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California Code of Regulations
Title 17, Division 2
Chapter 3 - Community Services
SubChapter 4 - Residential Services and Quality Assurance Regulations
Article 9 - Corrective Action Plans and Sanctions
§56057. Sanctions.
§56057. Sanctions.
 
(a) The regional center shall apply sanction(s) to the facility when:
(1) A substantial inadequacy is not corrected within the time frame specified in the CAP developed pursuant to Section 56056 ; or
(2) There are two findings of substantial inadequacy in the same facility within any twelve-month period.
(b) If the regional center determines that the substantial inadequacy(ies) is related to the basic staffing level or the additional weekly direct care staff hours being provided by a facility, the regional center may reduce the approved service level to the level associated with the total number of staff hours actually being provided by the facility.
(c) In determining the number of staff hours being provided by a facility, the regional center shall determine the basic staffing level and the average number of direct care staff hours provided by the facility during a minimum of four one-week periods during the previous 12 months.
(d) In all findings of substantial inadequacy, the regional center may:
(1) Meet with the consumer, or the consumer's authorized representative, to discuss the situation, recommend relocation, and discuss the consequences of refusing to relocate; or
(2) Not place consumers into the facility until the facility complies with the CAP.
(e) In addition to the actions specified in subsection (d), the regional center may, upon discovering that a finding of substantial inadequacy pursuant to Section 56054 (a)(11)(A) through (C) has not been corrected within the time frame specified in the CAP developed pursuant to Section 56056 , take one of the following actions:
(1) Recover any misused, undocumented or unreported portion of the Welfare and Institutions Code Section 4681.4(a) or (b) rate increase funds; or
(2) Offset an amount equal to the misused, undocumented or unreported portion of the Welfare and Institutions Code Section 4681.4(a) or (b) rate increase funds from future reimbursements to the licensee.
(f) When the regional center determines the appropriate sanction, the regional center shall provide written notification to the administrator, by certified mail, return receipt requested, of the following:
(1) The action(s) to be taken;
(2) The reason(s) for such action(s); and
(3) The administrator's appeal rights pursuant to Sections 56061 through 56067 .
Note

Authority cited: Section 11152, Government Code; Sections 4681.1, 4695.2(e) and 4748, Welfare and Institutions Code. Reference: Sections 4648, 4648.1, 4648.2, 4695.2, 4745, 4746 and 4747, Welfare and Institutions Code.
History
1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction of History 2 (Register 94, No. 47).
5. Editorial correction of subsection (e)(3) (Register 95, No. 18).
6. Change without regulatory effect amending Note filed 12-2-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 49).
7. Repealer of subsections (d)(1) and (d)(1)(A), redesignation of former subsection (d)(1)(B) as new subsection (d)(1), new subsections (e)-(e)(2), subsection relettering, and amendment of Note filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
8. Repealer of subsections (d)(1) and (d)(1)(A), designation of former subsection (d)(1)(B) as new subsection (d)(1), new subsections (e)-(e)(2), subsection relettering, and amendment of Note refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
9. Repealer of subsections (d)(1) and (d)(1)(A), redesignation of former subsection (d)(1)(B) as new subsection (d)(1), new subsections (e)-(e)(2), subsection relettering, and amendment of Note refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day.
10. Reinstatement of section as it existed prior to 9-9-99 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 2).
11. Repealer of subsections (d)(1) and (d)(1)(A), redesignation of former subsection (d)(1)(B) as new subsection (d)(1), new subsections (e)-(e)(2), subsection relettering, and amendment of Note filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
12. Repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
13. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30).
14. Repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
15. Refiling of 7-26-2000 order, including amendment of subsections (d)-(d)(1) and (e)(1)-(2), 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
17. Change without regulatory effect amending Note filed 2-28-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 9).