reglab/statecodes huggingface dataset:
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 4 - Rules for Conducting Research › Article 2 - Rules for the Conduct of Research › Section 50421 - Confidentiality of Client Information and Records Used in Research

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) All client data
					 and information obtained in the course of the research shall be confidential
					 and shall be disclosed only to qualified professional persons providing
					 services to the client or to other research personnel operating pursuant to the
					 approved protocol.
(b) Prior to
					 obtaining access to any confidential records or information for the purpose of
					 doing research, each researcher, including but not limited to employees of the
					 facility maintaining the records or information, shall sign an oath of
					 confidentiality as follows:
_________________________
Date
As a condition of doing research concerning persons with
						developmental disabilities who have received services from
						______________________________ (fill in the facility, agency or person), I,
						____________________, agree to obtain the prior informed consent of such
						persons who have received services to the maximum degree possible as determined
						by the appropriate institutional review board or boards for protection of human
						subjects reviewing my research, or such person's parents, guardian, or
						conservator, and I further agree not to divulge any information obtained in the
						course of such research to unauthorized persons and not to publish or otherwise
						make public any information regarding persons who have received services such
						that the person who received services is identifiable.
I recognize that the unauthorized release of confidential
						information may make me subject to a civil action under provisions of the
						Welfare and Institutions Code.
__________________________________________________
Signed
1. New
						section filed 1-22-87; effective thirtieth day thereafter (Register 87, No.
						4).
Note: Authority cited: Sections
						  4514(e)
						  and
						  5328(e),
						  Welfare and Institutions Code. Reference: Sections
						  4514(e)
						  and
						  5328(e),
						  Welfare and Institutions Code.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 4 - Rules for Conducting Research › Article 2 - Rules for the Conduct of Research › Section 50423 - Informed Consent

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a)
					 Before confidential records or information may be released or disclosed to a
					 researcher, the researcher must obtain prior informed consent from the person
					 about whom the records or information pertain, or the person's legally
					 authorized representative, to the maximum degree possible as determined by the
					 appropriate IRB.
(b) The researcher
					 shall seek such consent only after the appropriate IRB has approved the
					 research protocol, and only in the manner prescribed by the IRB, which shall be
					 under circumstances that provide the prospective subject or representative
					 sufficient opportunity to consider whether to participate, and that minimize
					 the possibility of coercion or undue influence.
(c) The information that is given to the
					 subject or the representative shall be in language understandable to the
					 subject or the representative.
(d)
					 No informed consent, whether oral or written, may include any language through
					 which the research subject or the representative waives or appears to waive any
					 of the research subject's legal rights, or any language which releases or
					 appears to release the researcher, the facility, or its agents or any other
					 person or entity from liability for negligence.
1. New
						section filed 1-22-87; effective thirtieth day thereafter (Register 87, No.
						4).
Note: Authority cited; Section
						  4514(e)
						  and
						  5328(e),
						  Welfare and Institutions Code. Reference: Sections
						  4514(e)
						  and
						  5328(e),
						  Welfare and Institutions Code.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 4 - Rules for Conducting Research › Article 2 - Rules for the Conduct of Research › Section 50425 - Basic Elements of Informed Consent

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) Except as provided in Sections
					 50427,
					 50429(c), in
					 seeking informed consent, the researcher shall ensure that the following
					 information is provided to each subject or representative:
(1) An explanation of the research, including
					 its purposes, the duration of the subject's participation, a description of the
					 procedures to be followed, and identification of any procedures which are
					 experimental;
(2) A description of
					 any reasonably foreseeable risks or discomforts to the subject;
(3) A description of any benefits to the
					 subject or to others which may reasonably be expected from the
					 research;
(4) A disclosure of
					 appropriate alternative procedures or courses of treatment, if any, that might
					 be advantageous to the subject;
(5)
					 A statement describing how the confidentiality of records which identify the
					 subject will be maintained;
(6) For
					 research involving more than minimal risk, an explanation as to whether any
					 compensation will be provided, and a description of any medical treatments that
					 will be provided if a research-related injury occurs;
(7) A listing of the name, address and phone
					 number of the persons to contact for answers to questions about the research,
					 research subjects' rights, and possible research-related injury to the
					 subject;
(8) A statement that
					 participation is voluntary, refusal to participate will involve no penalty or
					 loss of benefits to which the subject is otherwise entitled, and the subject
					 may discontinue participation at any time without penalty or loss of benefits
					 to which the subject is otherwise entitled;
(9) A statement that the confidentiality of
					 the subjects shall be maintained in any report of the findings of the research
					 project, unless expressly consented to by the client or his or her legally
					 authorized representative.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 4 - Rules for Conducting Research › Article 2 - Rules for the Conduct of Research › Section 50427 - Waiver of Requirement of Informed Consent at State Hospitals

