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重点内容:申请程序

来自 Title 22 第6分部第8章「第3条:申请程序」的 16 条重点内容中文说明。如需可搜索、可收藏的版本,请使用互动学习指南

许可证申请必须包含的内容——申请人与设施基本信息
87155 p. 37
任何想要开设RCFE的人——个人、商行、合伙企业、协会、法人或政府实体——都必须使用许可机构的官方表格向其提交许可证申请,并配合任何后续的核实或文件要求。所需内容包括:
  • 设施的名称(或拟用名称)及地址。
  • 申请人的姓名/地址,以及证明申请人已完成87406规定的管理员认证要求的材料——除非其已持有1989年7月1日之前颁发的现行RCFE许可证,或在过去5年内完成了经批准的认证项目。
  • 若申请人为合伙企业:每位合伙人的姓名、签名及营业地址。
  • 若申请人为公司或协会:每位高管/董事的姓名、职务及地址(由首席执行官或授权代表签署),以及公司章程和细则的副本,还有持有该公司超过10%股份的所有人身份信息。
  • 若申请人为公司:每位董事会成员、执行董事及高管须披露其曾获许可经营、任职或担任董事会成员的所有其他设施——以便部门能够发现跨多家设施的模式。
查看 Title 22 法规原文

法规原文(英文)

(a) Any individual, firm, partnership, association, corporation or governmental entity desiring to obtain a license shall file with the licensing agency an application on forms furnished by the licensing agency. The licensee shall cooperate with the licensing agency in providing verification and/or documentation as requested by the licensing agency. The application and supporting documents shall contain the following:Part 1, Page 37
(1) Name or proposed name and address of facility.Part 1, Page 37
(2) Name and address of the applicant and documentation verifying completion by the applicant of certification requirements as specified in Section 87406, Administrator Certification Requirements.Part 1, Page 37
(3) If the applicant is a partnership, the name, signature and principal business address of each partner.Part 1, Page 37
(4) If the applicant is a corporation or association, the name, title and principal business address of each officer, executive director, and member of the governing board. The application shall be signed by the chief executive officer or authorized representative. In addition, a copy of the Articles of Incorporation, Constitution and By-laws, and the name and address of each person owning more than 10 percent of stock in the corporation shall be provided.Part 1, Page 37
(5) If the applicant is a corporation, each member of the board of directors, executive director, and any officer shall list the name of all facilities which they have been licensed to operate, employed by or a member of the board of the directors, executive director or an officer.Part 1, Page 37
业主不驻场设施的申请要求
87155 / H&S 1569.175 p. 37-38
对于业主不驻场的小型设施(6名或以下住户),申请还必须包含该设施依据《健康与安全法》1569.175批准的处理事件与投诉的程序。这些程序必须保证:
  • 业主(或其被指定人)会在发生事件或投诉时收到通知,亲自进行调查,并向投诉人给予回复——说明已采取的措施,或说明为何无需采取措施。
  • 设定固定的每周时段,届时业主(或其被指定人)会到场,使住户和邻居有切实机会直接提出问题。
业主不驻场的设施必须在1987年7月1日之前建立这些程序。
查看 Title 22 法规原文

法规原文(英文)

