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California Administrative Hearing Practice

Successfully negotiate your way through the maze of administrative rules and regulations, handling whatever obstacles or problems arise in your client's administrative hearing.

Successfully negotiate your way through the maze of administrative rules and regulations, handling whatever obstacles or problems arise in your client's administrative hearing.

  • Understanding administrative adjudication
  • Prefiling investigation and evaluation
  • Initiating adjudicative action
  • Respondent’s rights and options
  • Conducting discovery
  • Prehearing motions and procedures; the hearing process; decision and review
  • Postdecision administrative proceedings
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2d edition, looseleaf, updated October 2022

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  • Overview
  • Authors
  • Selected Developments
  • Table of Contents
  • Forms CD Contents
  • Filing Instructions
  • Page List
  • OnLAW System Requirements
  • Specifications

Successfully negotiate your way through the maze of administrative rules and regulations, handling whatever obstacles or problems arise in your client's administrative hearing.

  • Understanding administrative adjudication
  • Prefiling investigation and evaluation
  • Initiating adjudicative action
  • Respondent’s rights and options
  • Conducting discovery
  • Prehearing motions and procedures; the hearing process; decision and review
  • Postdecision administrative proceedings

About the Authors

RUTH S. ASTLE received her B.A. in 1970 from San Francisco State University and her J.D. in 1974 from Golden Gate University. Ms. Astle is an Administrative Law Judge in the Office of Administrative Hearings in Oakland and teaches Administrative Law in the Paralegal Program at San Francisco State University. She is the co-author of chapter 6.

WILBERT E. BENNETT received his A.B. in 1968 from Occidental College and his J.D. in 1971 from the University of California, Berkeley, School of Law. Mr. Bennett is Supervising Deputy Attorney General in charge of the Professional and Vocational Licensing section of the Attorney General’s Office in San Francisco. He is the author of chapter 3.

KARL S. ENGEMAN received his J.D. in 1972 from the University of California, Davis, School of Law. Mr. Engeman was the Director of the Office of Administrative Hearings between 1990 and 2001 and a past chair of the Administrative Law Section of the Sacramento County Bar Association. He is presently an Administrative Law Judge on the Medical Quality Hearing Panel of the Office of Administrative Hearings and an Adjunct Professor of Law at Lincoln School of Law. He is the author of chapter 8.

KENNETH L. FREEMAN received his B.A. in 1970 from the University of California, Los Angeles, and his J.D. in 1973 from Loyola University (Los Angeles). Mr. Freeman is a principal in the firm of Freeman & Galie, San Francisco. He practices administrative law specializing in the field of health care regulation. He is the author of chapter 5.

WILLIAM L. MARCUS received his B.A. in 1971 from American University and his J.D. in 1975 from the University of San Francisco. Mr. Marcus was a Deputy Attorney General specializing in administrative and pharmacy law and was Assistant Clinical Professor of Pharmacy Law at the University of California, San Francisco. Mr. Marcus prepared numerous outlines and proposals for the new edition of this book and worked tirelessly to make this book more reflective of administrative practice in California. He was also the author of chapter 9 and the co-author of chapter 2.

JOEL S. PRIMES received his B.S. in 1965 from the University of Oregon and his J.D. in 1968 from the University of Santa Clara School of Law. Mr. Primes, President of the Sacramento County Bar Association, is a Supervising Deputy Attorney General in the Licensing Section, Sacramento. He is the co-author of chapter 6.

JAIME RENÉ ROMÁN received his B.A. in 1973 from St. Mary’s College, his J.D. in 1976 from the University of California, Hastings College of the Law, his LL.M. in 1992 from Boston University School of Law, and his M.S.S. in 2000 from the Army War College. He is a judge with the Superior Court of California, County of Sacramento, and a retired Presiding Administrative Law Judge from the Office of Administrative Hearings. He is the author of chapter 7.

SUSAN A. RUFF received her B.A. in 1979 from California State University, San Diego, and her J.D. in 1984 from the University of San Diego Law School. Ms. Ruff is a Deputy Attorney General in the Licensing Section of the Attorney General’s San Diego office. She is the co-author of chapter 2.

NATHANIEL STERLING received his B.A. in 1967 from the University of California, Berkeley, and his J.D. in 1970 from the University of California, Davis, School of Law. Mr. Sterling is the Executive Secretary of the California Law Revision Commission. He is the author of chapter 1.

