BILL NUMBER: AB 1122 INTRODUCED
BILL TEXT
INTRODUCED BY Assembly Member Brown
FEBRUARY 27, 2015
An act to amend Sections 1569.38, 1569.47, 1569.49, 1569.58, and
1569.595 of, and to add Section 1569.356 to, the Health and Safety
Code, relating to residential care facilities.
LEGISLATIVE COUNSEL'S DIGEST
AB 1122, as introduced, Brown. Residential care facilities for the
elderly: excluded persons.
Existing law, the California Residential Care Facilities for the
Elderly Act, provides for the licensure and regulation of residential
care facilities for the elderly by the State Department of Social
Services. A person who violates the act, or who willfully or
repeatedly violates any rule or regulation adopted under the act, is
guilty of a misdemeanor.
Among other things, the act authorizes the department to prohibit
a licensee from employing, or continuing the employment of, or
allowing in a licensed facility, or allowing contact with clients of
a licensed facility by, any employee, prospective employee, or person
who is not a client who has engaged in specified behavior, including
violating the act or engaging in conduct inimical to the health or
safety of a person in a facility. The act requires that the excluded
person, the facility, and the licensee be given written notice of the
basis of the department's action and of the excluded person's right
to an appeal. The act requires a licensed residential care facility
for the elderly to provide written notice to a resident, the resident'
s responsible party, if any, and the local long-term care ombudsman,
within 10 days from the occurrence of specified events, including
when the department commences proceedings to suspend or revoke the
license of the facility. The act also requires a placement agency, as
defined, to notify the appropriate licensing agency of any known or
suspected incidents that would jeopardize the health or safety of
residents in a residential care facility for the elderly and
describes reportable incidents for that purpose.
The act also authorizes the department to levy a civil penalty for
a violation of the act, as specified, and to assess an immediate
civil penalty of $150 per day per violation for certain violations
that the act deems to be serious violations.
This bill would require the department, by January 1, 2017, to
prominently display on the left side of its main Internet Web site a
link to the comprehensive list of all individuals, and associated
information, who have been the subject of an administrative action
since January 1, 1990, resulting in a license revocation or denial,
or probation, or an individual exclusion or probation, as specified.
The list would be known as the Excluded Persons Administrative Action
List (EPAAL) and would contain specified information, including the
name of the individual and of the associated facility, and the status
and effective date of each administrative action taken. The bill
would require the list to be updated every 30 days.
This bill would require a licensee to provide written notice to a
resident, the resident's responsible party, if any, and the local
long-term care ombudsman, within 10 days of receiving a served notice
from the department identifying an excluded person pursuant to an
administrative action, and would make a related change. The bill
would provide that the presence of an individual who is listed on the
EPAAL is a reportable incident for purposes of the provision
requiring a placement agency to notify the appropriate licensing
agency of any known or suspected incidents that would jeopardize the
health or safety of residents in a residential care facility for the
elderly. The bill would require a licensee, within 24 hours after
receiving notice of the department's action to exclude a person, to
post next to the facility license the department's unredacted letter,
and would make a related change. The bill would also provide that
the failure of the licensee to check the EPAAL or post the department'
s served notice of an excluded person would be a serious violation
and subject to an immediate civil penalty of $150 per day per
violation.
By creating new crimes, the bill would impose a state-mandated
local program.
The California Constitution requires the state to reimburse local
agencies and school districts for certain costs mandated by the
state. Statutory provisions establish procedures for making that
reimbursement.
This bill would provide that no reimbursement is required by this
act for a specified reason.
Vote: majority. Appropriation: no. Fiscal committee: yes.
State-mandated local program: yes.