(6) Procedures as required pursuant to section 1569.175 of the Health and Safety Code.Part 1, Page 37
(a) In addition to any other requirements of this chapter, any residential care facility for the elderly providing residential care for six or fewer persons at which the owner does not reside shall provide a procedure approved by the licensing agency for immediate response to incidents and complaints. This procedure shall include a method of assuring that the owner, licensee, or person designated by the owner or licensee is notified of the incident, that the owner, licensee, or person designated by the owner or licensee has personally investigated the matter, and that the person making the complaint or reporting the incident has received a response of action taken or a reason why no action needs to be taken.Part 1, Page 38
(b) In order to assure the opportunity for complaints to be made directly to the owner, licensee, or person designated by the owner or licensee, and to provide the opportunity for the owner, licensee, or person designated by the owner or licensee to meet residents and learn of problems in the neighborhood, any facility with a nonresident owner shall establish a fixed time on a weekly basis when the owner, licensee, or person designated by the owner or licensee will be present.Part 1, Page 38
(c) Facilities with nonresident owners shall establish procedures to comply with the requirements of this section on or before July 1, 1987.Part 1, Page 38
许可证申请必须包含的内容——运营信息
87155 p. 38
其他必须包含的申请内容,涵盖设施的实际运营方式:
  • 若设施为租赁场所,须说明建筑物的业主是谁。
  • 设施将属于哪种类别
  • 计划服务的最大住户人数
  • 管理员的姓名、住址及邮寄地址、背景/资历,以及所需教育与认证的证明材料。
  • 现行的组织架构图(职位及职权层级)——不过,住户人数低于16人的设施可以提交一份简单的职位及排班清单,代替正式的组织架构图。
查看 Title 22 法规原文

法规原文(英文)

(7) Name and address of owner of facility premises if applicant is leasing or renting.Part 1, Page 38
(8) The category of facility to be operated.Part 1, Page 38
(9) Maximum number to be served.Part 1, Page 38
(10) The name, residence and mailing addresses of the facility administrator, a description of the administrator's background and qualifications, and documentation verifying the required education and administrator certification.Part 1, Page 38
(11) Copy of the current organizational chart showing type and number of positions and line of authority. However, facilities for less than sixteen persons may furnish, in lieu of an organization chart, a list of positions and the periods of time that persons in these positions will be providing services at the facility.Part 1, Page 38
许可证申请必须包含的内容——品行、财务与保险
87155 p. 39
其余必须提交的内容:
  • 依据《健康与安全法》1520(b),证明申请人——若为组织,则包括其成员/股东以及将负责该设施的人员——具备良好且负责任的品行的证据。
  • 财务运营计划,启动资金须足以支付至少3个月的运营成本——此外,若涉及施工,须证明有足够资金完成施工,并确认计划提供的服务范围与可用资金相匹配(许可机构可对此进行核实)。
  • 如有许可证持有人变更,须提供87217(k)所要求的文件。
  • 覆盖设施运营的保险证明。
查看 Title 22 法规原文

法规原文(英文)

(12) Evidence pursuant to Health and Safety Code, section 1520(b).Part 1, Page 39
(b) Evidence satisfactory to the department that the applicant is of reputable and responsible character. ... If the applicant is a firm, association, organization, partnership, business trust, corporation or company, like evidence shall be submitted as to the members or shareholders thereof, and the person who will be in charge of the community care facility for which application for issuance of license or special permit is made.Part 1, Page 39
(13) A financial plan of operation on forms provided or approved by the Department. Start-up funds shall be sufficient to meet a minimum of three (3) months operating costs. In addition: (A) Where construction is anticipated to meet the requirements for a license, sufficient financing for the construction shall be available. (B) The scope of the applicant's services shall be such that an adequate quality of service will be permitted from available funds. The licensing agency shall have the right to verify the availability of these funds.Part 1, Page 39
(14) When there is a change of licensee, the required documentation shall include the information specified in Section 87217(k).Part 1, Page 39
(15) Information concerning insurance carried by the applicant relating to the operation of the facility.Part 1, Page 39
许可费用的收取缘由与方式
87156 / H&S 1569.185 p. 40
87156(a)只是一条简短的指引条款:申请人和许可证持有人须按“《健康与安全法》1569.185规定”缴纳费用。该法条(手册中有引述)才是实际费用结构的规定所在:
  • 颁发许可证时会按设施容量收取申请费——此后每年在许可证生效日的周年日再次收取。
  • 这些费用的用途明确是为了资助部门与本章相关的许可管理活动——并非随意收费。
按容量分档的具体金额,与“数字与期限”中“许可费用表”卡片所列相同:
容量初始申请费年费
1-3$495.60$495.60
4-6$990.00$495.60
7-15$1,486.80$742.80
16-30$1,980.00$990.00
31-49$2,476.80$1,238.40
50-74$2,972.40$1,448.00
75-100$3,469.20$1,734.00
101-150$3,964.80$1,982.40
151-200$4,622.40$2,311.20
201-250$5,280.00$2,640.00
251-300$5,940.00$2,970.00
301-350$6,600.00$3,300.00
351-400$7,260.00$3,630.00
401-500$8,580.00$4,290.00
501-600$9,900.00$4,950.00
601-700$11,220.00$5,610.00
701+$13,200.00$6,600.00
查看 Title 22 法规原文

