1569.10. No person, firm, partnership, association, or corporation
within the state and no state or local public agency shall operate,
establish, manage, conduct, or maintain a residential facility for
the elderly in this state without a current valid license or current
valid special permit therefor, as provided in this chapter.
1569.11. The department shall inspect and license residential care
facilities for the elderly. A license is not transferable.
1569.12. The department may provide consulting services upon
request to any residential care facility for the elderly to assist in
the identification or correction of deficiencies and in the
upgrading of the quality of care provided by the facility.
1569.13. (a) The department may contract for state, county, or
other public agencies to assume specified licensing, approval, or
consultation responsibilities. In exercising the authority so
delegated, these agencies shall conform to the requirements of this
chapter and to the rules, regulations, and standards of the
department. The department shall reimburse agencies for services
performed pursuant to this section, and the payments shall not exceed
actual cost.
If any grants-in-aid are made by the federal government for the
support of any inspection or consultation service approved by the
department, the amount of the federal grant shall first be applied to
defer the cost of the service before state reimbursement is made.
(b) The department may contract with any county for the purposes
of having the county assume the responsibility within the county for
the licensing and regulation of residential care facilities for the
elderly serving six or fewer persons. Prior to the department
contracting with any county for the licensing and regulation of
residential care facilities for the elderly serving six or fewer
persons, the department shall develop uniform standards which specify
and delineate the responsibilities of contracting counties and the
department. The department shall reimburse the county for the
services performed, not to exceed the actual cost, out of the funds
allocated to the department for the licensing and regulation of those
facilities. The county shall conform to the requirements of this
chapter and to the rules, regulations, and standards of the
department.
1569.14. No license issued pursuant to this chapter shall have any
property value for sale or exchange purposes and no person, including
any owner, agent, or broker, shall sell or exchange any license for
any commercial purpose.
1569.145. This chapter shall not apply to any of the following:
(a) A health facility, as defined by Section 1250.
(b) A clinic, as defined by Section 1200.
(c) A facility conducted by and for the adherents of a
well-recognized church or religious denomination for the purpose of
providing facilities for the care or treatment of the sick who depend
upon prayer or spiritual means for healing in the practice of the
religion of that church or denomination.
(d) A house, institution, hotel, congregate housing project for
the elderly, or other similar place that is limited to providing one
or more of the following: housing, meals, transportation,
housekeeping, or recreational and social activities; or that have
residents independently accessing supportive services, provided,
however, that no resident thereof requires an element of care and
supervision or protective supervision as determined by the director.
This subdivision shall not include a home or residence that is
described in subdivision (f).
(e) Recovery houses or other similar facilities providing group
living arrangements for persons recovering from alcoholism or drug
addiction where the facility provides no care or supervision.
(f) (1) An arrangement for the care and supervision of a person or
persons by a family member.
(2) An arrangement for the care and supervision of a person or
persons from only one family by a close friend, whose friendship
preexisted the contact between the provider and the recipient, and
both of the following are met:
(A) The care and supervision is provided in a home or residence
chosen by the recipient.
(B) The arrangement is not of a business nature and occurs only as
long as the needs of the recipient for care and supervision are
adequately met.
(g) (1) (A) Any housing occupied by elderly or disabled persons,
or both, that is approved and operated pursuant to Section 202 of
Public Law 86-372 (12 U.S.C. Sec. 1701q), or Section 811 of Public
Law 101-625 (42 U.S.C. Sec. 8013), or whose mortgage is insured
pursuant to Section 236 of Public Law 90-448 (12 U.S.C. Sec. 1715z),
or that receives mortgage assistance pursuant to Section 221d(3) of
Public Law 87-70 (12 U.S.C. Sec. 1715l), where supportive services
are made available to residents at their option, as long as the
project owner or operator does not contract for or provide the
supportive services.
(B) Any housing that qualifies for a low-income housing credit
pursuant to Section 252 of Public Law 99-514 (26 U.S.C. Sec. 42) or
that is subject to the requirements for rental dwellings for
low-income families pursuant to Section 8 of Public Law 93-383 (42
U.S.C. Sec. 1437f), and that is occupied by elderly or disabled
persons, or both, where supportive services are made available to
residents at their option, as long as the project owner or operator
does not contract for or provide the supportive services.
(2) The project owner or operator to which paragraph (1) applies
may coordinate, or help residents gain access to, the supportive
services, either directly, or through a service coordinator.
(h) A similar facility determined by the director.
(i) For purposes of this section, "family member" means a spouse,
by marriage or otherwise, child or stepchild, by natural birth or by
adoption, parent, brother, sister, half brother, half sister,
parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt,
uncle, first cousin, or a person denoted by the prefix "grand" or
"great," or the spouse of one of these persons.
(j) A person shall not be exempted from this chapter's licensure
requirements if he or she has been appointed as conservator of the
person, estate of the person, or both, if the person is receiving
care and supervision from the conservator as regulated by this
chapter, unless the conservator is otherwise exempted under other
provisions of this section.
1569.147. (a) Nothing in this chapter authorizes the imposition of
rent regulations or controls for licensed residential care facilities
for the elderly.
(b) Licensed residential care facilities for the elderly are not
subject to controls on rent imposed by any state or local agency or
other local government entity.
1569.149. A prospective applicant for licensure shall be notified
at the time of the initial request for information regarding
application for licensure that, prior to obtaining licensure, the
facility shall secure and maintain a fire clearance approval from the
local fire enforcing agency, as defined in Section 13244, or the
State Fire Marshal, whichever has primary fire protection
jurisdiction. The prospective applicant shall be notified of the
provisions of Section 13235, relating to the fire safety clearance
application. The prospective applicant for licensure shall be
notified that the fire clearance shall be in accordance with state
and local fire safety regulations.
1569.15. Any person desiring issuance of a license for a
residential care facility for the elderly under this chapter shall
file with the department, pursuant to regulations, an application on
forms furnished by the department, which shall include, but not be
limited to:
(a) Evidence satisfactory to the department of the ability of the
applicant to comply with this chapter and of rules and regulations
adopted under this chapter by the department.
(b) Evidence satisfactory to the department that the applicant is
of reputable and responsible character. The evidence shall include,
but not be limited to, a criminal record clearance pursuant to
Section 1569.17, employment history, and character references. If the
applicant is a firm, association, organization, partnership,
business trust, corporation, or company, like evidence shall be
submitted as to the members or shareholders thereof, and the person
in charge of the residential care facility for the elderly which
application for issuance of license or special permit is made.
(c) Evidence satisfactory to the department that the applicant has
sufficient financial resources to maintain the standards of service
required by regulations adopted pursuant to this chapter.
(d) Disclosure of the applicant's prior or present service as an
administrator, general partner, corporate officer or director of, or
as a person who has held or holds a beneficial ownership of 10
percent or more in, any residential care facility for the elderly or
in any facility licensed pursuant to Chapter 1 (commencing with
Section 1200), Chapter 2 (commencing with Section 1250), or Chapter 3
(commencing with Section 1500).
(e) Disclosure of any revocation or other disciplinary action
taken, or in the process of being taken, against a license held or
previously held by the entities specified in subdivision (c).
(f) Any other information as may be required by the department for
the proper administration and enforcement of this chapter.
(g) Failure of the applicant to cooperate with the licensing
agency in the completion of the application shall result in the
denial of the application. Failure to cooperate means that the
information described in this section and in regulations of the
department has not been provided, or not provided in the form
requested by the licensing agency, or both.
(h) Following the implementation of Article 7 (commencing with
Section 1569.70) evidence satisfactory to the department of the
applicant's ability to meet regulatory requirements for the level of
care the facility intends to provide.
(i) Evidence satisfactory to the department of adequate knowledge
of supportive services and other community supports which may be
necessary to meet the needs of elderly residents.
(j) A signed statement that the person desiring issuance of a
license has read and understood the residential care facility for the
elderly statute and regulations.
(k) Designation by the applicant of the individual who shall be
the administrator of the facility, including, if the applicant is an
individual, whether or not the licensee shall also be the
administrator.
( l) Evidence of successfully completing a certified prelicensure
education program pursuant to Section 1569.23.
(m) For any facility that promotes or advertises or plans to
promote or advertise special care, special programming, or special
environments for persons with dementia, disclosure to the department
of the special features of the facility in its plan of operation.
1569.150. (a) The department and the licensing agencies with which
it contracts for licensing shall review and make a final
determination within 60 days of an applicant's submission of a
complete application on all applications for a license to operate a
residential care facility for the elderly if the applicant possesses
a current valid license to operate a residential care facility for
the elderly at another site. Applicants shall note on the
application, or in a cover letter to the application, that they
possess a current valid license at another site, and the number of
that license.
(b) The department shall request a fire safety clearance from the
appropriate fire marshal within five days of receipt of an
application described in subdivision (a). The applicant shall be
responsible for requesting and obtaining the required criminal record
clearances.
(c) If the department for any reason is unable to comply with
subdivision (a), it shall, within 60 days of receipt of the
application described in subdivision (a), grant a provisional license
to the applicant to operate for a period not to exceed six months,
except as provided in subdivision (d). While the provisional license
is in effect, the department shall continue its investigation and
make a final determination on the application before the provisional
license expires. The provisional license shall be granted, provided
the department knows of no life safety risks, the criminal records
clearances, if applicable, are complete, and the fire safety
clearance is complete. The director may extend the term of a
provisional license for an additional six months at the time of the
application, if the director determines that more than six months
will be required to achieve full compliance with licensing standards
due to circumstances beyond the control of the applicant, and if all
other requirements for a license have been met.
(d) If the department does not issue a provisional license
pursuant to subdivision (c), the department shall issue a notice to
the applicant identifying whether the provisional license has not
been issued due to the existence of a life safety risk, lack of a
fire safety clearance, lack of a criminal records clearance, failure
to complete the application, or any combination of these reasons. If
a life safety risk is identified, the risk preventing the issuance of
the provisional license shall be clearly explained. If a lack of the
fire safety clearance is identified, the notice shall include the
dates on which the department requested the clearance and the current
status of that request, and the fire marshal's name and telephone
number to whom a fire safety clearance request was sent. The
department shall identify the names of individuals for whom criminal
records clearances are lacking. If failure to complete the
application is identified, the notice shall list all of the forms or
attachments that are missing or incorrect. This notice shall be sent
to the applicant no later than 60 days after the applicant filed the
application. If the reasons identified in the notice are corrected,
the department shall issue the provisional license within five days
after the corrections are made.
(e) The department shall, immediately after January 1, 1993,
develop expedited procedures necessary to implement subdivisions (a),
(b), (c), and (d).
(f) The department shall, immediately after January 1, 1993,
develop an appeal procedure for applicants under this section for
both denial of licenses and delay in processing applications.
1569.151. Upon receipt of an application to operate a residential
care facility for the elderly from an applicant who is also applying
or intends to apply for a permit to sell deposit subscriptions on
life care contracts pursuant to Chapter 10 (commencing with Section
1770), the department shall review the application for licensure to
determine the applicant's ability and intent to meet all statutory
and regulatory requirements for a residential care facility for the
elderly.
Upon determination that the applicant has provided satisfactory
evidence of ability and intent, the department shall issue a
preliminary approval for licensure, for purposes of the applicant
obtaining a permit to sell deposit subscriptions for life care
contracts. Preliminary approval does not guarantee that a license
will be issued by the department.
1569.1515. (a) A corporation that applies for licensure with the
department shall list the facilities that any member of the board of
directors, the executive director, or an officer has been licensed to
operate, been employed in, or served as a member of the board of
directors, the executive director, or an officer.
(b) The department shall not issue a provisional license or
license to any corporate applicant that has a member of the board of
directors, the executive director, or an officer who is not eligible
for licensure pursuant to Sections 1569.16 and 1569.59.
(c) The department may revoke the license of any corporate
licensee that has a member of the board of directors, the executive
director, or an officer who is not eligible for licensure pursuant to
Sections 1569.16 and 1569.59.
(d) Prior to instituting an administrative action pursuant to
either subdivision (b) or (c), the department shall notify the
applicant or licensee of the person's ineligibility to be a member of
the board of directors, an executive director, or an officer of the
applicant or licensee, and shall give the applicant or licensee 15
days to remove the person from that position.
1569.152. (a) A residential care facility for the elderly, as
defined in Section 1569.2, which fails to make reasonable efforts to
safeguard resident property shall reimburse a resident for or replace
stolen or lost resident property at its then current value. The
facility shall be presumed to have made reasonable efforts to
safeguard resident property if the facility has shown clear and
convincing evidence of its efforts to meet each of the requirements
specified in Section 1569.153. The presumption shall be a rebuttable
presumption, and the resident or the resident's representative may
pursue this matter in any court of competent jurisdiction.
(b) A civil penalty shall be levied if the residential care
facility for the elderly has no program in place or if the facility
has not shown clear and convincing evidence of its efforts to meet
all of the requirements set forth in Section 1569.153. The State
Department of Social Services shall issue a deficiency in the event
that the manner in which the policies have been implemented is
inadequate or the individual facility situation warrants additional
theft and loss protections.
(c) The department shall not determine that a facility's program
is inadequate based solely on the occasional occurrence of theft or
loss in a facility.
1569.153. A theft and loss program shall be implemented by the
residential care facilities for the elderly within 90 days after
January 1, 1989. The program shall include all of the following:
(a) Establishment and posting of the facility's policy regarding
theft and investigative procedures.
(b) Orientation to the policies and procedures for all employees
within 90 days of employment.
(c) Documentation of lost and stolen resident property with a
value of twenty-five dollars ($25) or more within 72 hours of the
discovery of the loss or theft and, upon request, the documented
theft and loss record for the past 12 months shall be made available
to the State Department of Social Services, law enforcement agencies
and to the office of the State Long-Term Care Ombudsman in response
to a specific complaint. The documentation shall include, but not be
limited to, the following:
(1) A description of the article.
(2) Its estimated value.
(3) The date and time the theft or loss was discovered.
(4) If determinable, the date and time the loss or theft occurred.
(5) The action taken.
(d) A written resident personal property inventory is established
upon admission and retained during the resident's stay in the
residential care facility for the elderly. Inventories shall be
written in ink, witnessed by the facility and the resident or
resident's representative, and dated. A copy of the written inventory
shall be provided to the resident or the person acting on the
resident's behalf. All additions to an inventory shall be made in
ink, and shall be witnessed by the facility and the resident or
resident's representative, and dated. Subsequent items brought into
or removed from the facility shall be added to or deleted from the
personal property inventory by the facility at the written request of
the resident, the resident's family, a responsible party, or a
person acting on behalf of a resident. The facility shall not be
liable for items which have not been requested to be included in the
inventory or for items which have been deleted from the inventory. A
copy of a current inventory shall be made available upon request to
the resident, responsible party, or other authorized representative.
The resident, resident's family, or a responsible party may list
those items which are not subject to addition or deletion from the
inventory, such as personal clothing or laundry, which are subject to
frequent removal from the facility.
(e) Inventory and surrender of the resident's personal effects and
valuables upon discharge to the resident or authorized
representative in exchange for a signed receipt.
(f) Inventory and surrender of personal effects and valuables
following the death of a resident to the authorized representative in
exchange for a signed receipt. Immediate written notice to the
public administrator of the county upon the death of a resident whose
heirs are unable or unwilling to claim the property as specified in
Chapter 20 (commencing with Section 1140) of Division 3 of the
Probate Code.
(g) Documentation, at least semiannually, of the facility's
efforts to control theft and loss, including the review of theft and
loss documentation and investigative procedures and results of the
investigation by the administrator and, when feasible, the resident
council.
(h) Establishment of a method of marking, to the extent feasible,
personal property items for identification purposes upon admission
and, as added to the property inventory list, including engraving of
dentures and tagging of other prosthetic devices.
(i) Reports to the local law enforcement agency within 36 hours
when the administrator of the facility has reason to believe resident
property with a then current value of one hundred dollars ($100) or
more has been stolen. Copies of those reports for the preceding 12
months shall be made available to the State Department of Social
Services and law enforcement agencies.
(j) Maintenance of a secured area for residents' property which is
available for safekeeping of resident property upon the request of
the resident or the resident's responsible party. Provide a lock for
the resident's bedside drawer or cabinet upon request of and at the
expense of the resident, the resident's family, or authorized
representative. The facility administrator shall have access to the
locked areas upon request.
(k) A copy of this section and Sections 1569.152 and 1569.154 is
provided by a facility to all of the residents and their responsible
parties, and, available upon request, to all of the facility's
prospective residents and their responsible parties.
( l) Notification to all current residents and all new residents,
upon admission, of the facility's policies and procedures relating to
the facility's theft and loss prevention program.
(m) Only those residential units in which there are no unrelated
residents and where the unit can be secured by the resident or
residents are exempt from the requirements of this section.
1569.154. No provision of a contract of admission, which includes
all documents which a resident or his or her representative is
required to sign at the time of, or as a condition of, admission to a
residential care facility for the elderly, shall require or imply a
lesser standard of responsibility for the personal property of
residents than is required by law.
1569.155. Upon initial licensure, residential care facilities for
the elderly shall be provided a printed copy of all applicable
regulations by the department, without charge. All licensees shall
subscribe to the appropriate regulation subscription service and are
responsible for keeping current on changes in regulatory
requirements.
1569.156. (a) A residential care facility for the elderly shall do
all of the following:
(1) Not condition the provision of care or otherwise discriminate
based on whether or not an individual has executed an advance
directive, consistent with applicable laws and regulations.
(2) Provide education to staff on issues concerning advance
directives.
(3) Provide written information, upon admission, about the right
to make decisions concerning medical care, including the right to
accept or refuse medical or surgical treatment and the right, under
state law, to formulate advance directives.
(4) Provide written information about policies of the facility
regarding the implementation of the rights described in paragraph
(3).