PRISCILLA S. WINSLOW received her B.A. in 1974 from the University of California, Santa Cruz, and her J.D. in 1977 from the University of California, Davis, School of Law. Ms. Winslow is a staff attorney with the California Teachers’ Association. She is a member of the Executive Committee of the California State Bar Labor Employment Law Section. Ms. Winslow is the author of chapter 4.

About the 2022 Update Authors

HON. RUTH ASTLE SAMAS (RET.) was an administrative law judge from 1985 to 2015, hearing cases for the California central panel agency. She was also a member of the Medical Quality Hearing Panel for over 15 years and taught as an adjunct professor at Golden Gate University School of Law. Judge Astle received her J.D. from Golden Gate University School of Law in 1974 and her S.J.D. in international legal studies from Golden Gate University in 2008. She is a co-author of chapter 6 and the update author of chapters 4 and 6.

STEVEN A. NGUY is an associate with the firm of Richards, Watson & Gershon in San Francisco. Mr. Nguy represents municipalities and public entities, as well as private sector clients, in both state and federal courts in litigation matters. Mr. Nguy received his B.A. from the University of California, Davis, in 2011 and his J.D. degree from the University of California, Davis, School of Law in 2015. He is the update author of chapters 7–9.

MARY E. WORK is the principal of Mary Work, PC, in Manhattan Beach. Before entering private practice in 2004, Ms. Work was a prosecutor with the California Department of Real Estate. Her practice is focused on advising and representing professionals who face licensing or regulatory problems or are seeking compliance guidance before launching a new venture. She is a member of the California Association of Realtors (CAR) Legal Affairs Forum. She has been a speaker and panel member on numerous occasions for the State Bar’s Real Property Section, the CAR Legal Affairs Forum, CEB, and various local boards of realtors throughout the state. Ms. Work has also served as an Executive Committee member of the Real Property Section of the State Bar of California. She is an update author for California Real Estate Brokers: Law and Litigation (Cal CEB) and California Real Property Sales Transactions (4th ed Cal CEB). Ms. Work received her B.A. from Loyola Marymount University in 1990 and her J.D. from Southwestern University School of Law in 1994. She is the update author of chapters 1–3 and 5.

Selected Developments

October 2022 Update

The current update includes changes throughout this publication that reflect recent developments in case law, legislation, court rules, and administrative regulations and procedures. Summarized below are some of the more important developments since publication of the 2021 update.

As of the publication of this update, the Office of Administrative Hearings (OAH) continues to conduct hearings only by telephone or video conference, unless an ALJ determines there is a critical need for an in-person hearing and safety requirements are met. Counsel should consult the OAH website at https://www.dgs.ca.gov/OAH/Case-Types/General-Jurisdiction and any applicable agency website for current guidelines.

Effective January 1, 2023, the California Public Records Act (Govt C §§6250–6276.50) is recodified as Govt C §§7920.000–7931.000, with no substantive changes as stated in Govt C §§7920.100. Updates have been made throughout the text. See §§1.6, 2.36, 2.55, 2.123, 5.7, 6.13, 8.26.

Quasi-Legislative Actions. In Save Lafayette Trees v East Bay Reg’l Park Dist. (2021) 66 CA5th 21, the court of appeal observed that an agency’s action is quasi-legislative, without a need for a prior hearing, when it requires an assessment of “a broad spectrum of community costs and benefits,” which is not limited to the facts peculiar to a plaintiff’s case. See §1.59.

Fair Hearing Requirements. The California Supreme Court in Natarajan v Dignity Health (2021) 11 C5th 1095 held a physician’s right to fair procedure in a peer review proceeding was not violated when the hearing officer had been hired and paid by the hospital on an ad hoc basis, and could possibly be hired by the same hospital in the future. The court held that disqualification was required only if the hearing officer has a direct pecuniary interest that creates “an intolerable risk of actual bias.” 11 C5th at 1113. Natarajan expressly disapproved of the suggestion in Yaqub v Salinas Valley Mem. Healthcare Sys. (2004) 122 CA4th 474, that an appearance of bias alone can be a basis for disqualification. See §1.17.

In California DUI Lawyers Ass’n v Department of Motor Vehicles (2022) 77 CA5th 517, the court of appeal held that Veh C §14112(b) was unconstitutional to the extent it permitted DMV hearing officers to act as both advocate and adjudicator in administrative per se hearings to suspend drivers’ licenses after an arrest for driving under the influence. See §§1.17, 1.66.

