Cal. Code Regs. Tit. 9, § 9868 - Proof of Enrollment Certificates
(a) The DUI program shall issue a Proof of
Enrollment Certificate (Form DL 107, Revised 7-06) to the Department of Motor
Vehicles upon request at any point during the period of enrollment. The DUI
program shall complete the certificate in electronic format, or by typewriter
or by printing legibly in ink. The Proof of Enrollment shall have a unique,
pre-printed number, assigned by the Department of Motor Vehicles, and shall be
completed and issued pursuant to Section
120.01 of Title 13.
(1) The program director may sign the Proof
of Enrollment Certificates and may designate up to two employees to sign the
certificates.
(A) If the program director
authorizes a designee to sign Proof of Enrollment Certificate on his/her
behalf, the DUI program shall retain a copy of the written authorization in its
files.
(B) The Proof of Enrollment
Certificate shall not be signed until the individual signing has verified that
the participant has completed enrollment forms including a participant contract
and fee payment agreement.
(b) The DUI program shall maintain a program
log, typed or printed in ink, to record the receipt, issuance and/or other
disposition of each numbered Proof of Enrollment Certificate. At the DUI
program's option this program log may be in electronic format if a certificate
is issued electronically. The log shall contain, at a minimum, the information
listed in subdivision (f)(5).
(c)
If the DUI program makes an error while completing the Proof of Enrollment
Certificate, the DUI program shall:
(1) Write
"VOID" in large letters across the original and all copies of the Proof of
Enrollment Certificate;
(2) Store
the voided copies of the Proof of Enrollment Certificate in sequential order in
the program log;
(3) Note in the
program log that the Proof of Enrollment Certificate was voided; and
(4) Inform the Department of Motor Vehicles
of the Proof of Enrollment Certificate numbers voided. The DUI program shall
report the voided Proofs of Enrollment Certificates to the Department of Motor
Vehicles on a monthly basis.
(d) The DUI program shall destroy voided
Proof of Enrollment Certificates only after Department staff or county staff
have reviewed the Proof of Enrollment Certificates during an on-site compliance
review, and have authorized, in writing, their destruction. The method of
destruction shall render the Proof of Enrollment Certificates
useless.
(e) When the DUI program
receives a book containing one or more Proof of Enrollment Certificates that
were damaged during manufacturing or shipping, the DUI program shall either
immediately return the entire book of 50 to the Department of Motor Vehicles or
void the individual damaged Proof of Enrollment Certificates and use the
remaining ones in the book.
(1) To return the
entire book to the Department of Motor Vehicles the DUI program shall:
(A) Submit the entire book to the Department
of Motor Vehicles, with a written request for free replacement; and
(B) Note in the program log that the Proof of
Enrollment Certificates were damaged and returned to the Department of Motor
Vehicles.
(2) To void and
destroy the damaged certificates, the DUI program shall:
(A) Write "void" through the damaged
certificates; and
(B) Obtain a
signed written authorization for destruction from a Department or county staff
person during an on-site review. The authorization for destruction shall
contain the following information:
1. The DUI
program name and license number;
2.
The date of review;
3. The period
reviewed;
4. The printed numbers of
the Proof of Enrollment Certificates that were reviewed;
5. The printed numbers of void Proof of
Enrollment Certificates that were authorized for destruction;
6. The name, title, and signature of the
Department or county staff person conducting the on-site compliance
review;
7. The printed numbers of
the void Proof of Enrollment Certificates that were destroyed;
8. The proposed date of
destruction;
9. The method of
destruction to be used; and
10. The
name, title, and signature of the DUI program
director.
(3)
The DUI program shall destroy the damaged certificates after a Department or
county staff person reviews and signs the authorization for
destruction.
(4) The DUI program
shall retain the written authorization for destruction with the program log for
four years from the date of destruction.
(f) If an eligible participant requests a
Proof of Enrollment Certificate because the participant was referred by the
court and the court requires a copy, the DUI program shall:
(1) Issue the original copy of the Proof of
Enrollment Certificate to the Department of Motor Vehicles;
(2) Issue the court copy to the court of
conviction;
(3) Provide the
participant copy to the participant or a receipt, if submitted
electronically;
(4) Retain the
program copy in the participant's record; and
(5) Enter the following information into the
program log in sequential order by printed Proof of Enrollment Certificate
number or by date if submitted electronically:
(A) The printed number of the Proof of
Enrollment Certificate;
(B) The
name of the participant to whom the Proof of Enrollment Certificate was
issued;
(C) The date the Proof of
Enrollment Certificate was issued;
(D) The name of the DUI program staff person
who issued the Proof of Enrollment Certificate; and
(E) The participant record identification
number, if applicable.
(g) If a Proof of Enrollment Certificate
issued to the Department of Motor Vehicles has been lost or destroyed, the DUI
program shall issue a duplicate Proof of Enrollment to the Department of Motor
Vehicles.
(h) At the time the DUI
program receives a book of blank copies of the Proof of Enrollment Certificates
from the Department of Motor Vehicles, the DUI program shall inspect the book
of certificates to ensure the full order is included and undamaged and record
the sequential numbers of the certificates received. The DUI program shall
maintain a record of certificates received in a separate location from the
Proof of Enrollment Certificates and shall secure the blank Proof of Enrollment
Certificates in a locked desk, file, or cabinet which is not accessible to
program participants.
(i) The DUI
program shall issue a Proof of Enrollment Certificate exclusively to
participants who have enrolled pursuant to Section
9848.
(j) The DUI program shall issue a Proof of
Enrollment Certificate only for the type of program specified on the license
issued by the Department.
(k) The
DUI program shall not sell or transfer Proof of Enrollment Certificate to
another DUI program or to any other entity.
(l) If the DUI program discovers that a blank
Proof of Enrollment Certificate has been lost, stolen, or otherwise misplaced,
the DUI program shall report the serial numbers of the lost certificates to the
Department of Motor Vehicles pursuant to Section
120.02 of Title 13.
(1) The DUI program shall identify the
following information in the written report and program log:
(A) The printed serial numbers of the lost,
stolen, or misplaced Proof of Enrollment Certificates; and
(B) The date the loss was
discovered.
(2) The DUI
program shall retain in its business records a copy of the written report and a
copy of the police or sheriff's department report until Department staff or
county staff have reviewed the reports during an on-site compliance review, and
they have authorized in writing the destruction of the
reports.
(m) Within ten
days of the date that the DUI program ceases program operation or the date that
the DUI program's license is revoked, the DUI program shall return to the
Department of Motor Vehicles by certified mail its unused supply of blank Proof
of Enrollment Certificates.
Notes
2. Amendment of section heading, section and NOTE filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
Note: Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Section 11836.15, Health and Safety Code.
2. Amendment of section heading, section and Note filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
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