement in the required user information:
"This is a California-approved firearms safety' device that meets the
requirements of California Penal Code Section 12088 and the regula-
tions issued thereunder. "
(d) The manufacturer or dealer of a firearms safety device approved
under these regulations shall specify, in the packaging or descriptive ma-
terials accompanying the device, those firearms for which the device
meets the standards and are capable of passing the testing described in
these regulations.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.46 to section 4096,
including amendment of subsection (a), filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 4097. Required Records, Retention Periods, Reporting
Ciianges.
(a) The Certified FSD Laboratory shall, for a minimum of five years
from the date of the Firearms Safety Device Compliance Test Report
(DOJ Form FD 033), maintain sufficient records to support the results of
any and all such reports. The following information is required to be re-
corded, reported, and maintained:
( 1 ) The name and address of the Certified FSD Laboratory that con-
ducted the test.
(2) The name and address of the firearms safety device manufacturer
or dealer that submitted the firearms safety device model for testing, as
well as the name and telephone number of a contact person of the submit-
ting manufacturer or dealer. If the DOJ submitted the firearms safety de-
vice, this fact shall be noted in the records.
(3) Date, time, and location of the testing, and any off-site equipment
and/or facilities that are used during any portion of the testing.
(4) The unique reference number/identifier issued by the Certified
FSD Laboratory for the testing.
(5) The results of each phase of the required testing.
(6) The date the report was submitted to the DOJ.
(7) The name and telephone number of a contact person who should
be contacted if there are any questions regarding the testing and/or the
report.
(8) The make, model, construction material, and type of safety device
tested.
(9) The make, model, caliber, barrel length, and type of each firearm
on which the laboratory tested the device.
(10) Identification of the manufacturer and type of primer used in the
primed cases used in the testing.
(11) An identification of each of the tests that was performed on the
firearms safety device tested.
( 1 2) A statement that the firearms safety device meets each of the stan-
dards for firearms safety devices prescribed in these regulations.
(13) The names and business affiliation of all persons who have wit-
nessed any part of the testing procedure.
(14) The name(s) and title(s) of laboratory staff who conducted and/or
performed the required testing.
(15) The signature of the lead person who conducted the testing along
with his or her title and printed name, and the date of signature.
(b) The following records shall also be maintained by all Certified
FSD Laboratories:
(1) A listing of any and all off-site facilities that have been reported
to the DOJ, and are or may be used by the Certified FSD Laboratory for
firearms safety device testing.
(2) A listing of all current employees who are directly involved in fire-
arm safety device testing.
(3) Records relating to the current ownership of the laboratory.
(4) Records relating each firearm stolen or lost from the laboratory
must be retained for at least ten years from the date that the firearm was
reported lost or stolen.
(c) The Certified FSD Laboratory shall report within ten working days
any changes:
(1) In the ownership, involvements, relationships, license prohibi-
tions, and/or interests identified in sections 4086 and 4090 of these regu-
lations and ensure that any such change would not constitute grounds for
denial of an Application for Firearms Safety Device Laboratory Certifi-
cation (DOJ Form FD 031).
(2) Involving management personnel, firearms safety device testing
supervisor(s) and/or personnel, persons authorized to sign Firearms
Safety Device Compliance Test Report (DOJ Form FD 033), person(s)
who hold COE(s); and/or the firearms safety device testing equipment
and/or facilities of the laboratory.
Note. Authority cited: Sections 1 2088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.47 to section 4097,
including amendment of subsection (c)( 1 ), filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 4098. Off-Site Location.
(a) A Certified FSD Laboratory may not utilize any firearms safety de-
vice testing equipment and/or facilities that are at a location other than
the primary business address of the laboratory unless all of the following
conditions are met:
(1) The off-site location is not more than 100 miles from the primary
business address.
(2) The laboratory provides the following information to the DOJ prior
to beginning any testing at the off-site location: the name of the facility/
owner, telephone number, physical address of the location; and the type
of equipment and/or facilities to be used and/or the testing to be per-
formed at each location.
(b) Notwithstanding subsection (a) of this section, if more than one
off-site location is needed for testing purposes, the applicant or Certified
FSD Laboratory must submit a completed Request to Utilize an Addi-
tional Off-Site Location (DOJ Form FD 032) for each such location. The
DOJ Form FD 032 shall include the following information:
(1) Applicant or Laboratory Information: The person(s), firm, or cor-
poration name; physical and mailing address(es); and telephone and fax
number.
(2) Off-Site Location Information: The name of the owner; physical
street address, telephone number; the testing to be performed and/or
equipment to be used at the off-site location; the signature of the Certi-
fied FSD Laboratory's authorized representative; and the county, state,
and date of signature.
(c) The DOJ reserves the right to prohibit a laboratory from conducting
firearms safety device tests at an off-site location if the results of any
such testing could not be rendered fairly, impartially, and independent of
any manufacturer, importer or other entity which has any direct and/or
indirect economic interest in the results of the tesUng.
Note: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.48 to section 4098
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 4099. Inspections.
(a) At any time during regular business hours and/or when testing is
being conducted, the Certified FSD Laboratory shall allow reasonable
access by any authorized DOJ employee(s), upon presentation of proper
identification. The DOJ employee(s) shall be permitted to inspect facili-
ties and records relating to firearms safety device testing and to observe
any firearms safety device tests being performed to ensure compliance
Page 111
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§4100
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
with any applicable federal, state, and/or local law(s) and these regula-
tions.
(b) Within six months of the date of FSD Laboratory Certification, the
DOJ will conduct a follow-up on-site compliance inspection of the labo-
ratory to observe actual firearms safety device testing and inspect equip-
ment and facilities.
(c) The Certified FSD Laboratory will be notified in writing of the re-
sults of any inspection conducted pursuant to this section within 15 days
from the date of the completion of the inspection. The notification will
include a list of any and all violations of any statute and/or these regula-
tions and the action required to correct each violation.
(d) The corrective action shall be completed within 15 days of the date
of notification. An acknowledgment prepared by the DOJ to be signed
by the owner, chief executive officer, or person with primary responsibil-
ity for the operation of the laboratory that they have been made aware of
the violation(s), that the necessary corrective action(s) have been per-
formed, and that all necessary action(s) will be taken to ensure that future
violations do not occur. The acknowledgment shall be signed and re-
turned to the DOJ within 15 days from the date of service of the notifica-
tion unless the DOJ has determined that the violation requires immediate
attention. If immediate attention is required, the laboratory shall take the
corrective action(s) within the time specified in the DOJ notice.
(e) The Certified FSD Laboratory shall submit to the DOJ a monthly
schedule of the days on which it is planning to perform firearms safety
device testing. The schedule for each month shall be submitted to the
DOJ five days before the beginning of the month being reported. The
DOJ may contact the laboratory telephonically for information regarding
any additions/deletions to the schedule. The DOJ may accept schedules
submitted by electronic transmission.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2. Penal Code.
History
1. Change without regulatory effect renumbering section 977.49 to section 4099
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 41 00. Gun Safe Standards.
An acceptable gun safe is either one the following:
(a) A gun safe that meets all of the following standards:
(1) Shall be able to fully contain firearms and provide for their secure
storage.
(2) Shall have a locking system consisting of at minimum a mechani-
cal or electronic combinafion lock. The mechanical or electronic com-
binaUon lock ufilized by the safe shall have at least 10,000 possible com-
binations consisfing of a minimum three numbers, letters, or symbols.
The lock shall be protected by a case-hardened (Re 60-t-) drill-resistant
steel plate, or drill-resistant material of equivalent strength.
(3) Boltwork shall consist of a minimum of three steel locking bolts
of at least 1/2 inch thickness that intrude from the door of the safe into
the body of the safe or from the body of the safe into the door of the safe,
which are operated by a separate handle and secured by the lock.
(4) A gun safe shall be capable of repeated use. The exterior walls shall
be constmcted of a minimum 12-gauge thick steel for a single-walled
safe, or the sum of the steel walls shall add up to at least 0. 100 inches for
safes with two walls. Doors shall be constructed of a minimum one layer
of 7-gauge steel plate reinforced construction or at least two layers of a
minimum 12-gauge steel compound construcfion.
(5) Door hinges shall be protected to prevent the removal of the door.
Protective features include, but are not limited to: hinges not exposed to
the outside, interlocking door designs, dead bars, jeweler's lugs and ac-
tive or inactive locking bolts.
(b) A gun safe that is able to fully contain firearms and provide for their
secure storage, and is certified to/listed as meeting Underwriters Labora-
tories Residential Security Container rating standards by a Nationally
Recognized Testing Laboratory (NRTL).
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1 . Change without regulatory effect renumbering section 977.50 to section 4100
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 41 01 . Gun Safe — Proof of Ownership of an Acceptable
Gun Safe.
(a) The firearms purchaser or transferee may establish proof of owner-
ship of an acceptable gun safe by providing the firearms dealer with both
of the following:
( 1 ) A receipt for purchase of the gun safe or an affidavit stating owner-
ship and possession of the gun safe.
(2) An affidavit stating that the gun safe meets the standards set forth
by section 4100 of these regulations. The affidavit must state the make
and model of the gun safe and inust state that the gun safe is capable of
accommodating the firearm being purchased. The affidavit must contain
the statement "I declare under penalty of perjury that all statements made
in this affidavit are true and complete." This statement shall be signed and
dated by the firearms purchaser or transferee. For any gun safe which
does not display a make and/or model but otherwise meets the acceptable
gun safe standard, the term "unknown" will be considered an acceptable
entry in the make and/or model fields of the affidavit stating ownership
of an acceptable gun safe.
(b) The firearms dealer shall maintain the statement(s) provided pur-
suant to subsecfion (a) of this secfion for three years with the dealer's re-
cord of sale for the firearm.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.51 to section 4101,
including amendment of subsection (a)(2), filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 41 02. Lock Box — Proof of Ownership of an Acceptable
"Lock Box" Type Firearms Safety Device.
(a) The firearms purchaser or transferee may establish proof of owner-
ship of an acceptable lock box that is listed on the Roster of Firearms
Safety Devices Cerufied for Sale by providing the firearms dealer with
both of the following:
(1) A receipt for purchase of the lock box.
(2) An affidavit stating that the lock box is listed on the Roster of Fire-
arms Safety Devices Certified for Sale and will accommodate the fire-
arm(s) that is being taken into possession. The affidavit must state the
make and model of the lock box and that the lock box is capable of ac-
commodating the firearm(s) being purchased. The affidavit must contain
the statement "I declare under penalty of perjury that all statements made
in this affidavit are true and complete." This statement shall be signed and
dated by the firearms purchaser or transferee.
(b) The firearms dealer shall maintain the statement(s) provided pur-
suant to subsecfion (a) of this secfion for three years with the California
Dealer's Record of Sale (DROS).
NOTE; Authority cited: Sections 12088, 12088.1 and 12088.2, Penal Code. Refer-
ence: Secdons 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.52 to section 4102
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 4103. Required Warning Notice — Affixation to Firearms
Sold Without Accompanying Packaging.
Any firearms dealer who sells or transfers a firearm that does not have
accompanying packaging bearing the warning statement specified in Pe-
nal Code section 12088.3 shall, using a string, rubber band, or similar de-
vice, affix a warning label described in Penal Code secfion 12088.3 to
that firearm.
NOTE: Authority cited: Section 12088.3, Penal Code. Reference: Section 12088.3,
Penal Code.
History
1. Change without regulatory effect renumbering section 977.55 to section 4103
filed 6-28-2006 pursuant to section 100, title 1, Calif omi a Code of Reguladons
(Register 2006, No. 26).
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Title 11
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§4109
•
Article 5. DOJ Suspension or Revocation
of FSD Laboratory Certification
§ 4104. DOJ Suspension or Revocation of FSD Laboratory
Certification.
(a) The DOJ may suspend or revoke a laboratory's FSD Laboratory
Certification for any of the following:
( 1 ) Any act of gross negligence.
(2) Repeated acts of negligence.
(3) Any violation of these regulations and/or any applicable statute.
(4) Any of the grounds for denial stated in section 4086 of these regula-
tions
(b) Any suspension or revocation action will be conducted in accor-
dance with Chapter 5 (commencing with section 1 1500), Part 1 , Division
3. Title 2 of the Government Code.
(c) Upon DOJ suspension or revocation of certification under this sec-
tion, the laboratory may not test firearms safety devices for approval un-
der these regulations.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.60 to section 4104,
including amendment of subsection (a)(4), filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 6. FSD Laboratory Certification
Renewal; FSD Laboratory Certification After
Expiration
§ 4105. FSD Laboratory Certification Renewal Procedures,
An FSD Laboratory Certification must be renewed prior to expiration
in order to remain valid. The procedure for FSD Laboratory Certification
renewal is as follows:
(a) The DOJ will mail an application to the laboratory 60 days prior to
the expiration date of the FSD Laboratory Certification.
(b) The Certified FSD Laboratory wishing to renew its FSD Laborato-
ry Certification shall submit to the DOJ an Application for Firearms Safe-
ty Device Laboratory Certification, Form FD 031.
(c) When all applicable requirements are met and the applicafion has
been processed, the DOJ will renew the laboratory's FSD Laboratory
Certification.
(d) If a laboratory fails to comply with these renewal requirements, the
FSD Laboratory Certification shall expire by operation of law at mid-
night on the expiration date stated on the FSD Laboratory Certification.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.70 to section 4105
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 4106. FSD Laboratory Certification After Expiration.
When an FSD Laboratory Certification has expired and not been re-
newed prior to the stated expiration date, the person, firm, or corporation
wishing to renew certification shall make a new application to the DOJ
on an Application for Firearms Safety Device Laboratory Certification,
(DOJ Form FD 031).
Note: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.71 to section 4106
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Article 7. Service of Notices, Orders, and
Communications
§ 4107. Service of Notices, Orders, and Communications.
(a) Except as otherwise provided by law or in these regulations, no-
tices, orders, and other communications may be sent by United States
mail, electronic transmission, and/or common carrier to an applicant or
Certified FSD Laboratory at the address shown on the Application for
Firearms Safety Device Laboratory Certification. (DOJ Form FD 031).
(b) Notices and orders shall be deemed to have been served upon their
deposit, first-class postage prepaid, in the United States mail, and the
time specified in any such notice shall commence to mn from the date of
such mailing.
Note: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.80 to section 4107
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
Article 8. Roster of Approved Firearms
Safety Devices, Appeal Process
§ 4108. Roster of Approved Firearms Safety Devices.
(a) Within ten days of the receipt of the Firearms Safety Device Com-
pliance Test Report (DOJ Form FD 033), and one firearms safety device,
from the Certified FSD Laboratory; the DOJ will determine whether the
firearms safety device may be placed on California' s Roster of Approved
Firearms Safety Devices. After the determination by the DOJ that the
firearms safety device may be listed, the DOJ will add the firearms safety
device to the Roster of Approved Firearms Safety Devices.
(b) Within ten days of the receipt of the request from a firearms safety
device manufacturer or dealer to add a firearms safety device to the Ros-
ter of Approved Firearms Safety Devices, the DOJ will determine wheth-
er the firearms safety device may be listed without testing. If the DOJ
finds that the firearms safety device may be listed, the DOJ will add the
firearms safety device to the Roster.
(c) A firearms safety device may be excluded from the Roster of Ap-
proved Firearms Safety Devices for any of the following reasons:
( 1 ) If it is determined that the firearms safety devices submitted for
testing were modified in any way from those that were sold after certifi-
cation was granted.
(2) If it is determined that the firearms safety device does not meet es-
tablished standards based upon further testing.
(3) If the firearms safety device manufacturer or dealer requests that
the firearms safety device be removed from the roster.