THE PEOPLE OF THE STATE OF CALIFORNIA DO ENACT AS FOLLOWS:
SECTION 1. Section 1569.356 is added to the Health and Safety
Code, immediately following Section 1569.355, to read:
1569.356. (a) By January 1, 2017, the department shall
prominently display on the left side of its main Internet Web site a
link to the comprehensive list of all individuals, and associated
information, who have been the subject of an administrative action
since January 1, 1990, resulting in a license revocation or denial,
or probation, or an individual exclusion or probation, regardless of
whether the license revocation, denial, or probation, or individual
exclusion or probation has been appealed and a reinstatement was
received. The list shall be known as, and may be referred to as, the
Excluded Persons Administrative Action List (EPAAL). The list shall
contain the following information for each entry:
(1) The name of the individual, including his or her first,
middle, and last name.
(2) The name and address, including the city and ZIP Code of the
associated facility.
(3) The legal case tracking system case number, including any
suffixes.
(4) The type of document, including any attachments, and the date
of the document.
(5) The status and effective date of each administrative action
taken.
(6) A violation code, using the protocol established in the legal
case tracking system.
(7) A comments field, including a notation indicating whether the
designation "under appeal," "denial of appeal," "reinstatement," or
"denial of reinstatement" applies.
(b) The list shall be updated and reposted to the Internet Web
site every 30 days.
(c) An individual or facility name shall not be removed from the
list.
(d) The department shall provide detailed instructions in a
prominent place on the department's Internet Web site near or
associated with the link to the EPAAL to consumers on how to obtain
copies of administrative action documents referred to on the EPAAL.
SEC. 2. Section 1569.38 of the Health and Safety Code is amended
to read:
1569.38. (a) Each residential care facility for the elderly shall
place in a conspicuous place copies of all licensing reports issued
by the department within the preceding 12 months, and all licensing
reports issued by the department resulting from the most recent
annual visit of the department to the facility. This subdivision
shall not apply to any portion of a licensing report referring to a
complaint that was found by the department to be unfounded or
unsubstantiated. The facility, during the admission process, shall
inform the resident and the resident's responsible person in writing
that licensing reports are available for review at the facility, and
that copies of licensing reports and other documents pertaining to
the facility are available from the appropriate district office of
the department. The facility shall provide the telephone number and
address of the appropriate district office.
(b) A licensed residential care facility for the elderly shall
provide written notice to a resident, the resident's responsible
party, if any, and the local long-term care ombudsman, within 10 days
from the occurrence of either any of
the following events:
(1) The department commences proceedings to suspend or revoke the
license of the facility pursuant to Section 1569.50.
(2) A criminal action that relates to the health or safety of the
residents is brought against the licensed residential care facility.
(3) The licensee has received a served notice from the department
identifying an excluded person pursuant to an administrative action.
(c) The notice provided to a resident and the resident's
responsible party, if any, shall include the name and contact
information for the local long-term care ombudsman and for the
Community Care Licensing Division of the department with a statement
that directs the resident or the resident's responsible party to
contact the division for information on the license status of the
facility.
(d) The notice, described in subdivision (b), provided to a
resident and the resident's responsible party, if any, shall include
the reason given for the commencement of proceedings to suspend or
revoke the license of the facility, or the reason given for criminal
action brought against the licensed residential care facility ,
or the reason given pursuant to subdivision (b) of Section 1569.58
for the exclusion of an individual pursuant to any administrative
action taken by the department .
(e) Upon providing the notice described in subdivision (b), the
licensed residential care facility shall also post a written notice,
in at least 14-point type, in a conspicuous location in the facility,
that may include where the mail boxes are located, where the
facility license is posted, or any other easily accessible location
in the facility. The posting shall include all of the following
information:
(1) The date of the notice.
(2) The name of the residential care facility for the elderly.
(3) A statement that a copy of the most recent licensing report
prepared by the department, and any additional reports of facility
evaluation visits, within the preceding 12 months, may be obtained at
the facility.
(4) The name and telephone number of the contact person designated
by the Community Care Licensing Division of the department to
provide information on the license status of the facility.
(f) The notice required to be posted pursuant to subdivision (e)
shall remain posted until the deficiencies that gave rise to the
notice are resolved.