法规原文(英文)

(a) An applicant or licensee shall be charged fees as specified in Health and Safety Code section 1569.185.Part 1, Page 40
(a)(1) An application fee adjusted by facility and capacity shall be charged by the department for the issuance of a license to operate a residential care facility for the elderly. After initial licensure, a fee shall be charged by the department annually on each anniversary of the effective date of the license. The fees are for the purpose of financing activities specified in this chapter. Fees shall be assessed as follows, subject to paragraph (2): [Fee Schedule table]Part 1, Page 40
基本费用表之外的额外费用
87156 / H&S 1569.185(b) p. 41
除了基本的申请费/年费表外,部门还针对以下几种具体情形收取额外费用:
  • 将设施迁至新的实际地址:正常申请费的50%
  • 公司许可证持有人变更董事会多数控制权:同样为申请费的50%
  • 参加部门主办的入职说明会:每人固定收取$50
查看 Title 22 法规原文

法规原文(英文)

(b)(1) In addition to fees set forth in subdivision (a), the department shall charge the following fees:Part 1, Page 41
(A) A fee that represents 50 percent of an established application fee when an existing licensee moves the facility to a new physical address.Part 1, Page 41
(B) A fee that represents 50 percent of the established application fee when a corporate licensee changes who has the authority to select a majority of the board of directors.Part 1, Page 41
(D) An orientation fee of fifty dollars ($50) for attendance by any individual at a department-sponsored orientation session.Part 1, Page 41
年费与容量变更费用的计算依据
87156 p. 42
关于费用如何计算,还有两条技术性规则:
  • 年费依据设施现有的许可容量收取——除非许可证持有人特别要求降低或提高容量。
  • 若许可证持有人要求增加或减少容量,该请求也须另外收费(这与“数字与期限”中“相关费用与罚款”卡片所述的$25容量变更费相同)。
查看 Title 22 法规原文

法规原文(英文)

(b) The annual fee shall be according to existing licensed capacity unless the licensee requests a lower or higher capacity.Part 1, Page 42
(c) An additional fee shall be charged when the licensee requests an increase or decrease in capacity as specified in Health and Safety Code section 1569.185(b)(1)(C).Part 1, Page 42
申请费与许可证费用不可退还
87156 / 87157 p. 43-44
无论在申请过程中缴纳了什么费用,都不会退还——即便申请后来被撤回、被拒绝,或许可机构完全停止审查该申请(例如根据下一张卡片所述的1年/2年停止审查规则)。
查看 Title 22 法规原文

法规原文(英文)

(e) The fees shall be nonrefundable.Part 1, Page 43
(3) The application fee shall be non-refundable as specified in Section 87156(e).Part 1, Page 44
什么会计入设施的许可容量
87158 p. 44
设施的许可证会载明一个容量——即该设施在任一时刻能够照护的最大住户人数。许可证持有人本人居住在设施内的家庭成员不计入该人数。

尽管如此,许可机构在决定核准何种容量时,仍会考虑家庭成员(以及居住在设施内的其他人),以确保许可证持有人的家人与住户都能拥有合适的居住安排,并确保住户获得充分的照护与监督。
查看 Title 22 法规原文