(d) A firearms safety device manufacturer or party of interest may sub-
mit a written request to list a firearms safety device that was voluntarily
discontinued. The written request must state that no modifications have
been made to the model and be submitted to the DOJ.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
dons 12088 and 12088.2, Penal Code.
History
1. Change without regulatory effect renumbering section 977.85 to section 4108
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 4109. Appeal Process for DOJ Exclusion of a Firearms
Safety Device Model from the Roster of
Approved Firearms Safety Devices.
(a) Upon DOJ-initiated removal of a model of a firearms safety device
from the Roster of Approved Firearms Safety Devices, or a refusal by the
DOJ to list a model of a firearms safety device on the roster, the DOJ shall
immediately notify the manufacturer, dealer, or other affected party of
interest of the action.
Page 113
Register 2006, No. 26; 6-30-2006
§4125
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(b) The manufacturer, dealer, or affected party of interest may, within
30 days following the date of removal, appeal the DOJ action by provid-
ing the DOJ with the following:
(1) Written request to appeal the removal.
(2) Evidence supporting any claim that the DOJ may have acted im-
properly in its exclusion of the firearms safety device from the roster or
in its refusal to list the device on the roster.
(3) Evidence that the firearms safety device meets the standards de-
scribed in these regulations.
(4) Any other information that the manufacturer, dealer, or other af-
fected party of interest deems of importance.
(5) Any other information that the DOJ deems necessary to determine
whether the firearms safety device meets the standards described in these
regulations.
(c) Within 30 days after the deadline prescribed in subsection (b) of
this section, the DOJ shall consider all relevant facts regarding the fire-
arms safety device and make a determination regarding whether that fire-
arms safety device qualifies to be listed on the Roster of Approved Fire-
arms Safety Devices. If the DOJ makes a finding that the device qualifies
for listing on the roster, the DOJ shall immediately add that device to the
Roster of Approved Firearms Safety Devices.
NOTE: Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sec-
tions 12088 and 12088.2, Penal Code.
History
1 . Change without regulatory effect renumbering section 977.90 to section 4109
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
Chapter 7. Dangerous Weapons
Article 1. General Provisions
§4125. Title.
This subchapter shall be known as the "Department of Justice Regula-
tions on Dangerous Weapons," may be cited as such and are referred to
herein as "these regulations."
NOTE: Authority cited: Sections 12095, 12230, 12250. 12350 and 12306, Penal
Code. Reference: Sections 12095, 12230, 12250 and 12305, Penal Code.
History
1 . Change without regulatory effect renumbering division 1 , chapter 12.5 (articles
1-7, sections 970-976.4) to division 5, chapter 7 (articles 1-7, sections
4125-4153) and renumbering section 970 to section 4125 filed 6-28-2006 pur-
suant to section 1 00, title 1 , Cah fomia Code of Regulations (Register 2006, No.
26).
§4126. Scope.
The provisions of these regulations shall apply to the possession,
transportation, and/or sales of dangerous weapons as defined in section
4127 of these regulations.
NOTE: Authority cited: Sections 12095, 12230, 12250, 12305 and 12306, Penal
Code. Reference: Sections 12095, 12230, 12250 and 12305, Penal Code.
History
1. Change without regulatory effect renumbering section 970.1 to section 4126,
including amendment of section, filed 6-28-2006 pursuant to section 100, title
1, California Code of Regulations (Register 2006. No. 26).
Article 2. Definitions
§ 4127. Definition of Key Terms.
(a) The term, "Department," means the Department of Justice of the
State of California.
(b) The term, "Director," means the Director of the Firearms Division,
Department of Justice, State of California.
(c) The term. "Administrative Hearing Officer," means an employee
of the Department designated by the Director. The hearing officer so des-
ignated shall not have participated in the decision to grant, deny, or re-
voke the permit or license that is the subject of a hearing before him/her.
(d) The term, "machine gun license," means a license to sell machine
guns pursuant to Penal Code section 12230.
(e) The term, "machine gun permit," means a permit to possess,
manufacture, and transport or possess, manufacture, or transport, ma-
chine guns pursuant to Penal Code section 1 2230.
(0 The term, "destructive device permit," means a permit to collect,
possess and transport or conduct business in destructive devices pursuant
to Penal Code section 12305.
(g) The term, "short-barreled shotgun or short-barreled rifle permit."
means a permit issued pursuant to Penal Code section 12095.
(h) The term, "licensee." means a person holding a machine gun li-
cense defined in subsection (d) of this section.
(i) The term "assault weapon permit" means a permit issued pursuant
to Penal Code Section 12286.
(j) The term, "permittee," means a person holding a permit defined in
subdivisions (e), (0. (g) or (i) of this section.
(k) The term, "collector" means a person holding a destructive device
permit who collects destructive devices as a hobby and not a business.
(/) The term, "applicant" means any person who submits the required
documentation, proper application forms, and appropriate fees for a dan-
gerous weapons permit/license.
(m) The term "dangerous weapons" means machine guns as defined
in Penal Code section 12200, destructive devices as defined in Penal
Code section 12301, short-barreled shotguns and short-barreled rifles as
defined in Penal Code section 1 2020, and assault weapons as defined in
Penal Code section 1 2276.
(n) The term "conditions" means express terms that appear on the face
of each permit issued by the Department. These are conditions or limita-
tions such as time, place and circumstances that permittees shall comply
with to retain their permits.
(o) The term, "market necessity," means a non-personal commercial
need for dangerous weapons which is not being satisfied in the existing
market place.
(p) The term, "public necessity," means a need for dangerous weapons
to be used in government sanctioned training or activities or a need for
repair and maintenance of dangerous weapons owned by pubhc agen-
cies.
(q) The term, "permit location," means the authorized place of busi-
ness identified by the DOJ on the face of the permit/license.
(r) The term, "initial application," means the application for an indi-
vidual who does not possess a current, valid permit/license.
(s) The term, "renewal application," means an application for a new
permit/license term year for an individual holding a current, valid permit/
license.
(t) The term, "term year," means the 12 month period that a permit/li-
cense is valid as stated on its face.
(u) The term, "sales demonstration" means the presentation of a dan-
gerous weapon at a site other than the permit location to an agency/indi-
vidual(s) legally qualified to purchase dangerous weapons. A valid sales
demonstration is conducted exclusively for the purpose of generating le-
gally authorized sales of the dangerous weapon being demonstrated.
NOTE: Authority cited: Sections 12095, 12200, 12230, 12250, 12286 and 12305,
Penal Code. Reference: Sections 12020, 12095, 12096, 12200, 12230, 12231,
12250, 12286 and 12305, Penal Code.
History
1. Change without regulatory effect renumbering section 971 to section 4127 filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
Article 3. Licenses and Permits
§4128. General.
(a) Except as provided in sections 12285, 12288 and 12290 of the Pe-
nal Code, no person shall possess, transport, or sell any dangerous weap-
on in this state unless he/she has been granted a permit and/or license pur-
suant to these regulations.
•
Page 114
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Title 11
Firearms Regulations
§4130
(b) No permit or license shall be issued to any applicant who fails to
establish good cause for such permit or license and that such permit or
license would not endanger the public safety.
(c) To establish good cause, an applicant must provide the Department
with clear and convincing evidence that there is a bona fide market or
public necessity for the issuance of a dangerous weapons permit or li-
cense and that the applicant can satisfy that need without endangering
public safety. Except as provided by Penal Code Section 12095, good
causes recognized by the Department to establish a bona fide necessity
for issuance of dangerous weapons permits or licenses include the fol-
lowing:
( 1 ) Sales to and/or manufacture for sales to law enforcement, military
and/or dangerous weapon permittees/licensees.
(2) Training, research and development; and/or manufacturing pur-
suant to government contract.
(3) Use and/or manufacture of dangerous weapons as props in com-
mercial motion picture, television production, or other commercial en-
tertainment events.
(4) Possession for the purpose of maintaining a collection of destruc-
tive devices as defined in Penal Code section 12301 but such possession
shall not be allowed for short-barreled shotguns, short-barreled rifles,
machine guns or assault weapons.
(5) Repair and maintenance of dangerous weapons lawfully possessed
by others.
(6) Use of dangerous weapons in activities sanctioned by government
military agencies by members of those agencies.
(7) The sale of assault weapons and/or the manufacture of assault
weapons for the sale to, purchase by, or possession of assault weapons
by: the agencies listed in subdivision (e), and the officers described in
subdivision (f) of Section 12280; entities and persons who have been is-
sued assault weapon permits; entities outside the state who have, in ef-
fect, a federal firearms dealer's license solely for the purpose of distribu-
tion to an entity listed herein; federal law enforcement and military
agencies; law enforcement and military agencies of other states; and for-
eign governments and agencies approved by the United States State De-
partment.
(8) Use of dangerous weapons for the design, manufacture, demon-
stration, and sales of dangerous weapons accessories to law enforcement
and military agencies, qualifying peace officers, and California danger-
ous weapons licensee/permittees.
(d) No permit or license shall be issued to any applicant who fails to
comply with local zoning restrictions or local fire-protective services
regulations or ordinances.
(e) The Department shall provide a notice of each permit or license is-
sued to the Chief of Police or Sheriff having jurisdiction over the licensee
or permittee's location. Copies of outstanding licenses and permits shall
be provided to the Chief or Sheriff of jurisdiction upon request.
NOTE: Authority cited: Sections 12095, 12230, 12250, 12286 and 12305, Penal
Code. Reference: Sections 12095, 12230, 12250, 12286 and 12305. Penal Code.
History
1 . Change without regulatory effect renumbering section 972 to section 4128 filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 4129. Limited Term Permits/Licenses; Conditions.
(a) Limited term permits/licenses (less than one year) may be granted
to provide for lawful possession until the Department has issued a deci-
sion on an application to renew a permit/license if that determination has
taken longer than 30 days or for the purpose of using dangerous weapons
for a limited term during a commercial motion picture, television produc-
tion, or other commercial entertainment event. Limited term permits may
also be issued when a background investigation has not yet been com-
pleted or before a background investigation has been initiated if the appli-
cant is working under a valid federal defense contract.
(b) In addition, permits shall stipulate any conditions or limitations
that apply on their face.
NOTE: Authority cited: Sections 12095. 12230, 12250 and 12305. Penal Code.
Reference: Sections 12095, 12230, 12231. 12250 and 12305. Penal Code.
History
1. Change without regulatory effect renumbering section 972.1 to section 4129
filed 6-28-2006 pursuant to section 1 00, title 1 . California Code of Regulations
(Register2006, No. 26).
§4130. Record Keeping.
(a) All licensees/permittees shall maintain records of inventory, ac-
quisitions, dispositions and manufacture of dangerous weapons.
(1 ) All licensees/permittees shall maintain current records of invento-
ry, acquisitions, dispositions and manufacture which shall contain a de-
scription of each dangerous weapon that identifies it uniquely including
all identification marks, numbers/letters, and/or serial numbers (for fire-
arms, the record shall contain the make, model, serial number, and cali-
ber). The current records of inventory, acquisitions, dispositions, and
manufacture shall be maintained on forms FD 041 , 042, 043, and 044, or
a computer generated printout of the same format as the forms listed
above.
(2) All licensees/permittees shall submit to DOJ an annual report of in-
ventory, acquisitions, dispositions and manufacture of dangerous weap-
ons with every annual license/permit renewal application submission.
The annual report shall be submitted on forms FD 041 , 042, 043, and 044,
or a computer generated printout of the same format as the forms listed
above. The annual report shall be continuous from the prior year' s renew-
al application annual report, the annual report shall present all dangerous
weapons possessed by the licensee/permittee at any time during the re-
porting permit term, and the annual report shall denote all acquisitions,
dispositions, manufactured weapons, weapons that have been lost or sto-
len, and weapons the licensee/permittee continues or continued to pos-
sess from the prior permit term.
(A) The annual report shall contain a description of each dangerous
weapon as prescribed in paragraph (1) of this subdivision.
(B) The annual report shall identify the date of all transactions, type
of transaction (acquisition, disposition, manufacture, loss or theft), the
full name, address and, if applicable, the Federal Firearms License (FFTL)
nurhber and/or California Dangerous Weapons Permit/License num-
ber(s), or other authorization of all parties to the transaction.
(b) Licensees/permittees authorized to demonstrate and sell danger-
ous weapons shall maintain records of dangerous weapons sales demon-
strations.
(1) Licensees/permittees authorized to demonstrate and sell danger-
ous weapons shall maintain current records of all sales demonstrations
performed during the term year on form FD 025, or a computer generated
printout of the same format as form FD 025. For each demonstration con-
ducted, the records shall include the date, time, place, agency(ies) name,
and agency(ies) contact name(s) and rank(s). Records shall also include
a description of each dangerous weapon demonstrated as prescribed in
paragraph (1) of subdivision (a) of this section.
(2) Licensees/permittees authorized to demonstrate and sell danger-
ous weapons shall submit to DOJ an annual report of all sales demonstra-
tions performed with every annual license/permit renewal application
submission.
(A) The annual report shall be submitted on form FD 025 or a comput-
er generated printout of the same format as form FD 025. The annual re-
port shall be continuous from the prior year's renewal application annual
report. The annual report shall present the date, time, place, agency(ies)
name, and agency(ies) contact name(s) and rank(s). Records shall also
include a description of the dangerous weaponfs) demonstrated as pre-
scribed by paragraph (1) of subdivision (a) of this section.
(B) Licensees/permittees authorized to demonstrate and sell danger-
ous weapons who have not conducted any sales or demonstrations during
the term year shall submit to DOJ documents demonstrating an effort to
sell or demonstrate dangerous weapons. Such documents may include,
but are not limited to, business correspondence and bid proposals which
show any reasonable effort to sell dangerous weapons, and any rationale
Page 115
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§4130
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
why DOJ should not deny the renewal of the permit pursuant to subpara-
graph (4) of subdivision (a) of section 4147.
(c) Permittees authorized to conduct training and/or research & devel-
opment shall maintain records of training and/or research & development
activities involving dangerous weapons.
( 1 ) Permittees authorized to conduct training and/or research & devel-
opment shall maintain current records of training and/or research & de-
velopment activities involving dangerous weapons on Form FD 024. For
each activity, the records shall include the date(s), location, supervising
permittee name and permit number, a description of the dangerous weap-
on(s) used as prescribed by paragraph ( 1) of subdivision (a) of this sec-
tion, and the pertinent contract number of the contracting governmental
agency or subcontractor the training and/or research & development ac-
tivity for which the activity is conducted.
(2) Permittees authorized to conduct training and/or research & devel-
opment shall submit to DOJ an annual report of all training and/or re-
search & development activities involving dangerous weapons.
(A) The annual report shall be submitted on form FD 024 or a comput-
er generated printout of the same format as form FD 024. The annual re-
port shall be continuous from the prior year's renewal application annual
report. The annual report shall present the date(s), location, supervising
permittee name and permit number, a description of the dangerous weap-
on(s) used as prescribed by paragraph (1) of subdivision (a) of this sec-
tion, and the pertinent contract number of the contracting governmental
agency, or subcontractor, for whom the training and/or research & devel-
opment activity is conducted.
(B) Permittees authorized to conduct training and/or research & devel-
opment who have not conducted any training and/or research & develop-
ment activities during the term year shall submit to DOJ a detailed ex-
planation why such activities were not performed and provide any
rationale why DOJ should not deny the renewal of the permit pursuant
to subparagraph (4) of subdivision (a) of section 4147.
(d) Permittees authorized to use dangerous weapons in commercial
motion picture, television production, or other commercial entertain-
ment event shall maintain records of those activities.