In Briley v City of W. Covina (2021) 66 CA5th 119, the court of appeal held that a public employer’s administrative appeal procedure violated due process when an official whose prior dealings with the employee/complainant created substantial animosity, and whose own conduct and character were central to the proceeding, served as a decision-maker. In addition, when the employee filed a petition for administrative mandamus, the due process exception to exhaustion of remedies applied. See §§1.17, 1.66, 8.112.

Case law governing student disciplinary proceedings in higher education continues to develop. In Doe v Regents of Univ. of Cal. (2021) 70 CA5th 521, the court of appeal held that an opportunity to cross-examine witnesses was not required when a public university student admitted the central allegations of a complaint, disputing only his intent to harm and the seriousness of the complainant’s injuries. In Teacher v California W. Sch. of Law (2022) 77 CA5th 111, the court held that a private law school violated common law fair process when it failed to afford a student the right to cross-examine witnesses, as set out in its own procedures for enforcing its student code of conduct. See §1.71.

Reprimands and Reprovals. Effective January 1, 2022, Bus & P C §2227.3 authorizes the Medical Board to issue an administrative “confidential letter of advice” to a licensee to resolve a complaint that (1) is an alleged minor violation and (2) is not related to patient care. The letter of advice may include an agreement by the licensee to take remedial action and, if so, failure to fulfill the agreement constitutes unprofessional conduct. If after 3 years there has been no further complaint against the licensee, the complaint and confidential letter of advice must be purged. The Medical Board is expected to flesh out the details of this procedure with implementing regulations. See §2.125.

Defense of Laches. In Lent v California Coastal Comm’n (2021) 62 CA5th 812, the court of appeal held that property owners contesting an $8 million Coastal Commission penalty did not successfully raise a laches defense because no prejudice resulted from the agency’s delay in enforcing an easement giving beach access to the public. See §3.34.

Electronic Service and Electronic Discovery. The Administrative Procedure Act (APA) was amended to authorize electronic service of notices, documents, and other communications (Govt C §11440.20(a)) and now provides that discovery in cases subject to formal APA hearings may be conducted electronically by means prescribed by the administrative law judge (Govt C §11507.6). See §§1.40, 5.14.

Virtual Hearings Authorized. Government Code §11508 was amended to authorize the OAH to hold hearings virtually by “electronic means.” The respondent can still move for a change of venue. Govt C §11508(c). See §6.34.

Under former law, agency adjudicative hearings could not be conducted virtually over a party’s objection. Government Code §11440.30(b)(2) was amended to provide that, if a party objects to a hearing being conducted by electronic means, the presiding officer must consider the objections and has discretion to structure the hearing to address the party’s specific objections. This may include requiring that the presiding officer, parties, and witnesses (or a subset of parties and witnesses based on the specific objections) be present in a physical location during all or part of the hearing. Govt C §11440.30(b)(2). Note that the right of the public to be present at hearings is satisfied “either by providing a designated location from which members of the public can observe the meeting via a live audio or a video feed of the hearing made available to the public on the internet or by teleconference.” Govt C §11425.20(b)(2). See §§1.40, 7.26.

Burden and Degree of Proof. There is a split of authority on the question whether the heightened burden of proof (“clear and convincing evidence”) applied in proceedings to revoke or suspend a professional license requires a heightened standard of review, under appellate law principles set out in Conservatorship of O.B. (2020) 9 C5th 989, if the licensee challenges the agency’s decision on a petition for administrative mandamus. Compare Yazdi v Dental Bd. (2020) 57 CA5th 25, with Li v Superior Court (2021) 69 CA5th 836. See §7.56.

Substantial Relationship Requirement; Specific Crimes. Since 2020, when the legislature limited the types of crimes that could be considered in denying, suspending, or revoking a license, licensing boards continue to develop guidance on what criminal convictions are disqualifying. Under Bus & P C §480(a)(1)(B), felony financial crimes are a basis for discipline if they are “directly and adversely related” to the qualifications, functions, and duties of certain professionals such as accountants, private investigators, and real estate licensees. The Board of Accountancy has adopted 16 Cal Code Regs §99.2 to define these as crimes involving dishonesty, fraud, deceit, or theft that resulted in (or could have resulted in) direct financial benefit to applicant or another person or entity, or direct financial harm to another person or entity, including federal, state, or local government. See §7.76.

Cost Recovery. Traditionally, the Medical Board was the only licensing board that could not recover the reasonable costs of investigation and prosecution if the licensee was found to have violated the licensing act. Business and Professions Code §125.3 was amended effective January 1, 2022, to remove this exception in the general costs statute. See §7.151.