(b) For purposes of this section, "advance directive" means an
"advance health care directive," as defined in Section 4605 of the
Probate Code, or some other form of instruction recognized under
state law specifically addressing the provision of health care.
1569.157. (a) Every licensed residential care facility for the
elderly, at the request of a majority of its residents, shall assist
the residents in establishing and maintaining a resident-oriented
facility council. The council shall be composed of residents of the
facility and may include family members of residents of the facility.
The council may, among other things, make recommendations to
facility administrators to improve the quality of daily living in the
facility and may negotiate to protect residents' rights with
facility administrators.
(b) A violation of subdivision (a) shall not be subject to the
provisions of Section 1569.40, but shall be subject to any other
provision of this chapter.
1569.158. (a) No residential care facility for the elderly may
prohibit the formation of a family council, and, when requested by a
member of the resident's family or the resident's responsible party,
the family council shall be allowed to meet in a common meeting room
of the facility during mutually agreed upon hours.
(b) Facility policies on family councils shall in no way limit the
right of residents and family members to meet independently with
outside persons, including members of nonprofit or government
organizations or with facility personnel during nonworking hours.
(c) "Family council" for the purpose of this section means a
meeting of family members, friends, responsible parties, or agents as
defined in Section 14110.8 of the Welfare and Institutions Code of
two or more patients to confer in private without facility staff.
(d) Family councils shall also be provided adequate space on a
prominent bulletin board or other posting area for the display of
meeting notices, minutes, and newsletters.
1569.159. The State Department of Social Services shall provide to
residential care facilities for the elderly a form, which the
residential care facility for the elderly shall attach to each
resident admission agreement, notifying the resident that he or she
is entitled to obtain services and equipment from the telephone
company. The form shall include the following information:
"Any hearing or speech impaired, or otherwise disabled resident of
any residential care facility for the elderly is entitled to
equipment and service by the telephone company, pursuant to Section
2881 of the Public Utilities Code, to improve the quality of their
telecommunications. Any resident who has a declaration from a
licensed professional, or a state or federal agency pursuant to
Section 2881 of the Public Utilities Code, that he or she is hearing
or speech impaired, or otherwise disabled should contact the local
telephone company and ask for assistance in obtaining this equipment
and service."
This section shall not be construed to require, in any way, the
licensee to provide a separate telephone line for any resident.
1569.16. (a) (1) If an application for a license indicates, or the
department determines during the application review process, that the
applicant previously was issued a license under this chapter or
under Chapter 1 (commencing with Section 1200), Chapter 2 (commencing
with Section 1250), Chapter 3 (commencing with Section 1500),
Chapter 3.01 (commencing with Section 1568.01), Chapter 3.4
(commencing with Section 1596.70), Chapter 3.5 (commencing with
Section 1596.90), or Chapter 3.6 (commencing with Section 1597.30)
and the prior license was revoked within the preceding two years, the
department shall cease any further review of the application until
two years have elapsed from the date of the revocation. All
residential care facilities for the elderly are exempt from the
health planning requirements contained in Part 2 (commencing with
Section 127125) of Division 107.
(2) If an application for a license or special permit indicates,
or the department determines during the application review process,
that the applicant previously was issued a certificate of approval by
a foster family agency that was revoked by the department pursuant
to subdivision (b) of Section 1534 within the preceding two years,
the department shall cease any further review of the application
until two years shall have elapsed from the date of the revocation.
(3) If an application for a license or special permit indicates,
or the department determines during the application review process,
that the applicant was excluded from a facility licensed by the
department pursuant to Section 1558, 1568.092, 1569.58, or 1596.8897,
the department shall cease any further review of the application
unless the excluded individual has been reinstated pursuant to
Section 11522 of the Government Code by the department.
(b) If an application for a license or special permit indicates,
or the department determines during the application review process,
that the applicant had previously applied for a license under any of
the chapters listed in paragraph (1) of subdivision (a) and the
application was denied within the last year, the department shall,
except as provided in Section 1569.22, cease further review of the
application until one year has elapsed from the date of the denial
letter. In those circumstances where denials are appealed and upheld
at an administrative hearing, review of the application shall cease
for one year from the date of the decision and order being rendered
by the department. The cessation of review shall not constitute a
denial of the application.
(c) If an application for a license or special permit indicates,
or the department determines during the application review process,
that the applicant had previously applied for a certificate of
approval with a foster family agency and the department ordered the
foster family agency to deny the application pursuant to subdivision
(b) of Section 1534, the department shall cease further review of the
application as follows:
(1) In cases where the applicant petitioned for a hearing, the
department shall cease further review of the application until one
year has elapsed from the effective date of the decision and order of
the department upholding a denial.
(2) In cases where the department informed the applicant of his or
her right to petition for a hearing and the applicant did not
petition for a hearing, the department shall cease further review of
the application until one year has elapsed from the date of the
notification of the denial and the right to petition for a hearing.
(3) The department may continue to review the application if it
has determined that the reasons for the denial of the application
were due to circumstances and conditions that either have been
corrected or are no longer in existence.
(d) The cessation of review shall not constitute a denial of the
application for purposes of Section 1526 or any other law.
1569.17. The Legislature recognizes the need to generate timely and
accurate positive fingerprint identification of applicants as a
condition of issuing licenses, permits, or certificates of approval
for persons to operate or provide direct care services in a
residential care facility for the elderly. It is the intent of the
Legislature in enacting this section to require the fingerprints of
those individuals whose contact with clients of residential care
facilities for the elderly may pose a risk to the clients' health and
safety. An individual shall be required to obtain either a criminal
record clearance or a criminal record exemption from the State
Department of Social Services before his or her initial presence in a
residential care facility for the elderly.
(a) (1) Before issuing a license to any person or persons to
operate or manage a residential care facility for the elderly, the
department shall secure from an appropriate law enforcement agency a
criminal record to determine whether the applicant or any other
person specified in subdivision (b) has ever been convicted of a
crime other than a minor traffic violation or arrested for any crime
specified in subdivision (c) of Section 290 of the Penal Code, for
violating Section 245 or 273.5, subdivision (b) of Section 273a or,
prior to January 1, 1994, paragraph (2) of Section 273a of the Penal
Code, or for any crime for which the department cannot grant an
exemption if the person was convicted and the person has not been
exonerated.
(2) The criminal history information shall include the full
criminal record, if any, of those persons, and subsequent arrest
information pursuant to Section 11105.2 of the Penal Code.
(3) The following shall apply to the criminal record information:
(A) If the State Department of Social Services finds that the
applicant or any other person specified in subdivision (b) has been
convicted of a crime, other than a minor traffic violation, the
application shall be denied, unless the director grants an exemption
pursuant to subdivision (f).
(B) If the State Department of Social Services finds that the
applicant, or any other person specified in subdivision (b) is
awaiting trial for a crime other than a minor traffic violation, the
State Department of Social Services may cease processing the
application until the conclusion of the trial.
(C) If no criminal record information has been recorded, the
Department of Justice shall provide the applicant and the State
Department of Social Services with a statement of that fact.
(D) If the State Department of Social Services finds after
licensure that the licensee, or any other person specified in
paragraph (2) of subdivision (b), has been convicted of a crime other
than a minor traffic violation, the license may be revoked, unless
the director grants an exemption pursuant to subdivision (f).
(E) An applicant and any other person specified in subdivision (b)
shall submit fingerprint images and related information to the
Department of Justice and the Federal Bureau of Investigation,
through the Department of Justice, for a state and federal level
criminal offender record information search, in addition to the
search required by subdivision (a). If an applicant meets all other
conditions for licensure, except receipt of the Federal Bureau of
Investigation's criminal history information for the applicant and
persons listed in subdivision (b), the department may issue a license
if the applicant and each person described by subdivision (b) has
signed and submitted a statement that he or she has never been
convicted of a crime in the United States, other than a traffic
infraction as defined in paragraph (1) of subdivision (a) of Section
42001 of the Vehicle Code. If, after licensure, the department
determines that the licensee or person specified in subdivision (b)
has a criminal record, the license may be revoked pursuant to Section
1569.50. The department may also suspend the license pending an
administrative hearing pursuant to Sections 1569.50 and 1569.51.
(b) In addition to the applicant, the provisions of this section
shall apply to criminal convictions of the following persons:
(1) (A) Adults responsible for administration or direct
supervision of staff.
(B) Any person, other than a client, residing in the facility.
Residents of unlicensed independent senior housing facilities that
are located in contiguous buildings on the same property as a
residential care facility for the elderly shall be exempt from these
requirements.
(C) Any person who provides client assistance in dressing,
grooming, bathing, or personal hygiene. Any nurse assistant or home
health aide meeting the requirements of Section 1338.5 or 1736.6,
respectively, who is not employed, retained, or contracted by the
licensee, and who has been certified or recertified on or after July
1, 1998, shall be deemed to meet the criminal record clearance
requirements of this section. A certified nurse assistant and
certified home health aide who will be providing client assistance
and who falls under this exemption shall provide one copy of his or
her current certification, prior to providing care, to the
residential care facility for the elderly. The facility shall
maintain the copy of the certification on file as long as the care is
being provided by the certified nurse assistant or certified home
health aide at the facility. Nothing in this paragraph restricts the
right of the department to exclude a certified nurse assistant or
certified home health aide from a licensed residential care facility
for the elderly pursuant to Section 1569.58.
(D) Any staff person, volunteer, or employee who has contact with
the clients.
(E) If the applicant is a firm, partnership, association, or
corporation, the chief executive officer or other person serving in a
similar capacity.
(F) Additional officers of the governing body of the applicant or
other persons with a financial interest in the applicant, as
determined necessary by the department by regulation. The criteria
used in the development of these regulations shall be based on the
person's capability to exercise substantial influence over the
operation of the facility.
(2) The following persons are exempt from requirements applicable
under paragraph (1):
(A) A spouse, relative, significant other, or close friend of a
client shall be exempt if this person is visiting the client or
provides direct care and supervision to that client only.
(B) A volunteer to whom all of the following apply:
(i) The volunteer is at the facility during normal waking hours.
(ii) The volunteer is directly supervised by the licensee or a
facility employee with a criminal record clearance or exemption.
(iii) The volunteer spends no more than 16 hours per week at the
facility.
(iv) The volunteer does not provide clients with assistance in
dressing, grooming, bathing, or personal hygiene.
(v) The volunteer is not left alone with clients in care.
(C) A third-party contractor retained by the facility if the
contractor is not left alone with clients in care.
(D) A third-party contractor or other business professional
retained by a client and at the facility at the request or by
permission of that client. These individuals may not be left alone
with other clients.
(E) Licensed or certified medical professionals are exempt from
fingerprint and criminal background check requirements imposed by
community care licensing. This exemption does not apply to a person
who is a community care facility licensee or an employee of the
facility.
(F) Employees of licensed home health agencies and members of
licensed hospice interdisciplinary teams who have contact with a
resident of a residential care facility at the request of the
resident or resident's legal decisionmaker are exempt from
fingerprint and criminal background check requirements imposed by
community care licensing. This exemption does not apply to a person
who is a community care facility licensee or an employee of the
facility.
(G) Clergy and other spiritual caregivers who are performing
services in common areas of the residential care facility, or who are
advising an individual resident at the request of, or with
permission of, the resident, are exempt from fingerprint and criminal
background check requirements imposed by community care licensing.
This exemption does not apply to a person who is a community care
facility licensee or an employee of the facility.
(H) Any person similar to those described in this subdivision, as
defined by the department in regulations.
(I) Nothing in this paragraph shall prevent a licensee from
requiring a criminal record clearance of any individual exempt from
the requirements of this section, provided that the individual has
client contact.
(c) (1) (A) Subsequent to initial licensure, any person required
to be fingerprinted pursuant to subdivision (b) shall, as a condition
to employment, residence, or presence in a residential facility for
the elderly, be fingerprinted and sign a declaration under penalty of
perjury regarding any prior criminal convictions. The licensee shall
submit these fingerprint images and related information to the
Department of Justice and the Federal Bureau of Investigation,
through the Department of Justice, for a state and federal level
criminal offender record information search, or to comply with
paragraph (1) of subdivision (g) prior to the person's employment,
residence, or initial presence in the residential care facility for
the elderly.
(B) These fingerprint images and related information shall be
electronically transmitted in a manner approved by the State
Department of Social Services and the Department of Justice. A
licensee's failure to submit fingerprint images and related
information to the Department of Justice, or to comply with paragraph
(1) of subdivision (g), as required in this section, shall result in
the citation of a deficiency and an immediate assessment of civil
penalties in the amount of one hundred dollars ($100) per violation
per day for a maximum of five days, unless the violation is a second
or subsequent violation within a 12-month period in which case the
civil penalties shall be in the amount of one hundred dollars ($100)
per violation for a maximum of 30 days, and shall be grounds for
disciplining the licensee pursuant to Section 1569.50. The State
Department of Social Services may assess civil penalties for
continued violations as permitted by Section 1569.49. The licensee
shall then submit these fingerprint images to the State Department of
Social Services for processing. Documentation of the individual's
clearance or exemption shall be maintained by the licensee and be
available for inspection. The Department of Justice shall notify the
department, as required by Section 1522.04, and notify the licensee
by mail within 14 days of electronic transmission of the fingerprints
to the Department of Justice, if the person has no criminal record.
A violation of the regulations adopted pursuant to Section 1522.04
shall result in the citation of a deficiency and an immediate
assessment of civil penalties in the amount of one hundred dollars
($100) per violation per day for a maximum of five days, unless the
violation is a second or subsequent violation within a 12-month
period in which case the civil penalties shall be in the amount of
one hundred dollars ($100) per violation for a maximum of 30 days,
and shall be grounds for disciplining the licensee pursuant to
Section 1569.50. The department may assess civil penalties for
continued violations as permitted by Section 1569.49.
(2) Within 14 calendar days of the receipt of the fingerprint
images, the Department of Justice shall notify the State Department
of Social Services of the criminal record information, as provided
for in this subdivision. If no criminal record information has been
recorded, the Department of Justice shall provide the licensee and
the State Department of Social Services with a statement of that fact
within 14 calendar days of receipt of the fingerprint images. If new
fingerprint images are required for processing, the Department of
Justice shall, within 14 calendar days from the date of receipt of
the fingerprint images, notify the licensee that the fingerprint
images were illegible.
(3) Except for persons specified in paragraph (2) of subdivision
(b), the licensee shall endeavor to ascertain the previous employment
history of persons required to be fingerprinted under this
subdivision. If the State Department of Social Services determines,
on the basis of the fingerprint images submitted to the Department of
Justice, that the person has been convicted of a sex offense against
a minor, an offense specified in Section 243.4, 273a, 273d, 273g, or
368 of the Penal Code, or a felony, the State Department of Social
Services shall notify the licensee in writing within 15 calendar days
of the receipt of the notification from the Department of Justice to
act immediately to terminate the person's employment, remove the
person from the residential care facility for the elderly, or bar the
person from entering the residential care facility for the elderly.
The State Department of Social Services may subsequently grant an
exemption pursuant to subdivision (f). If the conviction was for
another crime, except a minor traffic violation, the licensee shall,
upon notification by the State Department of Social Services, act
immediately to either (1) terminate the person's employment, remove
the person from the residential care facility for the elderly, or bar
the person from entering the residential care facility for the
elderly or (2) seek an exemption pursuant to subdivision (f). The
department shall determine if the person shall be allowed to remain
in the facility until a decision on the exemption is rendered by the
department. A licensee's failure to comply with the department's
prohibition of employment, contact with clients, or presence in the
facility as required by this paragraph shall result in a citation of
deficiency and an immediate assessment of civil penalties by the
department against the licensee, in the amount of one hundred dollars
($100) per violation per day for a maximum of five days, unless the
violation is a second or subsequent violation within a 12-month
period in which case the civil penalties shall be in the amount of
one hundred dollars ($100) per violation for a maximum of 30 days,
and shall be grounds for disciplining the licensee pursuant to
Section 1569.50.
(4) The department may issue an exemption on its own motion
pursuant to subdivision (f) if the person's criminal history
indicates that the person is of good character based on the age,
seriousness, and frequency of the conviction or convictions. The
department, in consultation with interested parties, shall develop
regulations to establish the criteria to grant an exemption pursuant
to this paragraph.
(5) Concurrently with notifying the licensee pursuant to paragraph
(4), the department shall notify the affected individual of his or
her right to seek an exemption pursuant to subdivision (f). The
individual may seek an exemption only if the licensee terminates the
person's employment or removes the person from the facility after
receiving notice from the department pursuant to paragraph (4).
(d) (1) For purposes of this section or any other provision of
this chapter, a conviction means a plea or verdict of guilty or a
conviction following a plea of nolo contendere. Any action that the
department is permitted to take following the establishment of a
conviction may be taken when the time for appeal has elapsed, when
the judgment of conviction has been affirmed on appeal or when an
order granting probation is made suspending the imposition of the
sentence, notwithstanding a subsequent order pursuant to the
provisions of Sections 1203.4 and 1203.4a of the Penal Code
permitting a person to withdraw his or her plea of guilty and to
enter a plea of not guilty, or setting aside the verdict of guilty,
or dismissing the accusation, information, or indictment. For
purposes of this section or any other provision of this chapter, the
record of a conviction, or a copy thereof certified by the clerk of
the court or by a judge of the court in which the conviction
occurred, shall be conclusive evidence of the conviction. For
purposes of this section or any other provision of this chapter, the
arrest disposition report certified by the Department of Justice or
documents admissible in a criminal action pursuant to Section 969b of
the Penal Code shall be prima facie evidence of the conviction,
notwithstanding any other provision of law prohibiting the admission
of these documents in a civil or administrative action.
(2) For purposes of this section or any other provision of this
chapter, the department shall consider criminal convictions from
another state or federal court as if the criminal offense was
committed in this state.