( 1 ) Permittees authorized to use dangerous weapons in commercial
motion picture, television production, or other commercial entertain-
ment event shall maintain records of those activities on form FD 048, or
a computer generated printout of the same format as form FD 048. For
each activity, the records shall include the date(s), location, production
company name and contact person, and a description of the dangerous
weapon(s) used as prescribed by paragraph (1) of subdivision (a) of this
section.
(2) Permittees authorized to use dangerous weapons in commercial
motion picture, television production, or other commercial entertain-
ment event shall provide an annual report of all commercial motion pic-
ture, television production, or other commercial entertainment event ac-
tivities provided.
(A) The annual report shall be submitted on form FD 048, or a comput-
er generated printout of the same format as form FD 048. The annual re-
port shall be continuous from the prior year' s renewal application annual
report. The annual report shall present the date(s), location, production
company name and contact person, a description of the dangerous weap-
on(s) used as prescribed by paragraph (1 ) of subdivision (a) of this sec-
tion.
(B) Permittees authorized to use dangerous weapons in commercial
motion picture, television production, or other commercial entertain-
ment event who have not provided these services during the term year
shall submit to DOJ a detailed explanation why such activities were not
performed and provide rationale why DOJ should not deny the renewal
of the permit pursuant to subparagraph (4) of subdivision (a) of section
4147.
(e) Permittees authorized to collect destructive devices shall provide
a signed statement that the weapon(s) or ordnance were not fired or dis-
charged. Permittees authorized to publicly display their destructive de-
vice inventory shall maintain records of when their collection was put on
display.
( 1 ) All permittees authorized to collect destructive devices shall pro-
vide a signed statement certifying that the weapon(s) or ordnance have
not been fired or discharged on form FD 026.
(2) Permittees authorized to collect destructive devices shall maintain
current records of any public displays during the term year on form FD
026, or a computer generated printout of the same format as form FD 026.
For each display, thew records shall identify the time, place and purpose
of the display.
(3) Permittees authorized to collect destructive devices shall submit to
DOJ an annual report of any public displays.
(A) The annual report shall be submitted on form FD 026, or a comput-
er generated printout of the same format as form FD 026. The annual re-
port shall be continuous from the prior year's renewal application annual
report. The annual report shall present the time, place, device(s) dis-
played, and purpose of each display. Destructive devices used shall be
described as prescribed by paragraph (1) of subdivision (a) of this sec-
tion.
(B) Permittees authorized to collect destructive devices, who have dis-
posed of their collection, shall submit to DOJ a detailed explanation why
the collection was dissolved. Permittees with no collection shall provide
any rationale why DOJ should not deny the renewal of the permit pur-
suant to subparagraph (4) of subdivision (a) of section 4147.
(f) Permittees authorized to conduct repair and maintenance of dan-
gerous weapons shall maintain records of repair and maintenance ser-
vices provided.
( 1 ) Permittees authorized to repair and maintain dangerous weapons
shall maintain current records of those services on form FD 027, or a
computer generated printout of the same format as form FD 027. For each
service performed, the record shall include the date of service, the service
provided, the person to whom the service was provided, and a description
of the dangerous weapon as prescribed by paragraph ( 1 ) of subdivision ^Hk
(a) of this section. ^jjr
(2) Permittees authorized to repair and maintain dangerous weapons
shall submit to DOJ an annual report of all services provided.
(A) The annual report shall be submitted on form FD 027, or a comput-
er generated printout of the same format as form FD 027. The annual re-
port shall be continuous from the prior year's renewal application annual
report. The annual report shall include the date of service, the service pro-
vided, the person to whom the service was provided, and a description
of the weapon.
(B) Permittees authorized to repair and maintain dangerous weapons
who have not conducted any repairs or maintenance during the term year
shall submit to DOJ any rationale why DOJ should not deny the renewal
of the permit pursuant to subparagraph (4) of subdivision (a) of section
4147.
(g) Military personnel permitted to use personal assault weapons in
military sanctioned activities shall maintain records of those activities.
(1) Permittees authorized to use personal assault weapons in military
sanctioned activities shall maintain records of those activities on form FD
047, or a computer generated printout of the same format as form FD 047.
For each permitted activity, the records shall include the date, location,
type of activity and the weapons used. Records shall include a description
of the weapon as prescribed by paragraph (1) of subdivision (a) of this
section.
(2) Permittees authorized to use personal assault weapons in military
sanctioned activities shall submit to DOJ an annual report of all services
provided.
(A) The annual report shall be submitted on form FD 047 , or a comput-
er generated printout of the same format as form FD 047. The annual re-
port shall be continuous from the prior year' s renewal application annual
report. The annual report shall include the date, location, type of activity,
and a description of the weapons used.
Page 116
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Title 11
Firearms Regulations
§4136
(B) Military personnel permitted to use personal assault weapons in
military sanctioned activities, who have not conducted any permitted ac-
tivities, must provide a letter signed by the permittee's Base Commander
from the permittee's employing agency stating that such a need still ex-
ists.
(h) All records described in this section shall be made available by the
licensee/permittee to any peace officer or other persons designated by the
Attorney General upon request.
NOTH; Authority cited: Sections 12095, 12097, 12230, 12250, 12286 and 12305,
Penal Code. Reference: Sections 12095, 12097, 12230, 12250, 12286 and 12305,
Penal Code.
History
1. Chanee without regulatory effect renumbering section 972.2 to section 4130,
including amendment of subsections (b)(2)(B), (c)(2)(B), (d)(2)(B), (e)(3)(B)
and (tX2)(B). filed 6-28-2006 pursuant to section 100, title I, California Code
of Regulations (Register 2006, No. 26).
§ 41 31 . Disposition of Trade-in IVIachine Guns.
(a) A licensee who takes trade-in machine guns in the process of a sale
of contemporary weapons, shall lawfully dispose of such weapons within
eighteen months.
( 1 ) The licensee may apply for a longer period of retention by supply-
ing the Department with an expression of interest by a qualified purchas-
er.
(2) In no event shall such a machine gun be retained for a total of more
than two years.
(b) The licensee shall be able to provide written documentation that the
transfer was concluded. Failure to dispose of such machine guns may re-
sult in revocation of the machine gun permit/license.
NOTE: Authority cited: Sections 12250 and 12251, Penal Code. Reference: Sec-
tions 12250 and 12251, Penal Code.
History
1. Change without regulatory effect renumbering section 972.3 to section 4131
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
Article 3.5. Documentation of Necessity
§4132. Sales.
(a) Documentation required to determine bona fide necessity for sales
and demonstration for the purpose of sales of dangerous weapons in-
cludes the following:
( 1 ) A list of counties in California where the applicant plans to sell dan-
gerous weapons.
(2) Expressions of interest from a chief of police or designee, sheriff
or designee, or head of a government agency or designee in each speci-
fied county indicating the number and type of dangerous weapons they
plan to buy during the next 1 8 months and a statement that the agency will
consider purchasing dangerous weapons from the applicant.
(3) The number of demonstrations the applicant intends to conduct, the
specific agencies to which the applicant intends to demonstrate, and the
number/type of dangerous weapons to be used in the demonstrations.
(4) The number/type of dangerous weapons the applicant plans to have
in his inventory for demonstrations, and a statement indicating whether
these dangerous weapons are for sale.
(5) A plan to notify law enforcement or government agencies concern-
ing demonstrations and/or sales.
(6) Letters from manufacturers authorizing an applicant to represent
their dangerous weapons for sale.
(7) A list of manufacturers, makes, and models of dangerous weapons
that the applicant plans to market.
(8) A plan to deUver dangerous weapons once a sale is made.
(9) A plan for the disposal of dangerous weapons taken in trade.
(10) A history of the applicant's experience in the handling and dem-
onstrations of dangerous weapons.
(b) Applicants for permits to possess dangerous weapons for sale must
also provide evidence of a current Federal Firearms License (FFL), local
business license, and current seller's permit issued by the State Board of
Equalization.
NOTE: Authority cited: Sections 12095, 12230, 12250, 12286, 12290 and 12305,
Penal Code. Reference: Sections 12095, 12230, 12250, 12286, 12290 and 12305.
Penal Code.
History
1. Change without regulatory effect renumbering section 972.4 to section 4132
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Recuiations
(Register 2006, No. 26).
§ 4133. Training; Research & Development; and/or
Manufacturing.
(a) Documentation required to determine bona fide necessity for train-
ing; research & development; and/or manufacturing of dangerous weap-
ons pursuant to Government contract includes the following:
( 1 ) Current copies of government agency contracts.
(2) Detailed statements of objectives of the training, research & devel-
opment, and/or manufacturing including tirne fraines of the effort and a
projected completion date.
NOTE: Authority cited: Sections 12095, 12230, 12250, 12286 and 12305, Penal
Code. Reference: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code.
History
1. Change without regulatory effect renumbering section 972.5 to section 4133
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 4134. Commercial Motion Picture, Television Production,
or Other Commercial Entertainment Event.
(a) Documentation required to determine bona fide necessity for pos-
session or manufacturing of dangerous weapons for commercial motion
picture, television production, or other commercial entertainment event
includes the following:
(1) If an agent of a studio, the applicant must provide a letter of need
and verification of employment from the studio.
(2) If an agent of a rental company or an independent property master,
the applicant must provide letters of interest from the studios.
(b) Persons attempting to establish a business in this area who have not
yet been retained by clients shall provide copies or business correspon-
dence or other evidence of their activities which they deem will show rea-
sonable efforts to supply dangerous weapons for use in commercial mo-
tion picture, television production, or other commercial entertainment
event.
NOTE: Authority cited: Sections 12095, 12230, 12250, 12286 and 12305, Penal
Code. Reference: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code.
History
1. Change without regulatory effect renumbering section 972.6 to section 4134
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 4135. Collection of Destructive Devices.
(a) Documentation required to determine bona fide necessity for col-
lecting destructive devices includes the following:
(1) A written statement from applicant certifying that he is a bona fide
collector of destructive devices. The statement must identify the weap-
ons or ordnance of interest to the collector and an estimate of the intended
size of the collection.
(2) A written statement from applicant certifying that the weapon or
ordinance will not be fired or discharged.
Note; Authority cited: Secfions 12095, 12230, 12250, 12286 and 12305, Penal
Code. Reference: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code.
History
1. Change without regulatory effect renumbering section 972.7 to section 4135
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 4136. Repair and Maintenance.
(a) Documentation required to determine bona fide necessity for repair
of dangerous weapons includes the following:
(1) The applicant must provide evidence of expertise in the specific
weaponry (i.e., educational certificates/diplomas, employment history,
experience).
(2) Letters of interest must be provided from individuals/agencies in-
dicating a need for applicant to repair or maintain their weaponry.
Page 117
Register 2006, No. 26; 6-30-2006
§4137
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
Note: Authority cited: Sections 12095, 12230, 12250, 12286 and 12305, Penal
Code. Reference: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code.
History
1. Change without regulatory effect renumbering section 972.8 to section 4136
filed 6-28-2006 pursuant to section 100, title 1, California Code of Resulations
(Register 2006, No. 26).
§ 4137. Activities Sanctioned by Military — Assault
Weapons.
(a) Documentation required to determine bona fide necessity for use
of personal assault weapons by military personnel in sanctioned activi-
ties includes the following:
(1) A current copy of the applicant's official identification card.
(2) The applicant must provide a letter, signed by the applicant's Base
Commander, stating that such a need exists.
NOTE: Authority cited: Section 12286, Penal Code. Reference: Section 1 2286, Pe-
nal Code.
History
1. Change without regulatoi^ effect renumbering section 972.9 to section 4137
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
History
I. Change without regulatory effect renumbering seclion 973.1 to section 4139
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Reaulations
(Register 2006, No. 26).
Article 4. Investigations
§4138. General.
The Department shall conduct investigations of applicants for danger-
ous weapon permits/licenses to establish grounds for the issuance or de-
nial of the application as follows:
(a) Related Persons. Additional persons who may be investigated are:
( 1 ) Persons with 10 percent or more interest in the permittee/licensee's
business.
(2) Persons with authority to make management decisions for the per-
mittee/licensee.
(3) Persons who have access to the dangerous weapon(s).
(b) Applicant' s Business Role and/or Control of the Business. The fol-
lowing areas may be investigated concerning the applicant's business
role and/or control of the business:
( 1 ) Primary function of the business.
(2) Law enforcement's comments on the business.
(3) Applicant's financial interest in the business and source of funds.
(4) Applicant's role in and/or control of the business.
(5) Spouse's association with the business.
(c) Applicant's Personal Qualifications. The following areas may be
investigated concerning the applicant's personal background:
( 1 ) Character assessment by personal and/or business acquaintances
and appropriate law enforcement and government agencies.
(2) Criminal history and driving record.
(3) Military record.
(4) Past employment or expertise related to the weapon to be covered
by the requested permit/license.
(5) Medical history.
Note; Authority cited: Sections 12095, 12230, 12250 and 12305. Penal Code.
Reference: Sections 12050, 12095, 12230, 12250 and 12305, Penal Code; and
Sections 1100, 1101, 1102, 1103 and 1105, Evidence Code.
History
1 . Change without regulatory effect renumbering section 973 to section 41 38 filed
6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 4139. Investigation of New Information.
Each applicant and permittee/licensee shall provide written notifica-
tion to the Department of any change in the information required on the
application forms within 1 days of the time that the change occurred. An
investigation concerning any such change in information may be con-
ducted.
Note: Authority cited: Sections 12095, 12230, 12250 and 12305, Penal Code.
Reference: Sections 12095, 12230, 12250 and 12305, Penal Code.
Article 5. Security
§ 4140. General Compliance.
(a) Dangerous weapons shall only be stored in facilities, or transported
in vehicles, that meet the security requireinents described by Section
4141, and that have been reported to DOJ on form FD 045.
(b) Form FD 045 will require the permit/license holder to provide the
following information:
( 1 ) The phone number and physical address of all primary and, if appli-
cable, secondary security compliant storage locations.
(2) The year, make, model, and vehicle identification or license plate
number(s), of all security compliant vehicles and trailers.
(3) Statement that all locations and vehicles meet security require-
ments.
(4) Date and signature of permit/license holder, attesting, under penal-
ty of perjury, that the preceding is true.
(c) Any change to the information on security compliant storage facili-
ties or transportation vehicles must be reported to DOJ within 10 days on
a new copy of form FD 045.
(d) A violation of this section establishes grounds for revocation pur-
suant to Section 4142(a)(5).
Note; Authority cited: Sections 12095, 12230, 12250 and 12305, Penal Code.
Reference: Sections 12095, 12230, 12250 and 12305, Penal Code.
History
1. Change without regulatory effect renumbering section 974 to section 4140, in-
cluding amendment of subsections (a) and (d), filed 6-28-2006 pursuant to sec-
tion 100, fitle 1, California Code of Regulations (Register 2006, No. 26).
§ 41 41 . Security Requirements.
The following is a description of required security for storing and
transporting machine guns, short-barreled shotguns, short-barreled
rifles, assault weapons and destructive devices:
(a) Exterior Building Security Requirements
(1) All perimeter doors to the building shall be solid core and have
dead-bolt locks or the equivalent. Sliding glass doors shall have steel
window guards or be connected to an audible or silent alarm to detect
entry.
(2) All direct entries into the interior storage room from the exterior
of the building, including windows and skylights, require steel window
guards (not recommended for private residences), or audible, silent or
sonic alarm to detect entry, or 24-hour security guard service.
(3) If the dangerous weapon(s) will be stored at a location different
from the principal place of business, or at the applicant's residence and
that residence is rented/leased, the applicant shall submit written approv-
al from the owner and the location shall meet all specified exterior and
interior security requirements.
