CHAPTER 4.5. Administrative Adjudication: General Provisions
Chapter 4.5 added by Stats. 1995, Ch. 938, Sec. 21.
§§ 11400–11475.70 · 103 sections
ARTICLE 1. Preliminary Provisions §§ 11400–11400.20 · 3 sections
- § 11400 (a) This chapter and Chapter 5 (commencing with Section 11500) constitute the administrative adjudication provisions of the Administrative Procedure Act. (b) A…
- § 11400.10 (a) This chapter is operative on July 1, 1997. (b) This chapter is applicable to an adjudicative proceeding commenced on or after July 1, 1997. (c) This…
- § 11400.20 (a) Before, on, or after July 1, 1997, an agency may adopt interim or permanent regulations to govern an adjudicative proceeding under this chapter or Chapter…
ARTICLE 2. Definitions §§ 11405.10–11405.80 · 8 sections
- § 11405.10 Unless the provision or context requires otherwise, the definitions in this article govern the construction of this chapter.
- § 11405.20 “Adjudicative proceeding” means an evidentiary hearing for determination of facts pursuant to which an agency formulates and issues a decision.
- § 11405.30 “Agency” means a board, bureau, commission, department, division, office, officer, or other administrative unit, including the agency head, and one or more…
- § 11405.40 “Agency head” means a person or body in which the ultimate legal authority of an agency is vested, and includes a person or body to which the power to act is…
- § 11405.50 (a) “Decision” means an agency action of specific application that determines a legal right, duty, privilege, immunity, or other legal interest of a particular…
- § 11405.60 “Party” includes the agency that is taking action, the person to which the agency action is directed, and any other person named as a party or allowed to…
- § 11405.70 “Person” includes an individual, partnership, corporation, governmental subdivision or unit of a governmental subdivision, or public or private organization or…
- § 11405.80 “Presiding officer” means the agency head, member of the agency head, administrative law judge, hearing officer, or other person who presides in an…
ARTICLE 3. Application of Chapter §§ 11410.10–11410.60 · 6 sections
- § 11410.10 This chapter applies to a decision by an agency if, under the federal or state Constitution or a federal or state statute, an evidentiary hearing for…
- § 11410.20 Except as otherwise expressly provided by statute: (a) This chapter applies to all agencies of the state. (b) This chapter does not apply to the Legislature,…
- § 11410.30 (a) As used in this section, “local agency” means a county, city, district, public authority, public agency, or other political subdivision or public…
- § 11410.40 Notwithstanding any other provision of this article, by regulation, ordinance, or other appropriate action, an agency may adopt this chapter or any of its…
- § 11410.50 This chapter applies to an adjudicative proceeding required to be conducted under Chapter 5 (commencing with Section 11500) unless the statutes relating to the…
- § 11410.60 (a) As used in this section, “quasi-public entity” means an entity, other than a governmental agency, whether characterized by statute as a public corporation,…
ARTICLE 4. Governing Procedure §§ 11415.10–11415.60 · 6 sections
- § 11415.10 (a) The governing procedure by which an agency conducts an adjudicative proceeding is determined by the statutes and regulations applicable to that proceeding.…
- § 11415.20 A state statute or a federal statute or regulation applicable to a particular agency or decision prevails over a conflicting or inconsistent provision of this…
- § 11415.30 (a) To the extent necessary to avoid a loss or delay of funds or services from the federal government that would otherwise be available to the state, the…
- § 11415.40 Except to the extent prohibited by another statute or regulation, a person may waive a right conferred on the person by the administrative adjudication…
- § 11415.50 (a) An agency may provide any appropriate procedure for a decision for which an adjudicative proceeding is not required. (b) An adjudicative proceeding is not…
- § 11415.60 (a) An agency may formulate and issue a decision by settlement, pursuant to an agreement of the parties, without conducting an adjudicative proceeding. Subject…
ARTICLE 5. Alternative Dispute Resolution §§ 11420.10–11420.30 · 3 sections
- § 11420.10 (a) An agency, with the consent of all the parties, may refer a dispute that is the subject of an adjudicative proceeding for resolution by any of the…
- § 11420.20 (a) The Office of Administrative Hearings shall adopt and promulgate model regulations for alternative dispute resolution under this article. The model…
