TITLE 16 CALIFORNIA CODE OF REGULATIONS

General Provisions
Citation.
Location of Office.
Definitions
Delegation of Functions.
 
Applications
Application for Licensure.
Review of Applications: Processing Time.
 
Qualifications for Licensure-Education and Clinical Experience
Approved Institutions.
Academic Requirements.
Supervised Clinical Experience.
Examination Requirement.
 
Qualifications for Licensure-Required Professional Experience
Definitions.
Approved RPE.
Application and Fees.
Responsibilities of RPE Supervisors.
Maximum Number of RPE Temporary License Holders.
Multiple RPE Supervisors.
Compensation for RPE Supervisor Prohibited.
Supervision by RPE Temporary License Holder Prohibited.
Final Evaluation of Experience.
Termination of RPE Supervision.
Reissuance of RPE Temporary License.
 
Speech-Language Pathology or Audiology Aides
Definitions.
Registration of Aides.
Responsibilities of Aide's Supervisor.
Maximum Number of Aides.
Training of Aides.
Notice of Termination.
Noncompliance With Article.
Aide Experience Not Applicable to Qualifications for Licensure.
 
Disciplinary Guidelines
Disciplinary Guidelines.
 
Denial, Suspension and Revocation of Licensure
Unprofessional Conduct.
Substantial Relationship Criteria.
Rehabilitation Criteria for Denial and Reinstatement.
Rehabilitation Criteria for Suspensions or Revocations.
Advertising
 
Miscellaneous
Fees.
Filing of Change of Address.
 
Speech-Language Pathology and Audiology Corporations
Citation.
Requirements for Professional Corporations.
Shares; Ownership and Transfer.
Corporate Activities.
 
Citations and Fines
Citations - Content and Service.
Office Mediation
Violations and Fines.
Citations for Unlicensed Practice.
Compliance With Citation/Order of Abatement.
 
Continuing Professional Development
Definitions.
License Renewal Requirements.
Exemptions from Continuing Professional Development.
Continuing Professional Development Requirements.
Continuing Professional Development Course Content.
Hours of Continuing Professional Development.
Continuing Professional Development Providers.
Board-Approved Providers.
Revocation and Denial of Board-Approved Provider Status.
Course Advertisement.
Course Instructor Qualifications.
Records of Course Completion.
Licensee and Provider Course Records.
Continuing Professional Development for Out-of-State Applicants.
 
Speech-Language Pathology Assistants
Definitions.
Responsibilities, Duties, and Functions of a Speech-Language Pathology Assistant
Types of Supervision Required for Duties Performed by a Speech-Language Pathology Assistant
Activities, Duties, and Functions Outside the Scope of Responsibilities of a Speech-Language Pathology Assistant.
Application for Approval of Speech-Language Pathology Assistant Training Programs.
Approval Requirements for Programs.
Requirements of The Sponsoring Institution Assistant.
Administration and Organization of the Program.
Field Work Experience.
Compliance With Site Visits.
Required Curriculum.
Qualifications for Registration as a Speech-Language Pathology Assistant
Application and Fees.
Requirements for Renewal.
Requirements for the Supervision of the Speech-Language Pathology Assistant.
Maximum Number of Support Personnel.
Multiple Supervision.
Notice of Termination.
Discipline of a Speech-Language Pathology Assistant Registration.
Notice of Cancellation Upon Issuance of a Speech-Language Pathology License.
 
Information Disclosure
Statement of Policy.
Status of Licensees.
Requirements for Information Disclosure.
Disclosure of Complaint History.
Disclosure of Complaint Information to Licensee Who is the Subject of the Complaint.
Disclosure of Citations.
Disclosure of Civil Settlements.
Disclosure of Information Concerning Licensed Speech-Language Pathologists or Audiologists on the Board's Website.
 

RELATED CALIFORNIA CODE OF REGULATIONS TITLE 5 CALIFORNIA CODE OF REGULATIONS

Language, Speech and Hearing Development and Remediation.

TITLE 16 CALIFORNIA CODE OF REGULATIONS

Article 1. General Provisions

1399.150. Citation.

This chapter may be cited and referred to as the "Speech-Language Pathology and Audiology Regulations."

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2531.95, Business and Professions Code.

1399.150.1. Location of Office.

The principal office of the Speech-Language Pathology and Audiology Board is located at 1422 Howe Avenue, Suite 3, Sacramento, California 95825-3204.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2531.95, Business and Professions Code.

1399.150.2. Definitions.

(a) For the purpose of the regulations contained in this division, the term:

(1) "Board" means the Speech-Language Pathology and Audiology Board;

(2) "Medical Board" means the Medical Board of California;

(3) "Code" means the California Business and Professions Code:

(4) "Act" means the Speech-Language Pathologists and Audiologists Licensure Act;

(b) As used in Section 2530.2, subdivision (e), of the Code:

(1) "The development and disorders of speech" means the development and disorders of articulation, fluency, mastication and deglutition.

(2) "The development and disorders of voice" means the development and disorders of vocal quality and vocal production.

(3) "The development and disorders of language" means the development and disorders of auditory processing, auditory memory, verbal language, written language, visual processing, visual memory, cognition and communication, and non-verbal/non-oral language.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.2 and 2531.95, Business and Professions Code.

1399.150.3. Delegation of Functions.

(a) Except for those powers reserved exclusively to the "agency itself" under the Administrative Procedure Act (Section 11500 et seq. of the Government Code), the board delegates and confers upon the executive officer of the board, or in his or her absence, the executive director of the Medical Board, all functions necessary to the dispatch of the board in connection with investigative and administrative proceedings under the jurisdiction of the board.

(b) The executive officer is further authorized, subject to the approval of the board, to investigate and evaluate each applicant for licensure under the Act; and to issue a license in conformance with the provisions of the Act and this Chapter.

NOTE: Authority cited: Sections 2018, 2531.4, 2531.5 and 2531.25, Business and Professions Code. Reference: Sections 2531.4 and 2533, Business and Professions Code.
 

Article 2. Applications

1399.151. Application for Licensure.

(a) An application for a license as a speech-language pathologist or audiologist shall be filed with the board at its principal office.

(b) Every application shall be typed or written in ink, signed under the penalty of perjury and accompanied by the appropriate application fee and by such evidence, statements, or documents as therein required.

(c) The applicant shall be notified, in writing, of the results of the evaluation of the application for license if the application is rejected.

(d) An applicant shall be deemed to have abandoned his or her licensure application if the requirements for licensure are not completed within two years from the date on which application was filed unless the applicant has requested extension by the board. An application submitted subsequent to an abandoned application shall be treated as a new application.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2531.4 and 2532.1, Business and Professions Code.
 

1399.151.1. Review of Applications: Processing Time.

(a) Speech-Language Pathology Licenses.

(1) The board shall inform in writing an applicant for licensure as a speech-language pathologist within 37 days whether the application is complete and accepted for filing or is deficient and what specific information is required.

(2) The board shall inform in writing an applicant for licensure as a speech-language pathologist within 37 days after completion of the application, of its decision whether the applicant meets the requirements for licensure. "Completion of the application" means that a completed application form together with all required information, documentation and fees have been filed by the applicant. This period may be extended if the applicant is delayed in obtaining or completing any required professional experience.

(3) The minimum, median and maximum processing time for an application for licensure as an speech-language pathologist from the time of receipt of the initial application until the board makes a final decision on the application was:

(A) Minimum - 38 days

(B) Median - 294 days

(C) Maximum - 1078 days.

(b) Audiology Licenses.

(1) The board shall inform in writing an applicant for licensure as an audiologist within 46 days whether the application is complete and accepted for filing or is deficient and what specific information is required.

(2) The board shall inform in writing an applicant for licensure as an audiologist within 20 days after completion of the application of its decision whether the applicant meets the requirements for licensure. "Completion of the application" means that a completed application form together with all required information, documentation and fees have been filed by the applicant. This period may be extended if the applicant is delayed in obtaining or completing any required professional experience.

(3) The minimum, median and maximum processing time for an application for licensure as an audiologist from the time of receipt of the initial application until the board makes a final decision on the application was:

(A) Minimum - 53 days

(B) Median - 231 days

(C) Maximum - 686 days.

(c) Aide Registrations.

(1) The board shall inform in writing an applicant for registration as an aide within 30 days whether the application is complete and accepted for filing or is deficient and what specific information is required.

(2) The board shall inform in writing an applicant for registration as an aide within 20 days after completion of the application, of its decision whether the applicant meets the requirements for registration. "Completion of the application" means that a completed application form together with all required information, documentation and fees have been filed by the applicant.

(3) The minimum, median and maximum processing time for an application for registration as an aide from the time of receipt of the initial application until the board makes a final decision on the application was:

(A) Minimum - 15 days

(B) Median - 85 days

(C) Maximum - 264 days.

(d) Continuing Professional Development Provider Approvals.

(1) The board shall inform in writing an applicant for approval as a continuing professional development provider within 30 days whether the application is complete and accepted for filing or is deficient and what specific information is required.

(2) The board shall inform in writing an applicant for approval as a continuing professional development provider within 30 days completion of the application, of its decision whether the applicant meets the requirements for approval. "Completion of the application" means that a completed application form together with all required information, documentation and fees have been filed by the applicant.

(e) Continuing Professional Development Course Submissions.

(1) The board shall inform in writing a licensee and/or a continuing professional development provider within 30 days as to whether a voluntary petition for course approval documentation is complete and accepted for filing or is deficient and what specific information is required to correct the deficiency. The term "complete" means that all required information and documentation has been filed by the licensee and/or continuing professional development provider.

(2) The board shall inform in writing a licensee and/or continuing professional development provider within 45 days after completion of the documentation submitted for a voluntary petition for course approval, of its decision whether the course meets the course content requirements as defined in Section 1399.160.4.

(f) Speech-Language Pathology Assistant.

(1) The board shall inform an applicant for registration as a speech-language pathology assistant within 30 days whether the application is complete and accepted for filing or is deficient and what specific information is required.

(2) The board shall inform an applicant for approval as a speech-language pathology assistant within 85 days after completion of the application, of its decision whether the applicant meets the requirements for registration. "Completion of the application" means that a completed application form together with all required information, documentation and fees have been filed by the applicant.

(3) The minimum, median and maximum processing time for an application for registration as a speech-language pathology assistant from the time of receipt of the initial application until the board makes a final decision on the application are:

(A) Minimum - 40 days

(B) Median - 127 days

(C) Maximum - 166 days

NOTE: Authority cited: Sections 2531.95, 2532.6(a) and 2538.1(a), Business and Professions Code. Reference: Sections 2530.6, 2531.4, 2532.6(e), 2532.6(e)(2) and 2534.2(f), Business and Professions Code; and Section 15376, Government Code.
 

Article 3. Qualifications for Licensure-Education and Clinical Experience

1399.152. Approved Institutions.

(a) For the purposes of this Section, the term "institution" means the facility where a student attends and receives his or her primary academic and clinical preparation including the institution's satellite sites or campuses. The term "joint program" means a program wherein each of the member institutions is a separate degree-granting entity.

(b) An "institution approved by the board" as used in Section 2532.2 of the code is defined as:

(1) An educational institution (or in the case of a joint program, educational institutions) that is accredited by a regional or national accrediting body recognized by the United States Department of Education, and

(2) Has program accreditation in the area for which licensure is sought by an accrediting body recognized by the United States Department of Education or the Council on Higher Education Accreditation (CHEA) or its predecessor, the Council on Postsecondary Accreditation (COPA), or a comparable accrediting body recognized by the Board.

(c) A graduate speech-language pathology or audiology program shall be accredited or shall be designated as a program in candidacy by the accrediting body authorized by the American Speech-Language-Hearing Association at the time of the applicant's graduation.

(d) A post-baccalaureate audiology doctoral program shall be accredited or shall be designated as a program in candidacy by the accrediting body authorized by the American Speech-Language-Hearing Association or shall be accredited or shall be designated as a program in candidacy by another accrediting body as specified in subsection (b) above.

(e) In its discretion the board may approve after its review any educational program, with academic and clinical requirements equivalent to an accredited graduate or doctoral training program as provided for above, but, which is not accredited under one of the above-mentioned criteria.

NOTE: Authority cited: Sections 2531.95 and 2532.2, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
 

1399.152.1. Academic Requirements.

(a) As used in Section 2532.2, subd. (a) of the code, "qualifications deemed equivalent by the board" means in lieu of a master's degree an applicant may present evidence of completion of at least 30 semester units acceptable towards a master's degree while registered as a graduate student in a degree program in speech-language pathology and/or audiology. At least 24 of the required semester units shall be completed at a single educational institution and shall be in speech-language pathology or audiology.