(4) When the size of the weapon(s) prohibits storage in a residence or
room of a business, the weapon shall be permanently secured to prohibit
easy removal, and the firing mechanism and any ammunition shall be re-
moved and stored in a separate locked room, cabinet, or box in an area
separate from the storage area for the weapon.
(b) Interior Building Security Requirements
(1) The weapon(s) shall be stored in a separate room away from any
general living area or work area. Destructive device collectors may dis-
play historic, antique or curio weapons in a general living or work area
provided such weapons have been disabled by removal of firing mecha-
nisms which shall be stored separately in a safe or equivalent high securi-
ty storage area.
(2) All doors leading into the storage room shall be solid core with a
dead-bolt lock or the equivalent and be locked while unattended, or the
weapon(s) shall be stored in an anchored, locked metal box in the room.
Anchored is defined as permanently mounted to the floor or having a
Page 118
Register 2006, No. 26; 6-30-2006
Title 11
Firearms Regulations
§4144
gross weight of 1 ,000 pounds or more so that heavy equipment or tools
would be required to remove the box.
(3) Any ammunition shall be removed and stored in a separate and
locked room, cabinet or box away from the storage area for the weapon.
Ammunition may be stored with a weapon if locked in a safe.
(c) Security Requirements for Transporting Machine Guns, Assault
Weapons and Short-Barreled Shotguns/Rifles
(1) Machine guns, assault weapons, short-barreled shotguns and
short-barreled rifles shall be transported in a locked metal container or
the equivalent which is bolted to the floor of the vehicle's trunk or secure-
ly fastened to the floor in the passenger compartment of the vehicle to
prevent unauthorized access. The vehicle shall be locked at all times
while unattended.
(2) All locking devices shall be in good operating condition.
(d) Security Requirements for Transporting Destaictive Devices
(1) When size or quantity of the weapon(s) permits storage inside the
vehicle:
(A) The weapon(s) shall be transported either concealed in the locked
storage area of the vehicle, or in a locked metal box or the equivalent
which is bolted to the floor of the vehicle. The vehicle shall be locked at
all times while unattended.
(B) All locking devices shall be in good operating condition.
(2) When size or quantity of the weapon(s) prohibits storage inside the
vehicle:
(A) If the weapon is transported exposed on a pick-up truck or other
vehicle, a locking device connecting the weapon to the vehicle is re-
quired. The locking mechanism shall be able to resist common tools such
as bolt cutters, hammers and cold chisels.
(B) If the weapon is transported on a trailer, the weapon shall be locked
to the trailer and the trailer locked to the vehicle at all times while unat-
tended. The locking mechanism shall be able to resist common tools such
as bolt cutters, hammers and cold chisels.
(C) If the weapon is mounted on its own axle, the trailer hitch or tongue
shall have a locking device connected to the vehicle at all times while un-
attended. The locking mechanism shall be able to resist common tools
such as bolt cutters, hammers and cold chisels.
(D) If a padlock is used to secure a weapon, it shall be secured with a
high security, case-hardened, large shackle padlock which is in good op-
erating condition.
(E) A special event permit may be granted to historical societies, civic
organizations or collectors requesting such permits to waive transporta-
tion security requirements for the purpose of allowing the authentic dis-
play of historic, antique, curio destructive devices in patriotic, historic,
civic or cultural events.
NOTE: Authority cited: Sections 12095, 12230, 12250, 12276 and 12305, Penal
Code. Reference: Sections 12095, 12230, 12250, 12276 and 12305, Penal Code.
History
1. Change without regulatory effect renumbering section 974.1 to section 4141
fded 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Article 6. Application Forms, Processing
Time, Reporting Requirements, Renewals,
Fees, Denials, Revocations
§ 4142. Application Forms.
(a) Initial applicants shall do all of the following:
( 1 ) Submit fingerprint impressions at a Department of Justice ap-
proved Live Scan station and obtain an Applicant Tracking Identifier
(ATI) number.
(2) Complete an Initial Dangerous Weapons License/Permit Applica-
tion (Form FD 030), including the ATI number obtained pursuant to
paragraph (1).
(3) If apphcable, complete the Facility and Vehicle Compliance (Form
FD 045) statement as described by subdivision (b) of Section 4140.
(4) Submit the completed Initial Dangerous Weapons License/Permit
Application (Form FD 030), applicable fees pursuant to Section 4145,
and/or the Facility and Vehicle Security Compliance (Form FD 045)
statement to the department.
(b) Renewal applicants shall submit a dangerous weapons permit/li-
cense application form FD 031, identifying the permit(s)/license(s) for
which they are applying and/or requesting renewal.
(c) The forms described in paragraph (2) of subdivision (a) and subdi-
vision (b) require the applicant to provide the following information:
( I ) Initial Application will require the following information signed,
dated, and certified under penalty of perjury: application type requested;
applicant's name; business physical addresses; business mailing address;
business phone number; business facsimile number (if any); residence
address, residence phone number; gender, date of birth. Applicant Track-
ing Identifier (ATI) number. United States citizenship; if not a United
States citizen, the country of citizenship and the federal Alien Registra-
tion Number or federal 1-94 number; California driver's license number;
social security number; height, weight, eye color, hair color; past and
present employer data; spousal history; personal history including crimi-
nal and medical history background; personal references; business histo-
ry; identification of the permit location, and a documentation of necessity
for obtaining the permit/license.
(b) Renewal Application form requires the following information
signed, dated, and certified under penalty of perjury: application type re-
quested; applicant's name; business physical addresses; business mail-
ing address; business phone number; current supervisor's name; resi-
dence address, residence phone number; gender, date of birth. United
States citizenship; if not a United States citizen, the country of citizenship
and the federal Alien Registration Number or federal 1-94 number;
California driver's license number; social security number; height,
weight, eye color, hair color, and updates to any changes of information
required by the Initial Application described in paragraph (1).
(d) False statements on application forms or the Facility and Vehicle
Security Comphance statement constitute cause for denial or revocation
of license/permit.
NOTE: Authority cited: Sections 12096, 12231, 12250, 12286 and 12305, Penal
Code. Reference: Sections 12096, 12231, 12250, 12286 and 12305, Penal Code.
History
1. Change without regulatory effect renumbering section 975 to section 4142, in-
cluding amendment of subsections (a)(3) and (a)(4), filed 6-28-2006 pursuant
to section 100, title 1, California Code of Regularions (Register 2006, No. 26).
§ 4143. Processing Time.
NOTE: Authority cited: Section 15376, Government Code. Reference: Sections
12095, 12230, 12250, 12305 and 12306, Penal Code.
History
1. Change without regulatory effect renumbering section 975.1 to section 4143
fded 6^28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 4144. Renewal of Permit/License.
(a) Completed applications for renewal of permit/license shall be sub-
mitted not less than 30 days prior to expiration of the permit/license.
(b) A penalty of 50% of the permit/license fee shall be assessed in
cases where the renewal fee is not paid on or before 30 days prior to expi-
ration of the permit/license.
(c) An application for renewal of a permit/license may be denied for
any of the reasons hsted under sections 4146 and 4147.
(d) At renewal time, all permittees and licensees shall submit their in-
ventory records in the format described in subdivision 4130.
(e) If the Department denies renewal of a permit/license, the Depart-
ment shall provide the permittee/licensee with a Notice of Denial of Re-
newal which shall specify the causes on which the denial of renewal is
based within ten calendar days from the effective date of denial. The De-
partment shall not add any additional causes to a notice that has been
transmitted to a licensee/permittee but it may, transmit an amended no-
tice with additional causes on which the denial of renewal is based.
NOTE: Authority cited: Sections 12095, 12230, 12250 and 12305, Penal Code.
Reference: Sections 12095, 12096, 12230, 12231, 12250, 12286, 12287 and
12305, Penal Code.
Page 119
Register 2006, No. 26; 6-30-2006
§4145
BARCLAYS CALIFORNIA CODE OF REGULATIONS
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History
1. Change without regulatory effect renumbering section 975.2 to section 4144,
including amendment of subsections (c) and (d), filed 6-28-2006 pursuant to
section foO, title 1, California Code of Regulations (Register 2006, No. 26).
§4145. Fees.
(a) Each application for a permit/license shall be accompanied with the
appropriate fee(s) as follows:
(1) New Application:
(A) Basic fee $377.00.
(B) When more than one permit/license is applied for at the same time
and for the same permit location, a fee of $22.00 is required for each addi-
tional permit/license requested by the applicant at the permit location.
(2) Renewal Application:
(A) Basic fee $126.00.
(B) When inore than one renewal is applied for at the same time and
for the same permit location, a fee of $22.00 is required for each addition-
al renewal requested by the applicant at the permit location.
(3) Annual Inspection Fee
Annual Inspection fee is due with the Annual Renewal fee. Annual In-
spection fee will be determined by the Department based on the permit/li-
cense holder's prior year's reported inventory. No Annual Inspection fee
will be required with the Initial Application except for those applicants
who have held a dangerous weapon permit within the last 24 months. Ap-
plicants who have held a permit/license within the last 24 months will be
required to pay the Annual Inspection fee (based on the prior permit
term's inventory) at the time the Initial Application is approved.
(A) Permit/license holders with less than five dangerous weapons re-
corded in their inventory in the last 12 months (regardless of whether or
not the dangerous weapons were in the inventory at the same time): in-
spection fee $165.00.
(B) Permit/license holders with five to twenty-five dangerous weap-
ons recorded in their inventory in the last 1 2 months (regardless of wheth-
er or not the dangerous weapons were in the inventory at the same time):
inspection fee $750.00.
(C) Permit/license holders with twenty-six or more dangerous weap-
ons recorded in their inventory in the last 1 2 months (regardless of wheth-
er or not the dangerous weapons were in the inventory at the same time):
inspection fee $ 1 ,500.00.
(D) Out-of-state permit/license holders with no California based per-
mit location and no California based inventory: inspection fee $100.00.
(b) Inspection Frequency
Annual inspection frequency is based on inventory volume. Permit-
tees/licenses with a combined total of five or more dangerous weapons
recorded in their inventory during the last 12 months (regardless of
whether or not the dangerous weapons were in the inventory at the same
time) shall be subject to on-site inspections annually. All other permit-
tees/licenses, including out-of-state permittees/licensees, shall be sub-
ject to an on-site inspection (records only inspection for out-of-state
permittees/licensees) at least once every five years.
(c) The Department shall review and may adjust the fees annually pur-
suant to Penal Code sections 12096, 12231, 12250. 12286, 12287, and
12305 and establish a schedule of those fees.
NOTE: Authority cited: Sections 12096, 12231, 12250, 12286, 12287 and 12305,
Penal Code; and Stats. 2002, ch. 1 106 (Senate Bill 1312), Sec. 3, Stats. 2002, ch.
910 (Assembly Bill 2580), Sec. 3-7. Reference: Sections 12096, 12231, 12250.
12286, 12287 and 12305, Penal Code; and Stats. 2002, ch. 1106 (Senate Bill
1312), Sec. 3, Stats. 2002, ch. 910 (Assembly Bill 2580), Sec. 3-7.
History
1. Change without regulatory effect renumbering section 975.3 to section 4145
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
§ 4146. Denial of Application, Reasons, Reconsideration.
(a) Applications for permits/licenses shall be denied for the following
reasons:
(1) Applicant fails to establish good cause for issuance of the permit
or Hcense.
(2) Applicant does not meet security requirements.
(3) Applicant makes false statements on application.
(4) Applicant fails to establish that issuance of the permit or license
would not endanger the public safety.
(5) Applicant fails to notify the Department of any changes in informa-
tion as required by section 4139.
(b) When an initial application is denied, the applicant may file, within
30 days, a written request for reconsideration by an Administrative Hear-
ing Officer. Such request may include any and all evidence and legal ar-
guments which applicant feels is relevant to a reconsideration of the
application. The Department shall provide the applicant with a written
notice of its final decision within 60 days of the time the request for re-
consideration is filed.
(c) When an application is denied after reconsideration a new applica-
tion may be filed pursuant to section 4148.
Note: Authority cited: Sections 12095, 12230. 12250 and 12305, Penal Code.
Reference: Sections 12095. 12098, 12230, 12233, 12250 and 12305, Penal Code.
History
1. Change without regulatory effect renumbering section 975.4 to section 4146,
including amendment of subsections (a)(5) and (c), filed 6-28-2006 pursuant
to section 100, title I, California Code of Regulations (Register 2006, No. 26).
§ 4147. Revocation and/or Denial of Renewal of
Permit/License, Reasons.
(a) A permit/license may be revoked anytime during the permit/li-
cense year when it is determined the permittee/licensee is no longer eligi-
ble, a legitimate need no longer exists, or the permit/license has been mis-
used. Reasons for revocation of permit and/or license include, but are not
limited to:
( 1 ) The permittee/licensee is arrested for an offense which prohibits
possession of the permit/license weapon(s).
(2) The permittee/licensee uses the weapon(s) for purposes other than
permitted/licensed.
(3) The permittee/licensee fails to engage in business or violates con-
ditions stipulated in the permit/license.
(4) The permittee/licensee fails to keep or provide records of sales and/
or demonstrations, if applicable.
(5) The permittee/licensee fails to provide required security.
(6) The permittee/licensee fails to notify the Department of any
changes in information as required in section 4139.
(7) Permittee/licensee violates any law punishable as a felony, or is
convicted of a substantially related misdemeanor crime.
(8) Any reason which would be grounds for denial of an application
pursuant to section 4146.
NOTE: Authority cited: Sections 12095, 12098, 12230, 12250 and 12305, Penal
Code.
History
1. Change without regulatory effect renumbering section 975.5 to section 4147,
including amendment of subsections (a)(6) and (a)(8), filed 6-28-2006 pur-
suant to section 100, title 1, California Code of Regulations (Register 2006, No.
26).
§ 4148. Waiting Period.
An applicant whose permit/license was either denied or revoked may
reapply after one year has elapsed from date of denial/revocation except
those persons prohibited from possessing firearms under State or Federal
law. The waiting period may be shortened upon a showing of good cause.
NOTE: Authority cited: Sections 12095, 12098, 12230, 12250 and 12305, Penal
Code. Reference: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code.
History
1. Change without regulatory effect renumbering section 975.6 to section 4148
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
Article 7. Appeal Process
§ 4149. Notice of Revocation or Notice of Denial of
Renewal.
(a) The Department shall provide the permittee/licensee with a Notice
of Intent to Revoke which shall specify all causes on which the revoca-
tion is based. Notice shall be provided by personal service, certified or
registered mail.
Page 120
Register 2(X)6, No. 26; 6-30-2006
Title 11
Firearms Regulations
§5455
(b) A permittee/licensee who has ben served with a Notice of Intent to
Revoke or a Notice of Intent to Deny a Renewal may file, within 30 days,
a written answer to the notice, which answer shall be deemed a denial of
all of the allegations in the notice not expressly admitted.
(c) A permittee/licensee may request a hearing in his/her answer to the
notice or no later than 60 days from the date of Notice of Revocation or
Notice of Denial of Renewal. If a hearing is requested, the Department
shall take no revocation action until completion of hearing proceedings
pursuant to section 4153 of these regulations.
(d) Failure to make a written request for a hearing within the time peri-
od specified in (b) constitutes a waiver of the right to a hearing.
(e) If the permittee/licensee fails to answer within the time specified
in (b) or, after answer, withdraws his appeal, the action taken by the De-
partment shall be final.
(0 Notwithstanding subsection (c), the Department shall take immedi-
ate action to revoke any permit or license when there is reason to believe
that public safety may be endangered if the permittee/licensee were to re-
tain the permit/license.
NOTE: Authority cited: Sections 12095, 12098, 122.^0, 12250 and 12305, Penal
Code. Reference: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code.