1

Understanding Administrative Adjudication

Nathaniel Sterling

  • I.  SCOPE OF BOOK AND CHAPTER  1.1
  • II.  NATURE OF ADMINISTRATIVE ADJUDICATION
    • A.  Formal Proceedings  1.2
    • B.  Informal Proceedings  1.3
    • C.  State and Local Public Entities  1.4
    • D.  Private Entities  1.5
    • E.  General Public Agency Law Terms  1.6
    • F.  Professional Ethics and Administrative Practice  1.6A
  • III.  ADMINISTRATIVE PROCEDURE ACT
    • A.  Administrative Adjudication Before 1945  1.7
    • B.  1945 APA  1.8
    • C.  1995 APA Revision  1.9
      • 1.  Role of Law Revision Commission  1.10
      • 2.  Role of Office of Administrative Hearings  1.11
  • IV.  ENTITIES SUBJECT TO ADMINISTRATIVE ADJUDICATION PROCESS  1.12
    • A.  State Agencies  1.13
    • B.  Local Agencies  1.14
    • C.  Regional and Other Agencies  1.15
    • D.  When APA Applies to Private Entities  1.16
      • 1.  Quasi-Public Entities  1.16A
      • 2.  Other Private Entities  1.16B
        • a.  Ascertain Whether Action Is Quasi-Legislative or Quasi-Judicial  1.16C
        • b.  Procedural Requirements for Common Law “Fair Procedure”  1.17
  • V.  LAW GOVERNING ADMINISTRATIVE ADJUDICATION  1.18
    • A.  United States Constitution  1.19
      • 1.  Property Interest  1.20
      • 2.  Liberty Interest  1.21
      • 3.  First Amendment Rights  1.22
    • B.  California Constitution
      • 1.  Impact on Administrative Adjudication  1.23
      • 2.  Constitutional Delegation of Authority  1.24
    • C.  Federal Statute  1.25
    • D.  State Statutes
      • 1.  General Statutory Scheme; Administrative Adjudication Bill of Rights  1.26
      • 2.  If Agency Governed by Formal APA Hearing Procedures  1.27
      • 3.  If Agency Not Governed by Formal APA Hearing Procedures  1.28
    • E.  Local Law  1.29
    • F.  Case Law  1.30
    • G.  Regulations  1.31
    • H.  Decisions Designated as Precedent  1.32
    • I.  Initiative Measures  1.33
    • J.  Governor’s Suspension of Administrative Adjudication Provisions  1.34
  • VI.  GENERAL PROVISIONS OF THE APA
    • A.  Hearing Procedure Options  1.35
      • 1.  Informal Hearing Procedure  1.36
      • 2.  Formal Hearing Procedure  1.37
      • 3.  Emergency Decision Procedure  1.38
      • 4.  Declaratory Decision Procedure  1.39
      • 5.  Electronic Hearings  1.40
      • 6.  Subpoenas  1.41
      • 7.  Enforcement of Orders and Sanctions  1.42
      • 8.  Intervention  1.43
      • 9.  Settlement  1.44
      • 10.  Conversion of Proceedings  1.45
      • 11.  Alternative Dispute Resolution  1.46
    • B.  Exemptions  1.47
      • 1.  Separation of Powers  1.48
        • a.  The Legislature  1.49
        • b.  The Judicial Branch  1.50
        • c.  The Governor’s Office  1.51
        • d.  The University of California  1.52
      • 2.  Executive Branch Agencies  1.53
    • C.  Administrative Review Process
      • 1.  Administrative Review  1.54
      • 2.  Administrative Remedies Must Be Exhausted Before Seeking Judicial Review  1.55
      • 3.  Judicial Review  1.56
  • VII.  DUE PROCESS FAIR HEARING REQUIREMENTS  1.57
    • A.  Requirements Depend on Type of Action
      • 1.  Quasi-Judicial Actions  1.58
      • 2.  Quasi-Legislative Actions  1.59
      • 3.  Ministerial Actions  1.60
    • B.  Determining When Due Process Satisfied  1.61
    • C.  Copy of Procedures Available  1.62
    • D.  Notice and Opportunity to Be Heard  1.63
    • E.  Open and Impartial Hearing  1.64
    • F.  Circumstances Dictate Type of Hearing  1.65
    • G.  Neutral Presiding Officer  1.66
    • H.  Decision Based on Record  1.67
    • I.  Decision States Factual and Legal Basis  1.68
    • J.  Ex Parte Communications Prohibited  1.69
    • K.  Discovery Not Required  1.70
    • L.  Opportunity to Defend, Present Evidence, and Confront Witnesses  1.71
      • 1.  Right to Present Evidence  1.71A
      • 2.  Right to Subpoena Witnesses  1.71B
      • 3.  Confrontation and Cross-Examination of Witnesses  1.71C
    • M.  Representation by Counsel  1.72