(e) The State Department of Social Services may not use a record
of arrest to deny, revoke, or terminate any application, license,
employment, or residence unless the department investigates the
incident and secures evidence, whether or not related to the incident
of arrest, that is admissible in an administrative hearing to
establish conduct by the person that may pose a risk to the health
and safety of any person who is or may become a client. The State
Department of Social Services is authorized to obtain any arrest or
conviction records or reports from any law enforcement agency as
necessary to the performance of its duties to inspect, license, and
investigate community care facilities and individuals associated with
a community care facility.
(f) (1) After review of the record, the director may grant an
exemption from disqualification for a license as specified in
paragraphs (1) and (4) of subdivision (a), or for employment,
residence, or presence in a residential care facility for the elderly
as specified in paragraphs (4), (5), and (6) of subdivision (c) if
the director has substantial and convincing evidence to support a
reasonable belief that the applicant and the person convicted of the
crime, if other than the applicant, are of such good character as to
justify issuance of the license or special permit or granting an
exemption for purposes of subdivision (c). However, an exemption may
not be granted pursuant to this subdivision if the conviction was for
any of the following offenses:
(A) An offense specified in Section 220, 243.4, or 264.1,
subdivision (a) of Section 273a or, prior to January 1, 1994,
paragraph (1) of Section 273a, Section 273d, 288, or 289, subdivision
(c) of Section 290, or Section 368 of the Penal Code, or was a
conviction of another crime against an individual specified in
subdivision (c) of Section 667.5 of the Penal Code.
(B) A felony offense specified in Section 729 of the Business and
Professions Code or Section 206 or 215, subdivision (a) of Section
347, subdivision (b) of Section 417, or subdivision (a) of Section
451 of the Penal Code.
(2) The director shall notify in writing the licensee or the
applicant of his or her decision within 60 days of receipt of all
information from the applicant and other sources determined necessary
by the director for the rendering of a decision pursuant to this
subdivision.
(3) The department may not prohibit a person from being employed
or having contact with clients in a facility on the basis of a denied
criminal record exemption request or arrest information unless the
department complies with the requirements of Section 1569.58.
(g) (1) For purposes of compliance with this section, the
department may permit an individual to transfer a current criminal
record clearance, as defined in subdivision (a), from one facility to
another, as long as the criminal record clearance has been processed
through a state licensing district office, and is being transferred
to another facility licensed by a state licensing district office.
The request shall be submitted in writing to the department, and
shall include a copy of the person's driver's license or valid
identification card issued by the Department of Motor Vehicles, or a
valid photo identification issued by another state or the United
States government if the person is not a California resident. Upon
request of the licensee, who shall enclose a self-addressed stamped
envelope for this purpose, the department shall verify whether the
individual has a clearance that can be transferred.
(2) The State Department of Social Services shall hold criminal
record clearances in its active files for a minimum of two years
after an employee is no longer employed at a licensed facility in
order for the criminal record clearances to be transferred under this
section.
(h) If a licensee or facility is required by law to deny
employment or to terminate employment of any employee based on
written notification from the department that the employee has a
prior criminal conviction or is determined unsuitable for employment
under Section 1569.58, the licensee or facility shall not incur civil
liability or unemployment insurance liability as a result of that
denial or termination.
(i) Notwithstanding any other provision of law, the department may
provide an individual with a copy of his or her state or federal
level criminal offender record information search response as
provided to that department by the Department of Justice if the
department has denied a criminal background clearance based on this
information and the individual makes a written request to the
department for a copy specifying an address to which it is to be
sent. The state or federal level criminal offender record information
search response shall not be modified or altered from its form or
content as provided by the Department of Justice and shall be
provided to the address specified by the individual in his or her
written request. The department shall retain a copy of the individual'
s written request and the response and date provided.
1569.171. Prior to issuance to any person of a certificate of
completion of the administrator certification program pursuant to
Section 1569.616, the department shall secure from an appropriate law
enforcement agency a criminal record to determine if the person has
been convicted of a crime other than a minor traffic violation. Based
upon the criminal record information received, the department shall
take appropriate action as provided for in Section 1569.17.
1569.172. The Department of Justice may charge a fee sufficient to
cover its cost in providing services in accordance with Section
1569.17 to comply with the 14-day requirement for provision to the
department of the criminal record information, as contained in
subdivision (c) of Section 1569.17.
1569.175. (a) In addition to any other requirements of this
chapter, any residential care facility for the elderly providing
residential care for six or fewer persons at which the owner does not
reside shall provide a procedure approved by the licensing agency
for immediate response to incidents and complaints. This procedure
shall include a method of assuring that the owner, licensee, or
person designated by the owner or licensee is notified of the
incident, that the owner, licensee, or person designated by the owner
or licensee has personally investigated the matter, and that the
person making the complaint or reporting the incident has received a
response of action taken or a reason why no action needs to be taken.
(b) In order to assure the opportunity for complaints to be made
directly to the owner, licensee, or person designated by the owner or
licensee, and to provide the opportunity for the owner, licensee, or
person designated by the owner or licensee to meet residents and
learn of problems in the neighborhood, any facility with a
nonresident owner shall establish a fixed time on a weekly basis when
the owner, licensee, or person designated by the owner or licensee
will be present.
(c) Facilities with nonresident owners shall establish procedures
to comply with the requirements of this section on or before July 1,
1987.
1569.185. (a) An application fee adjusted by facility and capacity
shall be charged by the department for the issuance of a license to
operate a residential care facility for the elderly. After initial
licensure, a fee shall be charged by the department annually on each
anniversary of the effective date of the license.
The fees are for the purpose of financing activities specified in
this chapter. Fees shall be assessed as follows:
Fee Schedule
Initial
Capacity Application Annual
1-3 $413 $413
4-6 $825 $413
7-15 $1,239 $619
16-30 $1,650 $825
31-49 $2,064 $1,032
50-74 $2,477 $1,239
75-100 $2,891 $1,445
101-150 $3,304 $1,652
151-200 $3,852 $1,926
201-250 $4,400 $2,200
251-300 $4,950 $2,475
301-350 $5,500 $2,750
351-400 $6,050 $3,025
401-500 $7,150 $3,575
501-600 $8,250 $4,125
601-700 $9,350 $4,675
701+ $11,000 $5,500
(b) (1) In addition to fees set forth in subdivision (a), the
department shall charge the following fees:
(A) A fee that represents 50 percent of an established application
fee when an existing licensee moves the facility to a new physical
address.
(B) A fee that represents 50 percent of the established
application fee when a corporate licensee changes who has the
authority to select a majority of the board of directors.
(C) A fee of twenty-five dollars ($25) when an existing licensee
seeks to either increase or decrease the licensed capacity of the
facility.
(D) An orientation fee of fifty dollars ($50) for attendance by
any individual at a department-sponsored orientation session.
(E) A probation monitoring fee equal to the annual fee, in
addition to the annual fee for that category and capacity for each
year a license has been placed on probation as a result of a
stipulation or decision and order pursuant to the administrative
adjudication procedures of the Administrative Procedure Act (Chapter
4.5 (commencing with Section 11400) and Chapter 5 (commencing with
Section 11500) of Part 1 of Division 3 of Title 2 of the Government
Code).
(F) A late fee that represents an additional 50 percent of the
established annual fee when any licensee fails to pay the annual
licensing fee on or before the due date as indicated by postmark on
the payment.
(G) A fee to cover any costs incurred by the department for
processing payments including, but not limited to, bounced check
charges, charges for credit and debit transactions, and postage due
charges.
(H) A plan of correction fee of two hundred dollars ($200) when
any licensee does not implement a plan of correction on or prior to
the date specified in the plan.
(2) No local jurisdiction shall impose any business license, fee,
or tax for the privilege of operating a facility licensed under this
chapter which serves six or fewer persons.
(c) (1) The revenues collected from licensing fees pursuant to
this section shall be utilized by the department for the purpose of
ensuring the health and safety of all individuals provided care or
supervision by licensees and to support the activities of the
licensing programs, including, but not limited to, monitoring
facilities for compliance with licensing laws and regulations
pursuant to this chapter, and other administrative activities in
support of the licensing program, when appropriated for these
purposes. The revenues collected shall be used in addition to any
other funds appropriated in the annual Budget Act in support of the
licensing program.
(2) The department shall not utilize any portion of these revenues
sooner than 30 days after notification in writing of the purpose and
use, as approved by the Department of Finance, to the Chairperson of
the Joint Legislative Budget Committee, and the chairpersons of the
committee in each house that considers appropriations for each fiscal
year. The department shall submit a budget change proposal to
justify any positions or any other related support costs on an
ongoing basis.
(d) A residential care facility for the elderly may use a bona
fide business check to pay the license fee required under this
section.
(e) The failure of an applicant for licensure or a licensee to pay
all applicable and accrued fees and civil penalties shall constitute
grounds for denial or forfeiture of a license.
1569.19. A license shall be forfeited by operation of law prior to
its expiration date when one of the following occurs:
(a) The licensee sells or otherwise transfers the facility or
facility property, except when change of ownership applies to
transferring of stock when the facility is owned by a corporation and
when the transfer of stock does not constitute a majority change in
ownership. The sale of a facility shall be subject to the
requirements of this chapter.
(b) The licensee surrenders the license to the department.
(c) The licensee moves a facility from one location to another.
The department shall develop regulations to ensure that the
facilities are not charged a full licensing fee and do not have to
complete the entire application process when applying for a license
for the new location.
(d) The licensee is convicted of an offense specified in Section
220, 243.4, or 264.1, or paragraph (1) of Section 273a, Section 273d,
288, or 289 of the Penal Code, or is convicted of another crime
specified in subdivision (c) of Section 667.5 of the Penal Code.
(e) The licensee dies. When a licensee dies, the continued
operation shall be subject to the requirements of Section 1569.193.
(f) The licensee abandons the facility.
1569.191. (a) Notwithstanding Section 1569.19, in the event of a
sale of a licensed facility where the sale will result in a new
license being issued, the sale and transfer of property and business
shall be subject to both of the following:
(1) The licensee shall provide written notice to the department
and to each resident or his or her legal representative of the
licensee's intent to sell the facility at least 30 days prior to the
transfer of the property or business, or at the time that a bona fide
offer is made, whichever period is longer.
(2) The licensee shall, prior to entering into an admission
agreement, inform all residents, or their legal representatives,
admitted to the facility after notification to the department, of the
licensee's intent to sell the property or business.
(b) Except as provided in subdivision (e), the property and
business shall not be transferred until the buyer qualifies for a
license or provisional license within the appropriate provisions of
this chapter.
(1) The seller shall notify, in writing, a prospective buyer of
the necessity to obtain a license, as required by this chapter, if
the buyer's intent is to continue operating the facility as a
residential care facility for the elderly. The seller shall send a
copy of this written notice to the licensing agency.
(2) The prospective buyer shall submit an application for a
license, as specified in Section 1569.15, within five days of the
acceptance of the offer by the seller.
(c) No sale of the facility shall be permitted until 30 days have
elapsed from the date upon which notice has been provided pursuant to
paragraphs (1) and (2) of subdivision (a).
(d) The department shall give priority to applications for
licensure that are submitted pursuant to this section in order to
ensure timely transfer of the property and business. The department
shall make a decision within 60 days after a complete application is
submitted on whether to issue a license pursuant to Section 1569.15.
(e) If the parties involved in the transfer of the property and
business fully comply with this section, then the transfer may be
completed and the buyer shall not be considered to be operating an
unlicensed facility while the department makes a final determination
on the application for licensure.
(f) Facilities that are subject to Chapter 10 (commencing with
Section 1770) of Division 2, including Section 1789.4, shall not be
subject to paragraph (1) of subdivision (a), and subdivisions (c) and
(d).
1569.193. (a) When a licensee dies, an adult relative, or other
nonrelated adult, who has control of the property may be designated
as the responsible party to continue operation of the facility if the
following conditions are met:
(1) The licensee has filed a notarized written statement with the
department designating the responsible party in the event of death,
and the licensee has submitted the following information to the
department:
(A) A notarized statement, signed by the designee acknowledging
acceptanc
1569.10. No person, firm, partnership, association, or corporation
within the state and no state or local public agency shall operate,
establish, manage, conduct, or maintain a residential facility for
the elderly in this state without a current valid license or current
valid special permit therefor, as provided in this chapter.
1569.11. The department shall inspect and license residential care
facilities for the elderly. A license is not transferable.
1569.12. The department may provide consulting services upon
request to any residential care facility for the elderly to assist in
the identification or correction of deficiencies and in the
upgrading of the quality of care provided by the facility.
1569.13. (a) The department may contract for state, county, or
other public agencies to assume specified licensing, approval, or
consultation responsibilities. In exercising the authority so
delegated, these agencies shall conform to the requirements of this
chapter and to the rules, regulations, and standards of the
department. The department shall reimburse agencies for services
performed pursuant to this section, and the payments shall not exceed
actual cost.
If any grants-in-aid are made by the federal government for the
support of any inspection or consultation service approved by the
department, the amount of the federal grant shall first be applied to
defer the cost of the service before state reimbursement is made.
(b) The department may contract with any county for the purposes
of having the county assume the responsibility within the county for
the licensing and regulation of residential care facilities for the
elderly serving six or fewer persons. Prior to the department
contracting with any county for the licensing and regulation of
residential care facilities for the elderly serving six or fewer
persons, the department shall develop uniform standards which specify
and delineate the responsibilities of contracting counties and the
department. The department shall reimburse the county for the
services performed, not to exceed the actual cost, out of the funds
allocated to the department for the licensing and regulation of those
facilities. The county shall conform to the requirements of this
chapter and to the rules, regulations, and standards of the
department.
1569.14. No license issued pursuant to this chapter shall have any
property value for sale or exchange purposes and no person, including
any owner, agent, or broker, shall sell or exchange any license for
any commercial purpose.
1569.145. This chapter shall not apply to any of the following:
(a) A health facility, as defined by Section 1250.
(b) A clinic, as defined by Section 1200.
(c) A facility conducted by and for the adherents of a
well-recognized church or religious denomination for the purpose of
providing facilities for the care or treatment of the sick who depend
upon prayer or spiritual means for healing in the practice of the
religion of that church or denomination.
(d) A house, institution, hotel, congregate housing project for
the elderly, or other similar place that is limited to providing one
or more of the following: housing, meals, transportation,
housekeeping, or recreational and social activities; or that have
residents independently accessing supportive services, provided,
however, that no resident thereof requires an element of care and
supervision or protective supervision as determined by the director.
This subdivision shall not include a home or residence that is
described in subdivision (f).
(e) Recovery houses or other similar facilities providing group
living arrangements for persons recovering from alcoholism or drug
addiction where the facility provides no care or supervision.
(f) (1) An arrangement for the care and supervision of a person or
persons by a family member.
(2) An arrangement for the care and supervision of a person or
persons from only one family by a close friend, whose friendship
preexisted the contact between the provider and the recipient, and
both of the following are met:
(A) The care and supervision is provided in a home or residence
chosen by the recipient.
(B) The arrangement is not of a business nature and occurs only as
long as the needs of the recipient for care and supervision are
adequately met.
(g) (1) (A) Any housing occupied by elderly or disabled persons,
or both, that is approved and operated pursuant to Section 202 of
Public Law 86-372 (12 U.S.C. Sec. 1701q), or Section 811 of Public
Law 101-625 (42 U.S.C. Sec. 8013), or whose mortgage is insured
pursuant to Section 236 of Public Law 90-448 (12 U.S.C. Sec. 1715z),
or that receives mortgage assistance pursuant to Section 221d(3) of
Public Law 87-70 (12 U.S.C. Sec. 1715l), where supportive services
are made available to residents at their option, as long as the
project owner or operator does not contract for or provide the
supportive services.
(B) Any housing that qualifies for a low-income housing credit
pursuant to Section 252 of Public Law 99-514 (26 U.S.C. Sec. 42) or
that is subject to the requirements for rental dwellings for
low-income families pursuant to Section 8 of Public Law 93-383 (42
U.S.C. Sec. 1437f), and that is occupied by elderly or disabled
persons, or both, where supportive services are made available to
residents at their option, as long as the project owner or operator
does not contract for or provide the supportive services.
(2) The project owner or operator to which paragraph (1) applies
may coordinate, or help residents gain access to, the supportive
services, either directly, or through a service coordinator.
(h) A similar facility determined by the director.
(i) For purposes of this section, "family member" means a spouse,
by marriage or otherwise, child or stepchild, by natural birth or by
adoption, parent, brother, sister, half brother, half sister,
parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt,
uncle, first cousin, or a person denoted by the prefix "grand" or
"great," or the spouse of one of these persons.
(j) A person shall not be exempted from this chapter's licensure
requirements if he or she has been appointed as conservator of the
person, estate of the person, or both, if the person is receiving
care and supervision from the conservator as regulated by this
chapter, unless the conservator is otherwise exempted under other
provisions of this section.
1569.147. (a) Nothing in this chapter authorizes the imposition of
rent regulations or controls for licensed residential care facilities
for the elderly.
(b) Licensed residential care facilities for the elderly are not
subject to controls on rent imposed by any state or local agency or
other local government entity.
1569.149. A prospective applicant for licensure shall be notified
at the time of the initial request for information regarding
application for licensure that, prior to obtaining licensure, the
facility shall secure and maintain a fire clearance approval from the
local fire enforcing agency, as defined in Section 13244, or the
State Fire Marshal, whichever has primary fire protection
jurisdiction. The prospective applicant shall be notified of the
provisions of Section 13235, relating to the fire safety clearance
application. The prospective applicant for licensure shall be
notified that the fire clearance shall be in accordance with state
and local fire safety regulations.
1569.15. Any person desiring issuance of a license for a
residential care facility for the elderly under this chapter shall
file with the department, pursuant to regulations, an application on
forms furnished by the department, which shall include, but not be
limited to:
(a) Evidence satisfactory to the department of the ability of the
applicant to comply with this chapter and of rules and regulations
adopted under this chapter by the department.