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
A state hospital IRB may approve a consent procedure
						which does not include, or which alters, some or all of the elements of
						informed consent or waive the requirements to obtain informed consent, provided
						the IRB finds and documents that:
(a)
					 The research involves no more than minimal risk to the subjects and involves no
					 procedures for which written consent is normally required;
(b) The waiver or alteration will not
					 adversely affect the rights and welfare of the subjects;
(c) The research could not practicably be
					 carried out without the waiver or alteration; and
(d) The only record linking the subject and
					 the research would be the consent document and the principal risk would be
					 potential harm resulting from a breach of confidentiality;
(e) Whenever appropriate, the subjects will
					 be provided with additional pertinent information after
					 participation.
1. New
						section filed 1-22-87; effective thirtieth day thereafter (Register 87, No.
						4).
2. Amendment of section filed as an emergency 6-17-93; operative
						6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722,
						Statutes of 1992) Section
						147(a) (Register
						93, No. 26).
3. Certificate of Compliance as to 6-17-93 order
						transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No.
						31).
Note: Authority cited: Chapter 722, Statutes of 1992,
						  Section 147; Sections
						  4514(e),
						  4791(i)
						  and
						  5328(e),
						  Welfare and Institutions Code. Reference: Sections
						  4514(e),
						  4791
						  and
						  5328(e),
						  Welfare and Institutions Code.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 4 - Rules for Conducting Research › Article 2 - Rules for the Conduct of Research › Section 50429 - Documentation of Informed Consent

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) Except as provided in Section
					 50427, informed consent shall be
					 documented by the use of a written consent form that:
(1) embodies the elements of informed consent
					 required by Section
					 50425;
(2) is approved by the appropriate IRB or
					 IRBs; and
(3) is signed by the
					 subject or the subject's legally authorized representative.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 5 - Clients' Rights › Article 1 - Purpose and Definitions › Section 50500 - Intent and Purpose

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The intent and purpose of this subchapter is to
						implement, interpret, and make specific the statutory provisions of the
						Lanterman Developmental Disabilities Services Act (Division 4.5 of the Welfare
						and Institutions Code, commencing with Section
						4500) relative to the rights of
						persons receiving services pursuant to said Act.
1. New
						Subchapter 5 (Articles 1-6, Sections
						50500-50550, not consecutive)
						filed 12-23-81; effective thirtieth day thereafter (Register 81, No.
						52).
2. Editorial redesignation of former Chapter 4 (Subchapters 5
						and 6, Sections
						50500-50667, not consecutive) to
						Chapter 1, Subchapters 5 and 6 (Sections
						50500-50667, not consecutive)
						filed 9-28-83 (Register 83, No. 40).
Note: Authority cited: Section
						  11152,
						  Government Code. Reference: Sections
						  4416,
						  4441,
						  4502,
						  4503,
						  4504
						  and
						  4648,
						  Welfare and Institutions Code.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 5 - Clients' Rights › Article 2 - Rights of Persons with Developmental Disabilities › Section 50515 - Use of Seclusion or Restraint, "Time Out"

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) Seclusion. No person with a developmental
					 disability shall be placed in seclusion. The use of "time out" procedures may
					 be employed only under the following circumstances:
(1) State Hospital. The procedure used
					 complies with regulations promulgated by the director pursuant to Welfare and
					 Institutions Code Section
					 4505.
(2) Community Care or Health Facility. A
					 written agreement exists between the placing regional center and the facility
					 which complies with regulations promulgated by the director pursuant to Welfare
					 and Institutions Code Section
					 4505.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 5 - Clients' Rights › Article 3 - Notification of Rights › Section 50520 - Notification of Rights

