Cal. Code Regs. Tit. 9, § 9867 - Notice of Completion Certificates

(a) When the DUI program determines that a participant has completed all program requirements and has paid all program fees, the DUI program shall electronically submit the completion certificate to the Department of Motor Vehicles, or complete, by typewriter or by printing in ink, a Notice of Completion Certificate (Form DL 101, Revised 7/2006).

(1) The Notice of Completion Certificate shall have a unique, pre-printed number, assigned by the Department of Motor Vehicles, and shall be completed pursuant to Title 13, California Code of Regulations, Section 120.00.

(2) The program director may sign the Notice of Completion Certificate or designate employees to sign pursuant to Section 120.00 of Title 13.

(A) If the program director authorizes a designee to sign a Notice of Completion Certificate on his/her behalf, the DUI program shall retain in its files a copy of the written authorization.

(B) The Notice of Completion Certificate shall not be signed until the individual signing has verified that the participant has completed all program services and paid all program fees assessed in accordance with Section 9878.

(3) The DUI program may charge a fee for issuing a Notice of Completion Certificate. The DUI program may charge the amount established by the Department of Motor Vehicles. If there are additional costs for preparation, the DUI program may submit a request for a general program fee increase in accordance with Section 9878(c).

(b) The DUI program may withhold the Notice of Completion Certificate in accordance with Section 9878(i) until the participant has paid in full his/her assessed program fee and any additional fees.

(c) 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 Notice of Completion 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 (g)(5).

(d) If the DUI program makes an error while completing the Notice of Completion Certificate, the DUI program shall:

(1) Write "VOID" in large letters across all copies of the Notice of Completion Certificate;

(2) Store the voided copies of the Notice of Completion Certificate in sequential order in the program log;

(3) Note in the program log that the Notice of Completion Certificate was voided; and

(4) Inform the Department of Motor Vehicles of the Notice of Completion Certificate numbers voided. The DUI program shall report all voided Notices of Completion Certificates to the Department of Motor Vehicles on a monthly basis.

(e) When the DUI program receives a book of Notices of Completion Certificates that contains one or more notices that were damaged during manufacturing or shipping, the DUI program shall either void the individual damaged notices and use the remaining notices in the book, or immediately return the entire book of 50 to the Department of Motor Vehicles pursuant to Section 120.00 of Title 13.

(f) The DUI program shall destroy a voided Notice of Completion Certificate only after Department staff have reviewed the Notice of Completion Certificate during an on-site compliance review, and given written authorization for its destruction.

(1) The method of destruction shall render the voided Notice of Completion Certificate useless.

(2) The written authorization for destruction shall contain the following information:

(A) The DUI program name and license number;

(B) The date of review;

(C) The period reviewed;

(D) The printed number of a Notice of Completion Certificate reviewed;

(E) The printed number of a voided Notice of Completion Certificate authorized for destruction;

(F) The name, title, and signature of the Department or county staff person conducting the on-site compliance review.

(G) The printed numbers of voided Notice of Completion Certificate destroyed;

(H) The date of destruction;

(I) The method of destruction; and

(J) The name, title, and signature of program director.

(3) The DUI program shall retain the written authorization for destruction with the program log for four years from the date of destruction.

(g) Within ten days after the date that a participant completes all program services and has paid his/her assessed program fee and any additional fees, the DUI program shall:

(1) Issue the original Notice of Completion Certificate in the name of the participant and immediately submit it to the Department of Motor Vehicles pursuant to Section 120.00 of Title 13.

(2) Provide the court copy to the court of conviction (if the participant was referred by the court and the court requires a copy);

(3) Provide the participant copy to the participant. If the DUI program electronically transmits the Notice of Completion Certificate directly to the Department of Motor Vehicles, or provide a receipt to the participant;

(4) Retain the program copy of the Notice of Completion Certificate in the participant's record; and

(5) Enter the following information into the program log in sequential order by printed Notice of Completion Certificate number or by the number assigned by the Department of Motor Vehicles if submitted electronically to the DMV.

(A) The printed number of the Notice of Completion Certificate;

(B) The name of the participant for whom the Notice of Completion Certificate was issued;

(C) The length and type of DUI program completed;

(D) The date the Notice of Completion Certificate was issued;

(E) The name of the DUI program staff person who issued the Notice of Completion Certificate; and

(F) The participant record identification number, if applicable.