(g) A licensee who fails to comply with the requirements of
subdivision (b) or (c) shall be liable for civil penalties in the
amount of one hundred dollars ($100) for each day of the failure to
provide notification as required in this section. The total civil
penalty for each day shall not exceed one hundred dollars ($100)
regardless of the number of notices that the licensee fails to send
that day. The total civil penalty for a continuous violation of
subdivision (b) or (c) shall not exceed five thousand dollars
($5,000).
(h) For purposes of this section, "responsible party" means an
individual, including the patient's relative, health care surrogate
decisionmaker, or a placement agency, who assists the resident in
placement or assumes varying degrees of responsibility for the
well-being of the resident, as designated by the resident in writing.
SEC. 3. Section 1569.47 of the Health and Safety Code is amended
to read:
1569.47. (a) "Placement agency" means any county welfare
department, county social service department, county mental health
department, county public guardian, general acute care hospital
discharge planner or coordinator, state-funded program or private
agency providing placement or referral services, conservator pursuant
to Part 3 (commencing with Section 1800) of Division 4 of the
Probate Code, conservator pursuant to Chapter 3 (commencing with
Section 5350) of Part 1 of Division 5 of the Welfare and Institutions
Code, and regional center for persons with developmental
disabilities which is engaged in finding homes or other places for
the placement of elderly persons for temporary or permanent care.
(b) A placement agency shall not place individuals in licensed
residential care facilities for the elderly when the individual,
because of his or her health condition, cannot be cared for within
the limits of the license or requires inpatient care in a health
facility. Violation of this subdivision is a misdemeanor.
(c) A placement agency or employee of a placement agency shall not
place, refer, or recommend placement of a person in a facility
providing care and supervision, or protective supervision, unless the
facility is licensed as a residential care facility for the elderly
or is exempt from licensing under Section 1569.145.
Violation A violation of this subdivision is a
misdemeanor.
(d) Any employee of a placement agency who knows, or reasonably
suspects, that a facility which is not exempt from licensing is
operating without a license shall report the name and address of the
facility to the department. Failure to report as required by this
subdivision is a misdemeanor.
(e) The department shall investigate any report filed under
subdivision (d). If the department has probable cause to believe that
the facility which is the subject of the report is operating without
a license, the department shall investigate the facility within 10
days after receipt of the report.
(f) A placement agency shall notify the appropriate licensing
agency of any known or suspected incidents which
that would jeopardize the health or safety of residents in
a residential care facility for the elderly. Reportable incidents
include, but are not limited to, all of the following:
(1) Incidents of physical abuse.
(2) Any violation of personal rights.
(3) Any situation in which a facility is unclean, unsafe,
unsanitary, or in poor condition.
(4) Any situation in which a facility has insufficient personnel
or incompetent personnel on duty.
(5) Any situation in which residents experience mental or verbal
abuse.
(6) The presence of an individual who is listed on the Excluded
Persons Administrative Action List created pursuant to Section
1569.356.
SEC. 4. Section 1569.49 of the Health and Safety Code, as added by
Section 6 of Chapter 813 of the Statutes of 2014, is amended to
read:
1569.49. (a) In addition to the suspension, temporary suspension,
or revocation of a license issued under this chapter, the department
may levy a civil penalty.
(b) The amount of the civil penalty shall not be less than
twenty-five dollars ($25) or more than fifty dollars ($50) per day
for each violation of this chapter except where the nature or
seriousness of the violation or the frequency of the violation
warrants a higher penalty or an immediate civil penalty assessment,
or both, as determined by the department. In no event, shall a civil
penalty assessment exceed one hundred fifty dollars ($150) per day
per violation.
(c) Notwithstanding Section 1569.33, the department shall assess
an immediate civil penalty of one hundred fifty dollars ($150) per
day per violation for any of the following serious violations:
(1) (A) Fire clearance violations, including, but not limited to,
overcapacity, ambulatory status, inoperable smoke alarms, and
inoperable fire alarm systems. The civil penalty shall not be
assessed if the licensee has done either of the following:
(i) Requested the appropriate fire clearance based on ambulatory,
nonambulatory, or bedridden status, and the decision is pending.
