Cal. Code Regs. Tit. 17, § 54370 - Termination of Vendorization for Noncompliance

(a) The vendoring regional center shall be responsible for ensuring that vendors within its service catchment area comply with the vendorization requirements. Except as specified in section 54372 of these regulations, the regional center shall take the actions as appropriate for the violations specified in (b) and (c) below.

(b) Vendorization shall be terminated at the end of the first working day after written notification is received from the vendoring regional center if any of the following conditions exist:

(1) The vendor is serving consumers without a current license, credential, registration, accreditation, certificate, degree or permit that is required for the performance or operation of the service;

(2) Vendorization has been transferred to another person or entity;

(3) The vendor has refused to make available any books and records pertaining to the vendored service, including those of the management organization, for audit, inspection or reproduction by regional center, Department or authorized agency representative staff;

(4) The service currently provided is not the same service that was approved for vendorization;

(5) The vendor is using planned behavior modification interventions that cause pain or trauma without meeting the conditions specified in title 17, sections 50800 through 58023.

(6) The vendor is transporting consumers using a driver who does not possess a valid driver's license appropriate for the vehicle being driven.

(7) The regional center has determined that continued utilization of the vendor threatens the health and safety of the consumer(s).

(8) The vendor knowingly and willfully makes or causes to be made a false statement or representation, including omissions, of any vendor application information specified in Section 54310 upon initial application or request for information from the regional center.

(9) The vendor or any person with an ownership or control interest in the vendor, or person who is a director, officer, or managing employee of a vendor, has been determined to be an excluded individual or entity as defined in Section 54302(b)(1).

(c) If a vendor is not in compliance with any requirement, other than those specified in (b) above, vendorization shall be terminated 30 days after written notification from the vendoring regional center.

(d) The written notification pursuant to (b) or (c) above shall:

(1) Be sent by registered return receipt requested mail with a copy to any user regional center(s); and

(2) Include all of the following:

(A) A description of the specific violation(s);

(B) A reference to the statute(s) or regulation(s) with which the vendor is not complying; and

(C) The date on which vendorization will be terminated unless action pursuant to (e) or (f) below is taken by the vendor.

(e) Termination pursuant to (b) above shall not occur if the vendor notifies the vendoring regional center, in writing, prior to the expiration of the period specified in the notice, of the vendor's intent to take either of the following actions:

(1) Correct the violation(s) and provide documentation of the correction to the vendoring regional center within 30 days from receipt of the notice; or

(2) File an appeal within 30 days from receipt of the notice in accordance with section 54380 of these regulations.

(3) If, within the 30-day period, the vendor fails to correct the violation and provide documentation pursuant to (1) above or to file an appeal pursuant to (2) above, vendorization will be terminated effective immediately.

(f) Termination pursuant to (c) above shall not occur if the vendor takes either of the following actions prior to the expiration of the period specified in the notice:

(1) Corrects the violation(s) and provides documentation of the correction to the vendoring regional center; or

(2) Files an appeal in accordance with section 54380 of these regulations.

(g) Action taken by the vendor pursuant to (e) or (f) above shall not preclude the vendoring regional center nor any user regional center from withdrawing purchase of service authorizations if necessary to protect the health, safety and welfare of the consumers.

(h) Regional Centers may place a moratorium on new referrals during the appeal process or until such violations have been corrected.

(i) No provision of this section shall be construed to supersede or replace the monitoring or corrective action plan provisions for residential facilities contained in title 17, sections 56550 through 56610.

Notes

Cal. Code Regs. Tit. 17, § 54370

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending subsections (b)(1), (b)(6) and (e)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
6. Amendment of subsection (a), new subsection (b)(7) and amendment of NOTE filed 10-9-2003 as an emergency; operative 10-9-2003 (Register 2003, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-6-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (a), new subsection (b)(7) and amendment of NOTE refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsection (a), new subsection (b)(7) and amendment of NOTE refiled 6-1-2004 as an emergency; operative 6-1-2004 (Register 2004, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-2004 or emergency language will be repealed by operation of law on the following day.
9. Amendment of subsection (b)(1) and amendment of NOTE filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 6-1-2004 order, including amendment of subsection (d)(1)(C), new subsections (e)-(e)(3) and (h), subsection relettering and amendment of newly designated subsections (f) and (g), transmitted to OAL 9-15-2004 and filed 10-28-2004 (Register 2004, No. 44).
11. Reinstatement of section as it existed prior to 7-22-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 49).
12. Amendment of subsection (b)(1) and amendment of NOTE refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
13. Amendment of subsection (b)(1) and amendment of NOTE refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 3-30-2005 order, including amendment of subsection (b)(1), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
15. Amendment of subsection (b)(5), new subsections (b)(8)-(9), amendment of subsection (d)(1) and amendment of NOTE filed 12-27-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 12-27-2011 (Register 2011, No. 52). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 12-27-2011 order transmitted to OAL 2-15-2013 and filed 4-2-2013 (Register 2013, No. 14).

Note: Authority cited: Sections 4405, 4648(a), 4648.12(c)(1)(A) and 4866, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a), 4648.12 and 4861(c), Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Sections 455.104, 455.105 and 455.106.

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending subsections (b)(1), (b)(6) and (e)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
6. Amendment of subsection (a), new subsection (b)(7) and amendment of Note filed 10-9-2003 as an emergency; operative 10-9-2003 (Register 2003, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-6-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (a), new subsection (b)(7) and amendment of Note refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsection (a), new subsection (b)(7) and amendment of Note refiled 6-1-2004 as an emergency; operative 6-1-2004 (Register 2004, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-2004 or emergency language will be repealed by operation of law on the following day.
9. Amendment of subsection (b)(1) and amendment of Note filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 6-1-2004 order, including amendment of subsection (d)(1)(C), new subsections (e)-(e)(3) and (h), subsection relettering and amendment of newly designated subsections (f) and (g), transmitted to OAL 9-15-2004 and filed 10-28-2004 (Register 2004, No. 44).
11. Reinstatement of section as it existed prior to 7-22-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 49).
12. Amendment of subsection (b)(1) and amendment of Note refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
13. Amendment of subsection (b)(1) and amendment of Note refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 3-30-2005 order, including amendment of subsection (b)(1), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
15. Amendment of subsection (b)(5), new subsections (b)(8)-(9), amendment of subsection (d)(1) and amendment of Note filed 12-27-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 12-27-2011 (Register 2011, No. 52). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 12-27-2011 order transmitted to OAL 2-15-2013 and filed 4-2-2013 (Register 2013, No. 14).