California Administrative Procedure Act. Administrative Adjudication

107 Pages·2016·11 MB·English

Golden Gate University School of Law
GGU Law Digital Commons
California Agencies California Documents
1997
California Administrative Procedure Act.
Administrative Adjudication
Office of Administrative Hearings
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Office of Administrative Hearings, "California Administrative Procedure Act. Administrative Adjudication" (1997).California Agencies.
Paper 429.
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KFC782.A313 A19
California.
California Administrative
Procedure Act.
OFFICE OF ADMINISTRATIVE HEARINGS
1 07 So. Broadway 501 J Street 1350 Front Street 1970 Broadway
2nd Floor Suite 230 Suite 6022 Second Floor
Los Angeles 90012 Sacramento 95814 San Diego 921 01 Oakland 94612
[phone] [phone] [phone] (51 0) 286-3943
Fax[phone] Fax[phone] Fax [phone] Fax[phone]
KARLS. ENGEMAN
Director, Sacramento
Jan Soto, Administrative Officer, Sacramento
Andrea Prychun, Assoc. Gov. Progam Analyst, Sacramento
Margaret A. Farrow, Counsel, Sacramento
Katrina Dolenga, Executive Secretary, Sacramento
SACRAMENTO
Stephen J. Smith, Presiding Judge
Administrative Law Judges
M. Amanda Behe
Denny R. Davis
Muriel Evens
Catherine B. Frink
William 0. Hoover
Spencer A. Joe
Keith A. Levy
Leonard L. Scott
Jaime Rene Roman
John D. Wagner
LOS ANGELES
Janis Rovner, Presiding Judge
Administrative Law Judges
William F. Byrnes Paul M. Hogan Vincent H. Nafarrete
Ralph B. Dash Richard J. Lopez Carolyn R. Owens
Humberto Flores Carolyn D. Magnuson Samuel D. Reyes
Leslie H. Greenfield Jerry Mitchell David B. Rosenman
RoyW. Hewitt Joesph Montoya H. Stuart Waxman
SAN DIEGO
Joyce Wharton, Presiding Judge
Administrative Law Judges
H. James Ahler
Stephen E. Hjelt
Vallera J. Johnson
Greer D. Knopf
Alan S. Meth
OAKLAND
Jonathan Lew, Presiding Judge
Administrative Law Judges
Ruth A. Astle
Michael C. Cohn
Perry 0. Johnson
Stewart A. Judson
Nancy L. Rasmussen
Cheryl Tompkin
Robert Walker
ii

