§ 6. Submission of Regulatory Actions (Form 400).

(a) All regulatory actions submitted to OAL for publication in the California Code of Regulations and/or for transmittal to the Secretary of State for filing -including, but not limited to, the types of regulatory actions specified in subsection (b)(3) of this section -shall include seven copies of the regulation(s). A completed Form 400 (see Appendix A to this Article) with the original signature of the person making the certification referred to in subsection (b)(8) of this section shall be attached to the front of one of the copies of the regulation(s). A copy of this Form 400 shall be attached to each of the remaining six copies of the regulation(s) submitted to OAL.

(b) The completed Form 400 attached to the regulation(s) submitted to OAL shall contain:

(1) Subject of Regulation(s);

(2) the title(s) of the California Code of Regulations affected and a list of all regulation sections being adopted, amended or repealed;

(3) the type of regulatory filing:

(A) Regular rulemaking (Gov. Code, secs. 11346 and 11349.1);

(B) Resubmittal of regulatory actions (Gov. Code, secs. 11346.1, 11349.3, and 11349.4);

(C) Changes without regulatory effect (Cal. Code Regs., title 1, section 100);

(D) Emergency (Gov. Code, secs. 11346.1 and 11349.6);

(E) Certificate of Compliance (Gov. Code, sec. 11346.1(e)).

(F) “Print Only” requests for:

1. regulations adopted pursuant to the requirements of the APA, but which are expressly exempted by statute from OAL review; or

2. regulations not required to be printed in the California Code of Regulations, but which the adopting agency desires to have printed pursuant to Government Code section 11343.8;

(G) “File and Print”

(H) Other (i.e., not listed in subsections (A) through (G), above) describing the nature of the filing;

(4) the beginning and ending dates of all public availability periods pursuant to section 44 of this Article and section 11347.1 of the Government Code;

(5) the requested effective date of regulatory changes (Gov. Code, sec. 11343.4);

(6) if a statute requires that, prior to submitting the regulatory action to OAL, the rulemaking agency provide notice to another agency or entity of the regulatory action, or otherwise to submit the regulations to another agency or entity for review, consultation, approval, or concurrence, at any time prior to the submission of the regulations to OAL, the name of any and all such agencies or entities;

(7) the name and telephone number of an agency contact person for the regulatory action;

(8) a signed certification by an agency official authorized to make the certification stating:

(A) that the attached copy of the regulation is a true and correct copy of the regulation identified on the Form 400;

(B) that the information specified on the Form 400 is true and correct;

(C) that the person signing the certification is the head of the agency, or a designee of the agency head, authorized to make the certification;

(D) the date the certification is made; and,

(E) the typed name and title of the person making the certification;

(9) the file number(s) previously assigned by OAL:

(A) to the submission of the notice of proposed regulatory action (the “Notice File Number”);

(B) to the prior submission(s) of the regulatory action (the “Regulatory Action Number”) if the present filing is the resubmission of a disapproved or withdrawn regulatory action (place this file number in the box marked “All Previous Related OAL Regulatory Action Number(s)”;

(C) to the submission of the original emergency regulatory action (the “Emergency Number”) if the present filing is a certificate of compliance or a readoption of the emergency regulatory action (place this file number in the box marked “All Previous Related OAL Regulatory Action Number(s)”;

(D) to the submission of the readoption of the emergency regulatory action (the “Emergency Number”) and to the submission of the original emergency regulatory action (place these file numbers in the box marked “All Previous Related OAL Regulatory Action Numbers”) if the present filing is a certificate of compliance after the readoption of an emergency regulatory action;

(10) if not already completed, the name of the agency with rulemaking authority and the agency's file number, if any.

(c) All regulatory actions submitted to OAL for publication in the CCR and/or transmittal to the Secretary of State for filing shall include the Form 400, which shall be completed as follows:

(1) when submitting regulations as a “regular rulemaking,” complete part B of the same Form 400 that was previously submitted with the notice of the proposed regulatory action, or, if a new Form 400 is used, complete part B and enter the number OAL previously assigned to the notice in the box marked “Notice File Number.”

(A) When adoptions, amendments, or repeals described in one notice of regulatory action are later submitted to OAL for review in more than one regulatory filing, the agency shall, at the time of submission to OAL, either

1. complete part B of a photocopy of the Form 400 submitted with the notice, or

2. complete part B of a new Form 400 and enter the number OAL previously assigned to the notice in the box marked “Notice File Number.”

(2) when resubmitting a disapproved or withdrawn regulatory filing, complete part B of a new Form 400, and enter the number OAL previously assigned to the notice in the box marked “Notice File Number” and enter the number OAL previously assigned to the prior submission of the regulatory action in the box marked “All Previous Related OAL Regulatory Action Number(s).”

(3) when submitting emergency regulations, complete part B of the Form 400.

(4) when submitting a Certificate of Compliance filing after the adoption of emergency regulations, complete part B of the Form 400 that was previously submitted with the notice, or, if a new Form 400 is used, enter the number OAL previously assigned to the notice in the box marked “Notice File Number” and enter the number OAL previously assigned to the original emergency filing in the box marked “All Previous Related OAL Regulatory Action Number(s).”

(5) when submitting a Certificate of Compliance filing after the readoption of emergency regulations, complete part B of the Form 400 that was previously submitted with the notice, or, if a new Form 400 is used, enter the number OAL previously assigned to the notice in the box marked “Notice File Number,” and enter the numbers OAL previously assigned to the readoption of the emergency filing and the original emergency filing in the box marked “All Previous Related OAL Regulatory Action Number(s).”

(6) when submitting previously approved emergency regulations for readoption, complete part B of a new Form 400, and enter the number(s) OAL assigned to the original emergency filing(s) in the box marked “All Previous Related OAL Regulatory Action Number(s).”

HISTORY

1. New section filed 6-26-90; operative 7-25-90 (Register 90, No. 35).

2. Change without regulatory effect, pursuant to Section 100, Title 1, California Code of Regulations, substituting “11343.4” for “11346.2” in subsection (b)(4). Filed 1-3-95; operative upon filing (Register 95, No. 1).

3. Amendment of subsection (a), new subsection (b)(1), subsection renumbering, and amendment of newly designated subsections (b)(9)(B)-(D) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).

4. Editorial correction of subsections (b)(3)(A)-(E), (b)(5) and (b)(9)(C)-(D) (Register 99, No. 17).

5. Change without regulatory effect amending section filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).

6. Change without regulatory effect amending subsection (b)(3)(E), adding subsection (b)(3)(G), relettering subsections and amending newly designated subsection (b)(3)(H) and subsections (b)(4) and (c)(6) filed 1-29-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 5).

Note

Note: Authority cited: Section 11342.4, Government Code. Reference: Sections 11343, 11343.1, 11343.8, 11346.1 and 11347.3, Government Code.