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a)
					 State Hospital.
(1) Posting of Rights. The
					 rights contained in Section
					 50510 of this subchapter shall be
					 prominently posted in both English and Spanish, on forms provided by the
					 Department, in each living area serving persons with a developmental
					 disability. The posted form shall contain the name, office location within the
					 hospital, and phone number of the clients' rights advocate. It shall be the
					 responsibility of the chief executive officer to assure compliance with the
					 posting requirements of this section.
(2) Personal Notification of Rights. Within
					 twenty-four (24) hours after entry into the hospital as a resident, annually
					 thereafter, and at any other point in time when the client's legal status
					 changes, each person with a developmental disability shall be personally
					 informed and served with a printed copy of all rights in Section
					 50510 and shall have these rights
					 explained in a language or modality he understands. If the resident cannot be
					 effectively informed of such rights because of his physical or mental condition
					 at the time such notification is otherwise due, a good faith effort having been
					 made to inform him, notation of this fact shall be entered into the resident's
					 treatment record at the hospital, accompanied by a description of the manner in
					 which such notification was attempted, and signed by a third party witnessing
					 the attempt at notification. Additionally, a copy of the rights listing
					 provided the resident shall be signed by the resident, or his authorized
					 representative, and placed in the resident's file at the facility.
(3) Written Notice to Representative. A
					 written notice shall be sent to or otherwise served upon the resident's parent,
					 guardian, conservator, or legally authorized personal representative, as
					 applicable (e.g., if a minor, the parent or guardian; if a conservatee, the
					 conservator; if neither, or if the resident expresses a preference for, the
					 person designated by the resident as his personal representative, if any), at
					 any time notification pursuant to subsection (a), (2), above, is made. This
					 notice shall include: a copy of the rights in Section
					 50510 and information noting the
					 date of the resident's most recent notification of same, as well as the name,
					 address and phone number of the clients' rights advocate of both the hospital
					 and the regional center which was involved in the resident's placement at the
					 hospital, if any.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 5 - Clients' Rights › Article 4 - Denial of Rights › Section 50530 - Denial of Rights

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a)
					 Except as provided in this article, no right specified in Section
					 50510 shall be denied any client.
					 In the absence of a court order, the terms of which expressly provide for
					 limitation of a particular right to which a given client is otherwise entitled,
					 no right contained in Section
					 50510 shall be denied unless there
					 is full compliance with this article. Only those rights listed in Section
					 50510(b), (1) through
					 (7), may be denied pursuant to this
					 article.
(b) Only the professional
					 person in charge of the facility or his designee may deny a right for good
					 cause. The name of the professional person in charge of the facility, for the
					 purposes of this article, shall be on file at the facility. If a designee of
					 the professional person in charge of the facility is authorized to deny rights
					 for good cause, a written formal designation naming the designee shall be
					 signed by the professional person in charge of the facility and shall be on
					 file at the facility.
(c) Good
					 cause for the denial of any right in Section
					 50510(b), (1) through
					 (7), inclusive, exists only when the
					 professional person in charge of the facility, or his duly authorized designee,
					 makes an express finding that:
(1) The
					 exercise of the specific right sought to be denied would be injurious to the
					 individual otherwise entitled to exercise it; or
(2) There is evidence that the specific right
					 sought to be denied if exercised by that individual, would seriously infringe
					 on the rights of others; or
(3) The
					 institution or facility would suffer serious damage to the physical plant if
					 the specific right is not denied; and
(4) There is no less restrictive means of
					 protecting the specific interest listed in (1), (2), or (3) of this
					 subsection.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 5 - Clients' Rights › Article 4 - Denial of Rights › Section 50532 - Documentation of Rights Denials