(b) Evidence satisfactory to the department that the applicant is
of reputable and responsible character. The evidence shall include,
but not be limited to, a criminal record clearance pursuant to
Section 1569.17, employment history, and character references. If the
applicant is a firm, association, organization, partnership,
business trust, corporation, or company, like evidence shall be
submitted as to the members or shareholders thereof, and the person
in charge of the residential care facility for the elderly which
application for issuance of license or special permit is made.
(c) Evidence satisfactory to the department that the applicant has
sufficient financial resources to maintain the standards of service
required by regulations adopted pursuant to this chapter.
(d) Disclosure of the applicant's prior or present service as an
administrator, general partner, corporate officer or director of, or
as a person who has held or holds a beneficial ownership of 10
percent or more in, any residential care facility for the elderly or
in any facility licensed pursuant to Chapter 1 (commencing with
Section 1200), Chapter 2 (commencing with Section 1250), or Chapter 3
(commencing with Section 1500).
(e) Disclosure of any revocation or other disciplinary action
taken, or in the process of being taken, against a license held or
previously held by the entities specified in subdivision (c).
(f) Any other information as may be required by the department for
the proper administration and enforcement of this chapter.
(g) Failure of the applicant to cooperate with the licensing
agency in the completion of the application shall result in the
denial of the application. Failure to cooperate means that the
information described in this section and in regulations of the
department has not been provided, or not provided in the form
requested by the licensing agency, or both.
(h) Following the implementation of Article 7 (commencing with
Section 1569.70) evidence satisfactory to the department of the
applicant's ability to meet regulatory requirements for the level of
care the facility intends to provide.
(i) Evidence satisfactory to the department of adequate knowledge
of supportive services and other community supports which may be
necessary to meet the needs of elderly residents.
(j) A signed statement that the person desiring issuance of a
license has read and understood the residential care facility for the
elderly statute and regulations.
(k) Designation by the applicant of the individual who shall be
the administrator of the facility, including, if the applicant is an
individual, whether or not the licensee shall also be the
administrator.
( l) Evidence of successfully completing a certified prelicensure
education program pursuant to Section 1569.23.
(m) For any facility that promotes or advertises or plans to
promote or advertise special care, special programming, or special
environments for persons with dementia, disclosure to the department
of the special features of the facility in its plan of operation.
1569.150. (a) The department and the licensing agencies with which
it contracts for licensing shall review and make a final
determination within 60 days of an applicant's submission of a
complete application on all applications for a license to operate a
residential care facility for the elderly if the applicant possesses
a current valid license to operate a residential care facility for
the elderly at another site. Applicants shall note on the
application, or in a cover letter to the application, that they
possess a current valid license at another site, and the number of
that license.
(b) The department shall request a fire safety clearance from the
appropriate fire marshal within five days of receipt of an
application described in subdivision (a). The applicant shall be
responsible for requesting and obtaining the required criminal record
clearances.
(c) If the department for any reason is unable to comply with
subdivision (a), it shall, within 60 days of receipt of the
application described in subdivision (a), grant a provisional license
to the applicant to operate for a period not to exceed six months,
except as provided in subdivision (d). While the provisional license
is in effect, the department shall continue its investigation and
make a final determination on the application before the provisional
license expires. The provisional license shall be granted, provided
the department knows of no life safety risks, the criminal records
clearances, if applicable, are complete, and the fire safety
clearance is complete. The director may extend the term of a
provisional license for an additional six months at the time of the
application, if the director determines that more than six months
will be required to achieve full compliance with licensing standards
due to circumstances beyond the control of the applicant, and if all
other requirements for a license have been met.
(d) If the department does not issue a provisional license
pursuant to subdivision (c), the department shall issue a notice to
the applicant identifying whether the provisional license has not
been issued due to the existence of a life safety risk, lack of a
fire safety clearance, lack of a criminal records clearance, failure
to complete the application, or any combination of these reasons. If
a life safety risk is identified, the risk preventing the issuance of
the provisional license shall be clearly explained. If a lack of the
fire safety clearance is identified, the notice shall include the
dates on which the department requested the clearance and the current
status of that request, and the fire marshal's name and telephone
number to whom a fire safety clearance request was sent. The
department shall identify the names of individuals for whom criminal
records clearances are lacking. If failure to complete the
application is identified, the notice shall list all of the forms or
attachments that are missing or incorrect. This notice shall be sent
to the applicant no later than 60 days after the applicant filed the
application. If the reasons identified in the notice are corrected,
the department shall issue the provisional license within five days
after the corrections are made.
(e) The department shall, immediately after January 1, 1993,
develop expedited procedures necessary to implement subdivisions (a),
(b), (c), and (d).
(f) The department shall, immediately after January 1, 1993,
develop an appeal procedure for applicants under this section for
both denial of licenses and delay in processing applications.
1569.151. Upon receipt of an application to operate a residential
care facility for the elderly from an applicant who is also applying
or intends to apply for a permit to sell deposit subscriptions on
life care contracts pursuant to Chapter 10 (commencing with Section
1770), the department shall review the application for licensure to
determine the applicant's ability and intent to meet all statutory
and regulatory requirements for a residential care facility for the
elderly.
Upon determination that the applicant has provided satisfactory
evidence of ability and intent, the department shall issue a
preliminary approval for licensure, for purposes of the applicant
obtaining a permit to sell deposit subscriptions for life care
contracts. Preliminary approval does not guarantee that a license
will be issued by the department.
1569.1515. (a) A corporation that applies for licensure with the
department shall list the facilities that any member of the board of
directors, the executive director, or an officer has been licensed to
operate, been employed in, or served as a member of the board of
directors, the executive director, or an officer.
(b) The department shall not issue a provisional license or
license to any corporate applicant that has a member of the board of
directors, the executive director, or an officer who is not eligible
for licensure pursuant to Sections 1569.16 and 1569.59.
(c) The department may revoke the license of any corporate
licensee that has a member of the board of directors, the executive
director, or an officer who is not eligible for licensure pursuant to
Sections 1569.16 and 1569.59.
(d) Prior to instituting an administrative action pursuant to
either subdivision (b) or (c), the department shall notify the
applicant or licensee of the person's ineligibility to be a member of
the board of directors, an executive director, or an officer of the
applicant or licensee, and shall give the applicant or licensee 15
days to remove the person from that position.
1569.152. (a) A residential care facility for the elderly, as
defined in Section 1569.2, which fails to make reasonable efforts to
safeguard resident property shall reimburse a resident for or replace
stolen or lost resident property at its then current value. The
facility shall be presumed to have made reasonable efforts to
safeguard resident property if the facility has shown clear and
convincing evidence of its efforts to meet each of the requirements
specified in Section 1569.153. The presumption shall be a rebuttable
presumption, and the resident or the resident's representative may
pursue this matter in any court of competent jurisdiction.
(b) A civil penalty shall be levied if the residential care
facility for the elderly has no program in place or if the facility
has not shown clear and convincing evidence of its efforts to meet
all of the requirements set forth in Section 1569.153. The State
Department of Social Services shall issue a deficiency in the event
that the manner in which the policies have been implemented is
inadequate or the individual facility situation warrants additional
theft and loss protections.
(c) The department shall not determine that a facility's program
is inadequate based solely on the occasional occurrence of theft or
loss in a facility.
1569.153. A theft and loss program shall be implemented by the
residential care facilities for the elderly within 90 days after
January 1, 1989. The program shall include all of the following:
(a) Establishment and posting of the facility's policy regarding
theft and investigative procedures.
(b) Orientation to the policies and procedures for all employees
within 90 days of employment.
(c) Documentation of lost and stolen resident property with a
value of twenty-five dollars ($25) or more within 72 hours of the
discovery of the loss or theft and, upon request, the documented
theft and loss record for the past 12 months shall be made available
to the State Department of Social Services, law enforcement agencies
and to the office of the State Long-Term Care Ombudsman in response
to a specific complaint. The documentation shall include, but not be
limited to, the following:
(1) A description of the article.
(2) Its estimated value.
(3) The date and time the theft or loss was discovered.
(4) If determinable, the date and time the loss or theft occurred.
(5) The action taken.
(d) A written resident personal property inventory is established
upon admission and retained during the resident's stay in the
residential care facility for the elderly. Inventories shall be
written in ink, witnessed by the facility and the resident or
resident's representative, and dated. A copy of the written inventory
shall be provided to the resident or the person acting on the
resident's behalf. All additions to an inventory shall be made in
ink, and shall be witnessed by the facility and the resident or
resident's representative, and dated. Subsequent items brought into
or removed from the facility shall be added to or deleted from the
personal property inventory by the facility at the written request of
the resident, the resident's family, a responsible party, or a
person acting on behalf of a resident. The facility shall not be
liable for items which have not been requested to be included in the
inventory or for items which have been deleted from the inventory. A
copy of a current inventory shall be made available upon request to
the resident, responsible party, or other authorized representative.
The resident, resident's family, or a responsible party may list
those items which are not subject to addition or deletion from the
inventory, such as personal clothing or laundry, which are subject to
frequent removal from the facility.
(e) Inventory and surrender of the resident's personal effects and
valuables upon discharge to the resident or authorized
representative in exchange for a signed receipt.
(f) Inventory and surrender of personal effects and valuables
following the death of a resident to the authorized representative in
exchange for a signed receipt. Immediate written notice to the
public administrator of the county upon the death of a resident whose
heirs are unable or unwilling to claim the property as specified in
Chapter 20 (commencing with Section 1140) of Division 3 of the
Probate Code.
(g) Documentation, at least semiannually, of the facility's
efforts to control theft and loss, including the review of theft and
loss documentation and investigative procedures and results of the
investigation by the administrator and, when feasible, the resident
council.
(h) Establishment of a method of marking, to the extent feasible,
personal property items for identification purposes upon admission
and, as added to the property inventory list, including engraving of
dentures and tagging of other prosthetic devices.
(i) Reports to the local law enforcement agency within 36 hours
when the administrator of the facility has reason to believe resident
property with a then current value of one hundred dollars ($100) or
more has been stolen. Copies of those reports for the preceding 12
months shall be made available to the State Department of Social
Services and law enforcement agencies.
(j) Maintenance of a secured area for residents' property which is
available for safekeeping of resident property upon the request of
the resident or the resident's responsible party. Provide a lock for
the resident's bedside drawer or cabinet upon request of and at the
expense of the resident, the resident's family, or authorized
representative. The facility administrator shall have access to the
locked areas upon request.
(k) A copy of this section and Sections 1569.152 and 1569.154 is
provided by a facility to all of the residents and their responsible
parties, and, available upon request, to all of the facility's
prospective residents and their responsible parties.
( l) Notification to all current residents and all new residents,
upon admission, of the facility's policies and procedures relating to
the facility's theft and loss prevention program.
(m) Only those residential units in which there are no unrelated
residents and where the unit can be secured by the resident or
residents are exempt from the requirements of this section.
1569.154. No provision of a contract of admission, which includes
all documents which a resident or his or her representative is
required to sign at the time of, or as a condition of, admission to a
residential care facility for the elderly, shall require or imply a
lesser standard of responsibility for the personal property of
residents than is required by law.
1569.155. Upon initial licensure, residential care facilities for
the elderly shall be provided a printed copy of all applicable
regulations by the department, without charge. All licensees shall
subscribe to the appropriate regulation subscription service and are
responsible for keeping current on changes in regulatory
requirements.
1569.156. (a) A residential care facility for the elderly shall do
all of the following:
(1) Not condition the provision of care or otherwise discriminate
based on whether or not an individual has executed an advance
directive, consistent with applicable laws and regulations.
(2) Provide education to staff on issues concerning advance
directives.
(3) Provide written information, upon admission, about the right
to make decisions concerning medical care, including the right to
accept or refuse medical or surgical treatment and the right, under
state law, to formulate advance directives.
(4) Provide written information about policies of the facility
regarding the implementation of the rights described in paragraph
(3).
(b) For purposes of this section, "advance directive" means an
"advance health care directive," as defined in Section 4605 of the
Probate Code, or some other form of instruction recognized under
state law specifically addressing the provision of health care.
1569.157. (a) Every licensed residential care facility for the
elderly, at the request of a majority of its residents, shall assist
the residents in establishing and maintaining a resident-oriented
facility council. The council shall be composed of residents of the
facility and may include family members of residents of the facility.
The council may, among other things, make recommendations to
facility administrators to improve the quality of daily living in the
facility and may negotiate to protect residents' rights with
facility administrators.
(b) A violation of subdivision (a) shall not be subject to the
provisions of Section 1569.40, but shall be subject to any other
provision of this chapter.
1569.158. (a) No residential care facility for the elderly may
prohibit the formation of a family council, and, when requested by a
member of the resident's family or the resident's responsible party,
the family council shall be allowed to meet in a common meeting room
of the facility during mutually agreed upon hours.
(b) Facility policies on family councils shall in no way limit the
right of residents and family members to meet independently with
outside persons, including members of nonprofit or government
organizations or with facility personnel during nonworking hours.
(c) "Family council" for the purpose of this section means a
meeting of family members, friends, responsible parties, or agents as
defined in Section 14110.8 of the Welfare and Institutions Code of
two or more patients to confer in private without facility staff.
(d) Family councils shall also be provided adequate space on a
prominent bulletin board or other posting area for the display of
meeting notices, minutes, and newsletters.
1569.159. The State Department of Social Services shall provide to
residential care facilities for the elderly a form, which the
residential care facility for the elderly shall attach to each
resident admission agreement, notifying the resident that he or she
is entitled to obtain services and equipment from the telephone
company. The form shall include the following information:
"Any hearing or speech impaired, or otherwise disabled resident of
any residential care facility for the elderly is entitled to
equipment and service by the telephone company, pursuant to Section
2881 of the Public Utilities Code, to improve the quality of their
telecommunications. Any resident who has a declaration from a
licensed professional, or a state or federal agency pursuant to
Section 2881 of the Public Utilities Code, that he or she is hearing
or speech impaired, or otherwise disabled should contact the local
telephone company and ask for assistance in obtaining this equipment
and service."
This section shall not be construed to require, in any way, the
licensee to provide a separate telephone line for any resident.
1569.16. (a) (1) If an application for a license indicates, or the
department determines during the application review process, that the
applicant previously was issued a license under this chapter or
under Chapter 1 (commencing with Section 1200), Chapter 2 (commencing
with Section 1250), Chapter 3 (commencing with Section 1500),
Chapter 3.01 (commencing with Section 1568.01), Chapter 3.4
(commencing with Section 1596.70), Chapter 3.5 (commencing with
Section 1596.90), or Chapter 3.6 (commencing with Section 1597.30)
and the prior license was revoked within the preceding two years, the
department shall cease any further review of the application until
two years have elapsed from the date of the revocation. All
residential care facilities for the elderly are exempt from the
health planning requirements contained in Part 2 (commencing with
Section 127125) of Division 107.
(2) If an application for a license or special permit indicates,
or the department determines during the application review process,
that the applicant previously was issued a certificate of approval by
a foster family agency that was revoked by the department pursuant
to subdivision (b) of Section 1534 within the preceding two years,
the department shall cease any further review of the application
until two years shall have elapsed from the date of the revocation.
(3) If an application for a license or special permit indicates,
or the department determines during the application review process,
that the applicant was excluded from a facility licensed by the
department pursuant to Section 1558, 1568.092, 1569.58, or 1596.8897,
the department shall cease any further review of the application
unless the excluded individual has been reinstated pursuant to
Section 11522 of the Government Code by the department.
(b) If an application for a license or special permit indicates,
or the department determines during the application review process,
that the applicant had previously applied for a license under any of
the chapters listed in paragraph (1) of subdivision (a) and the
application was denied within the last year, the department shall,
except as provided in Section 1569.22, cease further review of the
application until one year has elapsed from the date of the denial
letter. In those circumstances where denials are appealed and upheld
at an administrative hearing, review of the application shall cease
for one year from the date of the decision and order being rendered
by the department. The cessation of review shall not constitute a
denial of the application.
(c) If an application for a license or special permit indicates,
or the department determines during the application review process,
that the applicant had previously applied for a certificate of
approval with a foster family agency and the department ordered the
foster family agency to deny the application pursuant to subdivision
(b) of Section 1534, the department shall cease further review of the
application as follows:
(1) In cases where the applicant petitioned for a hearing, the
department shall cease further review of the application until one
year has elapsed from the effective date of the decision and order of
the department upholding a denial.
(2) In cases where the department informed the applicant of his or
her right to petition for a hearing and the applicant did not
petition for a hearing, the department shall cease further review of
the application until one year has elapsed from the date of the
notification of the denial and the right to petition for a hearing.
(3) The department may continue to review the application if it
has determined that the reasons for the denial of the application
were due to circumstances and conditions that either have been
corrected or are no longer in existence.
(d) The cessation of review shall not constitute a denial of the
application for purposes of Section 1526 or any other law.
1569.17. The Legislature recognizes the need to generate timely and
accurate positive fingerprint identification of applicants as a
condition of issuing licenses, permits, or certificates of approval
for persons to operate or provide direct care services in a
residential care facility for the elderly. It is the intent of the
Legislature in enacting this section to require the fingerprints of
those individuals whose contact with clients of residential care
facilities for the elderly may pose a risk to the clients' health and
safety. An individual shall be required to obtain either a criminal
record clearance or a criminal record exemption from the State
Department of Social Services before his or her initial presence in a
residential care facility for the elderly.
(a) (1) Before issuing a license to any person or persons to
operate or manage a residential care facility for the elderly, the
department shall secure from an appropriate law enforcement agency a
criminal record to determine whether the applicant or any other
person specified in subdivision (b) has ever been convicted of a
crime other than a minor traffic violation or arrested for any crime
specified in subdivision (c) of Section 290 of the Penal Code, for
violating Section 245 or 273.5, subdivision (b) of Section 273a or,
prior to January 1, 1994, paragraph (2) of Section 273a of the Penal
Code, or for any crime for which the department cannot grant an
exemption if the person was convicted and the person has not been
exonerated.