History
1 . Change without regulatory effect renumbering section 976 to section 4149, in-
cluding amendment of subsection (c), filed 6-28-2006 pursuant to section 1 00,
title 1,'CaIifomia Code of Regulations (Register 2006, No. 26).
§4150. Administrative Hearing.
(a) If a hearing is requested by the permittee/licensee, a hearing shall
be held within 30 days unless time is waived by the permittee/licensee.
The hearing shall be conducted by the Department's Administrative
Hearing Officer.
(b) The permittee/licensee shall be given the opportunity to be heard
and to be represented by counsel during any hearing proceedings.
(c) An Administrative Hearing Officer shall voluntarily disqualify
himself or herself and withdraw from any case in which he or she cannot
accord a fair and impartial hearing or consideration. Any party may re-
quest the disqualification of the Administrative Hearing Officer by fihng
an affidavit, prior to the taking of evidence at a hearing, stating with par-
ticularity the grounds upon which it is claimed that a fair and impartial
hearing cannot be accorded. The issue shall be determined by another
Administrative Hearing Officer.
(d) Tlie proceedings at the hearing shall be reported by a phonographic
reporter; except that, upon the consent of all the parties, the proceedings
may be reported electronically.
NOTE; Authority cited: Sections 12095. 12098, 12230, 12250 and 12305, Penal
Code. Reference: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code;
and Section 11512, Government Code.
History
1. Change without regulatory effect renumbering section 976.1 to section 4150
filed ^28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 41 51 . Time and Place of Administrative Hearing.
The Department shall notify the permittee/licensee of the time and
place of hearing. Failure of the permittee/licensee to appear at the hearing
shall be deemed a withdrawal of his/her answer and the action of the De-
partment shall be final.
Note: Authority cited: Sections 12095, 12098, 12230. 12250 and 12305, Penal
Code. Reference: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code.
History
1. Change without regulatory effect renumbering section 976.2 to section 4151
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 4152. Evidence Rules.
(a) Oral evidence shall be taken only on oath or affirmation.
(b) Each party shall have these rights: to call and examine witnesses;
to introduce exhibits; to cross-examine opposing witnesses on any mat-
ter relevant to the issues even though that matter was not covered in the
direct examination; to impeach any witness regardless of which party
first called him to testify; and to rebut the evidence against him. If respon-
dent does not testify in his own behalf he may be called and examined as
if under cross-examination.
(c) The hearing need not be conducted according to technical rules re-
lating to evidence and witnesses. Any relevant evidence shall be admitted
if it is the sort of evidence on which responsible persons are accustomed
to rely in the conduct of serious affairs, regardless of the existence of any
common law or statutory rule which might make improper the admission
of such evidence over objection in civil actions. Hearsay evidence may
be used for the purpose of supplementing or explaining other evidence
but shall not be sufficient in it.self to support a finding unless it would be
admissible over objection in civil actions.
Note: Authority cited: Sections 12095, 12098, 12230, 12250 and 12305. Penal
Code. Reference: Sections 12095, 12098, 12230, 12250 and 12305. Penal Code;
and Section 11513, Government Code.
History
1. Change without regulatory effect renumbering section 976.3 to section 4152
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§4153. Proposed Decision.
The Administrative Hearing Officer shall prepare a Proposed Deci-
sion in such a form that it may be adopted as the decision in the case. A
copy of the proposed decision shall be furnished to the permittee/licensee
and the Director no later than 20 days after the hearing. The Director may
adopt the decision in its entirety or may decide the case upon the record
with or without taking additional evidence. The permittee/licensee shall
be notified of the Director's decision within 30 days of the hearing or
within 30 days of the taking of additional evidence, whichever is later.
Note: Authority cited: Sections 12095, 12098, 12230, 12250 and 12305, Penal
Code. Reference; Sections 12095, 12098, 12230, 12250 and 12305, Penal Code.
History
1. Change without regulatory effect renumbering section 976.4 to secfion 4153
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
Chapter 38. Regulations for Olympic Pistol
Exemptions
§ 5455. Exemption of Olympic Pistols.
(a) The following definitions shall apply to the regulations contained
in this chapter:
( 1 ) "USA Shooting or its successor" means the organization that is rec-
ognized by the United States Olympic Committee as the national govern-
ing body for international shooting competition in the United States.
(2) "DOJ" means the California Department of Justice.
(3) "New model" means a model not previously listed on the roster of
Olympic pistols exempted pursuant to this section.
(4) "Olympic pistol" means a handgun that is all of the following:
(A) Is sanctioned for use in Olympic target shooting events by the In-
ternational Olympic Committee.
(B) Is sanctioned for use in Olympic target shooting events by USA
Shooting, or its successor.
(C) Is used for Olympic target shooting purposes.
(D) Falls within the Penal Code section 12126 definition of "unsafe
handgun" and/or the Penal Code section 12276.1 definifion of "assault
weapon."
(b)(1) DOJ shall exempt new models of Olympic pistols from the "as-
sault weapon" definition in Penal Code section 1 2276. 1 and/or the "un-
safe handgun" provisions of Chapter 1.3 of Tide 2 of Part 4 of the Penal
Code, commencing with Section 12125.
(2) DOJ shall base its exemptions on recommendations made by USA
Shooting or its successor. Recommendations must meet all of the follow-
ing requirements:
(A) The recommendation must be in the form of a notarized statement
signed and dated by the current chief executive officer of USA Shooting
or its successor.
(B) The recommendation must specify the make, model, and caliber
of the pistol(s).
Page 121
Register 2006, No. 26; 6-30-2006
§5459
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
(C) The recommendation must include a statement tliat the pistol(s) is
sanctioned by USA Shooting or its successor for use in Olympic target
shooting competition.
(D) The recommendation must include a statement that the pistol(s) is
used for Olympic target shooting purposes.
(c) DOJ shall maintain a roster of Olympic pistols exempted pursuant
to this section.
NOTE; Authority cited: Sections 12132 and 12276.1 . Penal Code. Reference: Sec-
tions 12125. 12126, 12132 and 12276.1, Penal Code.
History
1 . Change without regulatory effect renumbering division 1, chapter 1 3.7 (section
995) to division 5, chapter 38 (section 5455) filed 6-28-2006 pursuant to sec-
tion 100, title 1, California Code of Regulations (Register 2006, No. 26).
History
1. Change without regulatory effect renumbering section 978.20 to section 5469
filed 6-28-2006 pursuant to section 1 00. title I, California Code of Regulations
(Register 2006, No. 26).
Chapter 39. Department of Justice
Regulations for Assault Weapons and Large
Capacity Magazines
Article 1. General
§ 5459. Title and Scope.
This chapter shall be known as the "Department of Justice Regulations
for Assault Weapons and Large Capacity Magazines," may be cited as
such and are referred to herein as "these regulations." The provisions of
these regulations shall apply to assault weapons as defined in Penal Code
section 12276. 1 and as specified pursuant to Penal Code section 12276.5,
and large capacity magazines as defined in Penal Code section 12020
(c)(25). These regulations do not apply to assault weapons as defined in
Penal Code section 12276.
Note-. Authority cited; Sections 12079, 12276.5(i) and 12285, Penal Code. Ref-
erence: Sections 12020, 12079, 12276.1, 12276.5 and 12285, Penal Code.
History
1 . Change without regulatory effect renumbering division 1 , chapter 12.8 (articles
1-4, sections 978.10-978.44) to division 5, chapter 39 (articles 1-4, sections
5459-5484) and renumbering secdon 978.10 to section 5459 filed 6-28-2006
pursuant to section 100, title 1, California Code of Regulations (Register 2006,
No. 26).
Article 2. Definitions of Terms Used to
Identify Assault Weapons
§ 5469. Definitions.
The following definitions apply to terms used in the identification of
assault weapons pursuant to Penal Code section 1 2276. 1 :
(a) "detachable magazine" means any ammunition feeding device that
can be removed readily from the firearm with neither disassembly of the
firearm action nor use of a tool being required. A bullet or ammunition
cartridge is considered a tool. Ammunition feeding device includes any
belted or Hnked ammunition, but does not include clips, en bloc clips, or
stripper clips that load cartridges into the magazine.
(b) "flash suppressor" means any device designed, intended, or that
functions to perceptibly reduce or redirect muzzle flash from the shoot-
er' s field of vision.
(c) "forward pistol grip" means a grip that allows for a pistol style
grasp forward of the trigger.
(d) "pistol grip that protrudes conspicuously beneath the action of the
weapon" means a grip that allows for a pistol style grasp in which the web
of the trigger hand (between the thumb and index finger) can be placed
below the top of the exposed portion of the trigger while firing.
(e) "thumbhole stock" means a stock with a hole that allows the thumb
of the trigger hand to penetrate into or through the stock while firing.
NOTE: Authority cited: Secdon 12276.5(i), Penal Code. Reference: Sections
12276.1, 12280 and 12285, Penal Code.
Article 3. Assault Weapon Registration
§ 5470. Requirements for Assault Weapon Registrations
Pursuant to Penal Code Section 12285.
(a) Registration applicants must be in compliance with the Roberti-
Roos Assault Weapons Control Act of 1989 commencing with Penal
Code section 12275, relative to the lawful acquisition and ownership of
any assault weapon subject to registradon,
(b) Assault weapon registrations shall be filed on a Department of Jus-
tice (DOJ) Assault Weapon Registration Applicadon (FD 023). For pur-
poses of compliance with the assault weapon registradon period pursuant
to Penal Code Section 12285 (a), an assault weapon registradon applica-
tion and required fee must be submitted to the Department with a post-
mark date no later than the end of the applicable registration period. If
submitted on time with the required fee, the Department will process the
registradon applicadon even if the applicadon must be returned to an ap-
plicant for completion or correcdon after the close of the registradon pe-
riod. The applicant must resubmit the applicadon within 1 5 days from the
date on the nodfication letter from DOJ. The following information is re-
quired on the DOJ Assault Weapon Registradon Applicadon (FD 023):
(1) Registrant informadon: registrant's name; date of birth; sex;
height; weight; eye color; hair color; residence address (physical); mail-
ing address; telephone number; California Driver License (CDL) number
or Identification number issued by the California Department of Motor
Vehicles (DMV); signature; date; right thumb print; and
(2) Assault weapon informadon: serial number; make; model; type;
caliber; day (if known), month (if known), and year of acquisidon; name
and address of person or firearms dealership from whom assault weapon
was acquired (opdonal);
(c) Joint registrations will be permitted for assault weapons owned by
family members residing in the same household.
NOTE; Authority cited: Secdon 12276. 5(i), Penal Code. Reference: Sections
12285(a) and (e). Penal Code.
History
1 . Change without regulatory effect renumbering section 978.30 to section 5470
filed 6-28-2006 pursuant to section 100, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 5471 . Fees.
Assault weapon registradon applications shall be accompanied by a
fee of $20 per person for any number of assault weapons registered at one
dme.
NOTE: Authority cited: Secdon 12276.5(1), Penal Code. Reference: Section
12285(a), Penal Code.
History
1. Change without regulatory effect renumbering section 978.31 to section 5471
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 5472. Processing Times.
(a) The time standards for processing assault weapon registradon ap-
plications are as follows:
(1) Within 30 days after the date of receipt of an applicadon, the De-
partment shall either inform the applicant, in writing, that the applicadon
is complete and accepted for processing, or return the applicadon as defi-
cient and specify what information is required.
(2) Within 75 days after the date of receipt of a completed applicadon,
the Department shall complete the processing of the applicadon.
(b) If the Department fails to meet its time standards for processing an
assault weapon registradon appHcation, the applicant, within 30 days
from the date of the notice of the final decision grandng or denying the
registration, may apply in writing for a full reimbursement of any and all
registration fees. The Department shall respond within 10 days of receipt
of a request for reimbursement. If the reimbursement request is denied.
Page 122
Register 2006, No. 26; 6-30-2006
Title 11
Firearms Regulations
§5483
the applicant may appeal the denial, in writing, directly to the Attorney
General. The appeal must be filed within 30 days of the date the applicant
was notified of the reimbursement denial and shall set forth a concise
statement of facts and chronology of events regarding the application.
Following any investigation of the matter which the Attorney General
deems appropriate, and within 30 days from the date of receipt of the ap-
peal, a decision shall be issued. The appeal shall be decided in the appli-
cant's favor if the Department exceeds the maximum time period for the
processing of the application and the Department has failed to establish
good cause for exceeding this time period. Information regarding this ap-
peal process shall be included with all assault weapon registration ap-
plication forms.
Note. Authority cited. Sections 15376 and 15378, Government Code. Reference:
Sections 15376 and 15378, Government Code.
History
1. Change without regulatory effect renumbering section 978.32 to section 5472
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 5473. Voluntary Cancellations.
(a) The Department will accept voluntary cancellations for assault
weapons that are no longer possessed by the registrant. Cancellations will
also be accepted for assault weapons, defined and registered pursuant to
Penal Code section 12276. 1 , that have been modified or reconfigured to
no longer meet the assault weapon definition. Cancellafion requests must
be signed, dated, and provide the following informafion:
(1) Registrant's full name, telephone number, and current address;
make, model, and serial number of the assault weapon; and the DOJ as-
sault weapon registration number (as indicated on the registration con-
firmation letter provided to the registrant at the time of registration). If
the DOJ assault weapon registration number is unknown, the request
must be notarized.
(b) After confirmation of the information provided on the cancellation
request, the Department will permanently delete the registration for the
specified assault weapon(s). If there are no remaining assault weapons
registered to the individual, all personal information regarding the regis-
trant will also be deleted from the assault weapon data base. The Depart-
ment will mail confirmation of the cancellation to the address provided
on the request.
Note-. Authority cited: Section 12276.5(1), Penal Code. Reference: Section
12285, Penal Code.
History
1. Change without regulatory effect renumbering section 978.33 to section 5473
filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations
(Register 2006, No. 26).
Article 4. Large Capacity Magazine Permits
§ 5480. Requirements for Large Capacity Magazine
Permits Pursuant to Penal Code Section 12079.
(a) This article applies to Penal Code section 1 2079 permits for the out
of state importation and exportation of large capacity magazines as de-
fined in Penal Code section 12020 (c)(25). Importation and exportation
includes the transportation of magazines as necessary to complete a
transfer to or from an out of state source.
(b) No permit shall be issued to any person who fails to establish "good
cause" for issuance of the permit and that the permit would not endanger
public safety. "Good cause" shall be established by the following:
( 1 ) A statement from the applicant that a large capacity magazine mar-
ketplace exists for their dealership; and
(2) Compliance with The Dangerous Weapons' Control Law com-
mencing with Penal Code section 12000 relative to large capacity maga-
zines and record keeping requirements specified in section 5483 of these
regulations.
(c) Large capacity magazine permit applications shall be filed on a De-
partment of Justice form (FD 050) which requires the following informa-
tion: California Firearms Dealership (CFD) number; dealership name;
dealership mailing address; statement of good cause; signature of dealer-
ship licensees; and date.
NOTE: Authority cited: Section 12079, Penal Code. Reference: Sections 12020
and 12079, Penal Code.
History
1 . Change without regulatory effect renumbering section 978.40 to section 5480.
including amendment of subsection (b)(2), filed 6-28-2006 pursuant to section
100, Utle 1, California Code of Regulations (Register 2006, No. 26).
§ 5481 . Processing Times.
(a) The time standards for processing large capacity magazine permit
applications are as follows:
(1) Within 30 days after the date of receipt of an application, the De-
partment shall either inform the applicant, in writing, that the application
is complete and accepted for processing, or return the application as defi-
cient and specify what information is required.