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) Each denial of a right for good cause, as
					 provided in Section
					 50530 of this article, shall be
					 noted in the facility's treatment record of the person whose right has been
					 denied. This documentation shall take place immediately upon the denial of any
					 right or, in the event of an emergency, in no case later than twenty-four (24)
					 hours from the time of the denial. If an emergency does not permit immediate
					 documentation, a Special Incident Report shall be submitted to the department
					 setting forth the particulars of such emergency. In state hospitals, this
					 Report shall be submitted through the clients' rights advocate. In any licensed
					 health or community care facility, this Report shall be submitted through the
					 clients' rights advocate for the regional center in whose service catchment
					 area the facility is located.
(b)
					 The treatment record notation shall be on forms provided by the department and
					 shall include:
(1) Date and time the right was
					 denied.
(2) Specific right
					 denied.
(3) Specific good cause
					 rationale of Section
					 50530(c) which
					 permits denial.
(4) Name(s) of any
					 staff member(s) involved in the denial decision.
(5) Signature of the professional person in
					 charge of the facility, or his designee, authorizing the denial.
(6) A special incident report, to the
					 director of the department in the event of an emergency not permitting
					 documentation immediately upon the denial of any right.
(7) If the person appealed the denial of the
					 right, the date of the request and the outcome, if any, of the
					 appeal.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 5 - Clients' Rights › Article 4 - Denial of Rights › Section 50534 - Access to Denial of Rights Information

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Information pertaining to any denial of rights for good
						cause contained in an individual's treatment record shall be made available
						upon request, to such individual, his attorney, his parent or guardian if the
						individual whose right is denied is a minor, his conservator, the clients'
						rights advocate, and the State Department of Developmental
						Services.
Note: Authority cited: Section
						  11152,
						  Government Code; and Section
						  4504,
						  Welfare and Institutions Code. Reference: Sections
						  4422
						  and
						  4504,
						  Welfare and Institutions Code.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 5 - Clients' Rights › Article 4 - Denial of Rights › Section 50536 - Reporting Good Cause Denials of Rights

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) Except for state hospitals having a
					 full-time clients' rights advocate, each facility serving regional center
					 clients shall forward a copy of all documentation of any denial of rights for
					 good cause required by Section
					 50532(a) through
					 (f) to the regional center in whose service
					 catchment area the facility is located as promptly as possible, but not to
					 exceed ten (10) days from the effective day of such denial.
(b) Upon receipt of the documentation of good
					 cause right denial, the clients' rights advocate shall review for compliance
					 with Section
					 50530 and use it as reference in
					 the compilation of the quarterly reports required by Section
					 50538.
Note: Authority cited: Section
						  11152,
						  Government Code, and Sections
						  4416,
						  4504,
						  Welfare and Institutions Code. Reference: Section
						  4504,
						  Welfare and Institutions Code.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 5 - Clients' Rights › Article 4 - Denial of Rights › Section 50538 - Quarterly Reports on the Denial of Rights for Good Cause

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
As described in Welfare and Institutions Code Section
						4504,
						each state hospital and each regional center shall, by the last day of each
						January, April, July, and October, report on forms provided by the department
						all of the following information concerning any good cause denial of rights
						which has transpired during the preceding quarter:
(a) An appropriate identification number or
					 other code which will enable the state hospital or regional center to identify
					 the person(s) whose rights have been denied for good cause. A different number
					 or code shall be used for each person and such person's number or code shall
					 remain constant on all future reporting about that person.
(b) The date that the right was
					 denied.
(c) The specific right
					 denied and the specific rationale of Section
					 50530(c), (1) through
					 (4), inclusive, for the denial.
(d) The date that the right was restored or,
					 if not restored the date(s) of each thirty (30) day review conducted as
					 required by Section
					 50530(f).
State hospital reports shall provide the information by
						living unit. Regional centers shall submit the information by facility. The
						forms shall be mailed to the Director of Developmental
						Services.
Note: Authority cited: Section
						  11152,
						  Government Code, and Sections
						  4416,
						  4504,
						  Welfare and Institutions Code. Reference: Section
						  4504,
						  Welfare and Institutions Code; Aden v. Younger (1976) 57 Cal. App. 3d 662, pps.
						  681-682.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 5 - Clients' Rights › Article 5 - Complaint Procedure › Section 50540 - Complaint Procedure