(2) The criminal history information shall include the full
criminal record, if any, of those persons, and subsequent arrest
information pursuant to Section 11105.2 of the Penal Code.
(3) The following shall apply to the criminal record information:
(A) If the State Department of Social Services finds that the
applicant or any other person specified in subdivision (b) has been
convicted of a crime, other than a minor traffic violation, the
application shall be denied, unless the director grants an exemption
pursuant to subdivision (f).
(B) If the State Department of Social Services finds that the
applicant, or any other person specified in subdivision (b) is
awaiting trial for a crime other than a minor traffic violation, the
State Department of Social Services may cease processing the
application until the conclusion of the trial.
(C) If no criminal record information has been recorded, the
Department of Justice shall provide the applicant and the State
Department of Social Services with a statement of that fact.
(D) If the State Department of Social Services finds after
licensure that the licensee, or any other person specified in
paragraph (2) of subdivision (b), has been convicted of a crime other
than a minor traffic violation, the license may be revoked, unless
the director grants an exemption pursuant to subdivision (f).
(E) An applicant and any other person specified in subdivision (b)
shall submit fingerprint images and related information to the
Department of Justice and the Federal Bureau of Investigation,
through the Department of Justice, for a state and federal level
criminal offender record information search, in addition to the
search required by subdivision (a). If an applicant meets all other
conditions for licensure, except receipt of the Federal Bureau of
Investigation's criminal history information for the applicant and
persons listed in subdivision (b), the department may issue a license
if the applicant and each person described by subdivision (b) has
signed and submitted a statement that he or she has never been
convicted of a crime in the United States, other than a traffic
infraction as defined in paragraph (1) of subdivision (a) of Section
42001 of the Vehicle Code. If, after licensure, the department
determines that the licensee or person specified in subdivision (b)
has a criminal record, the license may be revoked pursuant to Section
1569.50. The department may also suspend the license pending an
administrative hearing pursuant to Sections 1569.50 and 1569.51.
(b) In addition to the applicant, the provisions of this section
shall apply to criminal convictions of the following persons:
(1) (A) Adults responsible for administration or direct
supervision of staff.
(B) Any person, other than a client, residing in the facility.
Residents of unlicensed independent senior housing facilities that
are located in contiguous buildings on the same property as a
residential care facility for the elderly shall be exempt from these
requirements.
(C) Any person who provides client assistance in dressing,
grooming, bathing, or personal hygiene. Any nurse assistant or home
health aide meeting the requirements of Section 1338.5 or 1736.6,
respectively, who is not employed, retained, or contracted by the
licensee, and who has been certified or recertified on or after July
1, 1998, shall be deemed to meet the criminal record clearance
requirements of this section. A certified nurse assistant and
certified home health aide who will be providing client assistance
and who falls under this exemption shall provide one copy of his or
her current certification, prior to providing care, to the
residential care facility for the elderly. The facility shall
maintain the copy of the certification on file as long as the care is
being provided by the certified nurse assistant or certified home
health aide at the facility. Nothing in this paragraph restricts the
right of the department to exclude a certified nurse assistant or
certified home health aide from a licensed residential care facility
for the elderly pursuant to Section 1569.58.
(D) Any staff person, volunteer, or employee who has contact with
the clients.
(E) If the applicant is a firm, partnership, association, or
corporation, the chief executive officer or other person serving in a
similar capacity.
(F) Additional officers of the governing body of the applicant or
other persons with a financial interest in the applicant, as
determined necessary by the department by regulation. The criteria
used in the development of these regulations shall be based on the
person's capability to exercise substantial influence over the
operation of the facility.
(2) The following persons are exempt from requirements applicable
under paragraph (1):
(A) A spouse, relative, significant other, or close friend of a
client shall be exempt if this person is visiting the client or
provides direct care and supervision to that client only.
(B) A volunteer to whom all of the following apply:
(i) The volunteer is at the facility during normal waking hours.
(ii) The volunteer is directly supervised by the licensee or a
facility employee with a criminal record clearance or exemption.
(iii) The volunteer spends no more than 16 hours per week at the
facility.
(iv) The volunteer does not provide clients with assistance in
dressing, grooming, bathing, or personal hygiene.
(v) The volunteer is not left alone with clients in care.
(C) A third-party contractor retained by the facility if the
contractor is not left alone with clients in care.
(D) A third-party contractor or other business professional
retained by a client and at the facility at the request or by
permission of that client. These individuals may not be left alone
with other clients.
(E) Licensed or certified medical professionals are exempt from
fingerprint and criminal background check requirements imposed by
community care licensing. This exemption does not apply to a person
who is a community care facility licensee or an employee of the
facility.
(F) Employees of licensed home health agencies and members of
licensed hospice interdisciplinary teams who have contact with a
resident of a residential care facility at the request of the
resident or resident's legal decisionmaker are exempt from
fingerprint and criminal background check requirements imposed by
community care licensing. This exemption does not apply to a person
who is a community care facility licensee or an employee of the
facility.
(G) Clergy and other spiritual caregivers who are performing
services in common areas of the residential care facility, or who are
advising an individual resident at the request of, or with
permission of, the resident, are exempt from fingerprint and criminal
background check requirements imposed by community care licensing.
This exemption does not apply to a person who is a community care
facility licensee or an employee of the facility.
(H) Any person similar to those described in this subdivision, as
defined by the department in regulations.
(I) Nothing in this paragraph shall prevent a licensee from
requiring a criminal record clearance of any individual exempt from
the requirements of this section, provided that the individual has
client contact.
(c) (1) (A) Subsequent to initial licensure, any person required
to be fingerprinted pursuant to subdivision (b) shall, as a condition
to employment, residence, or presence in a residential facility for
the elderly, be fingerprinted and sign a declaration under penalty of
perjury regarding any prior criminal convictions. The licensee shall
submit these fingerprint images and related information to the
Department of Justice and the Federal Bureau of Investigation,
through the Department of Justice, for a state and federal level
criminal offender record information search, or to comply with
paragraph (1) of subdivision (g) prior to the person's employment,
residence, or initial presence in the residential care facility for
the elderly.
(B) These fingerprint images and related information shall be
electronically transmitted in a manner approved by the State
Department of Social Services and the Department of Justice. A
licensee's failure to submit fingerprint images and related
information to the Department of Justice, or to comply with paragraph
(1) of subdivision (g), as required in this section, shall result in
the citation of a deficiency and an immediate assessment of civil
penalties in the amount of one hundred dollars ($100) per violation
per day for a maximum of five days, unless the violation is a second
or subsequent violation within a 12-month period in which case the
civil penalties shall be in the amount of one hundred dollars ($100)
per violation for a maximum of 30 days, and shall be grounds for
disciplining the licensee pursuant to Section 1569.50. The State
Department of Social Services may assess civil penalties for
continued violations as permitted by Section 1569.49. The licensee
shall then submit these fingerprint images to the State Department of
Social Services for processing. Documentation of the individual's
clearance or exemption shall be maintained by the licensee and be
available for inspection. The Department of Justice shall notify the
department, as required by Section 1522.04, and notify the licensee
by mail within 14 days of electronic transmission of the fingerprints
to the Department of Justice, if the person has no criminal record.
A violation of the regulations adopted pursuant to Section 1522.04
shall result in the citation of a deficiency and an immediate
assessment of civil penalties in the amount of one hundred dollars
($100) per violation per day for a maximum of five days, unless the
violation is a second or subsequent violation within a 12-month
period in which case the civil penalties shall be in the amount of
one hundred dollars ($100) per violation for a maximum of 30 days,
and shall be grounds for disciplining the licensee pursuant to
Section 1569.50. The department may assess civil penalties for
continued violations as permitted by Section 1569.49.
(2) Within 14 calendar days of the receipt of the fingerprint
images, the Department of Justice shall notify the State Department
of Social Services of the criminal record information, as provided
for in this subdivision. If no criminal record information has been
recorded, the Department of Justice shall provide the licensee and
the State Department of Social Services with a statement of that fact
within 14 calendar days of receipt of the fingerprint images. If new
fingerprint images are required for processing, the Department of
Justice shall, within 14 calendar days from the date of receipt of
the fingerprint images, notify the licensee that the fingerprint
images were illegible.
(3) Except for persons specified in paragraph (2) of subdivision
(b), the licensee shall endeavor to ascertain the previous employment
history of persons required to be fingerprinted under this
subdivision. If the State Department of Social Services determines,
on the basis of the fingerprint images submitted to the Department of
Justice, that the person has been convicted of a sex offense against
a minor, an offense specified in Section 243.4, 273a, 273d, 273g, or
368 of the Penal Code, or a felony, the State Department of Social
Services shall notify the licensee in writing within 15 calendar days
of the receipt of the notification from the Department of Justice to
act immediately to terminate the person's employment, remove the
person from the residential care facility for the elderly, or bar the
person from entering the residential care facility for the elderly.
The State Department of Social Services may subsequently grant an
exemption pursuant to subdivision (f). If the conviction was for
another crime, except a minor traffic violation, the licensee shall,
upon notification by the State Department of Social Services, act
immediately to either (1) terminate the person's employment, remove
the person from the residential care facility for the elderly, or bar
the person from entering the residential care facility for the
elderly or (2) seek an exemption pursuant to subdivision (f). The
department shall determine if the person shall be allowed to remain
in the facility until a decision on the exemption is rendered by the
department. A licensee's failure to comply with the department's
prohibition of employment, contact with clients, or presence in the
facility as required by this paragraph shall result in a citation of
deficiency and an immediate assessment of civil penalties by the
department against the licensee, in the amount of one hundred dollars
($100) per violation per day for a maximum of five days, unless the
violation is a second or subsequent violation within a 12-month
period in which case the civil penalties shall be in the amount of
one hundred dollars ($100) per violation for a maximum of 30 days,
and shall be grounds for disciplining the licensee pursuant to
Section 1569.50.
(4) The department may issue an exemption on its own motion
pursuant to subdivision (f) if the person's criminal history
indicates that the person is of good character based on the age,
seriousness, and frequency of the conviction or convictions. The
department, in consultation with interested parties, shall develop
regulations to establish the criteria to grant an exemption pursuant
to this paragraph.
(5) Concurrently with notifying the licensee pursuant to paragraph
(4), the department shall notify the affected individual of his or
her right to seek an exemption pursuant to subdivision (f). The
individual may seek an exemption only if the licensee terminates the
person's employment or removes the person from the facility after
receiving notice from the department pursuant to paragraph (4).
(d) (1) For purposes of this section or any other provision of
this chapter, a conviction means a plea or verdict of guilty or a
conviction following a plea of nolo contendere. Any action that the
department is permitted to take following the establishment of a
conviction may be taken when the time for appeal has elapsed, when
the judgment of conviction has been affirmed on appeal or when an
order granting probation is made suspending the imposition of the
sentence, notwithstanding a subsequent order pursuant to the
provisions of Sections 1203.4 and 1203.4a of the Penal Code
permitting a person to withdraw his or her plea of guilty and to
enter a plea of not guilty, or setting aside the verdict of guilty,
or dismissing the accusation, information, or indictment. For
purposes of this section or any other provision of this chapter, the
record of a conviction, or a copy thereof certified by the clerk of
the court or by a judge of the court in which the conviction
occurred, shall be conclusive evidence of the conviction. For
purposes of this section or any other provision of this chapter, the
arrest disposition report certified by the Department of Justice or
documents admissible in a criminal action pursuant to Section 969b of
the Penal Code shall be prima facie evidence of the conviction,
notwithstanding any other provision of law prohibiting the admission
of these documents in a civil or administrative action.
(2) For purposes of this section or any other provision of this
chapter, the department shall consider criminal convictions from
another state or federal court as if the criminal offense was
committed in this state.
(e) The State Department of Social Services may not use a record
of arrest to deny, revoke, or terminate any application, license,
employment, or residence unless the department investigates the
incident and secures evidence, whether or not related to the incident
of arrest, that is admissible in an administrative hearing to
establish conduct by the person that may pose a risk to the health
and safety of any person who is or may become a client. The State
Department of Social Services is authorized to obtain any arrest or
conviction records or reports from any law enforcement agency as
necessary to the performance of its duties to inspect, license, and
investigate community care facilities and individuals associated with
a community care facility.
(f) (1) After review of the record, the director may grant an
exemption from disqualification for a license as specified in
paragraphs (1) and (4) of subdivision (a), or for employment,
residence, or presence in a residential care facility for the elderly
as specified in paragraphs (4), (5), and (6) of subdivision (c) if
the director has substantial and convincing evidence to support a
reasonable belief that the applicant and the person convicted of the
crime, if other than the applicant, are of such good character as to
justify issuance of the license or special permit or granting an
exemption for purposes of subdivision (c). However, an exemption may
not be granted pursuant to this subdivision if the conviction was for
any of the following offenses:
(A) An offense specified in Section 220, 243.4, or 264.1,
subdivision (a) of Section 273a or, prior to January 1, 1994,
paragraph (1) of Section 273a, Section 273d, 288, or 289, subdivision
(c) of Section 290, or Section 368 of the Penal Code, or was a
conviction of another crime against an individual specified in
subdivision (c) of Section 667.5 of the Penal Code.
(B) A felony offense specified in Section 729 of the Business and
Professions Code or Section 206 or 215, subdivision (a) of Section
347, subdivision (b) of Section 417, or subdivision (a) of Section
451 of the Penal Code.
(2) The director shall notify in writing the licensee or the
applicant of his or her decision within 60 days of receipt of all
information from the applicant and other sources determined necessary
by the director for the rendering of a decision pursuant to this
subdivision.
(3) The department may not prohibit a person from being employed
or having contact with clients in a facility on the basis of a denied
criminal record exemption request or arrest information unless the
department complies with the requirements of Section 1569.58.
(g) (1) For purposes of compliance with this section, the
department may permit an individual to transfer a current criminal
record clearance, as defined in subdivision (a), from one facility to
another, as long as the criminal record clearance has been processed
through a state licensing district office, and is being transferred
to another facility licensed by a state licensing district office.
The request shall be submitted in writing to the department, and
shall include a copy of the person's driver's license or valid
identification card issued by the Department of Motor Vehicles, or a
valid photo identification issued by another state or the United
States government if the person is not a California resident. Upon
request of the licensee, who shall enclose a self-addressed stamped
envelope for this purpose, the department shall verify whether the
individual has a clearance that can be transferred.
(2) The State Department of Social Services shall hold criminal
record clearances in its active files for a minimum of two years
after an employee is no longer employed at a licensed facility in
order for the criminal record clearances to be transferred under this
section.
(h) If a licensee or facility is required by law to deny
employment or to terminate employment of any employee based on
written notification from the department that the employee has a
prior criminal conviction or is determined unsuitable for employment
under Section 1569.58, the licensee or facility shall not incur civil
liability or unemployment insurance liability as a result of that
denial or termination.
(i) Notwithstanding any other provision of law, the department may
provide an individual with a copy of his or her state or federal
level criminal offender record information search response as
provided to that department by the Department of Justice if the
department has denied a criminal background clearance based on this
information and the individual makes a written request to the
department for a copy specifying an address to which it is to be
sent. The state or federal level criminal offender record information
search response shall not be modified or altered from its form or
content as provided by the Department of Justice and shall be
provided to the address specified by the individual in his or her
written request. The department shall retain a copy of the individual'
s written request and the response and date provided.
1569.171. Prior to issuance to any person of a certificate of
completion of the administrator certification program pursuant to
Section 1569.616, the department shall secure from an appropriate law
enforcement agency a criminal record to determine if the person has
been convicted of a crime other than a minor traffic violation. Based
upon the criminal record information received, the department shall
take appropriate action as provided for in Section 1569.17.
1569.172. The Department of Justice may charge a fee sufficient to
cover its cost in providing services in accordance with Section
1569.17 to comply with the 14-day requirement for provision to the
department of the criminal record information, as contained in
subdivision (c) of Section 1569.17.
1569.175. (a) In addition to any other requirements of this
chapter, any residential care facility for the elderly providing
residential care for six or fewer persons at which the owner does not
reside shall provide a procedure approved by the licensing agency
for immediate response to incidents and complaints. This procedure
shall include a method of assuring that the owner, licensee, or
person designated by the owner or licensee is notified of the
incident, that the owner, licensee, or person designated by the owner
or licensee has personally investigated the matter, and that the
person making the complaint or reporting the incident has received a
response of action taken or a reason why no action needs to be taken.
(b) In order to assure the opportunity for complaints to be made
directly to the owner, licensee, or person designated by the owner or
licensee, and to provide the opportunity for the owner, licensee, or
person designated by the owner or licensee to meet residents and
learn of problems in the neighborhood, any facility with a
nonresident owner shall establish a fixed time on a weekly basis when
the owner, licensee, or person designated by the owner or licensee
will be present.
(c) Facilities with nonresident owners shall establish procedures
to comply with the requirements of this section on or before July 1,
1987.
1569.185. (a) An application fee adjusted by facility and capacity
shall be charged by the department for the issuance of a license to
operate a residential care facility for the elderly. After initial
licensure, a fee shall be charged by the department annually on each
anniversary of the effective date of the license.
The fees are for the purpose of financing activities specified in
this chapter. Fees shall be assessed as follows:
Fee Schedule
Initial
Capacity Application Annual
1-3 $413 $413
4-6 $825 $413
7-15 $1,239 $619
16-30 $1,650 $825
31-49 $2,064 $1,032
50-74 $2,477 $1,239
75-100 $2,891 $1,445
101-150 $3,304 $1,652
151-200 $3,852 $1,926
201-250 $4,400 $2,200
251-300 $4,950 $2,475
301-350 $5,500 $2,750
351-400 $6,050 $3,025
401-500 $7,150 $3,575
501-600 $8,250 $4,125
601-700 $9,350 $4,675
701+ $11,000 $5,500
(b) (1) In addition to fees set forth in subdivision (a), the
department shall charge the following fees:
(A) A fee that represents 50 percent of an established application
fee when an existing licensee moves the facility to a new physical
address.