- § 11420.30 Notwithstanding any other provision of law, a communication made in alternative dispute resolution under this article is protected to the following extent: (a)…
ARTICLE 6. Administrative Adjudication Bill of Rights §§ 11425.10–11425.60 · 6 sections
- § 11425.10 (a) The governing procedure by which an agency conducts an adjudicative proceeding is subject to all of the following requirements: (1) The agency shall give…
- § 11425.20 (a) A hearing shall be open to public observation. This subdivision shall not limit the authority of the presiding officer to order closure of a hearing or…
- § 11425.30 (a) A person may not serve as presiding officer in an adjudicative proceeding in any of the following circumstances: (1) The person has served as investigator,…
- § 11425.40 (a) The presiding officer is subject to disqualification for bias, prejudice, or interest in the proceeding. (b) It is not alone or in itself grounds for…
- § 11425.50 (a) The decision shall be in writing and shall include a statement of the factual and legal basis for the decision. (b) The statement of the factual basis for…
- § 11425.60 (a) A decision may not be expressly relied on as precedent unless it is designated as a precedent decision by the agency. (b) An agency may designate as a…
ARTICLE 7. Ex Parte Communications §§ 11430.10–11430.80 · 8 sections
- § 11430.10 (a) While the proceeding is pending there shall be no communication, direct or indirect, regarding any issue in the proceeding, to the presiding officer from…
- § 11430.20 A communication otherwise prohibited by Section 11430.10 is permissible in any of the following circumstances: (a) The communication is required for…
- § 11430.30 A communication otherwise prohibited by Section 11430.10 from an employee or representative of an agency that is a party to the presiding officer is…
- § 11430.40 If, while the proceeding is pending but before serving as presiding officer, a person receives a communication of a type that would be in violation of this…
- § 11430.50 (a) If a presiding officer receives a communication in violation of this article, the presiding officer shall make all of the following a part of the record in…
- § 11430.60 Receipt by the presiding officer of a communication in violation of this article may be grounds for disqualification of the presiding officer. If the presiding…
- § 11430.70 (a) Subject to subdivisions (b) and (c), the provisions of this article governing ex parte communications to the presiding officer also govern ex parte…
- § 11430.80 (a) There shall be no communication, direct or indirect, while a proceeding is pending regarding the merits of any issue in the proceeding, between the…
ARTICLE 8. Language Assistance §§ 11435.05–11435.65 · 13 sections
- § 11435.05 As used in this article, “language assistance” means oral interpretation or written translation into English of a language other than English or of English…
- § 11435.10 Nothing in this article limits the application or effect of Section 754 of the Evidence Code to interpretation for a deaf or hard-of-hearing party or witness…
- § 11435.15 (a) The following state agencies shall provide language assistance in adjudicative proceedings to the extent provided in this article: (1) Agricultural Labor…
- § 11435.20 (a) The hearing, or any medical examination conducted for the purpose of determining compensation or monetary award, shall be conducted in English. (b) If a…
- § 11435.25 (a) The cost of providing an interpreter under this article shall be paid by the agency having jurisdiction over the matter if the presiding officer so…
- § 11435.30 (a) The State Personnel Board shall establish, maintain, administer, and publish annually an updated list of certified administrative hearing interpreters it…
- § 11435.35 (a) The State Personnel Board shall establish, maintain, administer, and publish annually, an updated list of certified medical examination interpreters it has…
- § 11435.40 (a) The Department of Human Resources shall designate the languages for which certification shall be established under Sections 11435.30 and 11435.35. The…
- § 11435.45 (a) The Department of Human Resources shall establish and charge fees for applications to take interpreter examinations and for renewal of certifications. The…
- § 11435.50 The Department of Human Resources may remove the name of a person from the list of certified interpreters if any of the following conditions occurs: (a) The…
- § 11435.55 (a) An interpreter used in a hearing shall be certified pursuant to Section 11435.30. However, if an interpreter certified pursuant to Section 11435.30 cannot…