TABLE OF CONTENTS
CHAPTER 4 - Office of Administrative Hearings
ARTICLE 1 - General Provisions
Sec. 11370 Citation of Chapters 3.5, 4, and 5 ......................................... 1
11370.1 "Director" ............................................................................... 1
11370.2 Office of Administrative Hearings in Department of
General Services; Director .................................................... 1
11370.3 Appointment and assignment of Administrative Law Judges
and other personnel .............................................................. 1
11370.4 Determination and collection of costs ................................... 2
11370.5 Recommendations on administrative adjudication ................ 2
ARTICLE 2 - Medical Quality Hearing Panel
Sec. 11371 Medical Quality Hearing Panel ............................................. 3
11372 Conduct of hearing by administrative law judge .................. .4
11373 Conduct of proceedings under Administrative
Procedure Act .......................................................................4
11373.3 Facilities and support personnel for review
committee panel ....................................................................4
ARTICLE 3 - State Agency Reports and Forms Appeals
Sec. 11380 Appeal filed by business ...................................................... .4
CHAPTER 4.5 -Administrative Adjudication: General Provisions
ARTICLE 1 - Preliminary Provisions
Sec. 11400 Administrative Procedure Act; Reference to superseded
provisions ..............................................................................5
11400.10 Operative date of chapter ..................................................... 5
11400.20 Adoption of interim or permanent regulations ....................... 6
11400.21 Adoption of interim or permanent regulations
(Operative 8/19/96 to 7/1/97) ................................................ 7
iii
ARTICLE 2 - Definitions
Sec. 11405.10 Definitions to govern construction ......................................... ?
11405.20 "AdJ'U d"1 cat '1 ve procee d'1 ng .................................................... .8
II
11405.30 "Agency" ............................................................................... 8
11405.40 "Agency head" ...................................................................... 8
11405.50 "Decision" .............................................................................. 8
11405.60 "Party" ...................................................................................9
11405.70 "Person" ................................................................................9
11405.80 "P res1' d'1 ng o ff'1 cer .............................................................. .. 9
II
ARTICLE 3 - Application of Chapter
Sec. 11410.10 Decision requiring evidentiary hearing ............................... 10
11410.20 Applicability to agencies ..................................................... 11
11410.30 Applicability to local agency or joint agency ....................... 11
11410.40 Adoption of chapter by exempt agency ............................... 11
11410.50 Applicability to specified proceedings ................................. 12
ARTICLE 4 - Governing Procedure
............................................ 12
..................... 12
11
11
11
................................................. 6
........................ 17
Specified ........... 18
Disqualification .19
1"\Ht,..Or" .. .. • .. • • • • • .. .. • • .. • • .. • .. • .. • • •
iv
11425.50 Decision to be in writing; Statement of factual and
legal basis ........................................................................... 19
11425.60 Decisions relied on as precedents ...................................... 21
ARTICLE 7 - Ex Parte Communications
Sec. 11430.10 Communication from agency regarding proceeding ........... 21
11430.20 Permissible communications ............................................... 22
11430.30 Permissible communication from agency that is party ........ 22
11430.40 Disclosure of communication received while proceeding
is pending ...........................................................................2 3
11430.50 Communication in violation of provisions ............................ 24
11430.60 Prohibited communication as grounds to disqualify
presiding officer ..................................................................2 4
11430.70 Agency head delegated to hear or decide proceeding ....... 24
11430.80 Communication between presiding officer and agency
head delegated to hear proceeding .................................... 25
ARTICLE 8 - Language Assistance
Sec. 11435.05 "Language Assistance" ....................................................... 25
11435.10 Interpretation for deaf or hard-of-hearing persons .............. 26
11435.15 State agencies to provide language assistance ................. 26
11435.20 Hearing or medical examination to be conducted in
English ..............................................................................2 7
11 Cost of providing interpreter ............................................. .
11 Publication of list of certified interpreters ......................... 27
11 Publication of list medical examination
interpreters.................. . ...................................................... 28
11435.40 Designation of language for certification ............................ 28
11435.45 Application fees to take interpreter examination ............... 28
11435.50 Removal of person from list of certified interpreters ........... 29
11435.55 Qualification and use of noncertified interpreters ............... 29
11435.60 Party to be advised of right to interpreter. ........................... 29
11435.65 Rules of confidentiality applicable to interpreters ............... 29
ARTICLE 9 • General Procedural Provision
Sec. 11440.10 Review of decision .............................................................. 30
11440.20 Service of writing; Notice .................................................... 30
11440.30 Conduct of hearing by telephone, television,
or other electronic means ................................................... 30
11440.40 Proceedings involving sexual offenses; Limitations on
evidence ..............................................................................3 1
11440.50 Interventions; Grant of motion; Conditions ......................... 31
v
ARTICLE 10 -Informal Hearing
Sec. 11445.10 Legislative findings and declarations .................................. 33
11445.20 Use of informal hearing procedure ...................................... 33
11445.30 Notice of informal procedure ............................................... 34
11445.40 Application of procedures otherwise required ..................... 34
11445.50 Denial of use of informal procedure;
Conversion to formal hearing; Cross-examination .............. 35
11445.60 Identity of witnesses or other sources ................................. 35
ARTICLE 11 - Subpoenas
Sec. 11450.05 Application of article ............................................................ 36
11450.10 Issuance for attendance or production of documents ......... 36
11450.20 Persons who may issue subpoenas; Service ...................... 36
11450.30 Objection to subpoena; Motion for protective order;
Motion to quash .................................................................. 37
11450.40 Witness's mileage and fees ................................................ 37
11450.50 Written notice to witness to attend; Service ........................ 38
ARTICLE 12 - Enforcement of Orders and Sanctions
Sec. 11455.10 Grounds for contempt sanction ........................................... 38
11455.20 Certification of facts to justify contempt sanction; Other
procedure ............................................................................ 38
11455.30 Bad faith actions; Order to pay expenses including
attorney's fees ..................................................................... 39
ARTICLE 13 - Emergency Decision
Sec. 11460.10 Conduct of proceeding under emergency procedure .......... 39
11460.20 Emergency decision ........................................................... .40
11460.30 Conditions for issuance of emergency decision ................. .40
11460.40 Notice and hearing prior to decision .................................. .40
11460.50 Statement of factual and legal basis and reasons for
emergency decision ........................................................... .41
11460.60 Formal or informal proceeding after issuance of
emergency decision ............................................................ 41
11460.70 Agency record .....................................................................4 1
11460.80 Judicial review of decision ................................................. .41
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ARTICLE 14 - Declaratory Decision
Sec. 11465.10 Conduct of proceeding under declaratory decision
procedure ............................................................................4 2
11465.20 Application; Issuance of decision ....................................... .42
11465.30 Notice of application for decision ....................................... .43
11465.40 Applicable hearing procedure ............................................ .43
11465.50 Actions of agency after receipt of application ..................... 44
11465.60 Contents of decision; Status and binding effect of
decision ...............................................................................4 4
11465.70 Model Regulations ............................................................. .44
ARTICLE 15 - Conversion of Proceeding
Sec. 11470.10 Conversion into another type of proceeding ...................... .45
11470.20 Appointment of successor to preside over new
proceeding ..........................................................................4 6
11470.30 Record of original proceeding ............................................ .46
11470.40 Duties of presiding officer of new proceeding .................... .46
11470.50 Adoption of regulations ...................................................... .47
CHAPTER 5 - Administrative Adjudication: Formal Hearing
Sec. 11500 Definitions ...........................................................................4 7
11501 Application of chapter to agency ......................................... 47
11502 Administrative law judges ................................................... .48
11503 Accusation .......................................................................... 48
11504 Statement of issues ............................................................ .48
11504.5 Applicability to statements of issues of references to
accusations .........................................................................4 9
11505 Service ................................................................................4 9
11506 Notice of defense ................................................................ 50
11507 Amendment of accusation; Supplemental accusation;
Oral objections .................................................................... 51
11507.3 Consolidated proceedings; Separate hearings ................... 51
11507.5 Exclusivity of discovery provisions ...................................... 51
11507.6 Request for discovery ......................................................... 51
11507.7 Petition to compel discovery; Order .................................... 52
11508 Venue ..................................................................................5 3
11509 Notice of hearing ................................................................. 54
11511 Depositions ......................................................................... 54
11511.5 Prehearing conference; Subject matter; Order ................... 55
11511.7 Settlement conference ........................................................ 56
vii