(ii) Initiated eviction proceedings.
(B) A licensee denied a clearance for bedridden residents may
appeal to the fire authority, and, if that appeal is denied, may
subsequently appeal to the Office of the State Fire Marshal, and
shall not be assessed an immediate civil penalty until the final
appeal is decided, or after 60 days has passed from the date of the
citation, whichever is earlier.
(2) Absence of supervision as required by statute or regulation.
(3) Accessible bodies of water, when prohibited in this chapter or
regulations adopted pursuant to this chapter.
(4) Accessible firearms, ammunition, or both.
(5) Refused entry to a facility or any part of a facility in
violation of Section 1569.32, 1569.33, or 1569.35.
(6) The presence of an excluded person on the premises.
(7) The failure of the licensee to check the Excluded Persons
Administrative Action List created pursuant to Section 1569.356.
(8) The failure of the licensee to post the department's served
notice of an excluded person pursuant to subdivision (b) of Section
1569.58.
(d) For a violation that the department determines resulted in the
death of a resident, the civil penalty shall be fifteen thousand
dollars ($15,000).
(e) For a violation that the department determines constitutes
physical abuse, as defined in Section 15610.63 of the Welfare and
Institutions Code, or resulted in serious bodily injury, as defined
in Section 15610.67 of the Welfare and Institutions Code, to a
resident, the civil penalty shall be ten thousand dollars ($10,000).
(f) Prior to the issuance of a citation imposing a civil penalty
pursuant to subdivision (d) or (e), the decision shall be approved by
the director.
(g) Notwithstanding Section 1569.33, any residential care facility
for the elderly that is cited for repeating the same violation of
this chapter within 12 months of the first violation is subject to an
immediate civil penalty of one hundred fifty dollars ($150) and
fifty dollars ($50) for each day the violation continues until the
deficiency is corrected.
(h) Any residential care facility for the elderly that is assessed
a civil penalty pursuant to subdivision (g) that repeats the same
violation of this chapter within 12 months of the violation subject
to subdivision (g) shall be assessed an immediate civil penalty of
one thousand dollars ($1,000) and one hundred dollars ($100) for each
day the violation continues until the deficiency is corrected.
(i) (1) The department shall adopt regulations setting forth the
appeal procedures for deficiencies.
(2) A licensee shall have the right to submit to the department a
written request for a formal review of a civil penalty assessed
pursuant to subdivisions (d) and (e) within 10 days of receipt of the
notice of a civil penalty assessment and shall provide all
supporting documentation at that time. The review shall be conducted
by a regional manager of the Community Care Licensing Division. If
the regional manager determines that the civil penalty was not
assessed in accordance with applicable statutes or regulations of the
department, he or she may amend or dismiss the civil penalty. The
licensee shall be notified in writing of the regional manager's
decision within 60 days of the request to review the assessment of
the civil penalty.
(3) The licensee may further appeal to the program administrator
of the Community Care Licensing Division within 10 days of receipt of
the notice of the regional manager's decision and shall provide all
supporting documentation at that time. If the program administrator
determines that the civil penalty was not assessed in accordance with
applicable statutes or regulations of the department, he or she may
amend or dismiss the civil penalty. The licensee shall be notified in
writing of the program administrator's decision within 60 days of
the request to review the regional manager's decision.
(4) The licensee may further appeal to the deputy director of the
Community Care Licensing Division within 10 days of receipt of the
notice of the program director's decision and shall provide all
supporting documentation at that time. If the deputy director
determines that the civil penalty was not assessed in accordance with
applicable statutes or regulations of the department, he or she may
amend or dismiss the civil penalty. The licensee shall be notified in
writing of the deputy director's decision within 60 days of the
request to review the program administrator's decision.