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a)
					 Each client or any representative acting on behalf of any client, who believes
					 that any right to which the client is entitled has been abused, punitively
					 withheld, or improperly or unreasonably denied, may pursue a complaint as
					 provided in this section.
(b)
					 Initial referral of any complaint taken pursuant to this section shall be to
					 the clients' rights advocate responsible for the facility in which such person
					 is a resident or of which such person is a client.
Except for state hospitals, the responsible clients'
						rights advocate shall be the person assigned such duties by the regional center
						within whose service catchment area the facility is geographically
						located.
The clients' rights advocate shall, within ten working
						days of receiving a complaint, investigate the complaint and send a written
						proposed resolution to the complainant.
(c) If the complainant expresses
					 dissatisfaction with the action taken or proposed by the clients' rights
					 advocate, the complaint shall be referred, by the clients' rights advocate,
					 within five (5) working days, to the director of the state hospital or of the
					 regional center in whose service catchment area the facility is
					 located.
(d) If the complaint is
					 not resolved to the satisfaction of the complainant within ten (10) working
					 days by the director of the state hospital or regional center, it shall be
					 referred by that director to the Department of Developmental Services' clients'
					 rights officer, whose responsibility it shall be to make a recommendation to
					 the director of the State Department of Developmental Services for final
					 administrative decision.
1.
						Amendment of subsections (b) and (d) and NOTE filed 2-25-92; operative 3-6-92
						(Register 92, No. 12).
Note: Authority cited: Section
						  4503,
						  Welfare and Institutions Code; and section
						  11152,
						  Government Code. Reference: Sections
						  4502,
						  4503,
						  Welfare and Institutions Code.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 5 - Clients' Rights › Article 6 - Clients' Rights Advocate › Section 50550 - Assignment of Clients' Rights Advocate

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Each state hospital and regional center shall have at
						least one (1) staff member, or the functional equivalent thereof, who is
						assigned on a full-time basis to fulfill the duties of the clients' rights
						advocate. Such duties shall include, but not be limited to, the
						following:
(a) State Hospital Clients'
					 Rights Advocate.
(1) To assure that the rights
					 of each person with a developmental disability who resides in the hospital are
					 guaranteed, protected and asserted as requested by or on behalf of any
					 resident.
(2) To monitor compliance
					 with the posting requirements and the notification of rights provisions of
					 Section 50520.
(3) To investigate and facilitate resolution
					 of complaints concerning any violation, withholding, or punitive denial of any
					 right, which is brought by or on behalf of any resident.
(4) To initiate inquiry into any right's
					 violation, withholding, or punitive denial of any right to which any hospital
					 resident with a developmental disability is entitled where such resident is
					 unable to do so because of physical or mental condition.
(5) To assist residents in the pursuit of
					 administrative and legal remedies. If the complaint is against an employee, a
					 policy, or the operations of the state hospital, the clients' rights advocate
					 may refer the resident to an agency which can provide independent
					 representation.
(6) To monitor and
					 review all reports of denial of rights for good cause of any resident of the
					 hospital, as required by Section
					 50536.
(7) To advise the state hospital executive
					 officer on the development, implementation and maintenance of a clients' rights
					 assurance program in the state hospital.
(8) To serve as a consultant and resource
					 person on issues relative to the rights of persons with developmental
					 disabilities for all persons within the hospital.
(9) To act as liaison between the state
					 hospital and the Clients' Rights Office.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 6 - Service Provider Accountability › Article 1 - General Provisions › Section 50601 - Meaning of Words

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Words shall have their usual meaning unless the context
						or a definition clearly indicates a different meaning. Words used in their
						present tense include the future tense and words in the singular form include
						the plural form. Use of the word "shall" denotes mandatory
						conduct.
1. New
						subchapter 6 (article 1, sections
						50601-50612) filed 9-22-89;
						operative 10-22-89 (Register 89, No. 40). For prior history, see Register 88,
						No. 29.
2. Editorial correction of article heading (Register 92, No.
						21).
Note: Authority cited: Section
						  4648.2,
						  Welfare and Institutions Code. Reference: Section
						  4648.1,
						  Welfare and Institutions Code.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 6 - Service Provider Accountability › Article 1 - General Provisions › Section 50603 - Access to Service Provider Records

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) The service provider shall permit right
					 of access to:
(1) Any books, documents,
					 papers, computerized data, source documents, consumer records, or other records
					 of the service provider pertaining to the service program and/or provision of
					 services to persons with developmental disabilities. All consumer records shall
					 be treated as confidential.
(2) Any
					 facilities belonging to or used by the service provider pertaining to the
					 service program and/or the provision of services to persons with developmental
					 disabilities.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 6 - Service Provider Accountability › Article 1 - General Provisions › Section 50604 - Service Provider Record Maintenance Requirements