(b) Credits for extension courses shall be accepted toward the unit requirements of Section 2532.2, subd. (b) of the code only if they are a part of the regular graduate curriculum and are accepted toward a graduate degree by the educational institution attended.

(c) The "successful completion" of a course as these terms are used in Section 2532.2, subd. (b) of the code means the student earned a grade of "C" or better or its equivalent.

(d) If the content of a course is not adequately depicted within its title, the board in its discretion may require additional course descriptions.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
 

1399.152.2. Supervised Clinical Experience.

(a) Supervised clinical experience within the meaning of Section 2532.2, subdivision (c) of the code shall be in the area for which licensure is sought. Speech-language pathology clinical experience shall be under the supervision of a licensed speech-language pathologist or a speech-language pathologist having qualifications deemed equivalent by the board. Audiology clinical experience shall be under the supervision of a licensed audiologist or an audiologist having qualifications deemed equivalent by the board. "Qualifications deemed equivalent by the board" includes a supervisor who holds the legal authorization to practice in the field for which licensure is sought in the state where the experience is being obtained, if the supervised clinical experience is obtained in a setting which is exempt from the licensure requirements of the Act or out of state.

(b) Two hundred seventy-five (275) clock hours of clinical experience shall be required for licensure as a speech-language pathologist or audiologist for applicants who completed their graduate program on or before December 31, 1992.

(c) Three hundred (300) clock hours of clinical experience in three (3) different clinical settings shall be required for licensure as a speech-language pathologist or audiologist for applicants who completed their graduate program after December 31, 1992.

(d) Twenty-five (25) hours of the required clinical experience may be in the field other than that for which the applicant is seeking licensure (speech-language pathology for an audiologist or audiology for a speech-language pathologist) if such clinical experience is under a supervisor who is qualified in the minor field as provided in subsection (a).

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
 

1399.152.3. Examination Requirement.

(a) Applicants shall be deemed to have satisfied the examination requirements of Section 2532.2(e) of the code if they have taken the National Examination in Speech-Language Pathology or the National Examination in Audiology administered by the Educational Testing Service of Princeton, New Jersey, within five years preceding the date on which their application is filed with the board and have achieved a score on such examination which is acceptable to the board.

(b)(1) Applicants who have taken and passed the National Examination; and

(2)(A) who are licensed in another state, or

(B) who hold a Certificate of Clinical Competence issued by the American Speech-Language-Hearing Association in the field for which licensure is sought, or

(C) who were previously licensed in this state, whose license has lapsed under Section 2535.4 of the code; and

(3) who provide proof of continuous employment, except for usual and customary absences for illness and vacation, in the field for which licensure is sought, for three years immediately prior to the date on which their application was filed with this board, may be deemed to have satisfied the examination requirement referred to in subsection (a) even though the National Examination may have been taken more than five (5) years from the date on which their application was filed with the board. Continuous employment in the field for which licensure is sought is defined as documented employment of not less than fifteen (15) hours per week during the three (3) years specified above while maintaining a license in the state where the applicant was employed. The applicant may request to appear before the board if his or her waiver application has been denied.

If an applicant has less employment experience than that required for a waiver of the examination, then the board may also consider, on a case-by-case basis, any continuing education in the field the applicant may have obtained during the above-mentioned three-year period.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2531.3, 2531.4, 2532, 2532.2 and 2532.4, Business and Professions Code.
 

Article 4. Qualifications for Licensure-Required Professional Experience

1399.153. Definitions.

As used in this article, the term:

(a) "Required professional experience" or "RPE" means the supervised practice of speech-language pathology or audiology for the purpose of meeting the requirements for licensure in accordance with Sections 2530.5, subdivision (f), and 2532.2, subdivision (d), of the code and these regulations.

(b) "Required professional experience supervisor" or "RPE supervisor" means a person who is licensed as a speech-language pathologist or audiologist in the field for which licensure is sought, or has qualifications deemed equivalent by the board. "Qualifications deemed equivalent by the board" include a supervisor who holds legal authorization to practice in the state where the experience is being obtained in the field for which licensure is sought if the required professional experience is obtained in a setting which is exempt from the licensure requirements of the Act or out of state.

(c) "Required professional experience temporary license holder" or "RPE temporary license holder" means a person who has complied with Section 1399.153.2 of these regulations.

NOTE: Authority cited for Article 4 (Sections 1399.160-1399.168): Section 2531.95, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
 

1399.153.1. Approved RPE.

(a) RPE shall provide the RPE temporary license holder with broad clinical experience in evaluation, habilitation and rehabilitation of patients.

(b) Activities which consist of academic teaching, clinical supervision, research or administration shall not be creditable toward the RPE requirement. A maximum of 5% per week of hearing screening services provided by an RPE temporary license holder in speech-language pathology shall be creditable toward the experience. Only those activities which directly concern the management of specific patients shall be creditable toward that requirement.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.5 and 2532.2, Business and Professions Code.
 

1399.153.2. Application and Fees.

(a) All persons desiring to begin their required professional experience shall file an RPE temporary license application with the board as provided in Section 1399.151. No person shall commence any RPE in a setting in which licensure is required in the Act until he or she has been issued a required professional experience temporary license. Upon receipt of the RPE temporary license application, the board will immediately review the RPE plan and notify the applicant of its approval or disapproval. As soon as possible thereafter, the board will review the applicant's credentials and notify the applicant as to the approval of his or her credentials for licensure.

(b) All RPE temporary license applicants shall submit at the time of filing the RPE temporary license application a non-refundable fee of $35.00 which is applicable to the application fee as required in Section 1399.157(a).

(c) Any experience gained prior to the issuance of the RPE temporary license will not be counted toward licensure, unless the RPE temporary license holder is practicing in a setting exempt under Section 2530.5 of the code, or in another state.

(d) Application under this section shall constitute temporary licensure of the RPE applicant under Section 2530.5 of the code.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.5, 2532.1, 2532.2, Business and Professions Code.
 

1399.153.3. Responsibilities of RPE Supervisors.

An RPE supervisor's responsibilities shall include, but are not limited to:

(a) Legal responsibility for the health, safety and welfare of the patients treated by the RPE temporary license holder.

(b) Insuring that the extent, kind, and quality of functions performed by an RPE temporary license holder under the supervisor's supervision is in compliance with these regulations and is consistent with the RPE temporary license holder's education and training.

(c) Insuring that such supervision consists of direct monitoring for a minimum of eight hours per month for each full-time RPE temporary license holder and four hours per month for each part-time RPE temporary license holder.

(d) "Direct monitoring" of the RPE temporary license holder may consist of the personal observation of the following:

(1) evaluation and assessment procedures;

(2) treatment procedures;

(3) record keeping, evaluation or assessment reports, correspondence, plans for management, and summaries of case conferences;

(4) participation in case conferences.

At least 50% of the supervisor's observation shall be of the RPE temporary license holder's evaluation, assessment and treatment procedures.

(e) Reviewing and evaluating the RPE temporary license holder's performance on a monthly basis for the purpose of improving his or her professional expertise. The RPE supervisor shall discuss the evaluations with the RPE temporary license holder and maintain written documentation of these evaluations and reviews. The written evaluations shall be signed by both the RPE supervisor and the RPE temporary license holder. If the supervisor determines the RPE temporary license holder is not minimally competent for licensure, the RPE temporary license holder shall be so notified orally and in writing. A written statement documenting the basis for the supervisor's determination shall be submitted with the final verification of experience to the board.

(f) Reviewing and countersigning all evaluation and assessment reports, treatment plans, progress and discharge reports drafted by the RPE temporary license holder.

(g) A "Required professional experience supervisor" must have completed not less than six (6) hours of continuing professional development in supervision training prior to assuming responsibility as a RPE supervisor, and three (3) hours of continuing professional development in supervision training every four years thereafter. If the continuing professional development in supervision training is obtained from a board- approved provider as defined in Section 2532.6 subdivision (e) of the code, the hours may be applied towards the continuing professional development requirement for licensees set forth in Section 1399.160.3 of the California Code of Regulations.

NOTE: Authority cited: Sections 2531.95, 2532.2 and 2532.6, Business and Professions Code. Reference: Sections 2532.2 and 2532.6, Business and Professions Code.
 

1399.153.4. Maximum Number of RPE Temporary License Holders.

An RPE supervisor shall not supervise more than three (3) RPE temporary license holders. The board may authorize more than three supervisees if, in its discretion, the supervisor demonstrates that the public health and safety would not be jeopardized and that he or she can adequately supervise more than three RPE temporary license holders while maintaining the standards of experience required in this article.

NOTE: Authority cited: Section 2531.95 and 2530.5, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
 

1399.153.5. Multiple RPE Supervisors.

If, during the required professional experience, the RPE temporary license holder is supervised by two or more RPE supervisors, then the supervisor having the most frequent contacts with the RPE temporary license holder shall be the responsible supervisor for the purpose of these regulations. That supervisor shall consult with any other RPE supervisors when evaluating the RPE temporary license holder's performance.

NOTE: Authority cited: Section 2531.95 and 2530.5, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
 

1399.153.6. Compensation for RPE Supervisor Prohibited.

No RPE supervisor may accept any remuneration or other consideration from an RPE temporary license holder for supervision of the RPE temporary license holder.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.5 and 2532.2, Business and Professions Code.
 

1399.153.7. Supervision by RPE Temporary License Holder Prohibited.

No RPE temporary license holder shall supervise aides or students receiving supervised clinical experience.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.5 and 2532.2, Business and Professions Code.
 

1399.153.8. Final Evaluation of Experience.

(a) In order for the RPE supervisor to evaluate the RPE temporary license holder for verification to the board, each supervisor shall evaluate the following activities of the RPE temporary license holder:

(1) evaluation and assessment procedures;

(2) treatment procedures;

(3) record keeping, evaluation and assessment reports, correspondence, plans for management and summaries of case conferences;

(4) participation in case conferences;

(5) professional meetings and publications.

(b) The monitoring of audio and video tape recordings is an acceptable method of evaluation provided that such monitoring shall not be substituted for direct observation and supervision of the RPE temporary license holder.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.

1399.153.9. Termination of RPE Supervision.

If the supervision of the RPE temporary license holder is terminated prior to the completion of the experience or if there is a change in the number of hours per week in which the RPE temporary license holder is employed, the RPE supervisor shall notify the board in writing of such facts within ten (10) days.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.

1399.153.10. Reissuance of RPE Temporary License.

(a) Upon written request by the RPE temporary license holder and prior to the expiration of the temporary license, the Board in its discretion may reissue the license by extending its expiration date for a period to be determined by the Board but may not exceed one year. Under no circumstances will the Board reissue or extend a temporary license because of failure by the requestor, within the initial RPE temporary license period, to submit the required licensing documentation or because of a failure by the requestor to take and pass the licensing examination as specified in Section 1399.152.3.

(b) The request for re-issuance of the RPE temporary license must submitted 60 days prior to the expiration of the original temporary license and must be accompanied by a completed Required Professional Experience Verification form number 77V-21 (Rev. 3-02). The Board will notify the RPE temporary license holder, within (30) working days after receipt of the request, whether a temporary license will be reissued to the RPE temporary license holder. If the request is denied, the RPE temporary license holder shall terminate practice upon expiration of the original temporary license. Failure to cease practice may result in disciplinary action taken by the Board against the RPE temporary license holder and/or the designated RPE supervisor.

(c) If the request for the re-issuance of the RPE temporary license is a result of;

(1) the RPE temporary license holder or an immediate family member, where the RPE temporary license holder has primary responsibility for the care of that family member, was suffering from or suffered a disability (a disability is a physical or mental impairment that substantially limits one or more of the major life activities of an individual) then the disability shall be verified by a licensed physician or psychologist with expertise in the area of the disability. Verification of the disability shall include;

A. the nature and extent of the disability;

B. an explanation of how the disability hinders the RPE temporary license holder from completing the experience; and

C. the name, address, telephone number, professional license or certification number, and original signature of the licensed physician or psychologist verifying the disability; or

(2) the RPE temporary license holder's designated supervisor has determined that the RPE temporary license holder requires additional experience in one or more practice area(s) to gain entry level competency for independent practice then the designated supervisor shall submit a written request to the Board justifying the need for additional experience including the following information;

A. the amount of time requested;

B. the areas of deficient professional skills, services or knowledge;

C. a remediation plan to address the deficiency;

D. a method to determine that the deficiencies have been addressed by the end of the extension; and

E. signatures of the requesting supervisor and the RPE temporary license holder indicating agreement with the justification.

(3) the RPE temporary license holder not receiving adequate supervision and training and has determined that he or she is not proficient in one or more practice area(s) then the RPE temporary license holder, with the assistance of a designated supervisor, shall submit a written request to the Board including the information specified in subsection (2).