(h) If the Department of Motor Vehicles copy of a Notice of Completion Certificate has been lost or destroyed, the DUI program shall issue a duplicate Notice of Completion Certificate to the Department of Motor Vehicles under the following circumstances:

(1) A duplicate Notice of Completion Certificate shall be issued only by the DUI program that issued the original Notice of Completion Certificate;

(2) Before issuing the duplicate Notice of Completion Certificate, the DUI program shall verify from its records that the participant actually completed all program services;

(3) The DUI program shall type or print the words "duplicate Notice of Completion Certificate" and the number of the original Notice of Completion Certificate on the top of all copies of the duplicate Notice of Completion Certificate;

(4) The DUI program may charge the participant a fee for issuing a duplicate Notice of Completion Certificate to the Department of Motor Vehicles on behalf of the participant. The DUI program may charge the cost of the notice established by the Department of Motor Vehicles. If there are additional costs for preparation, the DUI program may submit a request for a general program fee increase in accordance with Section 9878(c).

(i) At the time the DUI program receives a book of blank copies of the Notice of Completion Certificate from the Department of Motor Vehicles, the DUI program shall inspect the book of notices to ensure the full order is included and undamaged and record the sequential numbers of the certificates received and secure the blank Notices of Completion Certificates and the record of blank certificates received in a locked desk, file, or cabinet which is not accessible to program participants.

(j) The DUI program shall issue a Notice of Completion Certificate only for participants who have completed all program requirements, including payment in full of program fees, contained in Article 1 (commencing with Section 9848), Subchapter 3 of this Chapter.

(k) The DUI program shall issue a Notice of Completion Certificate only for the type of program specified on the license issued by the Department.

(l) The licensee shall not sell or transfer Notice of Completion Certificate to another DUI program or to any other entity.

(m) If the DUI program discovers that a blank Notice of Completion Certificate has been lost, stolen, or otherwise misplaced, by the close of business of the day following the date the DUI program discovers the loss, the DUI program shall report the loss pursuant to Section 120.02 of Title 13.

(1) The DUI program shall identify in the written report the following information:

(A) The printed numbers of the lost, stolen, or misplaced Notices of Completion 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 authorized in writing their destruction.

(n) Within ten days of the date that the DUI program ceases program operation or the date that the program's license is revoked, the DUI program shall return to the Department of Motor Vehicles by certified mail its unused supply of blank Notice of Completion Certificates.

(o) When a participant is eligible for a Notice of Completion Certificate, but the DUI program ceases program operation or the program's license is revoked, and the program's records are transferred to the county, the county alcohol and drug program administrator shall prepare a letter to the Department of Motor Vehicles, stating that the participant has completed all program services.

(1) The letter shall take the place of a Notice of Completion Certificate.

(2) The letter shall contain the following information:

(A) The participant's name, address, birth date, and driver's license number;

(B) The date the participant enrolled in the program;

(C) The date the participant completed all program services;

(D) The name, primary business address, and Department's license number of the DUI program which would have issued the Notice of Completion if the DUI program were still in business;

(E) The length and type of program completed; and

(F) The court case number or docket number, if applicable.

(p) If the DUI program fails to account for all Notices of Completion Certificates, as set forth in subdivisions (c), (d)(3), (g)(5), (i), (j), (k), (l), or (m) of this regulation, the Department shall assess a fine against the DUI program of $150 per day up to a total of $1,500 for each missing Notice of Completion Certificate.

The maximum fine for all missing certificates shall not exceed $5,000.

(1) The fine shall accrue from the date the certificates are determined to be missing until the missing certificates have been accounted for and shall be payable upon receipt of written notice from the Department.

(2) The DUI program may appeal the assessed fine as specified in Section 9836.

(q) The DUI program shall post a notice in a prominent location in the program reception area, informing program participants and staff that soliciting or accepting a bribe, or selling a Notice of Completion Certificate, is illegal and punishable by law.

(r) The Department may initiate administrative action pursuant to Section 9834 to suspend or revoke the license of any DUI program who is found responsible for the sale of a Notice of Completion Certificate or whose failure to exercise diligence to control, track, and document the issuance of a Notice of Completion Certificate has contributed to the sale of a Notice of Completion Certificate. The DUI program may appeal such administrative action pursuant to Section 9836 and the provisions of Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2 of the Government Code.

(s) To the extent possible, any appeal of a fine or civil penalty assessed pursuant to this regulation and an appeal of any related administrative action shall be joined in a single proceeding.

Notes

Cal. Code Regs. Tit. 9, § 9867

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Amendment of subsections (a), (a)(7)(A) and (g), new subsection (g)(3)(C), subsection relettering, amendment of subsections (i)-(j) and new subsections (p)-(s) filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
3. Amendment filed 12-6-2004; operative 1-5-2005 (Register 2004, No. 50).
4. 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: Sections 11836.15 and 11838.1, Health and Safety Code.

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Amendment of subsections (a), (a)(7)(A) and (g), new subsection (g)(3)(C), subsection relettering, amendment of subsections (i)-(j) and new subsections (p)-(s) filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
3. Amendment filed 12-6-2004; operative 1-5-2005 (Register 2004, No. 50).
4. Amendment of section heading, section and Note filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).