- § 11435.60 Every agency subject to the language assistance requirement of this article shall advise each party of the right to an interpreter at the same time that each…
- § 11435.65 (a) The rules of confidentiality of the agency, if any, that apply in an adjudicative proceeding shall apply to any interpreter in the hearing or medical…
ARTICLE 9. General Procedural Provisions §§ 11440.10–11440.60 · 7 sections
- § 11440.10 (a) The agency head may do any of the following with respect to a decision of the presiding officer or the agency: (1) Determine to review some but not all…
- § 11440.20 Service of a writing or electronic document on, or giving of a notice to, a person in a procedure provided in this chapter is subject to the following…
- § 11440.30 (a) The presiding officer may conduct all or part of a hearing by telephone, television, or other electronic means if each participant in the hearing has an…
- § 11440.40 (a) In any proceeding under subdivision (h) or (i) of Section 12940, or Section 19572 or 19702, alleging conduct that constitutes sexual harassment, sexual…
- § 11440.45 (a) In any proceedings pursuant to this chapter or Chapter 5 (commencing with Section 11500), the portion of statements, writings, or benevolent gestures…
- § 11440.50 (a) This section applies in adjudicative proceedings of an agency if the agency by regulation provides that this section is applicable in the proceedings. (b)…
- § 11440.60 (a) For purposes of this section, the following terms have the following meaning: (1) “Quasi-judicial proceeding” means any of the following: (A) A proceeding…
ARTICLE 10. Informal Hearing §§ 11445.10–11445.60 · 6 sections
- § 11445.10 (a) Subject to the limitations in this article, an agency may conduct an adjudicative proceeding under the informal hearing procedure provided in this article.…
- § 11445.20 Subject to Section 11445.30, an agency may use an informal hearing procedure in any of the following proceedings, if in the circumstances its use does not…
- § 11445.30 (a) The notice of hearing shall state the agency’s selection of the informal hearing procedure. (b) Any objection of a party to use of the informal hearing…
- § 11445.40 (a) Except as provided in this article, the hearing procedures otherwise required by statute for an adjudicative proceeding apply to an informal hearing. (b)…
- § 11445.50 (a) The presiding officer may deny use of the informal hearing procedure, or may convert an informal hearing to a formal hearing after an informal hearing is…
- § 11445.60 (a) If the presiding officer has reason to believe that material facts are in dispute, the presiding officer may require a party to state the identity of the…
ARTICLE 11. Subpoenas §§ 11450.05–11450.50 · 6 sections
- § 11450.05 (a) This article applies in an adjudicative proceeding required to be conducted under Chapter 5 (commencing with Section 11500). (b) An agency may use the…
- § 11450.10 (a) Subpoenas and subpoenas duces tecum may be issued for attendance at a hearing and for production of documents at any reasonable time and place or at a…
- § 11450.20 (a) Subpoenas and subpoenas duces tecum shall be issued by the agency or presiding officer at the request of a party, or by the attorney of record for a party,…
- § 11450.30 (a) A person served with a subpoena or a subpoena duces tecum may object to its terms by a motion for a protective order, including a motion to quash. (b) The…
- § 11450.40 A witness appearing pursuant to a subpoena or a subpoena duces tecum, other than a party, shall receive for the appearance the following mileage and fees, to…
- § 11450.50 (a) In the case of the production of a party to the record of a proceeding or of a person for whose benefit a proceeding is prosecuted or defended, the service…
ARTICLE 12. Enforcement of Orders and Sanctions §§ 11455.10–11455.30 · 3 sections
- § 11455.10 A person is subject to the contempt sanction for any of the following in an adjudicative proceeding before an agency: (a) Disobedience of or resistance to a…
- § 11455.20 (a) The presiding officer or agency head may certify the facts that justify the contempt sanction against a person to the superior court in and for the county…
- § 11455.30 (a) The presiding officer may order a party, the party’s attorney or other authorized representative, or both, to pay reasonable expenses, including attorney’s…
ARTICLE 13. Emergency Decision §§ 11460.10–11460.80 · 8 sections
- § 11460.10 Subject to the limitations in this article, an agency may conduct an adjudicative proceeding under the emergency decision procedure provided in this article.