(d) The fee for reissuing a temporary license to extend the required professional experience term shall be the same fee as that charged for the original RPE temporary license application as provided in Section 1399.153.2.

NOTE: Authority cited: Sections 2531.95 and 2530.5, Business and Professions Code. Reference: Section 2532.7, Business and Professions Code.
 

Article 5. Speech-Language Pathology or Audiology Aides

1399.154. Definitions.

As used in this article, the term:

(a) "Speech-language pathology aide" means a person who

(1) assists or facilitates while a speech-language pathologist is evaluating the speech and/or language of individuals or is treating individuals with a speech-language and/or language disorder and

(2) is registered by the supervisor with the board and the registration is approved by the board.

(b) "Audiology aide" means a person who

(1) assists or facilitates while an audiologist is evaluating the hearing of individuals and/or is treating individuals with hearing disorders, and

(2) is registered by the supervisor with the board and the registration is approved by the board.

(c) "Supervisor" means a licensed speech-language pathologist who supervises a speech-language pathology aide or a licensed audiologist who supervises an audiology aide.

(d) "Industrial audiology aide" means an audiology aide who conducts pure tone air conduction threshold audiograms for the purpose of industrial hearing testing in addition to other acts and services as provided in these regulations.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.2 and 2530.6, Business and Professions Code.
 

1399.154.1. Registration of Aides.

Before allowing an aide to assist in the practice of speech-language pathology or audiology under his or her supervision, a supervisor shall register each aide with the board on a form provided by the board and pay the registration fee required in Section 1399.157. Regardless of their title or job classification, any support person who functions as a speech-language pathology or audiology aide and facilitates or assists a supervisor in evaluations or treatment shall be registered with the board. In the application for registration, the supervisor shall provide to the board his or her proposed plan for supervising and training the speech-language pathology or audiology aide. The proposed plan for training shall be in accordance with Section 1399.154.4 and shall include the supervisor's training methods, the necessary minimum competency level of the aide, the manner in which the aide's competency will be assessed, the persons responsible for training, a summary of any past education, training and experience the aide may have already undertaken, and the length of the training program and assessment of the aide's competency level. The board shall review the application for compliance with the requirements of this article and notify the supervisor of its disposition of the application for registration and whether further information is required in order to complete its review.

NOTE: Authority cited: Section 2531.25, Business and Professions Code. Reference: Sections 2530.2, 2530.6 and 2532.4, Business and Professions Code.
 

1399.154.2. Responsibilities of Aide's Supervisor.

A supervisor of a speech-language pathology or audiology aide shall:

(a) Have legal responsibility for the health, safety and welfare of the patients.

(b) Have legal responsibility for the acts and services provided by the speech-language pathology or audiology aide, including compliance with the provisions of the Act and these regulations.

(c) Be physically present while the speech-language pathology or audiology aide is assisting with patients, unless an alternative plan of supervision has been approved by the board. A supervisor of industrial audiology aides shall include a proposed plan for alternative supervision with the application form. An industrial audiology aide may only be authorized to conduct puretone air conduction threshold audiograms when performing outside the physical presence of a supervisor. The supervisor shall review the patient histories and the audiograms and make any necessary referrals for evaluation and treatment.

(d) Evaluate, treat, manage and determine the future dispositions of patients.

(e) Appropriately train the speech-language pathology or audiology aide to perform duties to effectively assist in evaluation and/or treatment. A supervisor shall establish and complete a training program for a speech-language pathology or audiology aide in accordance with Section 1399.154.4 which is unique to the duties of the aide and the setting in which he or she will be assisting the supervisor.

(f) Define the services which may be provided by the speech-language pathology or audiology aide. Those services shall not exceed the competency of the aide as determined by his or her education, training and experience, and shall not include any treatment beyond the plan established by the supervisor for the patient.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.2 and 2530.6, Business and Professions Code.
 

1399.154.3. Maximum Number of Aides.

A supervisor shall not supervise more than three (3) speech-language pathology or audiology aides. The board may authorize more than three supervisees if, in its discretion, the supervisor demonstrates that the public health and safety would not be jeopardized and that he or she can adequately supervise more than three aides.

 

1399.154.4. Training of Aides.

Before a speech-language pathologist or audiologist allows an aide to assist in the practice of speech-language pathology or audiology under his or her supervision, a speech-language pathology or audiology aide shall complete a training program established by the supervisor. The training program shall include, but is not limited to:

(a) Instruction in the skills necessary to perform any acts or services which are the practice of speech-language pathology or audiology as defined in Section 2530.2 of the code. The supervisor is not required to repeat any training which may have already been received by the aide because of any prior education, training and experience.

(b) A supervisor shall require a speech-language pathology or audiology aide to demonstrate his or her competence to perform any acts or provide any services which are the practice of speech-language pathology or audiology as defined in Section 2530.2 of the code which may be assigned to the aide or which the aide may provide to patients. A supervisor shall allow a speech-language pathology or audiology aide only to perform those acts or to provide those services for which he or she has been provided training and has demonstrated competency.

(c) A supervisor shall instruct a speech-language pathology or audiology aide as to the limitations imposed upon his or her duties, acts or services by these regulations, by his or her training and skills and by the evaluation and treatment plan for any patient.

(d) In addition to the requirements of this section, an industrial audiology aide shall be provided training in the use of an audiometer and in the necessary techniques for obtaining valid and reliable audiograms.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.2 and 2530.6, Business and Professions Code.
 

1399.154.5. Notice of Termination.

Within 30 days after the termination of the supervision of a speech-language pathology or audiology aide, the supervisor shall notify the board, in writing, of such termination and the date thereof.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.2 and 2530.6, Business and Professions Code.
 

1399.154.6. Noncompliance With Article.

Failure of a supervising licensee to comply with the provisions of this article may result in a forfeiture of the privilege to supervise an aide.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2530.6, Business and Professions Code.
 

1399.154.7. Aide Experience Not Applicable to Qualifications for Licensure.

Any experience obtained acting as a speech-language pathology or audiology aide shall not be creditable toward the supervised clinical experience required in Section 2532.2(c) of the code or the required professional experience required in Section 2532.2(d) of the code.

 

Article 6. Disciplinary Guidelines

1399.155. Disciplinary Guidelines.

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Section 11400 et seq. of the Government Code) the board shall consider the disciplinary guidelines entitled "Disciplinary Guidelines July 16, 2004" that are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the board, in its sole discretion, determines that the facts of the particular case warrant such a deviation -- for example: the presence of mitigating factors; the age of the case and evidentiary problems.

NOTE: Authority cited: Sections 2531.95, Business and Professions Code; and Sections 11400.20, Government Code. Reference: Sections 2533 and 2533.1, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code.
 

Article 7. Denial, Suspension and Revocation of Licensure

1399.156. Unprofessional Conduct.

Unprofessional conduct as set forth in Section 2533 of the code includes, but is not limited to, the following:

(a) Violating or conspiring to violate or aiding or abetting any person to violate the provisions of the Act or these regulations.

(b) Committing any corrupt act, or any abusive act against a patient, which is substantially related to the qualifications, functions or duties of a speech-language pathologist or audiologist.

(c) Incompetence or negligence in the practice of speech-language pathology or audiology which has endangered or is likely to endanger the health, welfare, or safety of the public.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2533, Business and Professions Code.
 

1399.156.1. Substantial Relationship Criteria.

For the purposes of denial, suspension or revocation of a license or registration pursuant to Division 1.5 (commencing with Section 475) of the code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a person holding a license under the Act if to a substantial degree it evidences present or potential unfitness of a person holding a license to perform the functions authorized by his or her license or registration in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include, but not be limited to, those involving the following:

(a) Violating or attempting to violate, directly or indirectly, or assisting in or abetting the violation of, or conspiring to violate any provision or term of the Act.

(b) Conviction of a crime involving fiscal dishonesty.

NOTE: Authority cited: Sections 481 and 2531.95, Business and Professions Code. Reference: Sections 481, 2533, and 2533.1, Business and Professions Code.
 

1399.156.2. Rehabilitation Criteria for Denial and Reinstatement.

When considering the denial of a license or registration under Section 480 of the code or a petition for reinstatement under Section 11522 of the Government Code, the board, in evaluating the rehabilitation of the applicant and his or her present eligibility for a license, will consider the following criteria:

(a) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.

(b) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the code.

(c) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).

(d) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.

(e) Evidence, if any, of rehabilitation submitted by the applicant.

NOTE: Authority cited: Sections 482 and 2531.95, Business and Professions Code. Reference: Sections 482, 2533 and 2533.1, Business and Professions Code.
 

1399.156.3. Rehabilitation Criteria for Suspensions or Revocations.

When considering the suspension or revocation of a license on the grounds that a person holding a license or registration under the Act has been convicted of a crime, the board, in evaluating the rehabilitation of such person and his or her eligibility for a license, will consider the following criteria:

(a) Nature and severity of the act(s) or offense(s).

(b) Total criminal record.

(c) The time that has elapsed since commission of the act(s) or offense(s).

(d) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against such person.

(e) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.

(f) Evidence, if any, of rehabilitation submitted by licensee, certificate or permit holder.

NOTE: Authority cited: Sections 482 and 2531.95, Business and Professions Code. Reference: Sections 482, 2533 and 2533.1, Business and Professions Code.
 

1399.156.4. Advertising

(a) A licensed speech-language pathologist or audiologist may advertise the provision of any services authorized by the Act so long as such advertising does not promote the excessive or unnecessary use of such services.

(b) A licensed speech-language pathologist or audiologist may advertise any academic degree that has been earned and awarded provided that the advertisement of that degree is not false, deceptive, misleading or in the exercise of reasonable care should be known to be false, deceptive or misleading.

(c) The Board may consider the following factors in determining whether advertising any degrees from the following categories of institutions is false, deceptive, or misleading:

(1) An institution that was not legally authorized or approved to award the degree by the appropriate state regulatory or licensing agency at the time the degree was awarded or at any time during which the licensee was in attendance.

(2) An institution whose state approval was revoked within one (1) year after the degree was awarded.

(d) If these degrees are generic, such as Ph.D., Ed.D., M.S., M.A., or M.Ed., the holder may represent them, but shall specify the discipline in which each particular degree was earned.

NOTE: Authority cited: Sections 651 and 2531.95, Business and Professions Code. Reference: Sections 651, 2533 and 17500, Business and Professions Code
 

Article 8. Miscellaneous

1399.157. Fees.

(a) The application fee shall be $60.00 for any person applying for a speech-language pathology or non-dispensing audiology license.

(b) The application fee shall be $280 for any person applying for a dispensing audiology license.

(c) The biennial renewal fee for licensed speech-language pathologists and non-dispensing audiologists which expire prior to January 1, 2002 shall be $75.00. Effective January 1, 2002, the biennial renewal fee for licensed speech-language pathologists or non-dispensing audiologists shall be $110.00.

(d) The annual renewal fee for a licensed audiologist authorized to dispense hearing aids shall be $280.

(e) The fee for registration of an aide shall be $10.00.

(f) The application and the biennial renewal fee for a continuing professional development provider is a $200 non-refundable fee.

(g) The fee for issuance of a license status and history certification letter shall be $10.00.

NOTE: Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Sections 163.5, 2532.6(f) and 2534.2, Business and Professions Code.
 

1399.157.2. Filing of Change of Address.

Each person holding or having a license, registration, or application on file with the board shall notify the board in writing within thirty (30) calendar days of any change of mailing address, giving both the old and new address.

NOTE: Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2532.1, 2535.1 and 2536.3, Business and Profession Code.
 

Article 9. Speech-Language Pathology and Audiology Corporations

1399.158. Citation.

These regulations may be cited and referred to as the "Speech-Language Pathology and Audiology Corporation Regulations."

NOTE: Authority cited: Sections 2531.95 and 3125, Business and Professions Code. Reference: Section 2539, Business and Professions Code.
 

1399.158.1. Requirements for Professional Corporations.

A professional corporation shall comply with the following provisions:

(a) The corporation is organized and exists pursuant to the General Corporation Law and is a professional corporation within the meaning of the Moscone-Knox Professional Corporations Act, Corporations Code Section 13400, et seq.

(b) Each shareholder, director and officer (except as provided in Section 13403 of the Corporations Code and Section 2537.2 of the code) holds a valid speech-language pathologist's or audiologist's license, as the case may be. A speech-language pathologist may be a shareholder, officer or director of an audiology corporation and an audiologist may be a shareholder, officer or director of a speech-language pathology corporation in accordance with the numerical restrictions set forth in Section 13401.5 of the Corporations Code.

(c) Each employee of the corporation who will practice speech-language pathology or audiology whether or not a director, officer, or shareholder, holds a valid speech-language pathologist's or audiologist's license.