2

Prefiling Investigation and Evaluation

William L. Marcus

Susan A. Ruff

  • I.  SCOPE OF CHAPTER  2.1
  • II.  BEGINNING OF CASE
    • A.  Counsel Should Become Involved as Early as Possible  2.2
    • B.  How Licensee Learns About Investigation
      • 1.  From Agency  2.3
      • 2.  Indirect Knowledge  2.4
      • 3.  Reasonable Expectation of Licensee  2.5
    • C.  How Agency Learns of Possible License Problems  2.6
      • 1.  Complaints and Referrals  2.7
      • 2.  Criminal Cases  2.8
      • 3.  Databases  2.9
      • 4.  Reporting Requirements  2.10
      • 5.  Agency Initiates Inspection or Audit  2.11
    • D.  Agency Decides Whether to Proceed
      • 1.  Gathers and Reviews Information  2.12
        • a.  Jurisdiction to Act  2.13
        • b.  Discretion to Act  2.14
      • 2.  Working With Other Agencies  2.15
      • 3.  Licensee Has No Right to Direct Investigation  2.16
      • 4.  Reasons Not to Proceed  2.17
  • III.  AGENCY’S AUTHORITY TO INVESTIGATE  2.18
    • A.  Scope of Authority to Investigate
      • 1.  General Authority  2.19
        • a.  When Investigation Authorized  2.20
        • b.  Methods of Investigation  2.21
      • 2.  Agency and Individual Immunity  2.22
    • B.  Authority to Compel Witnesses and Promulgate Interrogatories  2.23
    • C.  Authority to Obtain Records Without Subpoena
      • 1.  Licensee May Provide Records Voluntarily  2.24
      • 2.  “Absolute” Right to Inspect Records  2.25
        • a.  Closely Regulated Industries  2.26
        • b.  Constitutional Limits on Right to Inspect Records  2.27
          • (1)  Licensee Entitled to Judicial Safeguards of Subpoena or Warrant  2.28
          • (2)  Privilege Against Self-Incrimination by Records  2.29
          • (3)  Privacy Issues  2.30
          • (4)  Other Safeguards for Closely Regulated Industries  2.31
      • 3.  Other Limitations on Agency’s Authority  2.32
    • D.  Authority to Obtain Records by Subpoena  2.33
      • 1.  Scope of Agency’s Subpoena Authority  2.34
      • 2.  Asserting Privilege Against Self-Incrimination  2.35
      • 3.  Asserting Right to Privacy
        • a.  Constitutional and Statutory Basis of Right  2.36
        • b.  Who May Assert Right  2.37
        • c.  Individual’s Right to Notice  2.38
        • d.  Agency Must Obtain Waiver or Show Good Cause  2.39
        • e.  Agency Must Limit Scope of Subpoena  2.40
        • f.  Records Must Be Kept Confidential  2.41
      • 4.  Other Protected Records  2.42
      • 5.  Compelling or Resisting Compliance With Subpoena  2.43
        • a.  Enforcing Subpoena  2.44
        • b.  Resisting Subpoena  2.45
    • E.  Obtaining Records Through Special Master  2.46
    • F.  Using Warrants and Inspections  2.47
  • IV.  ROLE OF LICENSEE’S ATTORNEY AND LICENSEE’S RIGHTS  2.48
    • A.  Declaratory Decisions  2.49
      • 1.  When Available  2.50
      • 2.  Application for Declaratory Decision  2.51
      • 3.  Notice of Application  2.52
      • 4.  Notice of Proceeding  2.53
      • 5.  Agency Action: Decision or Hearing  2.54
    • B.  Learn Agency Investigative Methods From Policies or Manuals  2.55
    • C.  Licensee Cannot Conduct Own Investigation  2.56
    • D.  Licensee May Have Duty to Cooperate  2.57
      • 1.  Interviewing Licensee  2.58
        • a.  Privilege Against Self-Incrimination  2.59
        • b.  Importance of Any Interview  2.60
        • c.  Refusal  2.61
      • 2.  Interviewing Employees and Associates  2.62
      • 3.  Why Licensee May Wish to Cooperate  2.63
    • E.  Anticipate Use of Experts and Consultants  2.64
    • F.  Challenging Investigation or Particular Procedures
      • 1.  Writ Rarely Available or Successful  2.65
      • 2.  Right to Contest Subpoenas  2.66
    • G.  Agency’s Closing Interview With Client  2.67
  • V.  COMPLETING INVESTIGATION
    • A.  Completion of Investigation  2.68
    • B.  Participation of Agency Counsel  2.69
    • C.  Who Reviews Investigation, Makes Recommendations, and Decides How to Proceed  2.70
      • 1.  Separation of Functions  2.71
      • 2.  Evaluating Case  2.72
    • D.  Agency’s Options  2.73
      • 1.  Further Investigation  2.74
      • 2.  No Action  2.75
        • a.  Evidentiary Problems  2.76
