Introduction: Deficiency Regulations (RCFE)

 

Licensing Fees 80036
Licensing fees are charged to the applicant or licensee as specified by Health and Safety Code Section 1523.1. Additional fees are charged when requesting an increase or decrease in the number of clients a facility can care for. A nonrefundable fee will be charged for qualified relocation of a facility.

Denial of Initial License 80040
If the applicant does not comply with applicable laws and regulations then the licensing agency will deny the initial license application. However, an exception may be made based on urgent need, as long as there has been substantial compliance. Section 80030 allows for a provisional license to be issued in such cases.

If the applicant has failed to pay civil penalties and has received a final judgment from a court of law, then the licensing agency can deny the initial licence application. This denial may be avoided if acceptable payment arrangements are made.

If the applicant is a parent who has administered or will administer corporal punishment (hitting, spanking), he or she will not be denied an initial license based only on this unless the punishment reaches the level of child abuse.

Refer to Health and Safety Code Sections 1.520.1 1(b), (d) and 1550 for further information on denial of the application.

When the license is denied, the licensing agency will mail a written notice of appeal to the applicant. This notice includes the reasons for denial and informs the applicant of the right to appeal the decision (see Health and Safety Code Section 1526). Even when an appeal is made, the application processing fee is forfeited and the facility remains unlicensed. It will not be allowed to operate until the director of the licensing agency makes a formal decision on the denial appeal.

Revocation or Suspension of License 80042
Refer to Health and Safety Code Sections 1550 and 1550.5 for more grounds for suspension or revocation of licensing. Refer to HSC Section 1551 for information regarding revocation or suspension hearing proceedings.

Inspection Authority of the Licensing Agency 80044
The licensing agency has the authority to interview clients and staff members without obtaining prior consent. Children are included under this authority. All interviews will be kept private.

The licensing agency has the right and responsibility to observe the physical condition of clients. If signs of abuse, neglect, or inappropriate placement are observed, a licensed medical professional may be brought in for further examination.

The licensing agency reserves the right to inspect, audit, and copy client or facility records at any time during normal business hours. These records can also be taken from the facility if necessary (see Sections 80066 and 80070). The licensee is required to make sure that all records relating to the operation of the facility are available for examination at all times.

Evaluation Visits 80045
There is no limit to the number of times the licensing agency may visit a community care facility to evaluate compliance with law and regulations. These evaluations are done according to HSC Sections 1534 and 1548.

Exclusions 80046
HSC Sections 1558 and 1558.1 state that individuals can be prohibited from being employed by a licensed facility or serving on the board of directors. Executive directors and officers can also be prohibited.

Deficiencies in Compliance 80052
A notice of deficiency is issued when a deficiency is found during the course of a licensing evaluation, unless the deficiency is not serious and is corrected immediately. The notice must be in writing and include a citation of the violated statute or regulation, a description of the deficiency and where it occurred, the proposed plan of correction, the date for completion of corrections, the penalty assessed, and contact information for the responsible licensing office.

Before completing an evaluation, the evaluator will meet with the licensee or the person in charge of the facility to personally deliver the notice of deficiency, discuss the deficiencies, and develop a plan of corrections. If the licensee is not available, an additional copy of the notice will be mailed to the licensee. If the notice is refused, the refusal will be written on the notice and left at the facility. If the licensee is not present a second copy of the refused notice will be mailed to the licensee.

The evaluator determines the date for correcting a deficiency by considering the potential hazard, the number of clients affected, the availability of equipment or personnel, and the estimated time for delivery and installation of necessary equipment. Unless the evaluator determines that the corrections will need more than 30 calendar days to be properly completed, the date for correcting a deficiency must be within 30 days of delivery of the notice of deficiency.

Follow-Up Visits to Determine Compliance 80053
To determine compliance, a follow-up visit will be conducted within ten working days of the specified date of correction. If the issues were corrected while the evaluator was present then there is no need for a follow-up visit and no penalty will be assessed. If a follow-up visit finds that a deficiency has not been corrected, then a written notice of penalty will be issued. This notice will include the amount of the penalty, the due date, and name and address of the agency responsible for collection.

Penalties 80054
Immediate penalty assessment begins on the day the deficiency is cited. If a licensee or representative reports to the agency that a deficiency has been corrected, the penalty will cease that day. If it can be verified that the correction was made prior to the date of notification, the penalty will cease as of the earlier date. However, if an immediate civil penalty has been assessed, then even if the deficiency was corrected on the same day the penalty will still be assessed for that day. But if the deficiency has not actually been corrected, civil penalties will continue to accrue from the original date. If necessary, a site visit will be made within five working days to confirm correction.

All penalties are due upon receipt of notice for payment unless otherwise ordered by the Department. They will be paid to the indicated agency by check or money order. The licensing agency has the authority to file a claim in a court or to take other appropriate action for failure to pay penalties.
 
Violations, Penalties, and Timelines

ViolationImmediate PenaltyPenalty for Subsequent/Uncorrected Violation
Serious deficiency not corrected$50 per violation, up to $150$50 per day per violation, up to $150 per day
Fingerprinting violations$100 per violation per day, up to 5 daysWithin 12 months of original violation:
$100 per violation per day, up to 30 days
Client sickness, injury, or death as a result of deficiency$150$150 per day
Re-violation of deficiency within 2 months$150 per violation$50 per day per violation until corrected
Re-violation of deficiency subject to immediate penalty within 12 months$150 per violation$150 per day per violation until corrected
Any uncorrected deficiencyPenalty assessedPenalty assessed for each day late until corrected

 
Regarding fingerprint violations:
Fingerprint violations include failure to obtain a California clearance or a criminal record exemption, failure to request a transfer of criminal record clearance, and failure to request and be approved for a transfer prior to working, residing, or volunteering in an ARF facility.

 

Source

Manual of Policies and Procedures, Community Care Licensing Division, General Licensing Requirements, Title 22, Division 6, Chapter 1. State of California, Health and Human Services Agency, Department of Social Services, 2 May 2017.

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