(5) Upon exhausting the deputy director review, a licensee may
appeal a civil penalty assessed pursuant to subdivision (d) or (e) to
an administrative law judge. Proceedings shall be conducted in
accordance with Chapter 5 (commencing with Section 11500) of Part 1
of Division 3 of Title 2 of the Government Code, and the department
shall have all the powers granted by those provisions. In all
proceedings conducted in accordance with this section, the standard
of proof shall be by a preponderance of the evidence.
(6) If, in addition to an assessment of civil penalties, the
department elects to file an administrative action to suspend or
revoke the facility license that includes violations relating to the
assessment of the civil penalties, the department review of the
pending appeal shall cease and the assessment of the civil penalties
shall be heard as part of the administrative action process.
(j) The department shall adopt regulations implementing this
section.
(k) The department shall, by January 1, 2016, amend its
regulations to reflect the changes to this section made by the act
that added this subdivision.
(l) This section shall become operative on July 1, 2015.
SEC. 5. Section 1569.58 of the Health and Safety Code is amended
to read:
1569.58. (a) The department may prohibit any person from being a
member of the board of directors, an executive director, a board
member, or an officer of a licensee, or a licensee from employing, or
continuing the employment of, or allowing in a licensed facility, or
allowing contact with clients of a licensed facility by, any
employee, prospective employee, or person who is not a client who
has:
(1) Violated, or aided or permitted the violation by any other
person of, any provisions of this chapter or of any rules or
regulations promulgated under this chapter.
(2) Engaged in conduct that is inimical to the health, morals,
welfare, or safety of either an individual in or receiving services
from the facility, or the people of the State of California.
(3) Been denied an exemption to work or to be present in a
facility, when that person has been convicted of a crime as defined
in Section 1569.17.
(4) Engaged in any other conduct that would constitute a basis for
disciplining a licensee.
(5) Engaged in acts of financial malfeasance concerning the
operation of a facility, including, but not limited to, improper use
or embezzlement of client moneys and property or fraudulent
appropriation for personal gain of facility moneys and property, or
willful or negligent failure to provide services for the care of
clients.
(b) The excluded person, the facility, and the licensee shall be
given written notice of the basis of the department's action and of
the excluded person's right to an appeal. The notice shall be served
either by personal service or by registered mail. Within 24
hours after receiving the noti ce of the department's
action to exclude the person, the licensee shall post next to the
facility license the department's unredacted letter. Following the
date of service of the notice, all new admissions shall be notified
in writing of the excluded person action. Within 15 days after
the department serves the notice, the excluded person may file with
the department a written appeal of the exclusion order. If the
excluded person fails to file a written appeal within the prescribed
time, the department's action shall be final.
(c) (1) The department may require the immediate removal of a
member of the board of directors, an executive director, or an
officer of a licensee or exclusion of an employee, prospective
employee, or person who is not a client from a facility pending a
final decision of the matter, when, in the opinion of the director,
the action is necessary to protect residents or clients from physical
or mental abuse, abandonment, or any other substantial threat to
their health or safety.
(2) If the department requires the immediate removal of a member
of the board of directors, an executive director, or an officer of a
licensee or exclusion of an employee, prospective employee, or person
who is not a client from a facility the department shall serve an
order of immediate exclusion upon the excluded person that shall
notify the excluded person of the basis of the department's action
and of the excluded person's right to a hearing.
(3) Within 15 days after the department serves an order of
immediate exclusion, the excluded person may file a written appeal of
the exclusion with the department. The department's action shall be
final if the excluded person does not appeal the exclusion within the
prescribed time. The department shall do the following upon receipt
of a written appeal:
(A) Within 30 days of receipt of the appeal, serve an accusation
upon the excluded person.
(B) Within 60 days of receipt of a notice of defense by the
excluded person pursuant to Section 11506 of the Government Code,
conduct a hearing on the accusation.