        • b.  Statute of Limitations  2.77
        • c.  Delay  2.78
      • 3.  Further Formal or Informal Action  2.79
  • VI.  IMMEDIATE ACTION TO SUSPEND PRACTICE PENDING HEARING  2.80
    • A.  Temporary Restraining Orders (TROs) and Preliminary Injunctions  2.81
      • 1.  Initiating TRO  2.82
      • 2.  Hearing and Issuance of TRO or Preliminary Injunction  2.83
      • 3.  Formal Disciplinary Action After TRO Granted  2.84
      • 4.  Other Injunction Proceedings  2.85
    • B.  Interim Suspension Order  2.86
      • 1.  ISOs Under Bus & P C §494
        • a.  Which Agencies  2.87
        • b.  Who Hears and Decides ISO  2.88
        • c.  Documents in Support and Opposition  2.89
        • d.  Notice Requirements
          • (1)  ISO With 15 Days’ Notice  2.90
          • (2)  ISO Without Notice  2.91
        • e.  Decision  2.92
      • 2.  ISOs Under Govt C §11529
        • a.  Medical Quality Hearing Panel  2.93
        • b.  Agency Documents Filed in Support  2.94
        • c.  Notice Requirements  2.95
        • d.  Non Ex Parte Hearing  2.96
        • e.  Decision  2.97
    • C.  Emergency Decisions; Ex Parte Hearings  2.98
      • 1.  When Available  2.99
      • 2.  Notice and Opportunity to Be Heard  2.100
      • 3.  Issuing Emergency Decision and Hearing  2.101
      • 4.  Judicial Review of Emergency Decision  2.102
    • D.  Suspension Statutes in Particular Agencies  2.103
    • E.  Suspension as Part of Criminal Proceeding  2.104
  • VII.  PETITION TO COMPEL MEDICAL OR PSYCHOLOGICAL EXAMINATION
    • A.  Statutory Basis for Petition to Compel Examination  2.105
      • 1.  Examination Under Bus & P C §820  2.106
      • 2.  Specific Agency Laws Permitting Competency Examinations  2.107
    • B.  Investigatory Nature of Petition  2.108
      • 1.  No Violation of Due Process Rights  2.109
      • 2.  No Violation of Right to Privacy  2.110
    • C.  Procedure for Compelling Examination
      • 1.  Preliminary Investigation  2.111
      • 2.  Preparation of Petition for Examination  2.112
      • 3.  If Licensee Refuses to Undergo Examination  2.113
      • 4.  Results of Examination
        • a.  If Licensee Found Unsafe to Practice  2.114
        • b.  If Licensee Found Safe to Practice  2.115
        • c.  If Results Are Inconclusive  2.116
    • D.  Reinstatement of License Revoked Under Bus & P C §822  2.117
  • VIII.  AGENCY OPTIONS BEFORE OR INSTEAD OF FILING DISCIPLINARY CHARGES
    • A.  Informal Warning  2.118
    • B.  Settlement: Avoiding Formal Charges  2.119
    • C.  Informal Meeting and Agreement to Take Corrective Action  2.120
      • 1.  Possible Agreements  2.121
      • 2.  No Formal Evidence Taking  2.122
      • 3.  Resulting Record  2.123
      • 4.  Meeting or Conference Leading to Formal Action  2.124
    • D.  Reprimands and Reprovals  2.125
    • E.  Alternative Dispute Resolution  2.126
    • F.  Examinations  2.127
    • G.  Recovery Programs; Impaired Licensees  2.128
    • H.  Action by Another Agency  2.129
  • IX.  AGENCY DECIDES TO FILE DISCIPLINARY CHARGES
    • A.  Citation, Fines, and Orders of Abatement  2.130
      • 1.  Form and Contents of Citation  2.131
      • 2.  Proceedings on Citation  2.132
        • a.  Formal APA Hearing Procedures May Apply  2.133
        • b.  Statutory Right to Hearing Under Bus & P C §125.9  2.134
        • c.  Statutory Right to Hearing Under Bus & P C §148  2.135
      • 3.  Compliance and Noncompliance With Citation  2.136
    • B.  Filing Disciplinary Charges: Formal and Informal Hearings
      • 1.  Formal Hearings  2.137
      • 2.  Informal Hearings  2.138
        • a.  Types of Proceedings  2.139
        • b.  Objecting to Informal Proceedings  2.140
    • C.  Agency Notification of Pending Complaints  2.141
  • X.  FORMS
    • A.  Form: Notice of Motion for Interim Order of Suspension (Bus & P C §494)  2.142
    • B.  Form: Petition for Interim Order of Suspension (Bus & P C §494)  2.143
    • C.  Form: Memorandum in Support of Petition for Interim Order of Suspension (Bus & P C §494)  2.144
    • D.  Form: Request for Official Notice (Bus & P C §494)  2.145
    • E.  Form: Declaration (Bus & P C §494)  2.146
    • F.  Form: Sample Citation From Contractors’ State License Board  2.147