法规原文(英文)

(a) A license shall be issued for a specific capacity which shall be the maximum number of residents which can be provided care at any given time. The capacity shall be exclusive of any members of the licensee's own family who reside at the facility. However, the licensing agency shall consider the presence of other family members or other persons who reside in the facility in determining capacity in order to ensure and promote proper living arrangements for both the licensee's family and the residents and to ensure the provision of adequate care and supervision for the residents.Part 1, Page 44
撤回许可证申请
87159 p. 45
申请人可以随时撤回其申请。但撤回并不会让问题自动消失:除非许可机构以书面形式同意该撤回,否则部门仍可依据法律规定的任何理由,对申请人提起或继续拒绝许可证的程序,甚至可以作出正式的拒绝决定。

无论哪种情况,申请处理费都将被没收
查看 Title 22 法规原文

法规原文(英文)

(a) The applicant may withdraw an application. However, unless the licensing agency consents in writing to such withdrawal, the Department or licensing agency shall not be deprived of its authority to institute or continue a proceeding against the applicant for the denial of the license upon any ground provided by law or to enter an order denying the license upon any such ground.Part 1, Page 45
(b) The fee for processing the application shall be forfeited.Part 1, Page 45
报告公司组织架构变更
87161 p. 46
公司结构变更、多数股权出售/转让、从母公司分拆,或与其他公司合并,都会触发重新提交申请的要求——并且必须在48小时内向许可机构报告。(与“数字与期限”中同名卡片相同的48小时期限。)
查看 Title 22 法规原文

法规原文(英文)

(5) A corporate organizational change, including, but not limited to, change in structure, sale or transfer of the majority of stock, separating from a parent company, or merger with another company. The licensee shall notify the licensing agency of such organizational change within forty-eight (48) hours.Part 1, Page 46
临时许可证:申请条件与有效期
87162 p. 46-47
临时许可证是许可机构可以颁发给已提交完整初始申请的申请人的一种临时性许可证,须同时满足三项条件:不存在生命安全风险、设施符合“实质性合规”,以及存在“紧急需求”(这两个术语在87101中均有各自的定义)。

不过有一项硬性排除条件:如果公司申请人的任何董事会成员、执行董事或高管不具备获得许可证的资格,部门就不会颁发临时许可证——或任何许可证。

临时许可证的容量上限,取两者中较小者:因紧急需求而覆盖的住户人数,或该设施的正常许可容量。临时许可证不可续期,且会在其载明的到期日或申请被拒绝时(以先发生者为准)终止。其有效期长短取决于具体情况:
  • 最长6个月,如果许可机构预计在此期限内可实现全面合规。
  • 最长12个月,如果许可机构在申请当时认定,因超出申请人控制范围的原因确实需要更长时间。
查看 Title 22 法规原文

法规原文(英文)

(a) The licensing agency may issue a provisional license to an applicant who has submitted a completed application for an initial license if the licensing agency determines that there are no life safety risks, that the facility is in substantial compliance, as defined in Section 87101(s)(6), with applicable law and regulations, and an immediate need for licensure exists as defined in Section 87101(i)(3).Part 1, Page 46
(1) A provisional license shall not be issued as specified in Health and Safety Code section 1569.1515(b). Health and Safety Code section 1569.1515(b) provides: "(b) The department shall not issue a provisional license or license to any corporate applicant that has a member of the board of directors, the executive director, or an officer who is not eligible for licensure pursuant to sections 1569.16 and 1569.59."Part 1, Page 46
(b) The capacity of a provisional license shall be limited to the number of residents for whom immediate need has been established, or the capacity established for the specific facility, whichever is less.Part 1, Page 46
(c) A provisional license shall not be renewable and shall terminate on the date specified on the license, or upon denial of the application, whichever is earlier.Part 1, Page 46
(1) A provisional license may be issued for a maximum of six (6) months when the licensing agency determines that full compliance with licensing regulations will be achieved within that time period.Part 1, Page 46
(2) A provisional license may be issued for a maximum of twelve (12) months when the licensing agency determines, at the time of application, that more than six (6) months is required to achieve full compliance with licensing regulations due to circumstances beyond the control of the applicant.Part 1, Page 47
拒绝初始许可证申请的理由
87163 p. 47
如果申请人不符合适用法律法规,许可机构必须拒绝初始许可证申请——除非适用临时许可证例外情形(实质性合规+紧急需求)。