(2) Within 30 days after the date of receipt of a completed application,
the Department shall complete the processing of the application.
(b) If the Department fails to meet its time standards for processing a
large capacity magazine permit application, the applicant, within 30 days
from the date of the notice of the final decision granting or denying the
application, may apply in writing for a full reimbursement of any and all
application fees. The Department shall respond within 10 days of receipt
of a request for reimbursement. If the reimbursement request is denied,
the applicant may appeal the denial, in writing, directiy to the Attorney
General. The appeal must be filed within 30 days of the date the applicant
was notified of the reimbursement denial and shall set forth a concise
statement of facts and chronology of events regarding the application.
Following any investigation of the matter which the Attorney General
deems appropriate, and within 30 days from the date of receipt of the ap-
peal, a decision shall be issued. The appeal shall be decided in the appli-
cant's favor if the Department exceeds the maximum time period for the
processing of the application and the Department has failed to establish
good cause for exceeding this time period. Information regarding this ap-
peal process shall be included with all large capacity magazine permit ap-
plication forms.
NOTE: Authority cited: Sections 15376and 15378, Government Code. Reference:
Secfions 15376 and 15378, Government Code.
History
1. Change without regulatory effect renumbering section 978.41 to section 5481
filed 6-2 8-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 5482. Term Length of Large Capacity Magazine Permits.
(a) The term of a large capacity magazine permit shall be from January
1 through December 3 1 . It is the responsibility of the permittee to submit
a completed renewal apphcation prior to December 3 1 of each year in or-
der to maintain uninterrupted status as a large capacity magazine permit-
tee. Renewal applications shall be submitted on the form (FD 050) pre-
scribed in section 5480(b) of these regulations.
(b) If at any time a permittee is not among the licensed firearms dealers
on the Department of Justice Centralized List of Firearms Dealers, the
large capacity magazine permit is no longer valid and shall be canceled.
NOTE: Authority cited: Section 12079, Penal Code. Reference: Sections 12020
and 12079, Penal Code.
History
1. Change without regulatory effect renumbering section 978.42 to section 5482,
including amendment of subsection (a), filed 6-28-2006 pursuant to section
100, title 1, California Code of Regulations (Register 2006, No. 26).
§ 5483. Large Capacity Magazine Permit Record Keeping.
Permittees shall maintain acquisition and disposition transaction re-
cords of the importation and exportation of large capacity magazines. Re-
cords shall include transaction date, transaction volume; and the name,
address, and Federal Firearms License number (if any) of the out of state
transferee or transferor. Records must be maintained at the dealership for
three years and be made available to representatives of the Department
of Justice or any other law enforcement agency upon request.
NOTE: Authority cited: Section 12079, Penal Code. Reference: Section 12079, Pe-
nal Code.
Page 123
Register 2006, No. 26; 6-30-2006
§5484
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
History
1. Change without regulatory effect renumbering section 978.43 to section 5483
filed 6-28-2006 pursuant to section 1 00, title 1 , California Code of Regulations
(Register 2006, No. 26).
§ 5484. Large Capacity Magazine Permit Revocations.
(a) Large capacity magazine permits shall be subject to revocation for
failure to comply with record keeping requirements specified in section
5483 of these regulations or for failure to comply with The Dangerous
Weapons' Control Law commencing with Penal Code section 12000 rel-
ative to large capacity magazines.
(b) All procedures and hearings related to the revocation of a large ca-
pacity magazine permit shall be conducted in accordance with Chapter
5 (commencing with section 1 1500) of Part 1 of Division 3 of Title 2 of
the Government Code.
NOTE: Authority cited: Section 12079, Penal Code. Reference: Section 12079, Pe-
nal Code.
History
1 . Change without regulatory effect renumbering section 978.44 to section 5484,
including amendment of subsection (a), filed 6-28-2006 pursuant to section
100. title 1 , California Code of Regulations (Register 2006, No. 26).
Chapter 40. Assault Weapons Identification
§ 5495. California Penal Code Section 12276(aHc) Assault
Weapons List.
(a) Rifles
ArmaHte AR-180
Beretta AR-70
Bushmaster Assault Rifle
Calico M-900
CoUAR-15(all)
Daewoo AR100,AR1 IOC
Daewoo K-l,K-2
Daewoo Max 1 , Max 2
Fabrique Nationale 308 Match, Sporter
Fabrique Nationale FAL, LAR, FNC
HK91,94, PSG-1
HK93
IMI Gain
IMI Uzi
J&R ENG M-68
MAADI CO AK 47
MAADI CO ARM
Made in China 56
Made in China 56S
Made in China 84S
Made in China 86S
Made in China AK
Made in China AK47
Made in China AKM
Made in China AKS
Made in Spain CETME Sporter
MAS 223
Norinco 56
Norinco 56 S
Norinco 84 S
Norinco 86 S
Norinco SKS w/detachable magazine
Poly technologies AK47
Poly technologies AKS
RPB Industries, Inc. sMlO, sMll
SIG AMT, PE-57
SIGSG550, SG551
Sterling MK-6
Steyr AUG
SWD Incorporated Mil
ValmetM62S, M71S, M78S
Weaver Arms Nighthawk
(b) Pistols
Advance Armament Inc. M 1 1
Bushmaster Pistol
Calico M-950
Encom MP-9, MP^5
IMI UZI
Intratec TEC-9
Military Armament Corp. M-1 1
RPB Industries Inc. sMlO, sMl 1
Sites Spectre
Sterling MK-7
SWD Incorporated Mil
(c) Shotguns
Cobray Streetsweeper - S/S Inc., SS/12
Cobray Striker 12
FranchiSPAS 12, LAW 12
NoTE: Authority cited: Section 12276.5(h), Penal Code. Reference: Section
12276(a)-(c), Penal Code.
History
1 . Change without regulatory effect renumbering division 1 , chapter 1 2.9 (sections
979. 1 0-979. 1 1 ), to division 5, chapter 40 (sections 5495-5499) and renumber-
ing section 979. 10 to section 5495 filed 6-28-2006 pursuant to section 1 00, title
1, California Code of Regulations (Register 2006, No. 26).
§ 5499. California Penal Code Section 12276(e) Assault
Weapons List.
(a) Rifles
American Arms AK-C 47
American Arms AK-F 39
American Arms AK-F 47
American Arms AK-Y 39
American Spirit USA Model
ArmaliteARlO(all)
Armalite Golden Eagle
ArmaliteMlS (all)
Arsenal SLG (all)
Arsenal SLR (all)
B-West AK-47 (all)
Bushmaster XM 15 (all)
Colt Law Enforcement (6920)
Colt Match Target (all)
Colt Sporter (all)
Dalphon B.F.D.
DPMS Panther (all)
Eagle Arms EA-15 A2 H-BAR
Eagle Arms EA-15 El
Eagle Arms M 15 (all)
Frankford Arsenal AR-15 (all)
Hesse Arms HAR 15A2 (all)
Hesse Arms Model 47 (all)
Hesse Arms Wieger STG 940 Rifle
Inter Ordnance - Monroe, NC AK-47 (all)
Inter Ordnance - Monroe, NC M-97
Inter Ordnance - Monroe, NC RPK
Kalashnikov USA Hunter Rifle/Saiga
Knights RAS (all)
Knights SR-1 5 (all)
Knights SR-25 (all)
Les Baer Ultimate AR (all)
MAADI CO MISR (all)
MAADI CO MISTR (all)
Mitchell Arms, Inc. AK-47 (all)
Mitchell Arms, Inc. AK-47 Cal .308 (all)
Mitchell Arms, Inc. M-76
Mitchell Arms, Inc. M-90
Mitchell Arms, Inc. RPK
Page 124
Register 2006, No. 26; 6-30-2006
Title 11
Firearms Regulations
§5499
NorincoSl S (all)
Norinco 86 (all)
Norinco AK-47 (all)
Norinco Hunter Rifle
Norinco MAK 90
Norinco NHM 90, 90-2, 91 Sport
Norinco RPK Rifle
Ohio Ordnance Works (o.o.w.) AK-74
Ohio Ordnance Works (o.o.w.) ROMAK 991
Olympic Arms AR-15
Olympic Arms Car-97
Olympic Arms PCR (all)
Ordnance, Inc. AR-15
Palmetto SGA (all)
Professional Ordnance, Inc. Carbon 15 Rifle
PWA All Models
Rock River Arms, Inc. Car A2
Rock River Arms, Inc. Car A4 Flattop
Rock River Arms, Inc. LE Tactical Carbine
Rock River Arms, Inc. NM A2 - DCM Legal
Rock River Arms, Inc. Standard A-2
Rock River Arms, Inc. Standard A-4 Flattop
Valmet 76 S
Valmet Hunter Rifle
Wilson Combat AR-15
WUM WUM (all)
(b) Pistols
MARS Pistol
Professional Ordnance, Inc. Carbon 1 5 Pistol
NOTE: Authority cited: Section 12276.!i(h), Penal Code. Reference: Section
12276(e), Penal Code.
History
1. Change without regulatory effect renumbering section 979. 11 to section 5499
filed 6-28-2006 pursuant to section 1 00, tide 1 , California Code of Regulations
(Register 2006, No. 26).
* *
Page 125
Register 2006, No. 26; 6-30-2006
J^^
Barclays Official
California
Code of
Regulations
Title 11. Law
Division 9. Commission on Peace Officer Standards and Training
Vol. 15
XHOIVISOIM
^^ ^
WEST
Barclays Official California Code of Regulations
425 Market Street • Fourth Floor • San Francisco, CA 94105
800-888-3600
Title 11
Commission on Peace Officer Standards and Training
Table of Contents
Division 9. Commission on Peace Officer Standards and Training
Table of Contents
Page
Chapter 2. Feasibility Studies 127
§ 9020. Peace Officer Feasibility Study
Requirements.
Chapter 3. Participation 127
§ 9030. POST Program Participation.
§ 903 1 . POST Public Safety Dispatcher
Program Participation.
Chapter 7. Certificates 128
§ 9070. Professional Certificates — Peace
Officers.
§9071.
Peace Officer Disqualification and
Certificate Records.
§ 9072.
Professional Certificates — Public
§ 9073.
Safety Dispatcher.
Professional Certificate — Records
§ 9076.
§ 9077.
§ 9078.
Supervisor.
Certificates of Course Completion.
Certificate Replacement.
Certificate Cancellation.
Page i
(7 6 2007)
Title 11
Commission on Peace Officer Standards and Training
§9030
Division 9. Commission on Peace Officer
Standards and Training
•
Chapter 2. Feasibility Studies
§ 9020. Peace Officer Feasibility Study Requirements.
(a) Feasibility Study Requirement
Pursuant to Penal Code sections 1 3540- 1 3542, a request for the Com-
mission to undertake a feasibility study shall be made before any addi-
tions or changes to peace officer designation can be considered.
(b) Feasibility Study Request
( 1 ) Written Request
A written request for a feasibility study shall be made by the following:
(A) Any person(s) not currently a peace officer, desiring peace officer
status under Chapter 4.5 (commencing with Section 830) of Title 3 of
Part 2 of the Penal Code, or
(B) Any person(s) designated as a peace officer(s) under Chapter 4.5
(commencing with Section 830) of Title 3 of Part 2 of the Penal Code,
desiring a change in peace officer designation or status.
(2) Content of Request
The written request for the study shall include a statement that the per-
son(s) or entity making the request agrees to pay the actual cost for con-
ducting the study and to provide POST with the necessary information
to conduct the study.
(3) Employing Jurisdiction Acknowledgement of Request
The department head of the jurisdiction employing the person(s) re-
questing the feasibility study shall acknowledge the request in writing.
(c) Feasibility Study
(1) Scope
The Commission shall conduct all feasibility studies within the scope
specified in Penal Code Section 13541. The scope of a study shall in-
clude, but not be limited to, the current and proposed duties and responsi-
bilities and the field law enforcement duties and responsibilities of the
study's requestor(s). A study involving a change in peace officer desig-
nation shall consider the extent to which the requestor's current duties
and responsibilities require additional peace officer powers and author-
ity. A study shall include on-site visitations to verify duties and responsi-
bilities.
(2) Solicitation of Comments
During the conduct of a study, written comments will be solicited from
the employing jurisdiction's chief administrator, the concerned depart-
ment head, and other interested parties.
(3) Study Fee
POST shall charge a fee to conduct the feasibility study based upon ac-
tual direct costs for completing the study and indirect costs determined
in accordance with State Administrative Manual sections 8752 and
8752. 1 . Upon payment of the study fee by the requestor(s), the completed
feasibility study and its recommendations shall be released to the re-
questor(s). A copy of that study and the recommendation by POST shall
also be submitted to the Legislature.
(4) Commencement of Work on the Study
The study shall commence after the mutual acceptance of a contract
between the requesting person(s) or their representing entity and the
Commission.
(d) Favorable Study Recommendations
A recommendation in support of peace officer status or a change in
designation or status shall be made in accordance with Penal Code Sec-
tion 13542, and shall minimally include the following:
(1) New Peace Officer Designation
(A) Supervisory Structure
The person or persons desiring the designation change shall be
employed by a department with a supervisory structure that includes a
chief law enforcement officer.
(B) Training Requirements
The employing department shall agree to comply with the training re-
quirements set forth in Penal Code Section 832.
(C) Funding Restriction
The employing department shall be subject to the funding restriction
set forth in Penal Code Section 13526.
(2) Change in Peace Officer Designation or Status
(A) POST Program Participation
The person(s) desiring the change in peace officer designation or sta-
tus shall be employed by a department currently participating in the
POST program.
(B) Certificate Requirement
If the designation change is moving the person(s) into Penal Code Sec-
tion 830.1, the person(s) shall obtain the POST Basic Certificate as set
forth in Penal Code Section 832.4.
(e) Time Limits for Completion of the Study
( 1 ) New Peace Officer Designation
The study and its recommendations shall be issued to the requesting
person(s) or entity within 1 8 months of the mutual acceptance of a con-
tract between the requestor(s) and the Commission.
(2) Change in Peace Officer Designation or Status
The study and its recommendations shall be issued to the requesting
person(s) or entity within 12 months of the mutual acceptance of a con-
tract between the requestor(s) and the Commission, or as soon as possible
thereafter if the Commission shows good cause as to the need for an ex-
tension of the 12-month time period.
(f) Appeals
( 1 ) Procedures for Appeal of Findings
If there is disagreement with the study recommendations, the per-
son(s) or entity requesting the feasibihty study, or the employing juris-
diction, may appeal in writing to the Commission.
(2) Written Acknowledgement
Requests for appeals will be acknowledged in writing.
(3) Time Limits
Initial appeals will be heard within four months, after the date the re-
quest for appeal is received by the Commission, and a decision shall be
rendered within six months of receipt of the appeal.
NOTE: Authority cited: Sections 13503, 13506 and 13540, Penal Code. Reference:
Sections 13540, 13541, 13542 and 13543, Penal Code.
History
1 . New chapter 2 (section 9020) and renumbering of former section 1 01 9 to section
9020, including amendment of section heading and section, filed 6-8-2007; op-
erative 7-8-2007 (Register 2007, No. 23).
Chapter 3. Participation
§ 9030. POST Program Participation.
(a) POST Program Participation.
(1) Eligibility
To be eligible for participation in the POST Program, a department
shall agree to comply with and continue to adhere to minimum selection
and training standards and all Commission Regulations.