3

Initiating Adjudicative Action

Wilbert E. Bennett

  • I.  SCOPE OF CHAPTER  3.1
  • II.  HOW CASE AND ADJUDICATION BEGIN
    • A.  Complaint and Investigation  3.2
    • B.  Method of Initiating Hearing  3.3
    • C.  Checklist: Initiation of Adjudicative Action  3.4
  • III.  TYPES OF INITIAL PLEADINGS
    • A.  APA: Accusation and Statement of Issues Defined  3.5
    • B.  Other Administrative Proceedings: No Special Pleading Forms  3.6
  • IV.  FORM OF PLEADING
    • A.  Parties Defined  3.7
    • B.  Allegations
      • 1.  Strict Pleading Rules Do Not Apply  3.8
      • 2.  Specificity
        • a.  Statutory Language  3.9
        • b.  Variance Between Pleading and Proof  3.10
        • c.  Specific Allegations Not Always Needed  3.11
      • 3.  Suggested Allegations
        • a.  Checklist: Sample Allegations for Disciplinary Action  3.12
        • b.  Checklist: Sample Allegations for Denial of License Application  3.13
    • C.  Initial Pleadings in Formal APA Proceedings  3.14
      • 1.  Accusation  3.15
      • 2.  Statement of Issues  3.16
      • 3.  Citation  3.17
    • D.  Verification  3.18
    • E.  Objecting to Form of Pleading  3.19
  • V.  FILING PLEADINGS
    • A.  Who May Sign and File  3.20
      • 1.  Agency Personnel  3.21
      • 2.  Elected Officials or Official Bodies  3.22
      • 3.  Private Third Parties  3.23
        • a.  File Accusation or Protest by Third Party If Statutory Right  3.24
        • b.  If No Statute, Agency May Treat Accusation as Complaint From Public  3.25
    • B.  When Pleading Deemed Filed  3.26
    • C.  Number of Copies of Pleading  3.27
    • D.  Filing Fees Generally Not Required  3.28
    • E.  Service
      • 1.  Formal APA Proceedings
        • a.  Service of Accusation and Statement of Issues Must Be Accompanied by Certain Documents  3.29
        • b.  Manner of Service  3.30
        • c.  Differences Between Service of Accusation and of Statement of Issues  3.31
      • 2.  Administrative Proceedings Generally  3.32
  • VI.  STATUTES OF LIMITATION AND LACHES: DELAY AND STALE CHARGES
    • A.  Statute of Limitations  3.33
    • B.  Laches  3.34
  • VII.  FORMS  3.35
    • A.  Form: Statement to Respondent (APA/License)  3.36
    • B.  Form: Notice of Defense (APA/License)  3.37
    • C.  Form: Accusation (APA/License)  3.38
    • D.  Form: Accusation and Petition to Revoke Probation (APA/License)  3.39
    • E.  Form: Statement of Issues (APA/License)  3.40
    • F.  Form: Request for Specification of Issues  3.41
    • G.  Form: Verification  3.42