除此基本原则外,许可机构在以下情形下也拥有拒绝申请的权力(而非义务):
  • 申请人在法院作出终审判决后,未缴纳依87768(无照设施罚款)应付的民事罚款——除非已达成许可机构可接受的付款安排;或
  • 申请人不符合特定申请要求(87155(a)(2)和(9)——管理员认证及最大容量信息)或《健康与安全法》1569.1515(b)及1569.50中关于公司资格与背景审查的规定。
查看 Title 22 法规原文

法规原文(英文)

(a) Except as specified in Section 87162(a), which provides that the applicant may be issued a provisional license based upon substantial compliance and immediate need, the licensing agency shall deny an application for an initial license if it is determined that the applicant is not in compliance with applicable law and regulations.Part 1, Page 47
(b) The licensing agency shall have the authority to deny an application for an initial license if the applicant has failed to pay any civil penalty assessments pursuant to Section 87768, Unlicensed Facility Penalties, and in accordance with a final judgment issued by a court of competent jurisdiction, unless payment arrangements acceptable to the licensing agency have been made.Part 1, Page 47
(c) The licensing agency shall have the authority to deny an initial application if the applicant does not comply with Sections 87155(a)(2) and (9), and Health and Safety Code sections 1569.1515(b) and 1569.50.Part 1, Page 47
初始申请被拒绝时会发生什么
87163 p. 48
如果初始许可证申请被拒绝,申请处理费将被没收(该费用本就不可退还,但这一点确认了拒绝不会改变这一结果)。

许可机构还必须通过挂号信发送书面拒绝通知——且该通知必须切实说明拒绝的理由:必须声明申请已被拒绝、列明具体拒绝理由,并告知申请人享有申诉权
查看 Title 22 法规原文

法规原文(英文)

(d) If the application for an initial license is denied, the application processing fee shall be forfeited.Part 1, Page 48
(e) If the application for an initial license is denied, the licensing agency shall send a written notice of denial by certified mail. The notification shall inform the applicant of the denial; set forth the reasons for the denial; and advise the applicant of the right to appeal.Part 1, Page 48
对拒绝决定的申诉——以及申诉权被剥夺的唯一情形
87163 / H&S 1569.50(d) p. 49
如果初始许可证申请被拒绝,申请人一般有15天时间,自拒绝通知邮戳日期起提交书面申诉。(与“数字与期限”中“对许可证被拒的申诉”卡片相同的15天期限。)

不过有一项硬性例外:如果许可证持有人弃置设施及其住户,且此举对这些被弃置住户的健康与安全造成紧迫且重大的威胁,那么除了依本条吊销许可证外,该许可证持有人还将被永久禁止再次持有RCFE许可证,且无权申请恢复资格。
查看 Title 22 法规原文

法规原文(英文)

(f) Except as otherwise specified by Health and Safety Code section 1569.50(d), an applicant may appeal the denial of the application by sending a written notice of appeal to the licensing agency within 15 days of the postmark date of the denial notice.Part 1, Page 49
(d) A licensee who abandons the facility and the residents in care resulting in an immediate and substantial threat to the health and safety of the abandoned residents, in addition to revocation of the license pursuant to this section, shall be excluded from licensure in facilities licensed by the department without the right to petition for reinstatement.Part 1, Page 49