(B) A fee that represents 50 percent of the established
application fee when a corporate licensee changes who has the
authority to select a majority of the board of directors.
(C) A fee of twenty-five dollars ($25) when an existing licensee
seeks to either increase or decrease the licensed capacity of the
facility.
(D) An orientation fee of fifty dollars ($50) for attendance by
any individual at a department-sponsored orientation session.
(E) A probation monitoring fee equal to the annual fee, in
addition to the annual fee for that category and capacity for each
year a license has been placed on probation as a result of a
stipulation or decision and order pursuant to the administrative
adjudication procedures of the Administrative Procedure Act (Chapter
4.5 (commencing with Section 11400) and Chapter 5 (commencing with
Section 11500) of Part 1 of Division 3 of Title 2 of the Government
Code).
(F) A late fee that represents an additional 50 percent of the
established annual fee when any licensee fails to pay the annual
licensing fee on or before the due date as indicated by postmark on
the payment.
(G) A fee to cover any costs incurred by the department for
processing payments including, but not limited to, bounced check
charges, charges for credit and debit transactions, and postage due
charges.
(H) A plan of correction fee of two hundred dollars ($200) when
any licensee does not implement a plan of correction on or prior to
the date specified in the plan.
(2) No local jurisdiction shall impose any business license, fee,
or tax for the privilege of operating a facility licensed under this
chapter which serves six or fewer persons.
(c) (1) The revenues collected from licensing fees pursuant to
this section shall be utilized by the department for the purpose of
ensuring the health and safety of all individuals provided care or
supervision by licensees and to support the activities of the
licensing programs, including, but not limited to, monitoring
facilities for compliance with licensing laws and regulations
pursuant to this chapter, and other administrative activities in
support of the licensing program, when appropriated for these
purposes. The revenues collected shall be used in addition to any
other funds appropriated in the annual Budget Act in support of the
licensing program.
(2) The department shall not utilize any portion of these revenues
sooner than 30 days after notification in writing of the purpose and
use, as approved by the Department of Finance, to the Chairperson of
the Joint Legislative Budget Committee, and the chairpersons of the
committee in each house that considers appropriations for each fiscal
year. The department shall submit a budget change proposal to
justify any positions or any other related support costs on an
ongoing basis.
(d) A residential care facility for the elderly may use a bona
fide business check to pay the license fee required under this
section.
(e) The failure of an applicant for licensure or a licensee to pay
all applicable and accrued fees and civil penalties shall constitute
grounds for denial or forfeiture of a license.
1569.19. A license shall be forfeited by operation of law prior to
its expiration date when one of the following occurs:
(a) The licensee sells or otherwise transfers the facility or
facility property, except when change of ownership applies to
transferring of stock when the facility is owned by a corporation and
when the transfer of stock does not constitute a majority change in
ownership. The sale of a facility shall be subject to the
requirements of this chapter.
(b) The licensee surrenders the license to the department.
(c) The licensee moves a facility from one location to another.
The department shall develop regulations to ensure that the
facilities are not charged a full licensing fee and do not have to
complete the entire application process when applying for a license
for the new location.
(d) The licensee is convicted of an offense specified in Section
220, 243.4, or 264.1, or paragraph (1) of Section 273a, Section 273d,
288, or 289 of the Penal Code, or is convicted of another crime
specified in subdivision (c) of Section 667.5 of the Penal Code.
(e) The licensee dies. When a licensee dies, the continued
operation shall be subject to the requirements of Section 1569.193.
(f) The licensee abandons the facility.
1569.191. (a) Notwithstanding Section 1569.19, in the event of a
sale of a licensed facility where the sale will result in a new
license being issued, the sale and transfer of property and business
shall be subject to both of the following:
(1) The licensee shall provide written notice to the department
and to each resident or his or her legal representative of the
licensee's intent to sell the facility at least 30 days prior to the
transfer of the property or business, or at the time that a bona fide
offer is made, whichever period is longer.
(2) The licensee shall, prior to entering into an admission
agreement, inform all residents, or their legal representatives,
admitted to the facility after notification to the department, of the
licensee's intent to sell the property or business.
(b) Except as provided in subdivision (e), the property and
business shall not be transferred until the buyer qualifies for a
license or provisional license within the appropriate provisions of
this chapter.
(1) The seller shall notify, in writing, a prospective buyer of
the necessity to obtain a license, as required by this chapter, if
the buyer's intent is to continue operating the facility as a
residential care facility for the elderly. The seller shall send a
copy of this written notice to the licensing agency.
(2) The prospective buyer shall submit an application for a
license, as specified in Section 1569.15, within five days of the
acceptance of the offer by the seller.
(c) No sale of the facility shall be permitted until 30 days have
elapsed from the date upon which notice has been provided pursuant to
paragraphs (1) and (2) of subdivision (a).
(d) The department shall give priority to applications for
licensure that are submitted pursuant to this section in order to
ensure timely transfer of the property and business. The department
shall make a decision within 60 days after a complete application is
submitted on whether to issue a license pursuant to Section 1569.15.
(e) If the parties involved in the transfer of the property and
business fully comply with this section, then the transfer may be
completed and the buyer shall not be considered to be operating an
unlicensed facility while the department makes a final determination
on the application for licensure.
(f) Facilities that are subject to Chapter 10 (commencing with
Section 1770) of Division 2, including Section 1789.4, shall not be
subject to paragraph (1) of subdivision (a), and subdivisions (c) and
(d).
1569.193. (a) When a licensee dies, an adult relative, or other
nonrelated adult, who has control of the property may be designated
as the responsible party to continue operation of the facility if the
following conditions are met:
(1) The licensee has filed a notarized written statement with the
department designating the responsible party in the event of death,
and the licensee has submitted the following information to the
department:
(A) A notarized statement, signed by the designee acknowledging
acceptanc
1569.10. No person, firm, partnership, association, or corporation
within the state and no state or local public agency shall operate,
establish, manage, conduct, or maintain a residential facility for
the elderly in this state without a current valid license or current
valid special permit therefor, as provided in this chapter.
1569.11. The department shall inspect and license residential care
facilities for the elderly. A license is not transferable.
1569.12. The department may provide consulting services upon
request to any residential care facility for the elderly to assist in
the identification or correction of deficiencies and in the
upgrading of the quality of care provided by the facility.
1569.13. (a) The department may contract for state, county, or
other public agencies to assume specified licensing, approval, or
consultation responsibilities. In exercising the authority so
delegated, these agencies shall conform to the requirements of this
chapter and to the rules, regulations, and standards of the
department. The department shall reimburse agencies for services
performed pursuant to this section, and the payments shall not exceed
actual cost.
If any grants-in-aid are made by the federal government for the
support of any inspection or consultation service approved by the
department, the amount of the federal grant shall first be applied to
defer the cost of the service before state reimbursement is made.
(b) The department may contract with any county for the purposes
of having the county assume the responsibility within the county for
the licensing and regulation of residential care facilities for the
elderly serving six or fewer persons. Prior to the department
contracting with any county for the licensing and regulation of
residential care facilities for the elderly serving six or fewer
persons, the department shall develop uniform standards which specify
and delineate the responsibilities of contracting counties and the
department. The department shall reimburse the county for the
services performed, not to exceed the actual cost, out of the funds
allocated to the department for the licensing and regulation of those
facilities. The county shall conform to the requirements of this
chapter and to the rules, regulations, and standards of the
department.
1569.14. No license issued pursuant to this chapter shall have any
property value for sale or exchange purposes and no person, including
any owner, agent, or broker, shall sell or exchange any license for
any commercial purpose.
1569.145. This chapter shall not apply to any of the following:
(a) A health facility, as defined by Section 1250.
(b) A clinic, as defined by Section 1200.
(c) A facility conducted by and for the adherents of a
well-recognized church or religious denomination for the purpose of
providing facilities for the care or treatment of the sick who depend
upon prayer or spiritual means for healing in the practice of the
religion of that church or denomination.
(d) A house, institution, hotel, congregate housing project for
the elderly, or other similar place that is limited to providing one
or more of the following: housing, meals, transportation,
housekeeping, or recreational and social activities; or that have
residents independently accessing supportive services, provided,
however, that no resident thereof requires an element of care and
supervision or protective supervision as determined by the director.
This subdivision shall not include a home or residence that is
described in subdivision (f).
(e) Recovery houses or other similar facilities providing group
living arrangements for persons recovering from alcoholism or drug
addiction where the facility provides no care or supervision.
(f) (1) An arrangement for the care and supervision of a person or
persons by a family member.
(2) An arrangement for the care and supervision of a person or
persons from only one family by a close friend, whose friendship
preexisted the contact between the provider and the recipient, and
both of the following are met:
(A) The care and supervision is provided in a home or residence
chosen by the recipient.
(B) The arrangement is not of a business nature and occurs only as
long as the needs of the recipient for care and supervision are
adequately met.
(g) (1) (A) Any housing occupied by elderly or disabled persons,
or both, that is approved and operated pursuant to Section 202 of
Public Law 86-372 (12 U.S.C. Sec. 1701q), or Section 811 of Public
Law 101-625 (42 U.S.C. Sec. 8013), or whose mortgage is insured
pursuant to Section 236 of Public Law 90-448 (12 U.S.C. Sec. 1715z),
or that receives mortgage assistance pursuant to Section 221d(3) of
Public Law 87-70 (12 U.S.C. Sec. 1715l), where supportive services
are made available to residents at their option, as long as the
project owner or operator does not contract for or provide the
supportive services.
(B) Any housing that qualifies for a low-income housing credit
pursuant to Section 252 of Public Law 99-514 (26 U.S.C. Sec. 42) or
that is subject to the requirements for rental dwellings for
low-income families pursuant to Section 8 of Public Law 93-383 (42
U.S.C. Sec. 1437f), and that is occupied by elderly or disabled
persons, or both, where supportive services are made available to
residents at their option, as long as the project owner or operator
does not contract for or provide the supportive services.
(2) The project owner or operator to which paragraph (1) applies
may coordinate, or help residents gain access to, the supportive
services, either directly, or through a service coordinator.
(h) A similar facility determined by the director.
(i) For purposes of this section, "family member" means a spouse,
by marriage or otherwise, child or stepchild, by natural birth or by
adoption, parent, brother, sister, half brother, half sister,
parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt,
uncle, first cousin, or a person denoted by the prefix "grand" or
"great," or the spouse of one of these persons.
(j) A person shall not be exempted from this chapter's licensure
requirements if he or she has been appointed as conservator of the
person, estate of the person, or both, if the person is receiving
care and supervision from the conservator as regulated by this
chapter, unless the conservator is otherwise exempted under other
provisions of this section.
1569.147. (a) Nothing in this chapter authorizes the imposition of
rent regulations or controls for licensed residential care facilities
for the elderly.
(b) Licensed residential care facilities for the elderly are not
subject to controls on rent imposed by any state or local agency or
other local government entity.
1569.149. A prospective applicant for licensure shall be notified
at the time of the initial request for information regarding
application for licensure that, prior to obtaining licensure, the
facility shall secure and maintain a fire clearance approval from the
local fire enforcing agency, as defined in Section 13244, or the
State Fire Marshal, whichever has primary fire protection
jurisdiction. The prospective applicant shall be notified of the
provisions of Section 13235, relating to the fire safety clearance
application. The prospective applicant for licensure shall be
notified that the fire clearance shall be in accordance with state
and local fire safety regulations.
1569.15. Any person desiring issuance of a license for a
residential care facility for the elderly under this chapter shall
file with the department, pursuant to regulations, an application on
forms furnished by the department, which shall include, but not be
limited to:
(a) Evidence satisfactory to the department of the ability of the
applicant to comply with this chapter and of rules and regulations
adopted under this chapter by the department.
(b) Evidence satisfactory to the department that the applicant is
of reputable and responsible character. The evidence shall include,
but not be limited to, a criminal record clearance pursuant to
Section 1569.17, employment history, and character references. If the
applicant is a firm, association, organization, partnership,
business trust, corporation, or company, like evidence shall be
submitted as to the members or shareholders thereof, and the person
in charge of the residential care facility for the elderly which
application for issuance of license or special permit is made.
(c) Evidence satisfactory to the department that the applicant has
sufficient financial resources to maintain the standards of service
required by regulations adopted pursuant to this chapter.
(d) Disclosure of the applicant's prior or present service as an
administrator, general partner, corporate officer or director of, or
as a person who has held or holds a beneficial ownership of 10
percent or more in, any residential care facility for the elderly or
in any facility licensed pursuant to Chapter 1 (commencing with
Section 1200), Chapter 2 (commencing with Section 1250), or Chapter 3
(commencing with Section 1500).
(e) Disclosure of any revocation or other disciplinary action
taken, or in the process of being taken, against a license held or
previously held by the entities specified in subdivision (c).
(f) Any other information as may be required by the department for
the proper administration and enforcement of this chapter.
(g) Failure of the applicant to cooperate with the licensing
agency in the completion of the application shall result in the
denial of the application. Failure to cooperate means that the
information described in this section and in regulations of the
department has not been provided, or not provided in the form
requested by the licensing agency, or both.
(h) Following the implementation of Article 7 (commencing with
Section 1569.70) evidence satisfactory to the department of the
applicant's ability to meet regulatory requirements for the level of
care the facility intends to provide.
(i) Evidence satisfactory to the department of adequate knowledge
of supportive services and other community supports which may be
necessary to meet the needs of elderly residents.
(j) A signed statement that the person desiring issuance of a
license has read and understood the residential care facility for the
elderly statute and regulations.
(k) Designation by the applicant of the individual who shall be
the administrator of the facility, including, if the applicant is an
individual, whether or not the licensee shall also be the
administrator.
( l) Evidence of successfully completing a certified prelicensure
education program pursuant to Section 1569.23.
(m) For any facility that promotes or advertises or plans to
promote or advertise special care, special programming, or special
environments for persons with dementia, disclosure to the department
of the special features of the facility in its plan of operation.
1569.150. (a) The department and the licensing agencies with which
it contracts for licensing shall review and make a final
determination within 60 days of an applicant's submission of a
complete application on all applications for a license to operate a
residential care facility for the elderly if the applicant possesses
a current valid license to operate a residential care facility for
the elderly at another site. Applicants shall note on the
application, or in a cover letter to the application, that they
possess a current valid license at another site, and the number of
that license.
(b) The department shall request a fire safety clearance from the
appropriate fire marshal within five days of receipt of an
application described in subdivision (a). The applicant shall be
responsible for requesting and obtaining the required criminal record
clearances.
(c) If the department for any reason is unable to comply with
subdivision (a), it shall, within 60 days of receipt of the
application described in subdivision (a), grant a provisional license
to the applicant to operate for a period not to exceed six months,
except as provided in subdivision (d). While the provisional license
is in effect, the department shall continue its investigation and
make a final determination on the application before the provisional
license expires. The provisional license shall be granted, provided
the department knows of no life safety risks, the criminal records
clearances, if applicable, are complete, and the fire safety
clearance is complete. The director may extend the term of a
provisional license for an additional six months at the time of the
application, if the director determines that more than six months
will be required to achieve full compliance with licensing standards
due to circumstances beyond the control of the applicant, and if all
other requirements for a license have been met.
(d) If the department does not issue a provisional license
pursuant to subdivision (c), the department shall issue a notice to
the applicant identifying whether the provisional license has not
been issued due to the existence of a life safety risk, lack of a
fire safety clearance, lack of a criminal records clearance, failure
to complete the application, or any combination of these reasons. If
a life safety risk is identified, the risk preventing the issuance of
the provisional license shall be clearly explained. If a lack of the
fire safety clearance is identified, the notice shall include the
dates on which the department requested the clearance and the current
status of that request, and the fire marshal's name and telephone
number to whom a fire safety clearance request was sent. The
department shall identify the names of individuals for whom criminal
records clearances are lacking. If failure to complete the
application is identified, the notice shall list all of the forms or
attachments that are missing or incorrect. This notice shall be sent
to the applicant no later than 60 days after the applicant filed the
application. If the reasons identified in the notice are corrected,
the department shall issue the provisional license within five days
after the corrections are made.
(e) The department shall, immediately after January 1, 1993,
develop expedited procedures necessary to implement subdivisions (a),
(b), (c), and (d).
(f) The department shall, immediately after January 1, 1993,
develop an appeal procedure for applicants under this section for
both denial of licenses and delay in processing applications.
1569.151. Upon receipt of an application to operate a residential
care facility for the elderly from an applicant who is also applying
or intends to apply for a permit to sell deposit subscriptions on
life care contracts pursuant to Chapter 10 (commencing with Section
1770), the department shall review the application for licensure to
determine the applicant's ability and intent to meet all statutory
and regulatory requirements for a residential care facility for the
elderly.
Upon determination that the applicant has provided satisfactory
evidence of ability and intent, the department shall issue a
preliminary approval for licensure, for purposes of the applicant
obtaining a permit to sell deposit subscriptions for life care
contracts. Preliminary approval does not guarantee that a license
will be issued by the department.
1569.1515. (a) A corporation that applies for licensure with the
department shall list the facilities that any member of the board of
directors, the executive director, or an officer has been licensed to
operate, been employed in, or served as a member of the board of
directors, the executive director, or an officer.
(b) The department shall not issue a provisional license or
license to any corporate applicant that has a member of the board of
directors, the executive director, or an officer who is not eligible
for licensure pursuant to Sections 1569.16 and 1569.59.
(c) The department may revoke the license of any corporate
licensee that has a member of the board of directors, the executive
director, or an officer who is not eligible for licensure pursuant to
Sections 1569.16 and 1569.59.
