California Code of Regulations › Title 11 - Law › Division 1 - Attorney General › Chapter 12 - California Restraining and Protective Order System › Article 5 - Enforcement of Regulations › Section 968 - Enforcement of Regulations by Department

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) To
				  determine compliance with these regulations and ensure the security and protection
				  of the CARPOS De-Identified Individual-Level Data or Identified Individual-Level
				  Data, the Department may, upon prior written notice and at mutually convenient
				  times, inspect the facility, systems, and records, including emails and manuscript
				  drafts related to the project identified in the Data Request Standard Application,
				  of a Nonprofit Bona Fide Research Institution in which the CARPOS De-Identified
				  Individual-Level Data or Identified Individual-Level Data is secured, stored,
				  destroyed or disposed.
(b) Within 10
				  business days following the inspection, the Department's Research Services shall
				  notify the Bona Fide Researcher of its findings. The Nonprofit Bona Fide Research
				  Institution and Bona Fide Researcher shall remedy any violation and shall certify
				  the same to the Department's Research Services, in writing, within 30 calendar days
				  of receiving the Department's Research Services' findings. If the violation cannot
				  be remedied within 30 calendar days, the Nonprofit Bona Fide Research Institution,
				  and Bona Fide Researcher shall notify the Department's Research Services and provide
				  a remedial plan, including a reasonable alternative timeframe to resolve the
				  violation.
(c) Any violation of these
				  regulations by a Nonprofit Bona Fide Research Institution, Bona Fide Researcher, or
				  Team Member may, at the discretion of the Department's Research Services, result in
				  restricted access to CARPOS De-Identified Individual-Level Data or Identified
				  Individual-Level Data, closure of a current project and the destruction of CARPOS
				  De-Identified Individual-Level Data or Identified Individual-Level Data, and/or a
				  denial of future requests for CARPOS De-Identified Individual-Level Data or
				  Identified Individual-Level Data. In exercising its discretion, the Department's
				  Research Services may consider the following, including but not limited to, the
				  severity of the violation, whether PII was involved, any previous violations, and
				  the violator's culpability.
(d) The fact
				  that the Department has the right to inspect, conducts an inspection, or fails to
				  inspect for compliance under subdivision (a) does not relieve the Nonprofit Bona
				  Fide Research Institution and Bona Fide Researcher of their responsibility to comply
				  with these regulations.
(e) A Nonprofit
				  Bona Fide Research Institution or Bona Fide Researcher may appeal any findings under
				  subdivision (b) or any enforcement actions taken under subdivision (c).
(1) Any appeal shall be filed with the Chief of
				  the CJIS Division within 10 calendar days of receiving the Department's Research
				  Services' findings. The appeal shall be filed at datarequests@doj.ca.gov
(2) The Chief of the CJIS Division may serve as
				  the appeal officer, or may appoint another designee. At their sole discretion, the
				  appeal officer reserves the right to collect additional facts or information to aid
				  in the resolution of any appeal, and to set the timeline for any additional
				  collection of facts.
(3) The appeal
				  officer may request other entities, that may have relevant information or evidence
				  that would assist in making the decision, that may be impacted by the decision,
				  and/or that may be affiliated with the Department of Justice, Nonprofit Bona Fide
				  Research Institution, Bona Fide Researcher, including but not limited to, the
				  Department's Research Services, to submit a written response to the appeal request,
				  and has discretion to set the deadlines for any additional written
				  responses.
(4) The decision of the
				  appeal officer shall be based on all relevant statutory authority and these
				  regulations, all facts and evidence, including but not limited to, the Department's
				  Research Services' findings and/or enforcement action taken, the appeal, any other
				  written responses, any additional facts or information collected, the underlying
				  Data Request Standard Application, and any other documents submitted by the
				  Nonprofit Bona Fide Research Institution or Bona Fide Researcher related to the Data
				  Request Standard Application. The decision of the appeal officer shall consider the
				  relevant statutory authority, these regulations, and the balance of harms to the
				  Nonprofit Bona Fide Research Institution or Bona Fide Researcher and the
				  public.
(5) The appeal officer shall
				  render a decision in writing within 30 calendar days of receiving the
				  appeal.
(6) The decision of the appeal
				  officer shall be final and there will be no further administrative appeal.