NOTE: Authority cited: Sections 2531.95 and 2539, Business and Professions Code. Reference: Sections 2536 and 2536.1, Business and Professions Code; and Sections 13401, 13401.5, 13403, 13405, and 13406, Corporations Code.
 

1399.158.2. Shares; Ownership and Transfer.

(a) Where there are two or more shareholders in a speech-language pathology or audiology corporation and one of the shareholders:

(1) Dies; or

(2) Becomes a disqualified person as defined in Section 13401 (d) of the Corporations Code, for a period exceeding ninety (90) days his or her shares shall be sold and transferred to the corporation, its shareholders, or other eligible licensed persons, on such terms as are agreed upon. Such sale or transfer shall not be later than six (6) months after any such death and not later than ninety (90) days after the date the shareholder becomes a disqualified person. The requirements of this subsection shall be set forth in the speech-language pathology or audiology corporation's articles of incorporation or by-laws.

(b) A corporation and its shareholders may, but need not, agree that shares sold to it by a person who becomes a disqualified person may be resold to such person if and when he or she again becomes qualified to be a shareholder.

(c) The share certificates of a speech-language pathology or audiology corporation shall contain an appropriate legend setting forth the restrictions of subsection (b), where applicable.

(d) Nothing in these regulations shall be construed to prohibit a professional corporation from owning shares in a nonprofessional corporation or to prohibit a speech-language pathologist or audiologist from owning shares in more than one speech-language pathology or audiology corporation.

(e) The restrictions on the ownership and transfer of shares in a speech-language pathology or audiology corporation apply to both legal and equitable title to such shares.

NOTE: Authority cited: Sections 2531.95 and 2539, Business and Professions Code. Reference: Section 2539, Business and Professions Code; and Sections 13401, 13403, 13406 and 13407, Corporations Code.
 

1399.158.3. Corporate Activities.

(a) A speech-language pathology or audiology corporation may perform any act authorized by its articles of incorporation or by-laws so long as that act is not in conflict with or prohibited by the Speech-Language Pathologists and Audiologists Licensure Act or the regulations adopted pursuant thereto.

(b) A speech-language pathology or audiology corporation may enter into partnership agreements respectively with other speech-language pathology or audiology corporations or with speech-language pathologists or audiologists.

NOTE: Authority cited: Sections 2531.95 and 2539, Business and Professions Code.
 

Article 10. Citations and Fines

1399.159. Citations - Content and Service.

(a) The executive officer of the board is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and/or fines for violations by any licensee or registrant of the board of the statutes and regulations referred to in this article.

(b) Each citation shall be in writing and shall describe with particularity the nature and facts of each violation specified in the citation, including a reference to the statute or regulation alleged to have been violated.

(c) The citation may contain an assessment of an administrative fine, an order of abatement fixing a reasonable time for abatement of the violation, or both.

(d) The citation shall inform the cited person of the right to an administrative hearing.

(e) The citation shall be served upon the licensee personally or by certified mail, return receipt requested.

NOTE: Authority cited: Sections 125.9, 148, and 2531.95, Business and Professions Code. Reference: Sections 125.9, 148, and 149, Business and Professions Code.
 

1399.159.01. Office Mediation

(a) Prior to issuing any citation, the executive officer shall provide notice of a probable violation and offer the individual who is the subject of the notice an opportunity to resolve the matter through office mediation.

(b) A request for office mediation must be made within fourteen (14) calendar days after the notice of probable violation was mailed.

(c) Within thirty (30) calendar days from the receipt of any such request, the executive officer shall conduct office mediation with the individual or his or her legal counsel or authorized representative.

(d) At or before the office mediation, the executive officer shall provide the individual or his or her representative with a notice informing him or her of the right to request copies of all relevant non-privileged documents pertaining to the matter. The notice will further inform the individual or his or her representative that these copies will be provided by the Board upon receipt of a written request. Disclosure of these documents shall not constitute a waiver of any exemption under the Public Records Act that permits the Board to withhold disclosure of these documents from inquiring members of the general public.

(e) Within fourteen (14) calendar days from the date of the office mediation, the executive officer will determine whether to proceed with the service of a citation pursuant to Section 1399.159.2. Alternately, the Executive Officer shall have the authority to enter into a settlement agreement with the individual.

(f) If no settlement agreement is reached and the executive officer decides to go forward with a formal citation, the person cited shall not waive the right to request a formal hearing under the Administrative Procedures Act pursuant to subdivision (b)(4) of Section 125.9 of the Business and Professions Code by virtue of the fact that he or she previously requested office mediation.

(g) In any settlement agreement entered into between the Board and the individual, the individual shall not be asked to waive or give up any future appeal rights he or she may have under the Administrative Procedures Act or any other law.

NOTE: Authority cited: Sections 125.9, 148, and 2531.95, Business and Professions Code. Reference: Sections 125.9, 148, and 149, Business and Professions Code.
 

1399.159.1. Violations and Fines.

(a) The executive officer shall consider the factors listed in subdivision (b)(3) of Section 125.9 of the code in determining the amount of the fine to be assessed or the terms of the order of abatement in any citation.

(b) The executive officer may, in his or her discretion, assess a fine not to exceed $5,000 for each investigation, and issue an order of abatement for any violation of the code or regulations governing the practices of speech-language pathology and audiology.

(c) Notwithstanding the administrative fine amount specified in subsection (b), a citation may include a fine between $2,501 and $5,000 if one or more of the following circumstances apply:

(1) The citation involves a violation that has an immediate relationship to the health and safety of another person.

(2) The cited person has a history of two or more prior citations of the same or similar violations.

(3) The citation involves multiple violations that demonstrate willful disregard of the law.

(4) The citation involves a violation or violations perpetrated against a minor, a senior citizen, or disabled person.

NOTE: Authority cited: Section 129.5, 148, and 2531.95, Business and Professions Code. Reference: Section 125.9, 148, and 149 Business and Professions Code.
 

1399.159.2. Citations for Unlicensed Practice.

(a) The executive officer of the board may issue citations, in accordance with Section 148 of the code, against any person, partnership, corporation, association or other group however organized who is performing or who has performed services for which licensure is required under the act or regulations governing the practices of speech-language pathology and audiology.

(b) Each citation issued under this section shall contain an order of abatement.

(c) The executive officer, in his or her discretion, may assess a fine for the unlicensed activity in accordance with subdivision (b)(3) of Section 125.9 of the code.

(d) Each citation shall be in writing and shall describe with particularity the nature and facts of each violation specified in the citation, including a reference to the statute or regulation alleged to have been violated.

(e) The citation shall be served upon the person personally or by certified mail, return receipt requested.

(f) The sanction authorized under this section shall be separate from and in addition to any other civil or criminal remedy.

NOTE: Authority cited: Sections 125.9, 148, and 2531.95 Business and Professions Code. Reference: Section 125.9, 148, and 149, Business and Professions Code.
 

1399.159.3. Compliance With Citation/Order of Abatement.

(a) Orders of abatement may be extended for good cause. If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his/her control after the exercise of reasonable diligence, then he/she may request from the executive officer an extension of time within which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.

(b) If a citation is not contested, or if the citation is appealed and the person cited does not prevail, failure to abate the violation or to pay the assessed fine within the time allowed shall constitute a violation and a failure to comply with the citation or order of abatement.

(c) Failure to timely comply with an order of abatement or pay an assessed fine may result in disciplinary action being taken by the board or other appropriate judicial relief being taken against the person cited.

(d) If a fine is not paid after a citation has become final, the fine shall be added to the cited person's license renewal fee. A license shall not be renewed without payment of the renewal fee and fine.

NOTE: Authority cited: Sections 125.9, 148, and 2531.95, Business and Professions Code. Reference: Sections 125.9, 148, and 149, Business and Professions Code.
 

Article 11. Continuing Professional Development

1399.160. Definitions.

As used in this article:

(a) A continuing professional development "course" means a form of systematic learning at least one hour (60 minutes) in length including, but not limited to, academic studies, extension studies, lectures, conferences, seminars, workshops, and self-study courses.

(b) A "self-study course" means a form of systematic learning performed at a licensee's residence, office, or other private location including, but not limited to, viewing or listening to recorded courses, or participating in "self-assessment testing" (open-book tests that are completed by the licensee, submitted to the provider, graded, and returned to the licensee with correct answers and an explanation of why the answer chosen by the provider was the correct answer). A self-study course does not mean a course taken at an accredited university towards a degree, nor does it include any interactive courses offered via electronic media where the course offering affords participants the opportunity to interact with an instructor and/or other course participants.

(c) A continuing professional development "provider" means an accredited institution of higher learning, a nonprofit education association, a nonprofit professional association, an individual, or other organization that offers continuing professional development courses and meets the requirements contained in this article.

(d) A "renewal period" means the two-year period that spans from a license's expiration date to the licensee's next expiration date.

(e) An "operational plan" means a detailed, written description which contains information that explains how the provider intends to conduct business, advertise its courses, provide educational services, and meet the minimum standards established in this article.

(f) "Professional development" shall have the same meaning and effect as the term "continuing education" when interpreting the provisions in this Article.

NOTE: Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (c)(1), (e) and (f), Business and Professions Code.
 

1399.160.1. License Renewal Requirements.

(a) Except as provided in Section 1399.160.2, a licensee whose license expires in the year 2001, shall certify in writing, when applying for license renewal, by signing a statement under penalty of perjury that during the preceding renewal period the licensee has completed twelve (12) hours of continuing professional development courses.

(b) Except as provided in Section 1399.160.2, a licensee who holds both a speech-language pathology license and an audiology license that expire in the year 2001, shall certify in writing, when applying for license renewal, by signing a statement under penalty of perjury that during the preceding renewal period the licensee has completed eight (8) hours of continuing professional development courses for each license for a total of sixteen (16) hours.

(c) Except as provided in Section 1399.160.2, a licensee shall certify in writing, when applying for license renewal, by signing a statement under penalty of perjury that during the preceding renewal period the licensee has completed twenty-four (24) hours of continuing professional development courses.

(d) Except as provided in Section 1399.160.2, a licensee who holds both a speech-language pathology license and an audiology license, shall certify in writing, when applying for license renewal, by signing a statement under penalty of perjury that during the preceding renewal period the licensee has completed sixteen (16) hours of continuing professional development courses for each license for a total of thirty-two hours.

(e) A licensee who falsifies or makes a material misrepresentation of fact when applying for license renewal or who cannot verify the completion of the continuing professional development requirement by producing a record of course completion, upon request by the board, is subject the disciplinary action under Section 2533(e) of the Code.

NOTE: Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Sections 2532.6(b), (c) (d) and 2533(e), Business and Professions Code.
 

1399.160.2. Exemptions from Continuing Professional Development.

(a) An initial licensee shall complete at least twelve (12) hours of continuing professional development, of which no more than four (4) hours may be earned through the following activities prior to his or her first license renewal:

(1) No more than (2) hours of self-study activities,

(2) No more than (2) hours from courses related to the discipline of speech-language pathology or audiology as defined in Section 1399.160.4(c)(4), or in indirect client care courses as defined in Section 1399.160.4(c)(3).

(b) A licensee is exempt from the continuing professional development requirement if his or her license is inactive pursuant to Sections 703 and 704 of the Code.

(c) A licensee may submit a written request for exemption from the continuing professional development requirement for any of the reasons listed below. The board will notify the licensee, within thirty (30) working days after receipt of the request for exemption, whether the exemption was granted. If the request for exemption is denied, the licensee is responsible for completing the full amount of continuing professional development required for license renewal. The board shall grant the exemption if the licensee can provide evidence, satisfactory to the board, that:

(1) For at least one year during the licensee's previous license renewal period the licensee was absent from California due to military service;

(2) For at least one year during the licensee's previous license renewal period the licensee resided in another country; or

(3) During the licensee's previous renewal period, the licensee or an immediate family member, where the licensee has primary responsibility for the care of that family member, was suffering from or suffered a disability. A disability is a physical or mental impairment that substantially limits one or more of the major life activities of an individual. The disability shall be verified by a licensed physician or psychologist with special expertise in the area of disability. Verification of the disability shall include:

(A) the nature and extent of the disability;

(B) an explanation of how the disability hinders the licensee from completing the continuing professional development requirement; and

(C) the name, title, address, telephone number, professional license or certification number, and original signature of the licensed physician or psychologist verifying the disability.

NOTE: Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(d), Business and Professions Code.
 

1399.160.3. Continuing Professional Development Requirements.

(a) A licensee, whose license expires in the year 2001, shall accrue at least twelve (12) hours of continuing professional development courses as defined in Section 1399.160.4. A licensee may accrue no more than four (4) hours of continuing professional development courses through self-study courses during this renewal period.