(d) Prior to instituting an administrative action pursuant to
either subdivision (b) or (c), the department shall notify the
applicant or licensee of the person's ineligibility to be a member of
the board of directors, an executive director, or an officer of the
applicant or licensee, and shall give the applicant or licensee 15
days to remove the person from that position.
1569.152. (a) A residential care facility for the elderly, as
defined in Section 1569.2, which fails to make reasonable efforts to
safeguard resident property shall reimburse a resident for or replace
stolen or lost resident property at its then current value. The
facility shall be presumed to have made reasonable efforts to
safeguard resident property if the facility has shown clear and
convincing evidence of its efforts to meet each of the requirements
specified in Section 1569.153. The presumption shall be a rebuttable
presumption, and the resident or the resident's representative may
pursue this matter in any court of competent jurisdiction.
(b) A civil penalty shall be levied if the residential care
facility for the elderly has no program in place or if the facility
has not shown clear and convincing evidence of its efforts to meet
all of the requirements set forth in Section 1569.153. The State
Department of Social Services shall issue a deficiency in the event
that the manner in which the policies have been implemented is
inadequate or the individual facility situation warrants additional
theft and loss protections.
(c) The department shall not determine that a facility's program
is inadequate based solely on the occasional occurrence of theft or
loss in a facility.
1569.153. A theft and loss program shall be implemented by the
residential care facilities for the elderly within 90 days after
January 1, 1989. The program shall include all of the following:
(a) Establishment and posting of the facility's policy regarding
theft and investigative procedures.
(b) Orientation to the policies and procedures for all employees
within 90 days of employment.
(c) Documentation of lost and stolen resident property with a
value of twenty-five dollars ($25) or more within 72 hours of the
discovery of the loss or theft and, upon request, the documented
theft and loss record for the past 12 months shall be made available
to the State Department of Social Services, law enforcement agencies
and to the office of the State Long-Term Care Ombudsman in response
to a specific complaint. The documentation shall include, but not be
limited to, the following:
(1) A description of the article.
(2) Its estimated value.
(3) The date and time the theft or loss was discovered.
(4) If determinable, the date and time the loss or theft occurred.
(5) The action taken.
(d) A written resident personal property inventory is established
upon admission and retained during the resident's stay in the
residential care facility for the elderly. Inventories shall be
written in ink, witnessed by the facility and the resident or
resident's representative, and dated. A copy of the written inventory
shall be provided to the resident or the person acting on the
resident's behalf. All additions to an inventory shall be made in
ink, and shall be witnessed by the facility and the resident or
resident's representative, and dated. Subsequent items brought into
or removed from the facility shall be added to or deleted from the
personal property inventory by the facility at the written request of
the resident, the resident's family, a responsible party, or a
person acting on behalf of a resident. The facility shall not be
liable for items which have not been requested to be included in the
inventory or for items which have been deleted from the inventory. A
copy of a current inventory shall be made available upon request to
the resident, responsible party, or other authorized representative.
The resident, resident's family, or a responsible party may list
those items which are not subject to addition or deletion from the
inventory, such as personal clothing or laundry, which are subject to
frequent removal from the facility.
(e) Inventory and surrender of the resident's personal effects and
valuables upon discharge to the resident or authorized
representative in exchange for a signed receipt.
(f) Inventory and surrender of personal effects and valuables
following the death of a resident to the authorized representative in
exchange for a signed receipt. Immediate written notice to the
public administrator of the county upon the death of a resident whose
heirs are unable or unwilling to claim the property as specified in
Chapter 20 (commencing with Section 1140) of Division 3 of the
Probate Code.
(g) Documentation, at least semiannually, of the facility's
efforts to control theft and loss, including the review of theft and
loss documentation and investigative procedures and results of the
investigation by the administrator and, when feasible, the resident
council.
(h) Establishment of a method of marking, to the extent feasible,
personal property items for identification purposes upon admission
and, as added to the property inventory list, including engraving of
dentures and tagging of other prosthetic devices.
(i) Reports to the local law enforcement agency within 36 hours
when the administrator of the facility has reason to believe resident
property with a then current value of one hundred dollars ($100) or
more has been stolen. Copies of those reports for the preceding 12
months shall be made available to the State Department of Social
Services and law enforcement agencies.
(j) Maintenance of a secured area for residents' property which is
available for safekeeping of resident property upon the request of
the resident or the resident's responsible party. Provide a lock for
the resident's bedside drawer or cabinet upon request of and at the
expense of the resident, the resident's family, or authorized
representative. The facility administrator shall have access to the
locked areas upon request.
(k) A copy of this section and Sections 1569.152 and 1569.154 is
provided by a facility to all of the residents and their responsible
parties, and, available upon request, to all of the facility's
prospective residents and their responsible parties.
( l) Notification to all current residents and all new residents,
upon admission, of the facility's policies and procedures relating to
the facility's theft and loss prevention program.
(m) Only those residential units in which there are no unrelated
residents and where the unit can be secured by the resident or
residents are exempt from the requirements of this section.
1569.154. No provision of a contract of admission, which includes
all documents which a resident or his or her representative is
required to sign at the time of, or as a condition of, admission to a
residential care facility for the elderly, shall require or imply a
lesser standard of responsibility for the personal property of
residents than is required by law.
1569.155. Upon initial licensure, residential care facilities for
the elderly shall be provided a printed copy of all applicable
regulations by the department, without charge. All licensees shall
subscribe to the appropriate regulation subscription service and are
responsible for keeping current on changes in regulatory
requirements.
1569.156. (a) A residential care facility for the elderly shall do
all of the following:
(1) Not condition the provision of care or otherwise discriminate
based on whether or not an individual has executed an advance
directive, consistent with applicable laws and regulations.
(2) Provide education to staff on issues concerning advance
directives.
(3) Provide written information, upon admission, about the right
to make decisions concerning medical care, including the right to
accept or refuse medical or surgical treatment and the right, under
state law, to formulate advance directives.
(4) Provide written information about policies of the facility
regarding the implementation of the rights described in paragraph
(3).
(b) For purposes of this section, "advance directive" means an
"advance health care directive," as defined in Section 4605 of the
Probate Code, or some other form of instruction recognized under
state law specifically addressing the provision of health care.
1569.157. (a) Every licensed residential care facility for the
elderly, at the request of a majority of its residents, shall assist
the residents in establishing and maintaining a resident-oriented
facility council. The council shall be composed of residents of the
facility and may include family members of residents of the facility.
The council may, among other things, make recommendations to
facility administrators to improve the quality of daily living in the
facility and may negotiate to protect residents' rights with
facility administrators.
(b) A violation of subdivision (a) shall not be subject to the
provisions of Section 1569.40, but shall be subject to any other
provision of this chapter.
1569.158. (a) No residential care facility for the elderly may
prohibit the formation of a family council, and, when requested by a
member of the resident's family or the resident's responsible party,
the family council shall be allowed to meet in a common meeting room
of the facility during mutually agreed upon hours.
(b) Facility policies on family councils shall in no way limit the
right of residents and family members to meet independently with
outside persons, including members of nonprofit or government
organizations or with facility personnel during nonworking hours.
(c) "Family council" for the purpose of this section means a
meeting of family members, friends, responsible parties, or agents as
defined in Section 14110.8 of the Welfare and Institutions Code of
two or more patients to confer in private without facility staff.
(d) Family councils shall also be provided adequate space on a
prominent bulletin board or other posting area for the display of
meeting notices, minutes, and newsletters.
1569.159. The State Department of Social Services shall provide to
residential care facilities for the elderly a form, which the
residential care facility for the elderly shall attach to each
resident admission agreement, notifying the resident that he or she
is entitled to obtain services and equipment from the telephone
company. The form shall include the following information:
"Any hearing or speech impaired, or otherwise disabled resident of
any residential care facility for the elderly is entitled to
equipment and service by the telephone company, pursuant to Section
2881 of the Public Utilities Code, to improve the quality of their
telecommunications. Any resident who has a declaration from a
licensed professional, or a state or federal agency pursuant to
Section 2881 of the Public Utilities Code, that he or she is hearing
or speech impaired, or otherwise disabled should contact the local
telephone company and ask for assistance in obtaining this equipment
and service."
This section shall not be construed to require, in any way, the
licensee to provide a separate telephone line for any resident.
1569.16. (a) (1) If an application for a license indicates, or the
department determines during the application review process, that the
applicant previously was issued a license under this chapter or
under Chapter 1 (commencing with Section 1200), Chapter 2 (commencing
with Section 1250), Chapter 3 (commencing with Section 1500),
Chapter 3.01 (commencing with Section 1568.01), Chapter 3.4
(commencing with Section 1596.70), Chapter 3.5 (commencing with
Section 1596.90), or Chapter 3.6 (commencing with Section 1597.30)
and the prior license was revoked within the preceding two years, the
department shall cease any further review of the application until
two years have elapsed from the date of the revocation. All
residential care facilities for the elderly are exempt from the
health planning requirements contained in Part 2 (commencing with
Section 127125) of Division 107.
(2) If an application for a license or special permit indicates,
or the department determines during the application review process,
that the applicant previously was issued a certificate of approval by
a foster family agency that was revoked by the department pursuant
to subdivision (b) of Section 1534 within the preceding two years,
the department shall cease any further review of the application
until two years shall have elapsed from the date of the revocation.
(3) If an application for a license or special permit indicates,
or the department determines during the application review process,
that the applicant was excluded from a facility licensed by the
department pursuant to Section 1558, 1568.092, 1569.58, or 1596.8897,
the department shall cease any further review of the application
unless the excluded individual has been reinstated pursuant to
Section 11522 of the Government Code by the department.
(b) If an application for a license or special permit indicates,
or the department determines during the application review process,
that the applicant had previously applied for a license under any of
the chapters listed in paragraph (1) of subdivision (a) and the
application was denied within the last year, the department shall,
except as provided in Section 1569.22, cease further review of the
application until one year has elapsed from the date of the denial
letter. In those circumstances where denials are appealed and upheld
at an administrative hearing, review of the application shall cease
for one year from the date of the decision and order being rendered
by the department. The cessation of review shall not constitute a
denial of the application.
(c) If an application for a license or special permit indicates,
or the department determines during the application review process,
that the applicant had previously applied for a certificate of
approval with a foster family agency and the department ordered the
foster family agency to deny the application pursuant to subdivision
(b) of Section 1534, the department shall cease further review of the
application as follows:
(1) In cases where the applicant petitioned for a hearing, the
department shall cease further review of the application until one
year has elapsed from the effective date of the decision and order of
the department upholding a denial.
(2) In cases where the department informed the applicant of his or
her right to petition for a hearing and the applicant did not
petition for a hearing, the department shall cease further review of
the application until one year has elapsed from the date of the
notification of the denial and the right to petition for a hearing.
(3) The department may continue to review the application if it
has determined that the reasons for the denial of the application
were due to circumstances and conditions that either have been
corrected or are no longer in existence.
(d) The cessation of review shall not constitute a denial of the
application for purposes of Section 1526 or any other law.
1569.17. The Legislature recognizes the need to generate timely and
accurate positive fingerprint identification of applicants as a
condition of issuing licenses, permits, or certificates of approval
for persons to operate or provide direct care services in a
residential care facility for the elderly. It is the intent of the
Legislature in enacting this section to require the fingerprints of
those individuals whose contact with clients of residential care
facilities for the elderly may pose a risk to the clients' health and
safety. An individual shall be required to obtain either a criminal
record clearance or a criminal record exemption from the State
Department of Social Services before his or her initial presence in a
residential care facility for the elderly.
(a) (1) Before issuing a license to any person or persons to
operate or manage a residential care facility for the elderly, the
department shall secure from an appropriate law enforcement agency a
criminal record to determine whether the applicant or any other
person specified in subdivision (b) has ever been convicted of a
crime other than a minor traffic violation or arrested for any crime
specified in subdivision (c) of Section 290 of the Penal Code, for
violating Section 245 or 273.5, subdivision (b) of Section 273a or,
prior to January 1, 1994, paragraph (2) of Section 273a of the Penal
Code, or for any crime for which the department cannot grant an
exemption if the person was convicted and the person has not been
exonerated.
(2) The criminal history information shall include the full
criminal record, if any, of those persons, and subsequent arrest
information pursuant to Section 11105.2 of the Penal Code.
(3) The following shall apply to the criminal record information:
(A) If the State Department of Social Services finds that the
applicant or any other person specified in subdivision (b) has been
convicted of a crime, other than a minor traffic violation, the
application shall be denied, unless the director grants an exemption
pursuant to subdivision (f).
(B) If the State Department of Social Services finds that the
applicant, or any other person specified in subdivision (b) is
awaiting trial for a crime other than a minor traffic violation, the
State Department of Social Services may cease processing the
application until the conclusion of the trial.
(C) If no criminal record information has been recorded, the
Department of Justice shall provide the applicant and the State
Department of Social Services with a statement of that fact.
(D) If the State Department of Social Services finds after
licensure that the licensee, or any other person specified in
paragraph (2) of subdivision (b), has been convicted of a crime other
than a minor traffic violation, the license may be revoked, unless
the director grants an exemption pursuant to subdivision (f).
(E) An applicant and any other person specified in subdivision (b)
shall submit fingerprint images and related information to the
Department of Justice and the Federal Bureau of Investigation,
through the Department of Justice, for a state and federal level
criminal offender record information search, in addition to the
search required by subdivision (a). If an applicant meets all other
conditions for licensure, except receipt of the Federal Bureau of
Investigation's criminal history information for the applicant and
persons listed in subdivision (b), the department may issue a license
if the applicant and each person described by subdivision (b) has
signed and submitted a statement that he or she has never been
convicted of a crime in the United States, other than a traffic
infraction as defined in paragraph (1) of subdivision (a) of Section
42001 of the Vehicle Code. If, after licensure, the department
determines that the licensee or person specified in subdivision (b)
has a criminal record, the license may be revoked pursuant to Section
1569.50. The department may also suspend the license pending an
administrative hearing pursuant to Sections 1569.50 and 1569.51.
(b) In addition to the applicant, the provisions of this section
shall apply to criminal convictions of the following persons:
(1) (A) Adults responsible for administration or direct
supervision of staff.
(B) Any person, other than a client, residing in the facility.
Residents of unlicensed independent senior housing facilities that
are located in contiguous buildings on the same property as a
residential care facility for the elderly shall be exempt from these
requirements.
(C) Any person who provides client assistance in dressing,
grooming, bathing, or personal hygiene. Any nurse assistant or home
health aide meeting the requirements of Section 1338.5 or 1736.6,
respectively, who is not employed, retained, or contracted by the
licensee, and who has been certified or recertified on or after July
1, 1998, shall be deemed to meet the criminal record clearance
requirements of this section. A certified nurse assistant and
certified home health aide who will be providing client assistance
and who falls under this exemption shall provide one copy of his or
her current certification, prior to providing care, to the
residential care facility for the elderly. The facility shall
maintain the copy of the certification on file as long as the care is
being provided by the certified nurse assistant or certified home
health aide at the facility. Nothing in this paragraph restricts the
right of the department to exclude a certified nurse assistant or
certified home health aide from a licensed residential care facility
for the elderly pursuant to Section 1569.58.
(D) Any staff person, volunteer, or employee who has contact with
the clients.
(E) If the applicant is a firm, partnership, association, or
corporation, the chief executive officer or other person serving in a
similar capacity.
(F) Additional officers of the governing body of the applicant or
other persons with a financial interest in the applicant, as
determined necessary by the department by regulation. The criteria
used in the development of these regulations shall be based on the
person's capability to exercise substantial influence over the
operation of the facility.
(2) The following persons are exempt from requirements applicable
under paragraph (1):
(A) A spouse, relative, significant other, or close friend of a
client shall be exempt if this person is visiting the client or
provides direct care and supervision to that client only.
(B) A volunteer to whom all of the following apply:
(i) The volunteer is at the facility during normal waking hours.
(ii) The volunteer is directly supervised by the licensee or a
facility employee with a criminal record clearance or exemption.
(iii) The volunteer spends no more than 16 hours per week at the
facility.
(iv) The volunteer does not provide clients with assistance in
dressing, grooming, bathing, or personal hygiene.
(v) The volunteer is not left alone with clients in care.
(C) A third-party contractor retained by the facility if the
contractor is not left alone with clients in care.
(D) A third-party contractor or other business professional
retained by a client and at the facility at the request or by
permission of that client. These individuals may not be left alone
with other clients.
(E) Licensed or certified medical professionals are exempt from
fingerprint and criminal background check requirements imposed by
community care licensing. This exemption does not apply to a person
who is a community care facility licensee or an employee of the
facility.
(F) Employees of licensed home health agencies and members of
licensed hospice interdisciplinary teams who have contact with a
resident of a residential care facility at the request of the
resident or resident's legal decisionmaker are exempt from
fingerprint and criminal background check requirements imposed by
community care licensing. This exemption does not apply to a person
who is a community care facility licensee or an employee of the
facility.
(G) Clergy and other spiritual caregivers who are performing
services in common areas of the residential care facility, or who are
advising an individual resident at the request of, or with
permission of, the resident, are exempt from fingerprint and criminal
background check requirements imposed by community care licensing.
This exemption does not apply to a person who is a community care
facility licensee or an employee of the facility.
(H) Any person similar to those described in this subdivision, as
defined by the department in regulations.
(I) Nothing in this paragraph shall prevent a licensee from
requiring a criminal record clearance of any individual exempt from
the requirements of this section, provided that the individual has
client contact.
(c) (1) (A) Subsequent to initial licensure, any person required
to be fingerprinted pursuant to subdivision (b) shall, as a condition
to employment, residence, or presence in a residential facility for
the elderly, be fingerprinted and sign a declaration under penalty of
perjury regarding any prior criminal convictions. The licensee shall
submit these fingerprint images and related information to the
Department of Justice and the Federal Bureau of Investigation,
through the Department of Justice, for a state and federal level
criminal offender record information search, or to comply with
paragraph (1) of subdivision (g) prior to the person's employment,
residence, or initial presence in the residential care facility for
the elderly.