- § 11460.20 (a) An agency may issue an emergency decision for temporary, interim relief under this article if the agency has adopted a regulation that provides that the…
- § 11460.30 (a) An agency may only issue an emergency decision under this article in a situation involving an immediate danger to the public health, safety, or welfare…
- § 11460.40 (a) Before issuing an emergency decision under this article, the agency shall, if practicable, give the person to which the agency action is directed notice…
- § 11460.50 (a) The agency shall issue an emergency decision, including a brief explanation of the factual and legal basis and reasons for the emergency decision, to…
- § 11460.60 (a) After issuing an emergency decision under this article for temporary, interim relief, the agency shall conduct an adjudicative proceeding under a formal,…
- § 11460.70 The agency record consists of any documents concerning the matter that were considered or prepared by the agency. The agency shall maintain these documents as…
- § 11460.80 (a) On issuance of an emergency decision under this article, the person to which the agency action is directed may obtain judicial review of the decision in…
ARTICLE 14. Declaratory Decision §§ 11465.10–11465.70 · 7 sections
- § 11465.10 Subject to the limitations in this article, an agency may conduct an adjudicative proceeding under the declaratory decision procedure provided in this article.
- § 11465.20 (a) A person may apply to an agency for a declaratory decision as to the applicability to specified circumstances of a statute, regulation, or decision within…
- § 11465.30 Within 30 days after receipt of an application for a declaratory decision, an agency shall give notice of the application to all persons to which notice of an…
- § 11465.40 The provisions of a formal, informal, or other applicable hearing procedure do not apply to an agency proceeding for a declaratory decision except to the…
- § 11465.50 (a) Within 60 days after receipt of an application for a declaratory decision, an agency shall do one of the following, in writing: (1) Issue a decision…
- § 11465.60 (a) A declaratory decision shall contain the names of all parties to the proceeding, the particular facts on which it is based, and the reasons for its…
- § 11465.70 (a) The Office of Administrative Hearings shall adopt and promulgate model regulations under this article that are consistent with the public interest and with…
ARTICLE 15. Conversion of Proceeding §§ 11470.10–11470.50 · 5 sections
- § 11470.10 (a) Subject to any applicable regulation adopted under Section 11470.50, at any point in an agency proceeding the presiding officer or other agency official…
- § 11470.20 If the presiding officer or other agency official responsible for the original proceeding would not have authority over the new proceeding to which it is to be…
- § 11470.30 To the extent practicable and consistent with the rights of parties and the requirements of this article relating to the new proceeding, the record of the…
- § 11470.40 After a proceeding is converted from one type to another, the presiding officer or other agency official responsible for the new proceeding shall do all of the…
- § 11470.50 An agency may adopt regulations to govern the conversion of one type of proceeding to another. The regulations may include an enumeration of the factors to be…
ARTICLE 16. Administrative Adjudication Code of Ethics §§ 11475–11475.70 · 8 sections
- § 11475 The rules imposed by this article may be referred to as the Administrative Adjudication Code of Ethics.
- § 11475.10 (a) This article applies to the following persons: (1) An administrative law judge. As used in this subdivision, “administrative law judge” means an incumbent…
- § 11475.20 Except as otherwise provided in this article, the Code of Judicial Ethics adopted by the Supreme Court pursuant to subdivision (m) of Section 18 of Article VI…
- § 11475.30 For the purpose of this article, the following terms used in the Code of Judicial Ethics have the meanings provided in this section: (a) “Appeal” means…
- § 11475.40 The following provisions of the Code of Judicial Ethics do not apply under this article: (a) Canon 3B(7), to the extent it relates to ex parte communications.…
- § 11475.50 A violation of an applicable provision of the Code of Judicial Ethics, or a violation of the restrictions and prohibitions on accepting honoraria, gifts, or…
- § 11475.60 (a) Except as provided in subdivision (b), a person to whom this article applies shall comply immediately with all applicable provisions of the Code of…
- § 11475.70 Nothing in this article shall be construed or is intended to limit or affect the rights of an administrative law judge or other presiding officer under Chapter…