(b) A licensee who holds both a speech-language pathology license and an audiology license that expire in the year 2001, shall accrue at least eight (8) hours of continuing professional development courses as defined in Section 1399.160.4 for each license. A licensee may accrue no more than two (2) hours of continuing professional development courses through self-study courses for each license.

(c) A licensee shall accrue at least twenty-four (24) hours during a single renewal period of continuing professional development courses as defined in Section 1399.160.4. A licensee may accrue no more than eight (8) hours of continuing professional development courses through the following activities during a single renewal period:

(1) No more than six (6) hours of self-study activities,

(2) No more than four (4) hours from courses related to the discipline of speech-language pathology or audiology, as defined in Section 1399.160.4(c)(4) or in indirect client care courses as defined in Section 1399.160.4(c)(3).

(3) Not more than 50% of the continuing professional development hours required of a licensed non-dispensing audiologist, may be in hearing aid courses, but shall not be obtained from courses where the content focuses on equipment, devices, or other products of a particular publisher, company or corporation.

(d) A licensee who holds both a speech-language pathology license and an audiology license, shall accrue at least sixteen (16) hours of continuing professional development courses as defined in Section 1399.160.4 for each license. A licensee may accrue no more than five (5) hours of continuing professional development through the following activities for each license:

(1) No more than two and one-half (2.5) hours of self-study activities,

(2) No more than two and one-half (2.5) hours from courses related to the discipline of speech-language pathology or audiology, as defined in Section 1399.160.4(c)(4) or in indirect client care courses as defined in Section 1399.160.4(c)(3).

(e) A licensed audiologist authorized to dispense hearing aids as provided by Section 2539.1 of the code shall accrue at least twelve (12) hours of continuing professional development as defined in Section 1399.160.4 annually. A licensed audiologist authorized to dispense hearing aids may accrue no more than (3) hours of continuing professional development courses through the following activities during a single renewal period:

(1) No more than one and a half (1.5) hours of self-study activities,

(2) No more than one and a half (1.5) hours from courses related to the discipline of audiology, as defined in Section 1399.160.4(c)(4) or in indirect client care courses as defined in Section 1399.160.4(c)(3).

(3) Exactly 50% of the continuing professional development hours required of a licensed audiologist authorized to dispense hearing aids, shall be obtained from courses related to hearing aid dispensing but shall not be obtained from courses where the content focuses on the equipment, devices, or other products of a particular manufacturer or company. The remaining 50% of the continuing professional development hours required of a dispensing audiologist shall be relevant to the practice of audiology as defined in Section 2530.2(k) and shall not be obtained from hearing aid dispensing courses as provided for in this section.

(f) A licensee who holds both a speech-language pathology license and a dispensing audiology license shall accrue:

(1) At least sixteen (16) hours of continuing professional development courses in speech-language pathology biennially, of which no more than four (4) hours of the continuing professional development may be accrued through the following activities during a single renewal period:

(A) No more than two and one-half (2.5) hours of self-study activities,

(B) No more than two and one-half (2.5) hours from courses related to the discipline of speech-language pathology as defined in Section 1399.160.4(c)(4) or in indirect client care courses as defined in Section 1399.160.4(c)(3).

(2) At least eight (8) hours of continuing professional development courses in dispensing audiology as defined in Section 1399.160.4 and 1399.160.3(e)(3) annually, of which no more than two (2) hours of continuing professional development courses may be accrued through the following activities during a single renewal period:

(A) No more than one (1) hour of self-study activities,

(B) No more than one (1) hour from courses related to the discipline of speech-language pathology as defined in Section 1399.160.4(c)(4) or in indirect client care courses as defined in Section 1399.160.4(c)(3).

(g) If a licensee teaches a course offered by a provider registered with the board or an entity listed in Section 2532.6 of the Code, the licensee may claim credit for the same course only once, receiving the same amount of hours of continuing professional development credit as a licensee who attended the course.

(h) A licensee may not claim credit for the same course more than once for hours of continuing professional development.

(i) A licensee who takes a course as a condition of probation resulting from disciplinary action by the board may not apply the course as credit towards the continuing professional development.

NOTE: Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (c) and (e), Business and Professions Code.
 

1399.160.4. Continuing Professional Development Course Content.

(a) A licensed speech-language pathologist shall determine that the content and learning outcomes of a course are relevant to the practice of speech-language pathology as defined in Section 2530.2(d).

(b) A licensed audiologists shall determine that the content and learning outcomes of a course are relevant to the practice of audiology as defined in Section 2530.2(k).

(c) The content of a course shall pertain to direct, related, or indirect patient/client care.

(1) Examples of direct patient/client care courses for the practice of speech-language pathology include: fluency disorders, voice disorders, motor disorders of speech, dysphagia, speech science, oral and written language disorders, aphasia and neurogenic disorders of language and cognition, augmentative and alternative communication, phonological/articulatory disorders language science, and patient/client counseling to facilitate recovery from, or adjustment to, a communication disorder.

(2) Examples of direct patient/client care courses for the practice of audiology include auditory and vestibular assessment, auditory habilitation/rehabilitation, hearing assistive technology, industrial audiology/hearing conservation and hearing science.

(3) Indirect patient/client care courses cover pragmatic aspects of speech-language pathology or audiology practice (e.g., legal or ethical issues, consultation, record-keeping, office management, managed care issues, research obligations, technological applications related to assessment/diagnosis or intervention).

(4) Courses that are related to the discipline of speech-language pathology or audiology may cover general medical or educational offerings including, but not limited to, social interaction, cultural and linguistic diversity as it applies to service delivery for diverse populations, professional service delivery models, interdisciplinary case management issues, or medical pathologies related to neurological disorders that also result in communication difficulties.

(d) A provider shall ensure that a course has specific objectives that are measurable.

(e) Upon completion of a course, a licensee shall evaluate the course through some type of evaluation mechanism.

(f) Courses considered outside the scope of continuing professional development include, but are not limited to, those in the following areas:

(1) money management, the licensee's personal finances or personal business matters;

(2) general physical fitness or the licensee's personal health;

(3) presentations by political or public figures or other persons that do not deal primarily with the practice of either speech-language pathology or audiology;

(4) tort liability;

(5) courses that address increased office production or computerization, financial planning, employee benefits, marketing or motivational topics to increase productivity or profitability; and

(6) courses in which the primary beneficiary is the licensee, not the consumer.

NOTE: Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (c) and (e), Business and Professions Code.
 

1399.160.5. Hours of Continuing Professional Development.

(a) One hour of instruction is equal to one hour of continuing professional development credit.

(b) One academic quarter unit is equal to ten (10) hours of continuing professional development credit.

(c) One academic semester unit is equal to fifteen (15) hours of continuing professional development credit.

(d) One academic trimester unit is equal to thirteen (13) hours of continuing professional development credit.

NOTE: Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b) and (c), Business and Professions Code.
 

1399.160.6. Continuing Professional Development Providers.

(a) A licensee shall only be credited with continuing professional development hours if he or she takes a course from a board-approved provider with a valid, current approval as a provider or from an entity listed in Section 2532.6(e)(1) of the Code.

(b) Courses related to the dispensing of hearing aids as offered by hearing aid manufacturers or companies for the purposes of continuing professional development shall be reviewed by the Board prior to the offering of the course. The continuing professional development provider must submit such request for course approval to the Board according to the timeline in Section 1399.151.1(e). Such request shall include:

(1) The nature of the sponsoring institution, the Board issued professional development provider number (with the exception of those entities listed in Section 2532.6(e)(1)), the address, telephone number and contact person.

(2) Course title, date(s), location(s), and number of continuing professional development hours offered.

(3) Type and method of educational instruction and learner outcomes to be met.

(4) A course outline, course description, and instructor information and qualifications.

(5) If available, advertisements intended to be used by the provider to advertise the relevant course.

(c) A licensee or a continuing professional development provider may voluntarily petition Board consideration of any courses offered by an approved provider or an entity listed in Section 2532.6(e)(1) of the Code. The licensee or continuing professional development provider must submit such request for course approval to the Board according to the timeline in Section 1399.151.1(e). Such request shall include:

(1) The name of the sponsoring institution, the Board issued professional development provider number (with the exception of those entities listed in Section 2532.6(e)(1)), the address, telephone number and contact person.

(2) Course title, date(s), location(s), and number of continuing professional development hours offered.

(3) Type and method of educational instruction and learner outcomes to be met.

(4) A course outline, course description, and instructor information and qualifications.

(5) If available, advertisements intended to be used by the provider to advertise the relevant course.

NOTE: Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (e)(1) and (e)(2), Business and Professions Code.
 

1399.160.7. Board-Approved Providers.

(a) A continuing professional development provider shall meet the board's course content and instructor qualifications criteria, as provided under this article, to qualify to become a board-approved provider.

(b) An applicant for continuing professional development provider shall submit a completed Continuing Professional Development Provider Application (form no. 77A-50, new 1/99), hereby incorporated by reference, remit the appropriate fees, submit a complete operational plan, and obtain a continuing professional provider number from the board to become a board-approved provider.

(c) A provider approval issued under this section shall expire twenty-four months after the approval issue date. To renew an unexpired provider approval, the provider shall, on or before the expiration date of the approval, pay the biennial renewal fee set forth in Section 1399.157 of these regulations.

(d) A provider approval that is not renewed by the expiration date may not be renewed, restored, reinstated, or reissued thereafter, but the provider may apply for a new approval.

(e) Board-approved provider status is not transferable.

NOTE: Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(e)(1) and (e)(2), Business and Professions Code.
 

1399.160.8. Revocation and Denial of Board-Approved Provider Status.

(a) The board may revoke its approval of a provider or deny a provider application for good cause. Good cause includes, but is not limited to, the following:

(1) a provider is convicted of a felony or misdemeanor offense substantially related to the activities of a board-approved provider;

(2) a provider, who is a licensee of the board, fails to comply with any provisions of the Speech-Language Pathologists and Audiologists Licensure Act (Business and Professions Code Sections 2530 et seq.) or Title 16, Division 13.4 of the California Code of Regulations (Sections 1399.150 et seq.); or

(3) a provider makes a material misrepresentation of fact in information submitted to the board.

(4) a provider fails to comply with any provisions of the Speech-Language Pathologists and Audiologists Licensure Act (Business and Professions Code Section 2530 et seq.) or Title 16, Division 13.4 of the California Code of Regulations; (Sections 1399.150 et seq.); applicable to continuing professional development providers.

(b) After a thorough case review, should the board decide to revoke or deny its approval of a provider, it shall give the provider written notice setting forth its reasons for revocation or denial. The provider may appeal the revocation or denial in writing, within fifteen (15) days after receipt of the revocation or denial notice, and request a hearing with the board's designee. The revocation is stayed at this point.

Should the board's designee decide to uphold the revocation or denial, the provider may appeal the decision of the board's designee in writing, within seven (7) days after receipt of the decision of the board's designee, and request a hearing with a continuing education appeals committee appointed by the board chairperson. The hearing will take place at the next regularly scheduled board meeting, provided the appeal is received before the meeting is noticed to the public. It is at the discretion of the board's designee whether to stay the revocation further.

The continuing professional development appeals committee shall contain three board members, one public board member and two members representing both license types regulated by the board. The decision of the continuing professional development appeals committee is final.

NOTE: Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(e), Business and Professions Code.
 

1399.160.9. Course Advertisement.

A provider shall ensure that information publicizing a continuing professional development course is accurate and includes the following:

(a) the provider's name;

(b) the provider's approval number from the board;

(c) the statement "Course meets the qualifications for ______ hours of continuing professional development credit for (Speech-Language Pathologists or Audiologists as the case may be) as required by the California Speech-Language Pathology and Audiology Board";

(d) the provider's policy on refunds in cases of non-attendance by the registrant or cancellation by the provider;

(e) a clear, concise description of the course content and objectives;

(f) a statement describing the level of the course content; and

(g) a personal disclosure statement if either the instructor or provider has a personal financial interest in the course content

NOTE: Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(e), Business and Professions Code.
 

1399.160.10. Course Instructor Qualifications.

A provider shall ensure that an instructor teaching a course has at least two of the following minimum qualifications:

(a) a license, registration, or certificate in an area related to the subject matter of the course. The license, registration, or certificate shall be current, valid, and free from restrictions due to disciplinary action by this board or any other health care regulatory agency;

(b) a valid, current certification in the subject area issued by the American Speech-Language-Hearing Association or the American Board of Audiology;

(c) training, certification, or experience in teaching courses in the subject matter; or

(d) at least two years' experience in an area related to the subject matter of the course.

NOTE: Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(e), Business and Professions Code.
 