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) Service providers shall maintain
					 financial records which consistently use a single method of accounting. These
					 financial records shall clearly reflect the nature and amounts of all costs and
					 all income. All transactions for each month shall be entered into the financial
					 records within 30 days after the end of that month.
(b) Subsection (a) shall apply to residential
					 facilities for the purposes described in subsection (c), day programs,
					 transportation companies, and other non-medical service providers which provide
					 ongoing services to regional center consumers on a regular basis each month,
					 except that the following service providers shall be exempt:
(1) Residential facilities in which regional
					 center consumers represent less than ten percent of the total consumers served
					 by the facility during the last 12 month period.
(2) Residential facilities in which regional
					 center consumers represent more than ten percent of the total consumers served
					 by the facility; however, no Departmental funds are received for the care and
					 services provided to those consumers.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 6 - Service Provider Accountability › Article 1 - General Provisions › Section 50605 - Service Provider Record Retention Requirements

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) All service providers' financial and
					 service records, including source documentation, shall be retained for a
					 minimum of five years from the date of final payment for the State fiscal year
					 in which services were rendered. This requirement may be satisfied by retaining
					 an electronic record of the information in the record, if the record reflects
					 accurately the information set forth in the record at the time it was first
					 generated in its final form as an electronic record or otherwise, and the
					 electronic record remains accessible for later reference.
(b) If an audit is in progress or an appeal
					 pursuant to Subchapter 7 (commencing with Section
					 50700) is pending at the end of
					 the time specified in Section
					 50605(a), the
					 service providers' records shall be retained until all audit exceptions have
					 been resolved.
(c) Copies made by
					 microfilming or electronic data processing methods may be substituted for any
					 original record.
1. New
						section filed 9-22-89; operative 10-22-89 (Register 89, No. 40).
2.
						Amendment of subsection (a) filed 8-27-2004 as an emergency; operative
						8-27-2004 (Register 2004, No. 35). A Certificate of Compliance must be
						transmitted to OAL by 12-27-2004 or emergency language will be repealed by
						operation of law on the following day.
3. Amendment of subsection
						(a) refiled 12-22-2004 as an emergency; operative 12-22-2004 (Register 2004,
						No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2005 or
						emergency language will be repealed by operation of law on the following
						day.
4. Certificate of Compliance as to 12-22-2004 order transmitted
						to OAL 4-19-2005 and filed 5-18-2005 (Register 2005, No. 20).
5.
						Amendment of subsections (a) and (c) and NOTE filed 1-17-2012; operative
						2-16-2012 (Register 2012, No. 3).
Note: Authority cited: Section
						  4648.2,
						  Welfare and Institutions Code. Reference: Sections
						  4641.5
						  and
						  4648.1,
						  Welfare and Institutions Code.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 6 - Service Provider Accountability › Article 1 - General Provisions › Section 50606 - Regional Center Auditing Requirements

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) To the extent that regional centers
					 determine that it is necessary, regional centers shall audit records of service
					 providers. Such audits shall be:
(1)
					 Performed utilizing existing personnel resources; and
(2) Commenced within three years following
					 the final payment for the fiscal year under audit.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 6 - Service Provider Accountability › Article 1 - General Provisions › Section 50608 - Contract Duties and Responsibilities

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
When a regional center enters into a contract with a
						service provider, the contract shall include, but not be limited to, the
						following provisions specifying the duties and responsibilities of the service
						provider.
(a) A contract provision
					 requiring that the level of service provided shall, at a minimum, be consistent
					 with the service provider's program design, if applicable, and any other
					 program related documentation relied upon by the Department as a basis for
					 establishing rates of payment.
(1) The service
					 provider's program design shall be made a part of the contract.
(2) The service provider's program design
					 shall include, but not be limited to:
(A) A
					 written statement of the facility's purpose and goals;
(B) A description of the services
					 provided;
(C) A description of
					 program methods;
(D) Consumer
					 entrance and exit criteria;
(E) Job
					 descriptions of all positions;
(F)
					 Staff qualifications for each job description;
(G) A staffing plan which indicates the
					 staff-to-consumer ratio for delivery of direct care services for all hours the
					 consumers are under the supervision of the facility;
(H) A staff training plan, if any;
					 and
(I) Hours and location of
					 service.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 6 - Service Provider Accountability › Article 1 - General Provisions › Section 50609 - Contract Fiscal Provisions