(B) These fingerprint images and related information shall be
electronically transmitted in a manner approved by the State
Department of Social Services and the Department of Justice. A
licensee's failure to submit fingerprint images and related
information to the Department of Justice, or to comply with paragraph
(1) of subdivision (g), as required in this section, shall result in
the citation of a deficiency and an immediate assessment of civil
penalties in the amount of one hundred dollars ($100) per violation
per day for a maximum of five days, unless the violation is a second
or subsequent violation within a 12-month period in which case the
civil penalties shall be in the amount of one hundred dollars ($100)
per violation for a maximum of 30 days, and shall be grounds for
disciplining the licensee pursuant to Section 1569.50. The State
Department of Social Services may assess civil penalties for
continued violations as permitted by Section 1569.49. The licensee
shall then submit these fingerprint images to the State Department of
Social Services for processing. Documentation of the individual's
clearance or exemption shall be maintained by the licensee and be
available for inspection. The Department of Justice shall notify the
department, as required by Section 1522.04, and notify the licensee
by mail within 14 days of electronic transmission of the fingerprints
to the Department of Justice, if the person has no criminal record.
A violation of the regulations adopted pursuant to Section 1522.04
shall result in the citation of a deficiency and an immediate
assessment of civil penalties in the amount of one hundred dollars
($100) per violation per day for a maximum of five days, unless the
violation is a second or subsequent violation within a 12-month
period in which case the civil penalties shall be in the amount of
one hundred dollars ($100) per violation for a maximum of 30 days,
and shall be grounds for disciplining the licensee pursuant to
Section 1569.50. The department may assess civil penalties for
continued violations as permitted by Section 1569.49.
(2) Within 14 calendar days of the receipt of the fingerprint
images, the Department of Justice shall notify the State Department
of Social Services of the criminal record information, as provided
for in this subdivision. If no criminal record information has been
recorded, the Department of Justice shall provide the licensee and
the State Department of Social Services with a statement of that fact
within 14 calendar days of receipt of the fingerprint images. If new
fingerprint images are required for processing, the Department of
Justice shall, within 14 calendar days from the date of receipt of
the fingerprint images, notify the licensee that the fingerprint
images were illegible.
(3) Except for persons specified in paragraph (2) of subdivision
(b), the licensee shall endeavor to ascertain the previous employment
history of persons required to be fingerprinted under this
subdivision. If the State Department of Social Services determines,
on the basis of the fingerprint images submitted to the Department of
Justice, that the person has been convicted of a sex offense against
a minor, an offense specified in Section 243.4, 273a, 273d, 273g, or
368 of the Penal Code, or a felony, the State Department of Social
Services shall notify the licensee in writing within 15 calendar days
of the receipt of the notification from the Department of Justice to
act immediately to terminate the person's employment, remove the
person from the residential care facility for the elderly, or bar the
person from entering the residential care facility for the elderly.
The State Department of Social Services may subsequently grant an
exemption pursuant to subdivision (f). If the conviction was for
another crime, except a minor traffic violation, the licensee shall,
upon notification by the State Department of Social Services, act
immediately to either (1) terminate the person's employment, remove
the person from the residential care facility for the elderly, or bar
the person from entering the residential care facility for the
elderly or (2) seek an exemption pursuant to subdivision (f). The
department shall determine if the person shall be allowed to remain
in the facility until a decision on the exemption is rendered by the
department. A licensee's failure to comply with the department's
prohibition of employment, contact with clients, or presence in the
facility as required by this paragraph shall result in a citation of
deficiency and an immediate assessment of civil penalties by the
department against the licensee, in the amount of one hundred dollars
($100) per violation per day for a maximum of five days, unless the
violation is a second or subsequent violation within a 12-month
period in which case the civil penalties shall be in the amount of
one hundred dollars ($100) per violation for a maximum of 30 days,
and shall be grounds for disciplining the licensee pursuant to
Section 1569.50.
(4) The department may issue an exemption on its own motion
pursuant to subdivision (f) if the person's criminal history
indicates that the person is of good character based on the age,
seriousness, and frequency of the conviction or convictions. The
department, in consultation with interested parties, shall develop
regulations to establish the criteria to grant an exemption pursuant
to this paragraph.
(5) Concurrently with notifying the licensee pursuant to paragraph
(4), the department shall notify the affected individual of his or
her right to seek an exemption pursuant to subdivision (f). The
individual may seek an exemption only if the licensee terminates the
person's employment or removes the person from the facility after
receiving notice from the department pursuant to paragraph (4).
(d) (1) For purposes of this section or any other provision of
this chapter, a conviction means a plea or verdict of guilty or a
conviction following a plea of nolo contendere. Any action that the
department is permitted to take following the establishment of a
conviction may be taken when the time for appeal has elapsed, when
the judgment of conviction has been affirmed on appeal or when an
order granting probation is made suspending the imposition of the
sentence, notwithstanding a subsequent order pursuant to the
provisions of Sections 1203.4 and 1203.4a of the Penal Code
permitting a person to withdraw his or her plea of guilty and to
enter a plea of not guilty, or setting aside the verdict of guilty,
or dismissing the accusation, information, or indictment. For
purposes of this section or any other provision of this chapter, the
record of a conviction, or a copy thereof certified by the clerk of
the court or by a judge of the court in which the conviction
occurred, shall be conclusive evidence of the conviction. For
purposes of this section or any other provision of this chapter, the
arrest disposition report certified by the Department of Justice or
documents admissible in a criminal action pursuant to Section 969b of
the Penal Code shall be prima facie evidence of the conviction,
notwithstanding any other provision of law prohibiting the admission
of these documents in a civil or administrative action.
(2) For purposes of this section or any other provision of this
chapter, the department shall consider criminal convictions from
another state or federal court as if the criminal offense was
committed in this state.
(e) The State Department of Social Services may not use a record
of arrest to deny, revoke, or terminate any application, license,
employment, or residence unless the department investigates the
incident and secures evidence, whether or not related to the incident
of arrest, that is admissible in an administrative hearing to
establish conduct by the person that may pose a risk to the health
and safety of any person who is or may become a client. The State
Department of Social Services is authorized to obtain any arrest or
conviction records or reports from any law enforcement agency as
necessary to the performance of its duties to inspect, license, and
investigate community care facilities and individuals associated with
a community care facility.
(f) (1) After review of the record, the director may grant an
exemption from disqualification for a license as specified in
paragraphs (1) and (4) of subdivision (a), or for employment,
residence, or presence in a residential care facility for the elderly
as specified in paragraphs (4), (5), and (6) of subdivision (c) if
the director has substantial and convincing evidence to support a
reasonable belief that the applicant and the person convicted of the
crime, if other than the applicant, are of such good character as to
justify issuance of the license or special permit or granting an
exemption for purposes of subdivision (c). However, an exemption may
not be granted pursuant to this subdivision if the conviction was for
any of the following offenses:
(A) An offense specified in Section 220, 243.4, or 264.1,
subdivision (a) of Section 273a or, prior to January 1, 1994,
paragraph (1) of Section 273a, Section 273d, 288, or 289, subdivision
(c) of Section 290, or Section 368 of the Penal Code, or was a
conviction of another crime against an individual specified in
subdivision (c) of Section 667.5 of the Penal Code.
(B) A felony offense specified in Section 729 of the Business and
Professions Code or Section 206 or 215, subdivision (a) of Section
347, subdivision (b) of Section 417, or subdivision (a) of Section
451 of the Penal Code.
(2) The director shall notify in writing the licensee or the
applicant of his or her decision within 60 days of receipt of all
information from the applicant and other sources determined necessary
by the director for the rendering of a decision pursuant to this
subdivision.
(3) The department may not prohibit a person from being employed
or having contact with clients in a facility on the basis of a denied
criminal record exemption request or arrest information unless the
department complies with the requirements of Section 1569.58.
(g) (1) For purposes of compliance with this section, the
department may permit an individual to transfer a current criminal
record clearance, as defined in subdivision (a), from one facility to
another, as long as the criminal record clearance has been processed
through a state licensing district office, and is being transferred
to another facility licensed by a state licensing district office.
The request shall be submitted in writing to the department, and
shall include a copy of the person's driver's license or valid
identification card issued by the Department of Motor Vehicles, or a
valid photo identification issued by another state or the United
States government if the person is not a California resident. Upon
request of the licensee, who shall enclose a self-addressed stamped
envelope for this purpose, the department shall verify whether the
individual has a clearance that can be transferred.
(2) The State Department of Social Services shall hold criminal
record clearances in its active files for a minimum of two years
after an employee is no longer employed at a licensed facility in
order for the criminal record clearances to be transferred under this
section.
(h) If a licensee or facility is required by law to deny
employment or to terminate employment of any employee based on
written notification from the department that the employee has a
prior criminal conviction or is determined unsuitable for employment
under Section 1569.58, the licensee or facility shall not incur civil
liability or unemployment insurance liability as a result of that
denial or termination.
(i) Notwithstanding any other provision of law, the department may
provide an individual with a copy of his or her state or federal
level criminal offender record information search response as
provided to that department by the Department of Justice if the
department has denied a criminal background clearance based on this
information and the individual makes a written request to the
department for a copy specifying an address to which it is to be
sent. The state or federal level criminal offender record information
search response shall not be modified or altered from its form or
content as provided by the Department of Justice and shall be
provided to the address specified by the individual in his or her
written request. The department shall retain a copy of the individual'
s written request and the response and date provided.
1569.171. Prior to issuance to any person of a certificate of
completion of the administrator certification program pursuant to
Section 1569.616, the department shall secure from an appropriate law
enforcement agency a criminal record to determine if the person has
been convicted of a crime other than a minor traffic violation. Based
upon the criminal record information received, the department shall
take appropriate action as provided for in Section 1569.17.
1569.172. The Department of Justice may charge a fee sufficient to
cover its cost in providing services in accordance with Section
1569.17 to comply with the 14-day requirement for provision to the
department of the criminal record information, as contained in
subdivision (c) of Section 1569.17.
1569.175. (a) In addition to any other requirements of this
chapter, any residential care facility for the elderly providing
residential care for six or fewer persons at which the owner does not
reside shall provide a procedure approved by the licensing agency
for immediate response to incidents and complaints. This procedure
shall include a method of assuring that the owner, licensee, or
person designated by the owner or licensee is notified of the
incident, that the owner, licensee, or person designated by the owner
or licensee has personally investigated the matter, and that the
person making the complaint or reporting the incident has received a
response of action taken or a reason why no action needs to be taken.
(b) In order to assure the opportunity for complaints to be made
directly to the owner, licensee, or person designated by the owner or
licensee, and to provide the opportunity for the owner, licensee, or
person designated by the owner or licensee to meet residents and
learn of problems in the neighborhood, any facility with a
nonresident owner shall establish a fixed time on a weekly basis when
the owner, licensee, or person designated by the owner or licensee
will be present.
(c) Facilities with nonresident owners shall establish procedures
to comply with the requirements of this section on or before July 1,
1987.
1569.185. (a) An application fee adjusted by facility and capacity
shall be charged by the department for the issuance of a license to
operate a residential care facility for the elderly. After initial
licensure, a fee shall be charged by the department annually on each
anniversary of the effective date of the license.
The fees are for the purpose of financing activities specified in
this chapter. Fees shall be assessed as follows:
Fee Schedule
Initial
Capacity Application Annual
1-3 $413 $413
4-6 $825 $413
7-15 $1,239 $619
16-30 $1,650 $825
31-49 $2,064 $1,032
50-74 $2,477 $1,239
75-100 $2,891 $1,445
101-150 $3,304 $1,652
151-200 $3,852 $1,926
201-250 $4,400 $2,200
251-300 $4,950 $2,475
301-350 $5,500 $2,750
351-400 $6,050 $3,025
401-500 $7,150 $3,575
501-600 $8,250 $4,125
601-700 $9,350 $4,675
701+ $11,000 $5,500
(b) (1) In addition to fees set forth in subdivision (a), the
department shall charge the following fees:
(A) A fee that represents 50 percent of an established application
fee when an existing licensee moves the facility to a new physical
address.
(B) A fee that represents 50 percent of the established
application fee when a corporate licensee changes who has the
authority to select a majority of the board of directors.
(C) A fee of twenty-five dollars ($25) when an existing licensee
seeks to either increase or decrease the licensed capacity of the
facility.
(D) An orientation fee of fifty dollars ($50) for attendance by
any individual at a department-sponsored orientation session.
(E) A probation monitoring fee equal to the annual fee, in
addition to the annual fee for that category and capacity for each
year a license has been placed on probation as a result of a
stipulation or decision and order pursuant to the administrative
adjudication procedures of the Administrative Procedure Act (Chapter
4.5 (commencing with Section 11400) and Chapter 5 (commencing with
Section 11500) of Part 1 of Division 3 of Title 2 of the Government
Code).
(F) A late fee that represents an additional 50 percent of the
established annual fee when any licensee fails to pay the annual
licensing fee on or before the due date as indicated by postmark on
the payment.
(G) A fee to cover any costs incurred by the department for
processing payments including, but not limited to, bounced check
charges, charges for credit and debit transactions, and postage due
charges.
(H) A plan of correction fee of two hundred dollars ($200) when
any licensee does not implement a plan of correction on or prior to
the date specified in the plan.
(2) No local jurisdiction shall impose any business license, fee,
or tax for the privilege of operating a facility licensed under this
chapter which serves six or fewer persons.
(c) (1) The revenues collected from licensing fees pursuant to
this section shall be utilized by the department for the purpose of
ensuring the health and safety of all individuals provided care or
supervision by licensees and to support the activities of the
licensing programs, including, but not limited to, monitoring
facilities for compliance with licensing laws and regulations
pursuant to this chapter, and other administrative activities in
support of the licensing program, when appropriated for these
purposes. The revenues collected shall be used in addition to any
other funds appropriated in the annual Budget Act in support of the
licensing program.
(2) The department shall not utilize any portion of these revenues
sooner than 30 days after notification in writing of the purpose and
use, as approved by the Department of Finance, to the Chairperson of
the Joint Legislative Budget Committee, and the chairpersons of the
committee in each house that considers appropriations for each fiscal
year. The department shall submit a budget change proposal to
justify any positions or any other related support costs on an
ongoing basis.
(d) A residential care facility for the elderly may use a bona
fide business check to pay the license fee required under this
section.
(e) The failure of an applicant for licensure or a licensee to pay
all applicable and accrued fees and civil penalties shall constitute
grounds for denial or forfeiture of a license.
1569.19. A license shall be forfeited by operation of law prior to
its expiration date when one of the following occurs:
(a) The licensee sells or otherwise transfers the facility or
facility property, except when change of ownership applies to
transferring of stock when the facility is owned by a corporation and
when the transfer of stock does not constitute a majority change in
ownership. The sale of a facility shall be subject to the
requirements of this chapter.
(b) The licensee surrenders the license to the department.
(c) The licensee moves a facility from one location to another.
The department shall develop regulations to ensure that the
facilities are not charged a full licensing fee and do not have to
complete the entire application process when applying for a license
for the new location.
(d) The licensee is convicted of an offense specified in Section
220, 243.4, or 264.1, or paragraph (1) of Section 273a, Section 273d,
288, or 289 of the Penal Code, or is convicted of another crime
specified in subdivision (c) of Section 667.5 of the Penal Code.
(e) The licensee dies. When a licensee dies, the continued
operation shall be subject to the requirements of Section 1569.193.
(f) The licensee abandons the facility.
1569.191. (a) Notwithstanding Section 1569.19, in the event of a
sale of a licensed facility where the sale will result in a new
license being issued, the sale and transfer of property and business
shall be subject to both of the following:
(1) The licensee shall provide written notice to the department
and to each resident or his or her legal representative of the
licensee's intent to sell the facility at least 30 days prior to the
transfer of the property or business, or at the time that a bona fide
offer is made, whichever period is longer.
(2) The licensee shall, prior to entering into an admission
agreement, inform all residents, or their legal representatives,
admitted to the facility after notification to the department, of the
licensee's intent to sell the property or business.
(b) Except as provided in subdivision (e), the property and
business shall not be transferred until the buyer qualifies for a
license or provisional license within the appropriate provisions of
this chapter.
(1) The seller shall notify, in writing, a prospective buyer of
the necessity to obtain a license, as required by this chapter, if
the buyer's intent is to continue operating the facility as a
residential care facility for the elderly. The seller shall send a
copy of this written notice to the licensing agency.
(2) The prospective buyer shall submit an application for a
license, as specified in Section 1569.15, within five days of the
acceptance of the offer by the seller.
(c) No sale of the facility shall be permitted until 30 days have
elapsed from the date upon which notice has been provided pursuant to
paragraphs (1) and (2) of subdivision (a).
(d) The department shall give priority to applications for
licensure that are submitted pursuant to this section in order to
ensure timely transfer of the property and business. The department
shall make a decision within 60 days after a complete application is
submitted on whether to issue a license pursuant to Section 1569.15.
(e) If the parties involved in the transfer of the property and
business fully comply with this section, then the transfer may be
completed and the buyer shall not be considered to be operating an
unlicensed facility while the department makes a final determination
on the application for licensure.
(f) Facilities that are subject to Chapter 10 (commencing with
Section 1770) of Division 2, including Section 1789.4, shall not be
subject to paragraph (1) of subdivision (a), and subdivisions (c) and
(d).
1569.193. (a) When a licensee dies, an adult relative, or other
nonrelated adult, who has control of the property may be designated
as the responsible party to continue operation of the facility if the
following conditions are met:
(1) The licensee has filed a notarized written statement with the
department designating the responsible party in the event of death,
and the licensee has submitted the following information to the
department:
(A) A notarized statement, signed by the designee acknowledging
acceptanc