1399.160.11. Records of Course Completion.

Upon completion of a course, a provider shall issue a record of course completion to a licensee (e.g., letters of verification of attendance, certificates, gradeslips, transcripts) containing the following information:

(a) name of licensee and licensee's license number;

(b) course title;

(c) provider name and address;

(d) provider approval number;

(e) date of course;

(f) number of hours of continuing professional development credit; and

(g) signature of course instructor, provider, or provider designee.

NOTE: Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (c) and (e), Business and Professions Code.
 

1399.160.12. Licensee and Provider Course Records.

(a) A licensee shall maintain records of course completion for a period of at least two (2) years from the date of license renewal for which the course was completed.

(b) A provider shall maintain records related to continuing professional development courses for a period of at least four (4) years. Records shall include:

(1) syllabi for all courses;

(2) the time and location of all courses;

(3) course advertisements;

(4) course instructors' vitaes or resumes;

(5) attendance rosters with the names and license numbers of licensees who attended the courses;

(6) sign-in sheets; and

(7) records of course completion issued to licensees who attended the courses.

(c) The board may audit the course records of a licensee or a provider to ensure compliance with the board's continuing professional development requirements.

NOTE: Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (c), and (e), Business and Professions Code.
 

1399.160.13. Continuing Professional Development for Out-of-State Applicants.

Applicants for initial licensure who are licensed in another state and apply for licensure in this state are not required to complete any California continuing professional development hours until their first renewal.

NOTE: Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(d), Business and Professions Code.
 

Article 12. Speech-Language Pathology Assistants

1399.170. Definitions.

As used in this article:

(a) "Accountability" means being legally responsible and answerable for actions and inactions of self or others during the performance of a task by the speech-language pathology assistant.

(b) "Client" shall have the same meaning and effect as the term "patient" and "student," when referring to services provided in a school setting, for purposes of interpreting the provisions in this Article.

(c) "Direct supervision" means on-site observation and guidance by the supervising speech-language pathologist while a clinical activity is performed by the speech-language pathology assistant. Direct supervision performed by the supervising speech-language pathologist may include, but is not limited to, the following: observation of a portion of the screening or treatment procedures performed by the speech-language pathology assistant, coaching the speech-language pathology assistant, and modeling for the assistant.

(d) "Immediate supervision" means the supervising speech-language pathologist is physically present during services provided to the client by the speech-language pathology assistant.

(e) "Indirect supervision" means the supervising speech-language pathologist is not at the same facility or in close proximity to the speech-language pathology assistant, but is available to provide supervision by electronic means. Indirect supervision activities performed by the supervising speech-language pathologist may include, but are not limited to, demonstration, record review, review and evaluation of audio or video-taped sessions, interactive television, and supervisory conferences that may be conducted by telephone or electronic mail.

(f) "Medically fragile" is the term used to describe a client that is acutely ill and in an unstable condition and if treated by a speech-language pathology assistant, immediate supervision by a speech-language pathologist is required.

(g) "Screening" is a pass-fail procedure to identify, without interpretation, clients who may require further assessment following specified screening protocols developed by the supervising speech-language pathologist.

(h) "Supervision" for the purposes of this article, means the provision of direction and evaluation of the tasks assigned to a speech-language pathology assistant. Methods for providing supervision include direct supervision, immediate supervision, and indirect supervision.

(i) "Support personnel" means individuals who, following academic and/or on-the-job training, perform tasks as prescribed, directed and supervised by a speech-language pathologist. There are different levels of support personnel based on training and scope of responsibilities.

NOTE: Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Section 2538.1(b), Business and Professions Code.
 

1399.170.1. Responsibilities, Duties, and Functions of a Speech-Language Pathology Assistant

(a) A speech-language pathology assistant shall be limited to the responsibilities, duties, and functions as provided in Section 2538.1 of the Code.

(b) A speech-language pathology assistant shall disclose while working, his or her name and registration status, as granted by the state, on a nametag in at least 18-point type.

NOTE: Authority Cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference Cited: Sections 2538.1(b)(3) and (4), 2538.7(b) Business and Professions Code.
 

1399.170.2. Types of Supervision Required for Duties Performed by a Speech-Language Pathology Assistant

(a) Duties performed by the speech-language pathology assistant that require immediate supervision may include, but are not limited to, any direct client activity involving medically fragile patients. In such instances, the speech-language pathology assistant shall act only under the direction of the supervisor.

(b) Duties performed by the speech-language pathology assistant that require direct supervision may include, but are not limited to, any new screening or treatment activity that the assistant has been trained to perform by the supervisor, but has not yet been performed by the speech-language pathology assistant in direct client care.

(c) Duties performed by the speech-language pathology assistant that require indirect supervision may include, but are not limited to, the following:

(1) Screening or treatment activities where the supervisor has previously given instructions as to how to perform the task, has observed the assistant in the conduct of these activities, and is satisfied that the activities can be competently performed by the speech-language pathology assistant, i.e., repetitive drill exercises, generalization or carryover activities;

(2) Clerical tasks such as record keeping, materials preparation, scheduling, equipment maintenance; and,

(3) Other non-client care activities.

NOTE: Authority Cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference Cited: Section 2538.1(b)(7), Business and Professions Code.
 

1399.170.3. Activities, Duties, and Functions Outside the Scope of Responsibilities of a Speech-Language Pathology Assistant.

A speech-language pathology assistant may not conduct evaluations, interpret data, alter treatment plans, or perform any task without the express knowledge and approval of a supervising speech-language pathologist. The speech-language pathology assistant may not perform any of the following functions:

(a) Participate in parent conferences, case conferences, or inter-disciplinary team conferences without the supervising speech-language pathologist or another speech-language pathologist being present;

(b) Provide counseling or advice to a client or a client's parent or guardian which is beyond the scope of the client's treatment;

(c) Sign any documents in lieu of the supervising speech-language pathologist, i.e., treatment plans, client reimbursement forms, or formal reports;

(d) Discharge clients from services;

(e) Make referrals for additional services;

(f) Unless required by law, disclose confidential information either orally or in writing to anyone not designated by the supervising speech-language pathologist;

(g) Represent himself or herself as a speech-language pathologist; and,

(h) Perform procedures that require a high level of clinical acumen and technical skill, i.e., vocal tract prosthesis shaping or fitting, vocal tract imaging, and oropharyngeal swallow therapy with bolus material.

NOTE: Authority Cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference Cited: Section 2538.1(b)(3), Business and Professions Code.
 

1399.170.4. Application for Approval of Speech-Language Pathology Assistant Training Programs.

(a) To be eligible for approval by the Board as a speech-language pathology assistant training program (hereinafter referred to as "program"), the sponsoring institution shall be accredited by the Accrediting Commission for Community and Junior Colleges, Western Association of Schools and Colleges.

(b) An educational institution seeking approval of a speech-language pathology assistant program shall:

(1) Notify the Board in writing, by submitting a request from the officially designated representative of the sponsoring institution and the speech-language pathology assistant program director, of its intent to offer a new program.

(2) No later than six (6) months prior to the enrollment of students, submit a formal proposal to the Board demonstrating how the program will meet the requirements of Sections 1399.170.5. through 1399.170.10. The Board, at its sole discretion, may retroactively approve programs that enrolled students prior to the effective date of the regulations.

(c) The Board shall review the request and formal proposal and may thereafter grant or deny approval. The Board may request additional information to evaluate the request for approval and shall notify the program of its decision in writing within sixty (60) days from receipt of all requested documents.

(d) A material misrepresentation by the program of any information required to be submitted to the Board may be grounds for denial of approval or removal of the program from the approved list.

NOTE: Authority Cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference Cited: Section 2538.1(b)(2), Business and Professions Code.
 

1399.170.5. Approval Requirements for Programs

(a) In order for the program to be approved by the Board or to retain its approval, it shall comply with all requirements set forth in this article.

(b) The letter of approval shall be returned to the Board when the program's approval has been revoked.

NOTE: Authority Cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference Cited: Section 2538.1(b)(2), Business and Professions Code.
 

1399.170.6. Requirements of The Sponsoring Institution

(a) Responsibilities of the sponsoring institution and of each field work site shall be clearly established by formal agreement or memorandum of understanding.

(b) The sponsoring institution shall assume primary responsibility for receiving and processing applications for student admissions, curriculum planning, selection of course content, coordination of classroom teaching and supervised field work, appointment of faculty, and granting the completion certificate or degree, or otherwise documenting satisfactory completion of the program.

(c) Student records including admission, enrollment, academic performance directed observation, fieldwork clock hours, and demonstration of fieldwork competencies shall be maintained by the sponsoring institution according to its policies. Grades and credits for courses must be recorded on students' transcripts and shall be maintained by the sponsoring institution. Hours for field work experiences and supervision shall be recorded and documented by supervisory staff.

(d) The program director of the sponsoring institution shall be responsible for ensuring that the scope of responsibilities delegated to students during field work experiences are appropriate to the training received and the clients assigned, and consistent with the American Speech-Language-Hearing Association's Guidelines for the Training, Credentialing, Use, and Supervision of Speech-Language Pathology Assistants (1996, Spring), incorporated herein by reference, and that all approved criteria for speech-language pathology assistant training has been met.

NOTE: Authority Cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference Cited: Section 2538.1(b)(2), Business and Professions Code.
 

1399.170.7. Administration and Organization of the Program.

(a) There shall be a written statement of program objectives which serves as a basis for curriculum structure. Such statement shall be nondiscriminatory with respect to race, color, creed, gender, age, or disabling conditions.

(b) The policy and procedures by which the program is administered shall be in writing, shall reflect the objectives of the program, and shall be provided to all applicants. The policy and procedures shall include all of the following:

(1) Completion requirements that are accurately stated and published;

(2) Procedures for processing student and faculty grievances;

(3) Policies and procedures regarding student academic probation, field work suspension, and program dismissal;

(4) Provisions for the health and safety of clients, students, and faculty associated with training activities.

(5) Requirements to become registered by the Board as a speech-language pathology assistant.

(c) The program shall have a written plan for evaluation of the effectiveness and outcomes of the program, including admission and selection procedures, attrition and retention of students, and measurements of student achievements. The results of the evaluation shall be reflected in the curricular changes and other modifications of the program.

(d) The program shall have sufficient resources, including faculty, library, staff and support services, physical space and equipment to achieve the program's objectives.

(e) The student/teacher ratio shall:

(1) Permit the achievement of the stated objectives of the program;

(2) Be compatible with accepted practices of the sponsoring institution;

(3) Ensure student and client safety, and quality training in laboratory and field work experiences by adjustment of faulty/student ratios when required; and

(4) Be consistent with available resources, i.e. faculty, field work sites, materials, and equipment.

NOTE: Authority Cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference Cited: Section 2538.1(b)(2), Business and Professions Code.
 

1399.170.8. Field Work Experience.

(a) A program shall not utilize agencies and/or community facilities for field work experience without prior program approval by the Board. Each program must submit evidence that it has complied with the requirements of subdivision (b) and (c) of this section.

(b) A program that utilizes agencies and/or community facilities for field work experience shall maintain written objectives for students learning in such facilities, and shall assign students only to facilities that can provide the experience necessary to meet those objectives.

(c) Each such program shall maintain written agreements with such facilities and such agreements shall include the following:

(1) Assurance of the availability and appropriateness of the learning environment in relation to the program's written objectives;

(2) Provision for orientation of faculty and students;

(3) A specification of the responsibilities and authority of the facility's staff as related to the program and to the educational experience of the students;

(4) Assurance that staff is adequate in number and quality to insure safe and continuous health care services to patients;

(5) Provisions for continuing communication between the facility and the program; and

(6) A description of the responsibilities of faculty assigned to the facility utilized by the program.

NOTE: Authority Cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference Cited: Section 2538.1(b)(2), Business and Professions Code.
 

1399.170.9. Compliance With Site Visits.

(a) The Board may, through its Executive Officer, inspect all programs and their respective field work facilities in this state at such time as the Board shall deem necessary.

(1) The program and/or institution shall fully cooperate with Board representatives during site visits, including but not limited to, providing access to all records which the Board deems necessary or appropriate to determine whether the program meets the standards of this chapter.

(2) The program and/or institution shall facilitate the Board's onsite visit including the inspection of records, inspection of all facilities and equipment, observation of class sessions, or interviews with officers, administrators, faculty, or students.

(b) Written reports of the Executive Officer's visits shall be made to the Board which shall thereupon approve the programs that meet the requirements defined in this Article.

NOTE: Authority Cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference Cited: Section 2538.1(b)(2), Business and Professions Code.
 

1399.170.10. Required Curriculum.

(a) A program's curriculum shall not be implemented or revised until it has been approved by the Board.

(b) The curriculum shall be designed so that a speech-language pathology assistant who completes the program will have the knowledge and skills necessary to function in accordance with the minimum standards set forth in Section 2538.1(b)(3) of the Business and Professions Code.