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The regional center/service provider contract shall
						include, but not be limited to, the following fiscal or fiscally related
						provisions:
(a) Provisions specifying
					 details for the payment of services rendered including, but not limited to:
(1) The method of payment;
(2) The time of payment;
(3) a requirement that the rate of payment,
					 in accordance with referenced contract exhibits, contains one of the following:
(A) An exhibit displaying Departmental or
					 regional center documentation reflecting the proposed rate of payment per unit
					 of service; the definition of a unit of service; and the necessary data and
					 mathematical computation used to establish the proposed rate of payment per
					 unit of service.
(B) An exhibit
					 displaying Departmental documentation reflecting the various ranges of proposed
					 rates of payment for residential care services and other applicable services
					 subject to such maximum limitations.
(4) A detailed description of the method to
					 be used in determining the units of service allowed for billing/invoicing in
					 accordance with the referenced contract exhibits required under Section
					 50609(a)(3).
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 6 - Service Provider Accountability › Article 1 - General Provisions › Section 50610 - Contract Fiscal Audit

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) The
					 regional center/service provider contract shall include, but not be limited to,
					 audit provisions as follows:
(1) A provision
					 that the service provider's records pertaining to the service program and/or
					 the provision of services to persons with developmental disabilities shall be
					 open for audit by the Department, regional center, and any authorized agency
					 representative for a minimum period of three years from the date of the final
					 payment for the State fiscal year.
(2) A provision indicating that the service
					 provider shall agree to utilize and be bound by Title 17, California Code of
					 Regulations, Sections
					 50700, et seq. should the service
					 provider elect to appeal any audit findings and/or recommendations.
(3) A provision indicating that the service
					 provider shall accept financial liability for any audit findings and/or
					 recommendations disclosed by audit and promptly repay amounts owed unless
					 appealed and liquidation is stayed pursuant to Title 17, California Code of
					 Regulations, Section
					 50705.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 6 - Service Provider Accountability › Article 1 - General Provisions › Section 50611 - Contract Termination

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a)
					 The regional center/service provider contract shall contain the requirements
					 for the termination of the contract.
(b) The provision for contract termination by
					 the regional center shall include:
(1) The
					 methods by which termination will be effected;
(2) The basis for settlement; and
(3) A description of the conditions which
					 shall constitute possible grounds for termination of the contract and/or
					 payment. Such conditions shall include, but not be limited to, those in which
					 it is determined that:
(A) The service
					 provider has not complied with provisions of its contract, the terms of the
					 purchase of service authorization, applicable Federal and State regulations, or
					 statutes governing the service program and/or the provision of services to
					 persons with developmental disabilities.
(4) The Department, regional center, or any
					 authorized representative shall determine whether the conditions, specified in
					 Section 50611(b)(3)
					 above, exist to constitute possible grounds for contract termination. Such
					 determination shall be:
(A) Conveyed to the
					 service provider 30 days in advance of payment and/or contract termination,
					 pursuant to Welfare and Institutions Code, Section
					 4710.
(B) In the form of a notice containing the
					 provisions for contract termination specified in subsections (b)(1) through
					 (3).
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 6 - Service Provider Accountability › Article 1 - General Provisions › Section 50612 - Regional Center Purchase of Service Requirements

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) A purchase of service authorization shall
					 be obtained from the regional center for all services purchased out of center
					 funds. This requirement may be satisfied if the information is provided, sent,
					 or delivered, as the case may be, in an electronic record capable of retention
					 by the recipient at the time of receipt.
(b) The authorization shall be in advance of
					 the provision of service, except as follows:
(1) A retroactive authorization shall be
					 allowed for emergency services if services are rendered by a vendored service
					 provider:
(A) At a time when authorized
					 personnel of the regional center cannot be reached by the service provider
					 either by telephone or in person (e.g., during the night or on weekends or
					 holidays);
(B) Where the service
					 provider, consumer, or the consumer's parent, guardian or conservator, notifies
					 the regional center within five working days following the provision of
					 service; and
(C) Where the regional
					 center determines that the service was necessary and
					 appropriate.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 7 - Fiscal Audit Appeals › Article 1 - General › Section 50700 - Purpose and Scope