(2) Requests to Participate in POST Program
Participation in the POST Program is voluntary. A department desir-
ing to participate in the POST Program shall present the Commission
with a letter of request to participate, and if eligible, a request to receive
aid. If the department also desires its public safety dispatchers to partici-
pate in the Public Safety Dispatcher Program, this shall also be included
in the letter of request. The letter shall be accompanied by a certified copy
of an ordinance, or in instances where an ordinance is not appropriate, a
resolution or letter of intent adopted by the governing body of the re-
questing department. The document, e.g., ordinance, shall state that
while participating in the POST Program, the department will adhere to
minimum selection and training standards and Commission Regulations.
(3) Inspection of Records
Participation in the POST program requires that the department/dis-
patch center allow the Commission to make inquiries and inspect records
Page 127
Register 2007, No. 23; 6-8-2007
§9031
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
as may be necessary to verify claims for reimbursement or to confirm
whether the department or dispatch center is adhering to Commission
Regulations.
(4) Mergers Occurring After Initial Request to Participate
If a group of peace officers becomes a part of a department via a merg-
er or through legislation, e.g., coroners merging with a sheriffs depart-
ment, and this group of officers was not included in the initial request to
participate, an additional request and accompanying documents shall be
required as described in section 9030(a)(2) above.
(3) Initial Compliance
When a department has notified the Commission of its intent to partici-
pate, POST staff will work with the department to ensure officers are
compliant. Incumbent officers' records are reviewed to determine com-
pliance with minimum selection and training standards specified in the
Penal, Government, or Vehicle Codes that were applicable at the time of
each officer's appointment. Officers hired on or after the date an agency
enters the POST Program shall be required to meet Commission Regula-
tions, which may be the same or higher standards than the standards in
the aforementioned codes.
(6) Basic Certificate Compliance
A participating department shall require every peace officer, ap-
pointed on or after the department' s entry into the POST Program, to ac-
quire the POST Basic Certificate as specified in Regulation 9070(e).
(7) Commission Confirmation
When the department is in full compliance as described in section
9030(a)(5) above, participation of the department will be confirmed by
the Executive Director and an effective date of entry established. Ap-
proval of a department's participation in the POST Reimbursement Pro-
gram will also be confirmed.
(b) Noncompliance and Ineligibility To Receive Services and Benefits
(1) Failure to Adhere to Commission Regulations
If the Commission determines that a department has failed to adhere
to Commission Regulations, including but not limited to the inspection
of records, the Commission shall notify the department of its concern and
of the department's possible removal from the Program(s). The Commis-
sion shall request that the department correct the problems causing non-
compliance with the Regulations.
(2) Appeal Process
In the event that the department disagrees with the Commission' s find-
ings of non-compliance, the Commission shall afford the affected de-
partment the opportunity to appear before the Commission and present
appropriate evidence or tesfimony.
(3) Denial of Services/Benefits
If the Commission finds that the Regulations have not been adhered
to, it shall, beginning with a date determined by the Commission, reject
all of the department's requests for services and benefits (reference Penal
Code section 13523). A department may be reinstated in the program and
again become eligible for services and benefits, when the department has
demonstrated, to the satisfaction of the Commission, that it will adhere
to the prescribed Regulations. The period during which the department
shall remain ineligible for services and benefits shall be determined by
the Commission.
NOTE: Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sec-
tions 13503, 13522, 13523, 13524, 13525, 13526, 13526.1 and 13526.2, Penal
Code.
History
1 . New chapter 3 (sections 9030-9031), new section heading and renumbering of
former section 1010, subsections (a)-(c)(3) and (e)-(g) to section 9030, includ-
ing amendment of section and Note, filed 6-6-2007; operative 7-6-2007
(Register 2007, No. 23).
§ 9031. POST Public Safety Dispatcher Program
Participation.
(a) POST Public Safety Dispatcher Program Participation
(1) Eligibility
A dispatch center of a local law enforcement department or an inde-
pendent communication service agency [i.e. an agency that employs dis-
patchers who primarily provide services to both police and fire and/or fire
and emergency medical services (EMS) and which is not a part of a local
law enforcement department] may apply to participate in the POST Pub-
lic Safety Dispatcher Program. To be eligible for participation in the
POST Public Safety Dispatcher Program, the dispatch center of a local
law enforcement department or an independent communication service
agency (as described above) shall agree to comply with and continue to
adhere to minimum selection and training standards and other applicable
Commission Regulations for its public safety dispatchers.
(2) Requests to Participate in Public Safety Dispatcher Program
Participation in the POST Public Safety Dispatcher Program is volun-
tary. A department or independent dispatch center desiring to participate
in the POST Public Safety Dispatcher Program shall present the Com-
mission with a letter of request to participate, and if eligible, a request to
receive aid. The letter shall be accompanied by a certified copy of an ordi-
nance; or in instances where an ordinance is not appropriate, a resolution
or letter of intent adopted by the governing body of the requesting depart-
ment. The document, e.g., ordinance, shall state that while participating
in the POST Public Safety Dispatcher Program, the department/agency
will adhere to the minimum selection and training standards and other
Commission requirements specified for public safety dispatchers.
(3) Inspection of Records
Reference Regulation 9030(a)(3).
(4) Initial Compliance
Incumbent public safety dispatchers will not be required to meet selec-
tion and entry-level training standards. Dispatchers hired after the
agency enters the Public Safety Dispatcher Program shall meet the re-
quirements applicable to dispatchers as specified in Commission Regu-
lations. Any incumbent dispatcher who transfers to another participating
department will be considered a new hire and shall be required to meet
selection and training standards.
(5) Commission Confirmation
Participation of the dispatch center of a local law enforcement depart-
ment or an independent communication service agency will be con-
firmed by the Executive Director and an effective date of entry estab-
lished. Approval of a dispatch center's participation in the POST
Reimbursement Program will also be confirmed.
(6) Noncompliance and Ineligibility to Receive Services and Benefits
Reference Regulation 9030(b)(l)-(3).
NOTE: Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sec-
tions 13503, 13522, 13523, 13524, 13525, 13526, 13526.1 and 13526.2, Penal
Code.
History
1. New section heading and renumbering of former section 1010, subsections
(d)-(d)(2) to section 9031, including amendment of section and NOTE, filed
6-6-2007; operative 7-6-2007 (Register 2007, No. 23).
Chapter 7. Certificates
§ 9070. Professional Certificates — Peace Officers.
(a) Professional Certificates — Overview
POST Professional Certificates are awarded to peace officers who
achieve increasingly higher levels of education, training, and experience
in their pursuit of professional excellence.
(1) The Commission-awarded certificate is a "professional" certifi-
cate pursuant to Penal Code (PC) section 13510.1, and is distinguished
from a "certificate of completion" which is awarded by a training pre-
senter when an individual successfully completes a course.
(2) Attainment of the POST Basic Certificate is required [reference
Regulation section 9070(e)].
(3) Attainment of other professional certificates is voluntary.
(b) Certificate Categories and Levels
Professional certificates for full-time peace officers are awarded by
category and level.
(1) Categories
There are three categories of certificates:
(A) General certificates
(B) Specialized certificates
(C) Coroners certificates
Page 128
Register 2007, No. 23; 6-8-2007
Title 11
Commission on Peace Officer Standards and Training
§9070
The certificate category is based on the basic training standard com-
pleted by the individual, i.e., completion of a Regular Basic Course
constitutes "General Certificates," completion of the Specialized Investi-
gators" Basic Course constitutes "Specialized Certificates." and comple-
tion of both the PC 832 Course Arrest and Firearms and the Coroners'
Death Investigation Course constitutes "Coroner's Certificates". For ex-
ample, if the individual works for a specialized law enforcement agency
and has completed a Regular Basic Course, as well as, the other required
certificate award criteria, the individual is awarded a "General" category
certificate.
(2) Levels
There are six certificate levels in each category (above):
(A) Basic Certificate
(B) Intermediate Certificate
(C) Advanced Certificate
(D) Supervisory Certificate
(E) Management Certificate
(F) Executive Certificate
(3) Reserve Peace Officer Certificates
Professional certificates for reserve peace officers are awarded in one
category and one level. Requirements for the Reserve Peace Officer Cer-
tificate are specified in Regulation section 9070(/).
(c) Certificate Terminology and Policy
Except as noted, the following terms and policies apply to all certifi-
cate categories and levels:
(1) College Degree or College Unit Criteria
Accreditation shall be by a nafional or regional accrediting body that
is recognized by the Secretary of the United States Department of Educa-
tion. For the award of a certificate, all degrees or units:
(A) Shall be Issued by and recorded on the transcript of an accredited
community college, college or university, or
(B) When issued by a non-accredited community college, college, or
university, the degree or units shall have been accepted and recorded on
the transcript of an accredited community college, college or university.
(2) Education Points
For purposes of certificate qualifications:
(A) One college semester unit equals one education point, or
(B) One college quarter unit equals two-thirds of an education point.
(2) Training Points
For purposes of certificate qualifications:
(A) Twenty (20) hours of law enforcement training are equal to one
training point. Only completed courses with verifiable hours are ac-
cepted.
(B) The Commission shall determine acceptable law enforcement
training.
(4) Education Point Conversions
When education points exceed the number needed to qualify for a cer-
tificate, the excess education points may be converted to training points
to meet training point requirements. One education point shall equal one
training point. POST will make the conversion when it is to the advantage
of the applicant.
(5) Law Enforcement Experience
Law enforcement experience described in (A) below is accepted if it
is recorded on the POST Profile in the POST database. POST may accept
the experience described in (B)-(D) below. Proof of the law enforcement
experience described in (B)-(D) shall be documented on: 1) the employ-
ing department's/agency's letterhead, 2) signed by the department head,
3) include an attestation that the applicable requirements stated in experi-
ence categories (B), (C) or (D) below have been met, and 4) state the type
of appointment, time base, dates of service, and types of duUes per-
formed.
(A) Full-Ume peace officer experience that is/was with a California
POST-participating department.
(B) Full-time peace officer experience with a California law enforce-
ment department that is/was not a POST-participating department, and
during the time of the appointment, the law required completion of the
Regular Basic Course or Specialized Investigator's Basic Course for the
position held.
(C) Full-time peace officer experience with an out-of-state law en-
forcement department that participates in its state's "POST type" pro-
gram, and the "POST-type" program awarded the individual a Basic
Certificate or license. The maximum credit allowed for this experience
category is five years. "POST-type" means any department/agency that
is a member of the International Association of Directors of Law En-
forcement Standards and Training.
(D) Full-time law enforcement experience with a federal law enforce-
ment agency and the individual satisfactorily completed a basic law en-
forcement academy presented by the Federal Law Enforcement Training
Center (FLETC) or the Federal Bureau of Investigation (FBI) academy.
The maximum credit allowed for this experience category is five years.
(6) Multiple Certificates at Same Level
Peace officers who qualify may be awarded a certificate in more than
one category and at the same level, e.g., a General Basic Certificate and
a Specialized Basic Certificate.
(d) Cerfificate Award Requirements — All Levels
Each certificate applicant, except the applicant for a Reserve Peace
Officer Certificate, shall satisfy the following requirements:
(1) Employment Requirement
At the time of application, an applicant shall be employed as a full-
time peace officer by a POST-parUcipating department.
Exception: When a POST Basic Certificate is required to continue to exercise
peace officer powers pursuant to Penal Code section 832.4, employment with a
participating department is not required at the time of application.
(2) Basic Course Training Requirement
When applying for any level of cerfificate, an applicant shall have sa-
tisfied the basic course training requirement, as specified in Regulation
1005, for the applicant's current appointment.
(3) Requalification Requirement
(A) Applicants for general or specialized category certificates must
possess basic training that has not expired as specified in Regulation
1008(b), Basic Course Requalification Requirement.
(B) Applicants for coroner's category certificates must possess Penal
Code (PC) 832 Arrest and Firearms training that has not expired, as speci-
fied in Regulation 1 080, PC 832 Arrest and Firearms Course Requalifica-
tion.
(3) Application Requirements
An applicant (or an applicant's employing department) shall submit
a completed Certificate Application form, POST 2-116 (rev. 8/88),
along with supporting documents as follows:
(A) Documentation that supports the required education and experi-
ence, i.e., official transcripts, diplomas, certificates of course comple-
tion, and proof of law enforcement experience.
(B) When the units of credit are transferred from one educational insti-
tution to another, supporting documentation from all educational institu-
tions is required.
(C) Supporting documents are not required if the education and/or ex-
perience information needed to support the current certificate request is
already reflected on the applicant's POST Profile. Any education or ex-
perience that is not reflected on the POST Profile must be supported as
described in (4)(A) and/or (B) above.
(e) Basic Certificate Possession Requirement
The Basic Certificate is required for:
(1) Specified Peace Officers
Pursuant to Penal Code section 832.4(b), every peace officer listed in
Penal Code section 830.1(a) [except a sheriff, an elected marshal, or a
custodial deputy appointed pursuant to Penal Code (PC) §830. 1 (c)] shall
obtain the POST Basic Certificate in order to continue to exercise peace
officer powers. PC §832.4 requires possession upon completion of
probation, but in no case later than 24 months after appointment. Howev-
Page 129
Register 2007, No. 23; 6-8-2007
§9071
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
er, if the department's probation period is 24 months, an additional 3
months is authorized.
(2) Police Chiefs/Persons in Charge
Pursuant to Penal Code section 832.4(c), as a condition of continued
employment, each police chief, or any other person in charge of a local
law enforcement agency, who is appointed on or after January 1. 1999,
shall possess the POST Basic Certificate within two years of appoint-
ment.
(3) Peace Officers Employed by a Participating Department
Every peace officer appointed by a department participating in the
POST Program shall possess the appropriate Basic Certificate within the
time limits described in (1 ) above, unless an exception in (4) below per-
tains to the officer.
(4) Exception to Basic Certificate Requirement
There are three exceptions to the Basic Certificate possession require-
ments specified in (1) - (3) above:
(A) Peace officers appointed prior to the employing department's
entry date into the POST Program and who are not required to possess
a POST Basic Certificate pursuant to the requirements of PC §832.4, and
(B) Custodial peace officers appointed pursuant to PC §830.1(c), and
(B) Peace officers first appointed prior to January 1, 1974 and who
have not changed departments since that date and who are not included
in exceptions (A) or (B) above.
(f) B'asic Certificate Award Requirements
Applicants for the award of a Basic Certificate shall:
(1) Satisfy the requirements specified in Regulation section 9070(d).
(2) Complete the current employing department' s probationary period
of not less than 12 months.
(3) Satisfy the minimum entry-level basic course training standard for
the applicant's current position, i.e., one of the following: 1 ) Regular Ba-
sic Course, 2) Specialized Investigator's Basic Course, or 3) a PC 832
Course and Coroner's Death Investigation Course.
(g) Intermediate Certificate Award Requirements
Applicants for the award of an Intermediate Certificate shall:
(1) Satisfy the requirements specified in Regulation section 9070(d).
(2) Possess or be eligible to possess the Basic Certificate for the current
position.
(3) Satisfy one of the following eligibility combinations:
Degree or Education
Law Enforcement
Points
Experience
Training Points
Bachelor Degree
and
2 years
plus
Associate Degree
and
4 years
plus
45 Education Points
and
4 years
plus
45
30 Education Points
and
6 years
plus
30
15 Education Points
and
8 years
plus
15
Excess education points may be applied towards training points on a
point-for-point basis [reference Regulation section 9070(c)(4)].
(h) Advanced Certificate Award Requirements
Applicants for the award of an Advanced Certificate shall:
(1) Satisfy the requirements specified in Regulation section 9070(d).
(2) Possess or be eligible to possess the Intermediate Certificate.
(3) Satisfy one of the following eligibihty combinations:
Degree or Education
Law Enforcement
Points
Experience
Training Points
Master Degree
and
4 years
plus
Bachelor Degree
and
6 years
plus
Associate Degree
and
9 years
plus
45 Education Points
and
9 years
plus
45
30 Education Points
and
12 years
plus
30
Excess educadon points may be applied towards training points on a
point-for-point basis [reference Regulation section 9070(c)(4)].