(c) The curriculum shall consist of not less than sixty (60) semester units or ninety (90) quarter units, which shall include the following:

(1) Twenty (20) to thirty (30) semester units or thirty (30) to forty-five (45) quarter units in general education requirements, including but not limited to, basic communication skills, knowledge of mathematics, liberal arts, and biological, behavioral and heath sciences.

(2) Thirty (30) to forty (40) semester units or forty-five (45) to sixty (60) quarter units in course work that satisfies the competencies defined in the American Speech-Language-Hearing Association's Guidelines for the Training, Credentialing, Use, and Supervision of Speech-Language Pathology Assistants Appendix C - Speech-Language Pathology Assistant Suggested Competencies (1996, Spring) including the following observation and field work experiences:

(A) A minimum of fifteen (15) clock hours of directed observation; and

(B) A minimum of seventy (70) clock hours of field work experience.

(d) The course of instruction shall be presented in semester or quarter units under the following formula:

(1) One (1) hour of instruction in theory each week throughout a semester or quarter equals one (1) unit. (2) Three (3) hours of field work practice each week throughout a semester or quarter equals one (1) unit.

NOTE: Authority Cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference Cited: Section 2538.1(b)(2), Business and Professions Code.
 

1399.170.11. Qualifications for Registration as a Speech-Language Pathology Assistant

To be eligible for registration by the Board as a speech-language pathology assistant, the applicant must possess at least one of the following qualifications:

(a) An associate of arts or sciences degree from a speech-language pathology assistant program accredited by the Accrediting Commission for Community and Junior Colleges, Western Association of Schools and Colleges, and approved by the Board; or

(b) Evidence of completion of a bachelor's degree program in speech-language pathology or communication disorders from an institution listed in the "Accredited Institutions of Postsecondary Education" handbook issued by the American Council on Education, and completion of the field work experience as required in Section 1399.170.10(c)(2)(B) from a Board-approved program, or completion of a minimum of seventy (70) hours of field work experience or clinical experience equivalent to that required in Section 1399.170.10(c)(2)(B) in a bachelor's degree program as recognized in this subsection.

(1) The equivalent field work hours or clinical experience completed in a bachelor's degree program in speech-language pathology or communication disorders shall be evaluated for verification by the current training program director.

(2) In the event that the field work experience or clinical experience completed in the bachelor's degree program is deemed deficient by the authorized representative of a board-approved speech-language pathology assistant training program, the applicant may petition the Board for reconsideration.

(3) In lieu of completion of the seventy (70) hours of field work experience or clinical experience in a bachelor's degree program as defined in subsection (b) above, the Board may consider the completion of nine months of full-time work experience performing the duties of a speech-language pathology assistant enumerated in paragraph (4) of subsection (b) of Section 2538.1 of the Business and Professions Code as equivalent to the required clinical training.

(c) Evidence of completion of an equivalent speech-language pathology assistant associate of arts or science degree program, which includes the competencies listed in the American Speech-Language-Hearing Association's Guidelines for the Training, Credentialing, Use, and Supervision of Speech-Language Pathology Assistants, Appendix C - Speech-Language Pathology Assistant Suggested Competencies (1996, Spring).

NOTE: Authority cited: Sections 2531.95 and 2538.1, Business and Professions Code. Reference: Section 2538.1(b)(2) and 2538.3(a), Business and Professions Code.
 

1399.170.13. Application and Fees.

(a) Each person desiring registration as a speech-language pathology assistant shall file application forms (77A-60 New 08/01 and, if applicable, 77A-61 New 12/99) and any required supporting documentation with the Board as provided in Section 1399.151.1. Upon receipt of the speech-language pathology assistant application, the Board will review the application for registration and notify the applicant of its approval or disapproval.

(b) All applicants shall submit at the time of filing the speech-language pathology assistant application, a non-refundable fee of $50.00, which includes a non-refundable $25.00 application fee and a non-refundable $25.00 registration fee pursuant to Section 2534.2 of the Code.

NOTE: Authority Cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference Cited: Sections 2534.2(e) and (f), 2538.1(b)(1), Business and Professions Code.
 

1399.170.14. Requirements for Renewal.

(a) The renewal fee for registration as a speech-language pathology assistant is $75.00 every two years pursuant to Section 2534.2 of the Code.

(b) When applying for renewal, a speech-language pathology assistant shall certify in writing, by signing a statement under penalty of perjury that, during the preceding two years, the speech-language pathology assistant has completed twelve (12) hours of continuing professional development through state or regional conferences, workshops, formal in-service presentations, independent study programs, or any combination of these concerning communication disorders.

NOTE: Authority Cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference Cited: Sections 2534.2(f), 2538.1(b)(1) and (5), Business and Professions Code.
 

1399.170.15. Requirements for the Supervision of the Speech-Language Pathology Assistant.

(a) The supervising speech-language pathologist is responsible for designing and implementing a supervisory plan that protects client care and maintains the highest possible standards of quality. The amount and type of supervision required should be consistent with the skills and experience of the speech-language pathology assistant, the needs of the clients, the service setting, the tasks assigned, and the laws and regulations that govern speech-language pathology assistants. Treatment of the client remains the responsibility of the supervisor.

(b) Any person supervising a speech-language pathology assistant registered with the Board on or after April 10, 2001, (hereinafter called "supervisor") shall submit, within thirty (30) days of the commencement of such supervision, the "Responsibility Statement for Supervision of a Speech-Language Pathology Assistant" (77S-60, New 12/99), which requires that:

(1) The supervisor shall possess and maintain a current valid California license as a speech-language pathologist as required in Section 2532 of the Code and Section 1399.160.3 of California Code of Regulations or may hold a valid and current professional clear, clear, or life clinical or rehabilitative services credential in language, speech and hearing issued by the California Commission on Teacher Credentialing.

(2) The supervisor shall immediately notify the assistant of any disciplinary action, including revocation, suspension (even if stayed), probation terms, inactive license, or lapse in licensure, that affects the supervisor's ability or right to supervise.

(3) The supervisor shall ensure that the extent, kind and quality of the clinical work performed is consistent with the training and experience of the person being supervised, and shall be accountable for the assigned tasks performed by the speech-language pathology assistant. The supervisor shall review client/patient records, monitor and evaluate assessment and treatment decisions of the speech-language pathology assistant, and monitor and evaluate the ability of the assistant to provide services at the site(s) where he or she will be practicing and to the particular clientele being treated, and ensure compliance with all laws and regulations governing the practice of speech-language pathology.

(4) The supervisor shall complete not less than six (6) hours of continuing professional development in supervision training in the initial two year period from the commencement of supervision, and three (3) hours in supervision training of continuing professional development every two years thereafter. Continuing professional development training obtained by a Board-approved provider that meets the course content listed below, may be applied towards the continuing professional development requirement for licensees set forth in Section 1399.160.3 of the California Code of Regulations. The content of such training shall include, but is not limited to:

(A) Familiarity with supervision literature through reading assignments specified by course instructors; and

(B) Improving knowledge and understanding of the relationship between the speech-language pathologist and the assistant, and the relationship between the speech-language pathologist and the client.

(C) Structuring to maximize supervision, including times and conditions of supervision sessions, problem solving ability, and implementing supervisor interventions within a range of supervisory modalities including live, videotape, audiotape, and case report methods;

(D) Knowledge of contextual variables such as culture, gender, ethnicity, and economic issues; and

(E) The practice of clinical speech-language pathology including the mandated reporting laws and knowledge of ethical and legal issues.

(5) The supervisor shall maintain records of course completion for a period of two years from the speech-language pathology assistant's renewal date.

(6) The supervisor knows and understands the laws and regulations pertaining to supervision of speech-language pathology assistants.

(7) As the professional development advisor, the supervisor shall assist in the development of a plan for the speech-language pathology assistant to complete twelve (12) hours of continuing professional development every two years through state or regional conferences, workshops, formal in-service presentations, independent study programs, or any combination of these concerning communication disorders.

(8) The supervisor shall communicate to the speech-language pathology assistant the manner in which emergencies will be handled.

(9) Upon written request of the Board, the supervisor shall provide the Board with any documentation which verifies the supervisor's compliance with the requirements set forth in this article.

NOTE: Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Sections 2530.2(f), 2538.1(b)(5), (6), (7) and (9), Business and Professions Code.
 

1399.170.16. Maximum Number of Support Personnel.

A supervisor shall not supervise more than three (3) support personnel, not more than two of which hold the title of speech-language pathology assistant. Support personnel includes speech-language pathology assistants and speech-language pathology aides.

NOTE: Authority Cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference Cited: Section 2538.1(b)(8), Business and Professions Code.
 

1399.170.17. Multiple Supervision.

If a speech-language pathology assistant has more than one supervisor, each supervisor shall submit a Supervisor Responsibility Statement. Of the multiple supervisors, one shall be designated as the lead supervisor for purposes of assisting the speech-language pathology assistant in his or her compliance with the continuing professional development requirement.

NOTE: Authority Cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference Cited: Sections 2530.2(f), 2538.1(b)(5 - 9), Business and Professions Code.
 

1399.170.18. Notice of Termination.

At the time of termination of supervision, the supervisor shall complete the "Termination of Supervision" form (77S-61 New 12/99). This original signed form shall be submitted to the Board by the supervisor within fourteen (14) days of termination of supervision.

NOTE: Authority Cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference Cited: Sections 2530.2(f), 2538.1(b)(5-9), Business and Professions Code.

1399.170.19. Discipline of a Speech-Language Pathology Assistant Registration.

(a) Every registrant, including a registrant whose registration has expired or been placed in an inactive status, may be disciplined as provided in this article. The proceedings under this article 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 Board shall have all the powers granted herein.

(b) The Board may deny an application for a speech-language pathology assistant or take disciplinary action against a speech-language pathology assistant for any of the following:

(1) Unprofessional conduct, which includes, but is not limited to, the following:

(A) Incompetence or gross negligence in performing speech-language pathology assistant functions,

(B) Denial of licensure, voluntary surrender, revocation, suspension, restriction, or any other disciplinary action against a health care professional license, certificate, or registration by another state or territory of the United States, by any other government agency, or by another California health care professional licensing board. A certified copy of the decision or judgment shall be conclusive evidence of that action.

(2) Procuring a license, certificate or registration by fraud, misrepresentation, or mistake.

(3) Making or giving any false statement or information in connection with the application as a speech-language pathology assistant.

(4) Conviction of a misdemeanor or felony substantially related to the qualifications, functions, and duties of a speech-language pathology assistant, in which event a copy of the record of conviction shall be conclusive evidence thereof.

(5) Impersonating another speech-language pathology assistant or licensed health care professional, or permitting or allowing another person to use his or her registration for the purpose of practicing or holding himself or herself out as a speech-language pathology assistant.

(6) Administering to himself or herself any controlled substance or using of dangerous drug specified in Section 4022 of the Code, or any alcoholic beverage to the extent, or in a manner, as to be dangerous or injurious to the person applying for or holding a registration to conduct with safety to the public the practice authorized by the registration or the conviction of a misdemeanor or felony involving the use, consumption, or self-administration of any of the substances referred to in this subdivision, or any combination thereof.

(7) Violating or conspiring to violate or aiding or abetting any person to violate the provisions of this article or any regulation adopted by the Board.

(8) Misrepresentation as to the type or status of a registration held by the person, or otherwise misrepresenting or permitting misrepresentation of his or her education, professional qualifications, or professional affiliation to any person or entity.

(9) Intentionally or recklessly causing physical or emotional harm to any client.

(10) The commission of any dishonest, corrupt, or fraudulent act substantially related to the qualifications, functions, or duties of a speech-language pathology assistant.

(11) Engaging in sexual relations with a client, or if the client is a minor, the client's parent.

(12) Failure to maintain confidentiality, except as otherwise required or permitted by law, of all information that has been received from a client in confidence during the course of treatment and all information about the client which is obtained from tests or other means.

(13) Advertising in a manner that is false, misleading, or deceptive.

(c) The Board may refuse to issue any registration whenever it appears that an applicant may be unable to practice his or her profession safely due to mental illness or chemical dependency. The procedures set forth in Article 12.5 (commencing with Section 820) of Chapter 1 of the Code shall apply to any denial of a registration pursuant to this section.

(d) The Board may place a registration on probation under the following circumstances:

(1) In lieu of, or in addition to, any order of the Board suspending or revoking the license or registration of any registrant.

(2) Upon the issuance of a registration to an individual who has been guilty of unprofessional conduct, but who had otherwise completed all education and training and experience required for registration.

(3) As a condition upon the reissuance or reinstatement of any registration that has been suspended or revoked by the Board.

(e) The cost of probation or monitoring may be ordered to be paid by the registrant or applicant.