(4) An order of immediate exclusion of the excluded person from
the facility shall remain in effect until the hearing is completed
and the director has made a final determination on the merits.
However, the order of immediate exclusion shall be deemed vacated if
the director fails to make a final determination on the merits within
60 days after the original hearing has been completed.
(d) An excluded person who files a written appeal of the exclusion
order with the department pursuant to this section shall, as part of
the written request, provide his or her current mailing address. The
excluded person shall subsequently notify the department in writing
of any change in mailing address, until the hearing process has been
completed or terminated.
(e) Hearings held pursuant to this section shall be conducted in
accordance with Chapter 5 (commencing with Section 11500) of Division
3 of Title 2 of the Government Code. The standard of proof shall be
the preponderance of the evidence and the burden of proof shall be on
the department.
(f) The department may institute or continue a disciplinary
proceeding against a member of the board of directors, an executive
director, or an officer of a licensee or an employee, prospective
employee, or person who is not a client upon any ground provided by
this section. The department may enter an order prohibiting any
person from being a member of the board of directors, an executive
director, or an officer of a licensee, or prohibiting the excluded
person's employment or presence in the facility, or otherwise take
disciplinary action against the excluded person, notwithstanding any
resignation, withdrawal of employment application, or change of
duties by the excluded person, or any discharge, failure to hire, or
reassignment of the excluded person by the licensee or that the
excluded person no longer has contact with clients at the facility.
(g) A licensee's failure to comply with the department's exclusion
order after being notified of the order shall be grounds for
disciplining the licensee pursuant to Section 1569.50.
(h) (1) (A) In cases where When the
excluded person appealed the exclusion order and there is a decision
and order of the department upholding the exclusion order, the person
shall be prohibited from working in any facility or being licensed
to operate any facility licensed by the department or from being a
certified foster parent for the remainder of the excluded person's
life, unless otherwise ordered by the department.
(B) The excluded individual may petition for reinstatement one
year after the effective date of the decision and order of the
department upholding the exclusion order pursuant to Section 11522 of
the Government Code. The department shall provide the excluded
person with a copy of Section 11522 of the Government Code with the
decision and order.
(2) (A) In cases where When the
department informed the excluded person of his or her right to appeal
the exclusion order and the excluded person did not appeal the
exclusion order, the person shall be prohibited from working in any
facility or being licensed to operate any facility licensed by the
department or a certified foster parent for the remainder of the
excluded person's life, unless otherwise ordered by the department.
(B) The excluded individual may petition for reinstatement after
one year has elapsed from the date of the notification of the
exclusion order pursuant to Section 11522 of the Government Code. The
department shall provide the excluded person with a copy of Section
11522 of the Government Code with the exclusion order.
SEC. 6. Section 1569.595 of the Health and Safety Code is amended
to read:
1569.595. The department shall conduct an unannounced visit to a
facility within 30 days after the department serves an order of
immediate exclusion from the facility upon the licensee or a person
subject to immediate removal or exclusion from the facility pursuant
to paragraph (3) of subdivision (c) of Section 1569.17 and
1569.17, subdivision (b) of section 1569.58, or
subdivision (c) of Section 1569.58 in order to ensure that
the excluded person is not within the facility, unless the department
previously has verified that the excluded person is not within the
facility. 1569.58. On the unannounced visit to the
facility, the department shall verify that the exclusion notice has
been posted pursuant to subdivision (b) of Section 1569.58. The
failure to post the required notice shall subject the licensee to a
civil penalty pursuant to paragraph (8) of subdivision (c) of Section
1569.49.
SEC. 7. No reimbursement is required by this act pursuant to
Section 6 of Article XIII B of the California Constitution because
the only costs that may be incurred by a local agency or school
district will be incurred because this act creates a new crime or
infraction, eliminates a crime or infraction, or changes the penalty
for a crime or infraction, within the meaning of Section 17556 of the
Government Code, or changes the definition of a crime within the
meaning of Section 6 of Article XIII B of the California
Constitution.