(i) Supervisory Certificate Award Requirements
Applicants for the award of a Supervisory Certificate shall:
(1) Satisfy the requirements specified in Regulation section 9070(d).
(2) Possess or be eligible to possess an Intermediate Certificate.
(3) Complete a minimum of 60 semester units.
(4) Successfully complete a POST-certified Supervisory Course.
(3) Serve a minimum of two years in law enforcement as a permanent
first-level supervisor, middle manager, assistant department head, or de-
partment head (reference Regulation 1001, Definitions).
(j) Management Certificate Award Requirements
Applicants for the award of a Management Certificate shall:
(1) Satisfy the requirements specified in Regulation section 9070(d).
(2) Possess or be eligible to possess an Advanced Certificate.
(3) Complete a minimum of 60 semester units.
(4) Successfully complete a POST-certified Management Course.
(5) Serve a minimum of two years in law enforcement as a permanent
middle manager, assistant department head, or department head (refer-
ence RegulaUon 1001, Definifions) or,
(6) Serve an aggregate of four years in law enforcement, with at least
two years of experience at the middle manager level in order to receive
the award of the Supervisory and Management Certificates.
(k) Execudve Cerdficate Award Requirements
Applicants for the award of an Executive Certificate shall:
(1) Satisfy the requirements specified in RegulaUon secfion 9070(d).
(2) Possess or be eligible to possess an Advanced Certificate [refer-
ence subsecdon (h) above].
(3) Complete a minimum of 60 semester units.
(4) Successfully complete a POST-certified Execudve Development
Course.
(5) Serve a minimum of two years as a permanent department head
(reference Regulation 1001, Definifions) in the current employing
agency or,
(6) Serve an aggregate of six years' in law enforcement, with at least
two years as department head of the agency, to receive all three certifi-
cates, i.e.. Supervisory, Management, and Executive.
(/) Reserve Peace Officer Certificate Requirements
(1) Requirements
Applicants for the award of a Reserve Peace Officer Certificate shall:
(A) Be currendy employed as a (designated or non-designated) Level
I Reserve Officer with a department pardcipafing in the POST program.
(B) Have been selected in accordance with the minimum selecfion
standards specified in Commission regulations for reserve officers.
(C) Have completed a POST-cerdfied Regular Basic Course in any
delivery format.
(D) Have satisfactorily completed a minimum of 200 hours of general
law enforcement experience.
(E) If appointed on or after January 1 , 1 999 but prior to June 30, 1 999,
shall have completed 200 hours of field training. If appointed on or after
July 1, 1999 shall have completed 400 hours of field training.
(2) Application
The "Application for Award of POST Reserve Officer Certificate"
shall be submitted on a POST 2-256 form. If the training required in (C)
above is not reflected on the applicant's POST Profile, the application
shall include supporting documentation that verifies the training has been
completed, i.e., a certificate of completion.
(m) Peace Officer Disqualification and Certificate Records
Reference Regulation 907 1 .
(n) Certificate Replacement
Reference Regulation 9077.
(o) Certificate Cancellations
Reference Regulation 9078.
NOTE: Authority cited: Sections 1 3503 and 1 35 1 0. 1, Penal Code. Reference: Sec-
tion 1031, Government Code; and Sections 832.4 and 13510.1, Penal Code.
History
1 . New division 9, chapter 7 (sections 9070-9078) and section filed 2-2-2007; op-
erative 3-4-2007 (Register 2007, No. 5).
§ 9071. Peace Officer Disqualification and Certificate
Records.
(a) Disqualification from Peace Officer Employment
Except as provided in subdivision (b), (c), or (d), Government Code
section 1029(a) summarily states that a person is disqualified from hold-
Page 130
Register 2007, No. 23; 6-8-2007
Title 11
Commission on Peace Officer Standards and Training
§9072
ing office as, or being employed as, a peace officer of the state, if the per-
son is:
( 1 ) Convicted of a felony.
(2) Convicted in any other jurisdiction of an offense that would have
been a felony if committed in California.
(3) After January 1 , 2004, been convicted of a crime based upon a ver-
dict or finding of guilt of a felony by the trier of fact, or upon the entry
of a plea of guilty or nolo contendere to a felony. This paragraph shall
apply regardless of whether, pursuant to subdivision Penal Code (PC) §
17(b), the court declares the offense to be a misdemeanor or the offense
becomes a misdemeanor by operation of law. [Note; when this subsec-
tion applies, also review text in Government Code section 1029(b).]
(4) Charged with a felony and adjudged to be mentally incompetent
by a superior court.
(5) Found not guilty of a felony by reason of insanity.
(6) Determined to be a mentally disordered sex offender pursuant to
Article 1 (commencing with Section 6300) of Chapter 2, Part 2 of Divi-
sion 6 of the Welfare and Institutions Code.
(7) Convicted of addiction or in danger of becoming addicted to nar-
cotics and committed to a state institution, pursuant to Section 3051 of
the Welfare and Institutions Code.
(b) Employing Agency Responsibility
When department personnel have knowledge that a peace officer em-
ployee has been disqualified from holding office or being employed as
a peace officer of the state pursuant to Government Code section 1029,
the person with knowledge shall notify POST immediately. The notifica-
tion shall be in writing and include as attachments copies of official docu-
ments that substantiate the disqualification.
(c) Disqualification Recorded
When a peace officer or former peace officer has been determined to
be disqualified from holding office or being employed as a peace officer
pursuant to Government Code section 1029, POST shall record the fol-
lowing admonifion on the individual's POST Profile:
"THIS PERSON IS INELIGIBLE TO BE A PEACE OFHCER IN
CALIFORNIA PURSUANT TO GOVERNMENT CODE SECTION
1029(a)."
If that same individual possesses a POST Basic Certificate, the Com-
mission shall also note on the individual's POST Profile record in the
"certificate section" of the record:
"THE BASIC CERTIFICATE IS NULL AND VOID."
(d) Notification to Employing Law Enforcement Department
When POST has been officially notified through receipt of official
court documents that a currently employed peace officer is ineHgible to
be a peace officer pursuant to Government Code section 1029(a), the
Commission shall notify the law enforcement agency that employs the
officer.
(e) Overturned or Reversed Convictions and Peace Officer Profile Re-
cords
An individual whose felony conviction is overturned or reversed is
personally responsible for requesting an amendment of POST records.
The individual desiring that his/her POST record be corrected shall:
( 1 ) Provide POST with a written request to remove the statement(s) re-
garding ineligibility to be a peace officer and/or the voided Basic Certifi-
cate.
(2) Provide POST with cerfified court documentaUon that proves the
felony conviction has been overturned or reversed.
NOTE: Authority cited: Sections 1029, Government Code; Sections 13506 and
13510.7, Penal Code. Reference: Sections 13510.7(a)-(b), Penal Code.
History
1. New section filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
§ 9072. Professional Certificates — Public Safety
Dispatcher.
(a) Dispatcher Certificates
Dispatcher Certificates are professional certificates awarded in recog-
nition of meeting specified training and service requirements. Possession
of these certificates is voluntary, and is not required to perform dispatch-
er duties.
(b) Applicafion Requirements
An applicant shall submit a completed "Certificate Application —
Public Safety Dispatcher" form, POST 2-289 (Rev. 7/2007). The ap-
plication's attestation must be signed by the department head. If the train-
ing required in subsection (d) below is not refiected on the applicant's
POST Profile, the application shall include supporting documentation
that verifies the training has been completed, i.e., a certificate of comple-
tion.
(c) Dispatcher Basic Certificate Award Requirements
Each certificate applicant shall satisfy the requirements specified be-
low:
(1) Be employed with a department participating in the POST Dis-
patcher Program.
(2) Be appointed as a full-time public safety dispatcher.
(3) Have been selected in accordance with the minimum selection re-
quirements specified in Regulation 1018.
Exception: This requirement does not apply, if the dispatcher was appointed
prior to the department's participation in the POST program.
(4) Have successfully completed a POST-certified Public Safety Dis-
patcher's Basic Course of no less than 80 hours.
(5) Have satisfactorily completed the current department's probation-
ary period of at least 12 months.
Exception: Upon entry into the program, departments with a probation period
of less than 12 months, when established by ordinance, charter, or memorandum
of understanding, shall be granted a waiver of this requirement until a 12-month
probation period can be established.
(d) Dispatcher Intermediate Certificate Award Requirements
Applicants for the award of a Dispatcher Intermediate Certificate
shall:
(1) Satisfy the requirements specified in Regulation section 9072(c)
for all certificates.
(2) Possess or be eligible to possess the Dispatcher Basic Certificate
for the current position.
(3) Satisfy one of the following eligibility combinations:
Degree or Education
Points*
Bachelor Degree and
Associate Degree and
45 Education Points and
30 Education Points and
15 Education Points and
Law Enforcement
Experience
3 years
5 years
5 years
7 years
9 years
plus
plus
plus
plus
plus
Training
Points
12
11
10
*Excess education points may be applied towards training points on a point-for-
point basis [reference Regulation section 9070(c)(4)].
(e) Dispatcher Advanced Certificate Award Requirements
Applicants for the award of an Advanced Certificate shall:
(1) Satisfy the requirements specified in Regulation section 9072(c)
for all certificates.
(2) Possess or be eligible to possess the Dispatcher Intermediate Cer-
tificate.
(3) Satisfy one of the following eligibility combinations:
Degree or Education
Law Enforcement
Training
Points*
Experience
Points
Master Degree
and
5 years
plus
Bachelor Degree
and
7 years
plus
Associate Degree
and
9 years
plus
45 Education Points
and
9 years
plus
12
30 Education Points
and
1 1 years
plus
11
*Excess education points may be applied towards training points on a point-for-
point basis [reference Regulation section 9070(c)(4)].
(f) Certificate Replacement
Reference Regulation 9077.
(g) Certificate Cancellations
Reference Regulation 9078.
Note: Authority cited: Sections 13503, 13506 and 13510(c), Penal Code. Refer-
ence: Section 13510(c), Penal Code.
History
1. New section filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
2. Amendment of section heading and section filed 6-8-2007; operative
7-8-2007 (Register 2007, No. 23).
Page 131
Register 2007, No. 23; 6-8-2007
§9073
BARCLAYS CALIFORNIA CODE OF REGULATIONS
Title 11
§ 9073. Professional Certificate — Records Supervisor.
(a) Records Supervisor Certificate
The Records Supervisor Certificate is a professional certificate
awarded to a records supervisor in recognition of meeting specified train-
ing and service requirements. Possession of this certificate is voluntary,
and is not required to perform record supervisor duties.
(b) Notice of Appointment Requirement
A Notice of Appointment form. POST 2-1 14. shall be completed and
mailed with the application for the certificate.
(c) Application Requirements
An applicant shall submit a completed "Application for Award of
POST Records Supervisor Certificate" form, POST 2-117 (Rev. 1 2/97).
The application's attestation must be signed by the department head. If
the training required in subsection (d) below is not reflected on the appli-
cant's POST Profile, the application shall include supporting documen-
tation that verifies the training has been completed, i.e., a certificate of
completion.
(d) Records Supervisor Certificate Award Requirements
Each certificate applicant shall satisfy the requirements specified be-
low:
(1) Be currently employed with a department participating in the
POST Program.
(2) Be appointed as a records supervisor as defined in Regulation
1001.
(3) Have satisfactorily completed the current department's probation-
ary period for a records supervisor.
(4) Have completed a minimum of two years satisfactory service with
the current department as a records supervisor.
(5) Be a high school graduate or have successfully passed the General
Education Development (GED) test for high school graduation.
(6) Have satisfactorily completed the Public Records Act course
(minimum 16 hours) and the Records Supervisor Course (minimum 40
hours).
(e) Certificate Replacement
Reference Regulation 9077.
(f) Certificate Cancellations
Reference Regulation 9078.
Note. Authority cited: Sections 13503, 13506 and 13510.3, Penal Code. Refer-
ence: Section 13510.3 Penal Code.
History
1. New section filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
§ 9076. Certificates of Course Completion.
(a) Certificates of Course Completion
These certificates are awarded by training presenters to students who
successfully complete a POST-certified course. The issuance of these
types of certificates by training presenters are highly recommended but
are not required except as specified in subsection (c) below. The certifi-
cate of course completion alone does not grant or bestow any powers on
any individual who is the bearer of such a certificate.
(b) Peace Officer Powers
The combination of an appointment to a peace officer position by a law
enforcement agency authorized to appoint peace officers, and the posses-
sion of a Certificate of Course Complefion for certain basic courses, e.g.,
the PC 832 Arrest and Firearms Course, may bestow peace officer pow-
ers to an individual (reference Penal Code § 832).
(c) Certificate Issuance Requirement for Specified Courses
Any presenter of a POST-cerUfied instructor development course
listed in Regulation 1070 or presenters of the Academy Director/Coordi-
nator Workshop or Recruit Training Officer Workshop shall issue a cer-
tificate of completion to all students who successfully complete the train-
ing.
(d) Cerfificate Content Requirement
A Certificate of Completion issued by the training institution shall in-
clude the following on the certificate:
( 1 ) Name of training institution
(2) POST title of the course
(3) Ending date of the course
(4) Number of hours completed by the individual
(5) POST course control number.
NOTE: Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sec-
tions 13503 and 13506, Penal Code.
History
1. New section filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
§ 9077. Certificate Replacement.
(a) Certificate Replacement
( 1 ) Requests for Certificate Replacement
Individuals who have lost or misplaced a professional certificate or
who possess a damaged professional certificate may request a replace-
ment. The request must be submitted by completing a Request for Reis-
suance of a Cerfificate form. POST 2-250 (rev. 6/91). and mailing it to
the POST Certificates Unit.
(2) Certificate Numbering
The replacement certificate will receive a new certificate number, but
will also include the number of the original certificate and the date of
original issue.
NOTE: Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sec-
tions 13503 and 13506, Penal Code.
History
1. New section filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
§ 9078. Certificate Cancellation.
(a) Cancellation Reasons
POST shall cancel a professional certificate(s) for the following rea-
sons:
(1) The certificate was obtained through misrepresentation, fraud, or
(2) The certificate was issued as a result of administrative error on the
part of POST or the employing agency.
(b) Notification Requirement
Department personnel who possess information that a certificate was
obtained through misrepresentation, fraud, or administrative error shall
notify the Commission immediately.
(c) Investigation of Circumstances
The Executive Director may initiate an investigation of the circum-
stances under which the certificate was issued. The Executive Director
has the authority to approve or deny certificate cancellation.
(d) Cancellation Appeal
An individual whose certificate has been cancelled may appeal the
cancellation to the Commission.
At the Commission's discretion, a hearing shall be held either before
the Commission or before a quaUfied hearing officer. The hearing officer
shall prepare a proposed decision in such form that it may be adopted as
the decision in the case. All hearings shall be conducted in conformance
with the Administrative Procedures Act (Government Code.C. section
1 1340 et seq.). At the conclusion of the appeal hearing, the Commission
shall render a decision to uphold or overturn the decision to cancel the
certificate.
(e) Cancellation Recorded
When the decision to cancel is upheld through the appeal process, the
POST Profile record shall indicate the appropriate reason for the can-
cellation.
(f) Return of Certificate
Upon notification of cancellation, the individual to whom a cancelled
certificate was issued shall return the certificate to POST.
NOTE: Authority cited: Section 13510.1(e), Penal Code. Reference: Section
13510.1(e), Penal Code.
History
1. New section filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
* * *
Page 132
Register 2007, No. 23; 6-8-2007
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