(f) The Board, in its discretion, may require any registrant who has been placed on probation, or whose registration has been suspended, to obtain additional professional training including, but not limited to, education, clinical work, or field work.

NOTE: Authority Cited: Sections 481, 2531.95, and 2538.1(a), Business and Professions Code. Reference Cited: Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code, Sections 820, 822, 2538.7, and 4022, Business and Professions Code.
 

1399.170.20.1 Notice of Cancellation Upon Issuance of a Speech-Language Pathology License.

(a) A speech-language pathology assistant registration shall be automatically cancelled upon the issuance of a speech-language pathology license to the same individual.

(b) At the time the Board issues the speech-language pathology license, it shall also issue a notice to the individual that his or her registration as a speech-language pathology assistant has been cancelled.

(c) A notice of cancellation sent by certified mail to the address of record of the speech-language pathology assistant is presumed to be received as a matter of law.

NOTE: Authority Cited: Section 2531.95, Business and Professions Code. Reference Cited: Sections 2538.1 and 2538.7 Business and Professions Code.
 

ARTICLE 13. INFORMATION DISCLOSURE

1399.180. Statement of Policy.

(a) It is the policy of the Speech-Language Pathology and Audiology Board to permit the maximum public access to information in its possession consistent with the requirements of the California Public Records Act (Govt. Code § 6250 et seq.), the Information Practices Act (Civ. Code § 1798 et seq.), and the individual's right of privacy guaranteed by the California Constitution (Art. I, § 1).

(b) In addition, because protection of the public is the highest priority for the Speech-Language Pathology and Audiology Board, and because its licensees provide vital services that have a direct impact on the health and well-being of the general public, the Board has determined as a matter of general policy that information pertaining to consumer complaints has a direct and immediate relationship to the health and safety of the public.

(c) The information regarding speech-language pathologists and audiologists which the Board will disclose under the public information system set forth in this Article does not constitute an exclusive list of information regarding licensees which may be available to the public. In the event of a request for other or additional records, the Board will consider that request in accordance with the California Public Records Act, the Information Practices Act, and any other applicable law.

(d) In disclosing information under this Article, the Board will omit personal information in the event disclosure would violate the Information Practices Act or any other applicable law.

NOTE: Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253, Government Code. Reference: Section 2531.02, Business and Professions Code; and Sections 6250, 6252, and 6253, Government Code.
 

1399.181. Status of Licensees.

The Board shall use the categorical description "good standing" when referring to licensed speech-language pathologists or audiologists either in response to public inquiries or in posting information on its website.

(a) A licensed speech-language pathologist or audiologist is not considered to be in "good standing" if he or she:

(1) Is subject to an order issued by the Board or any other civil, criminal or administrative court or agency that limits or in any way restricts his or her practice.

(2) Has entered into a settlement with either the Board, any other administrative agency, the Attorney General, or any civil or criminal prosecutor which in any way limits or restricts his or her practice.

(3) Has been disciplined or suspended following conviction of a crime substantially related to the qualifications, functions, and duties of a speech-language pathologist or audiologist as described in Sections 2533 and 2533.1 of the Business and Professions Code and Section 1399.156.1 of these regulations.

(b) Any licensed speech-language pathologist or audiologist who does not have a "good standing" designation may petition the Board to have this designation changed. The petition shall be heard before an administrative law judge designated in Section 11371 of the Government Code and pursuant to the provisions of the Administrative Procedure Act (Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code).

NOTE: Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253, Government Code. Reference: Sections 2533 and 2533.1, Business and Professions Code; and Sections 6250, 6252, 6253 and 11504, Government Code.
 

1399.182. Requirements for Information Disclosure.

The Speech-Language Pathology and Audiology Board will disclose the following information, if known, upon any request regarding any speech-language pathologist or audiologist licensed in California:

(a) Current status of a license, issuance and expiration date of a license, and the identity and date of all undergraduate and graduate degrees awarded.

(b) Any public action or administrative decision against any speech-language pathologist or audiologist, and any disposition thereof, taken by the Board, another state or the Federal Government including, but not limited to:

(1) the filing of an accusation;

(2) licensure revocations;

(3) denial of an application for licensure;

(4) temporary restraining orders;

(5) interim suspension orders;

(6) citations, infractions, or fines imposed;

(7) limitations on practice ordered by the Board including those made part of a probationary order or stipulated agreement; and

(8) public letters of reprimand.

The following disclaimer shall be included with these disclosures:

"Any adverse judgment or administrative order is subject to appeal or challenge by the speech-language pathologist or audiologist. For example, if an order revoking the license of a speech-language pathologist or audiologist is adopted by the Board, he or she can challenge that order by filing a petition for a writ of mandamus in superior court. If this court determines the order was issued contrary to law, it can vacate the Board's action and order that the speech-language pathologist or audiologist be reinstated."

(c) Accusations which have been filed and later withdrawn shall be retained in the Board's files for a period of one year after the accusation is withdrawn.

(d) Civil judgments in any amount of a claim or action for damages for death or personal injury caused by the negligence, error, or omission in practice by a speech-language pathologist or audiologist, or by his or her rendering unauthorized professional services, whether or not vacated by a settlement after entry of the judgment, that have not been reversed on appeal, including the date and amount of judgment, the court and case number, a brief summary of the circumstances as provided by the court, plus any information the Board possesses pertaining to the disposition of the case following entry of judgment. The Board shall also include the following disclaimer with such disclosures:

"Any civil judgment is subject to appeal by the losing party. For example, if a judgment is entered against a speech-language pathologist or audiologist, he or she can appeal to a higher court. If this court determines the judgment was entered in error, it can either vacate it or reduce the amount of any money damages awarded against the speech-language pathologist or audiologist."

(e) Arbitration awards in any amount of a claim or action for damages for death or personal injury caused by the negligence, error, or omission in practice of the speech-language pathologist or audiologist or by his or her rendering unauthorized professional services.

(f) California felony convictions reported to the Board on or after January 1, 1991, including the nature of the conviction, the date of conviction, the sentence, if known, the court of jurisdiction, and an appropriate disclaimer including, but not limited to, the accuracy of the information provided.

(g) Summaries of any disciplinary actions taken at a hospital or any other type of health care facility that result in the termination or revocation of staff privileges of a speech-language pathologist or audiologist for medical disciplinary cause or reason.

(h) Matters that have been referred to the Attorney General for the filing of an accusation or statement of issues; provided that:

(1) The matter has not been rejected by the Attorney General; and

(2) The following disclaimer accompanies the disclosure:

"Referral of a matter to the Attorney General for the filing of an accusation or statement of issues only occurs after an investigation has been conducted by the Board and a determination has been made that the actions of the speech-language pathologist or audiologist are of a nature that should warrant disciplinary action. In some instances, however, the Attorney General may determine that disciplinary action is not warranted. Such cases will normally not result in the filing of a formal accusation. When an accusation is filed, the speech-language pathologist or audiologist will be given notice and the right to request a hearing before an independent administrative law judge. At such a hearing, the Board has the burden of proving the allegations contained in the accusation. Unless a legal determination is made that the Board has sustained this burden, no disciplinary action may be taken against the speech-language pathologist or audiologist."

NOTE: Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253, Government Code. Reference: Section 129, Business and Professions Code; and Sections 6250, 6252, and 6253, Government Code.
 

1399.183. Disclosure of Complaint History.

The Board shall maintain records showing the complaints received against speech-language pathologists or audiologists and, with respect to such complaints, shall make available to inquiring members of the public the following information:

(a) The nature of all complaints on file which have been investigated by the Board and referred for legal action to the Attorney General, including:

(1) The date of the complaint;

(2) A brief summary of the nature of the complaint; and

(3) Its disposition.

(b) Under no circumstances shall the name, identity, or information that might lead to the discovery of the identity of the complainant, patient, or client be disclosed.

(c) Information concerning the complaint shall be accompanied by the disclaimer set out in Section 1399.182(h)(2). If no action is taken by the Attorney General, records of the complaint shall be deleted from the Board's complaint disclosure system no later than one year after receipt of the decision by the Attorney General to take no action.

(d) If a complaint results in legal action and is subsequently determined by the Board, the Attorney General, or a court of competent jurisdiction not to have merit, it shall be deleted from the complaint disclosure system.

(e) If a complaint results in a criminal prosecution, the Board will disclose the current status of the prosecution and any sentence imposed. If the prosecution results in an acquittal or is dismissed, the information described in this subdivision, including the existence of the complaint, shall be deleted from the complaint disclosure system.

(f) Information about a complaint shall not be disclosed in the complaint history report if:

(1) The disclosure might compromise an investigation or prosecution; or

(2) The disclosure might endanger or injure the complainant or a third party.

NOTE: Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253, Government Code. Reference: Section 129, Business and Professions Code; and Section 1798.24, Civil Code; and Sections 6250, 6252, 6253 and 6254, Government Code.
 

1399.184. Disclosure of Complaint Information to Licensee Who is the Subject of the Complaint.

With respect to a licensed individual inquiring about his or her own complaint history, the Board will provide summary of all complaints in its possession but not disclose the source or identity of the complainant.

NOTE: Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253, Government Code. Reference: Section 129, Business and Professions Code; Sections 1798.24, 1798.32, and 1798.38, Civil Code; and Sections 6250, 6252, and 6253, Government Code.
 

1399.185. Disclosure of Citations.

Every citation that is issued by the Board shall be disclosed to an inquiring member of the public. Citations that have been resolved, by payment of the administrative fine or compliance with the order of abatement, shall be purged from the Board's records five (5) years from the date of resolution. A citation that has been withdrawn or dismissed shall be purged from the Board's records immediately upon being withdrawn or dismissed.

NOTE: Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253 Government Code. Reference: Sections 6250, 6252, and 6253, Government Code.
 

1399.186. Disclosure of Civil Settlements.

Upon request, the Board will disclose the following information which is in its possession concerning settlements of civil actions in an amount of $30,000 or more seeking recovery of damages for death or personal injury caused by the professional negligence, errors, or omissions of a speech-language pathologist or audiologist or his or her unauthorized practice:

(a) The date and amount of the settlement;

(b) The case number, court and parties to the civil action; and

(c) The following disclaimer:

"Settlement of a claim may occur for a variety of reasons that do not necessarily reflect negatively on the professional competence or conduct of the speech-language pathologist or audiologist. A payment in settlement of a professional malpractice action or claim should not be construed as creating a presumption that professional malpractice in fact occurred."

NOTE: Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253 Government Code. Reference: Sections 6250, 6252, and 6253, Government Code
 

1399.187. Disclosure of Information Concerning Licensed Speech-Language Pathologists or Audiologists on the Board's Website.

For each licensed speech-language pathologist or audiologist, the Board will maintain on its website all of the information described in subdivision (a) of Section 1399.182 of these regulations as well as information on whether the speech-language pathologist or audiologist is in "good standing" as that term is used in Section 1399.181. If the speech-language pathologist or audiologist is not in good standing, the website shall indicate what restrictions, legal actions, orders, or discipline are currently pending.

NOTE: Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253, Government Code. Reference: Section 129, Business and Professions Code; and Sections 6250, 6252, and 6253, Government Code.
 

RELATED CALIFORNIA CODE OF REGULATIONS TITLE 5 CALIFORNIA CODE OF REGULATIONS

3051.1. Language, Speech and Hearing Development and Remediation.

(a) An individual holding an appropriate credential with specialization in language, speech and hearing may provide services which include:

(1) Referral and assessment of individuals suspected of having a disorder of language, speech, or hearing. Such individuals are not considered as part of the caseload pursuant to Section 56363.3 of the Education Code unless an individualized education program is developed and services are provided pursuant to Section 3051.1(a)(2) and (3).

(2) Specialized instruction and services for individuals with disorders of language, speech, and hearing, including monitoring of pupil progress on a regular basis, providing information for the review, and when necessary participating in the review and revision of individualized educational programs of pupils.

(3) Consultative services to pupils, parents, teachers, or other school personnel.

(4) Coordination of speech and language services with an individual's regular and special education program.

(b) Caseloads of full-time equivalent language, speech and hearing specialists providing instruction and services within the district, special education local plan area, or county office shall not exceed a district-wide, special education local plan area-wide, or county-wide average of fifty-five (55) individuals unless prior written approval has been granted by the State Superintendent of Public Instruction.

(c) Services may be provided by an aside working under the direct supervision of a credentialed language, speech, and hearing specialist if specified in the individualized education program. No more than two aides may be supervised b one credentialed language, speech, and hearing specialist. The case loads of persons in subsection (b) shall not be increased by the use of noncertificated personnel.

NOTE: Authority cited: Section 56100(a) and (i), Education Code. Reference: Sections 56363(b)(1) and Education Code; and 34 CFR 300.13(b)(12).