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The procedures described in this subchapter shall be
						applicable to and govern all appeals from audit reports, Letters of Findings
						and formal decisions issued by the Department of Development Services or
						regional centers which result from fiscal audits of regional centers and/or
						their contractors conducted pursuant to Welfare and Institutions Code, Sections
						4648.2
						and
						4780.5.
						Additionally, the procedures described herein may be used to appeal other
						fiscal audits conducted by the Department if provided for by way of regulation
						or agreement.
1. New
						Chapter 4, Subchapter 6 (Articles 1-3, Sections
						50600-50667, not consecutive)
						filed 6-26-80; effective thirtieth day thereafter (Register 80, No.
						26).
2. Editorial redesignation of former Chapter 4 (Subchapters 5
						and 6, Sections
						50500-50667, not consecutive) to
						Chapter 1 (Subchapters 5 and 6, Sections
						50500-50667, not consecutive)
						filed 9-28-83 (Register 83, No. 40)
3. Renumbering of former
						Subchapter 6 to Subchapter 7, and renumbering and amendment of former Section
						50600 to Section
						50700 filed 7-5-88; operative
						8-4-88 (Register 88, No. 29).
Note: Authority cited: Section
						  11152,
						  Government Code; and Sections
						  4648.2
						  and
						  4780.5,
						  Welfare and Institutions Code. Reference: Sections
						  4629,
						  4631,
						  4635,
						  4648.1
						  and
						  4780.5,
						  Welfare and Institutions Code.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 7 - Fiscal Audit Appeals › Article 1 - General › Section 50701 - Definitions

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The following definitions govern the construction of
						sections within this subchapter unless the context otherwise requires:
Words shall have their usual meaning unless the context
						or a definition clearly indicates a different meaning. "May" means permissive.
						"Shall" means mandatory. "Should" means suggested or recommended.
(a) "Administrative review" means the
					 preliminary investigation of the "Statement of Disputed Issues" submitted by an
					 appellant as a part of its initial appeal. The investigation shall be conducted
					 by an appeals review officer of the Department and may include, but not be
					 limited to, the following:
(1) A review of all
					 documents submitted by the parties;
(2) An interview of the parties and any
					 prospective witnesses;
(3) An
					 on-site inspection of records;
(4)
					 An informal conference.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 7 - Fiscal Audit Appeals › Article 1 - General › Section 50702 - Revised Audit Report

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) A
					 revised audit report may be issued by or on behalf of the Department or
					 regional center for the fiscal period or periods for which proceedings are
					 pending under this subchapter.
(b)
					 The appeals review officer or hearing officer may suspend their respective
					 proceedings until identification of any additional disputes that may result
					 from a revised audit report.
(c)
					 Additional issues in dispute which are raised by the revised audit report may
					 be included in the proceedings at the request of the appellant in accordance
					 with Section
					 50730.
1.
						Renumbering and amendment of former Section
						50602 to Section
						50702 filed 7-5-88; operative
						8-4-88 (Register 88, No. 29).
2. Editorial correction of of
						subsection (c) (Register 2002, No. 46).
Note: Authority cited: Section
						  11152,
						  Government Code; and Sections
						  4648.2
						  and
						  4780.5,
						  Welfare and Institutions Code. Reference: Sections
						  4629,
						  4631,
						  4635,
						  4648.1
						  and
						  4780.5,
						  Welfare and Institutions Code; and Sections
						  11180,
						  11181, and
						  11182,
						  Government Code.
California Code of Regulations › Title 17 - Public Health › Division 2 - Health and Welfare Agency-Department of Developmental Services Regulations › Chapter 1 - General Provisions › Subchapter 7 - Fiscal Audit Appeals › Article 1 - General › Section 50703 - Department Mailings

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
A mailing by the Department shall be deemed to have been
						properly executed if addressed and mailed to the last address on record with
						the Department.
1.
						Renumbering of former Section
						50603 to Section
						50703 filed 7-5-88; operative
						8-4-88 (Register 88, No. 29).
Note: Authority cited: Section
						  11152,
						  Government Code; and Sections
						  4648.2
						  and
						  4780.5,
						  Welfare and Institutions Code. Reference: Sections
						  4648.1
						  and
						  4780.5,
						  Welfare and Institutions Code.