4

Respondent’s Rights and Options

Priscilla S. Winslow

  • I.  SCOPE OF CHAPTER  4.1
  • II.  RIGHT TO REPRESENTATION AND LANGUAGE ASSISTANCE
    • A.  Right to Counsel in Administrative Proceedings
      • 1.  No Constitutional Guarantee of Counsel  4.2
      • 2.  Due Process and Statutory Right to Be Represented  4.3
    • B.  Union Representation  4.4
    • C.  Right to Attorney Fees When Authorized by Statute  4.5
    • D.  Language Assistance and Disability Accommodation Provided  4.6
  • III.  DEFENSE ATTORNEY’S INITIAL STEPS  4.7
    • A.  Verify Facts With Witnesses  4.8
    • B.  Obtain Information From Agency  4.9
    • C.  If Criminal Action Possible or Pending  4.10
      • 1.  Public Employer and Employee Communications  4.10A
      • 2.   Public Safety Employees  4.10B
      • 3.  Administrative Per Se Hearings  4.10C
  • IV.  IMPACT OF PENDING OR POTENTIAL ACTIONS  4.11
    • A.  Consider Civil Action  4.12
    • B.  Exhaustion of Administrative Remedies  4.13
      • 1.  When Doctrine Inapplicable  4.14
      • 2.  When Exhaustion Requirement Excused  4.15
      • 3.  Effect of Failure to Exhaust  4.16
    • C.  Res Judicata and Collateral Estoppel Effect of Administrative Decision on Other Cases  4.17
      • 1.  When Res Judicata or Collateral Estoppel Applies  4.18
        • a.  When Agency Acting in Judicial Capacity  4.19
        • b.  Traditional Requirements of Collateral Estoppel  4.20
          • (1)  Same Parties or Parties in Privity  4.21
          • (2)  Identity of Issues; Standards of Proof  4.22
          • (3)  Finality of Administrative Decision  4.23
      • 2.  When Statutes Prohibit Res Judicata or Collateral Estoppel Effect  4.24
      • 3.  Federal Causes of Action
        • a.  Res Judicata Applied in Actions Under 42 USC §1983  4.25
        • b.  Not Applied in Title VII Actions  4.26
    • D.  Effect of Res Judicata in Judicial Decisions on Administrative Cases  4.27
    • E.  Administrative Testimony as Admission in Another Case  4.28
    • F.  Administrative Proceedings Not Abated by Pending Related Case  4.29
  • V.  FILING RESPONSIVE PLEADINGS
    • A.  When to File Notice of Defense in Formal APA and Other Proceedings  4.30
    • B.  Effect of Failure to File Notice of Defense in Formal APA Proceedings
      • 1.  Waiver of Right to Hearing  4.31
      • 2.  Default: Agency May Take Action Without Hearing  4.32
      • 3.  Permission to File Late Special Defense  4.33
    • C.  Responsive Pleadings in Formal APA Proceedings
      • 1.  Respondent’s Initial Pleading
        • a.  Request for Hearing When License or Privilege Denied  4.34
        • b.  Notice of Defense: Request for Hearing and Specific Denial When Accusation Filed  4.35
      • 2.  Asserting Additional Defenses  4.36
        • a.  Demurrer: Plead as Special Defense  4.37
          • (1)  No Cause of Action Stated  4.38
          • (2)  Form of Accusation: Pleading Vague or Uncertain  4.39
        • b.  Statute Claimed to Be Unconstitutional  4.40
        • c.  Ruling on Demurrer  4.41
      • 3.  Admissions  4.42
      • 4.  Affirmative Defenses  4.43
      • 5.  Withdrawing Defense  4.44
    • D.  Responsive Pleadings in Other Administrative Proceedings
      • 1.  Responsive Pleading Depends on Statute  4.45
      • 2.  Specific Issues to Raise in Responsive Pleadings  4.46
  • VI.  DEFAULTS AND RELIEF FROM DEFAULT
    • A.  If Late Notice of Defense, Request Hearing by Phone, Letter, or Motion  4.47
    • B.  Agency Enters Default  4.48
      • 1.  What Agency Considers When Entering Default  4.49
      • 2.  Agency Has Discretion to Hold Hearing  4.50
      • 3.  Default Decision  4.51
      • 4.  Defaults in Other Administrative Proceedings  4.52
    • C.  Setting Aside Default Decision
      • 1.  Request Relief From Default by Motion  4.53
      • 2.  Seek Reconsideration, Judicial Review  4.54
  • VII.  WITHDRAWAL OF COUNSEL  4.54A
  • VIII.  FORMS
    • A.  Form: Request for Hearing  4.55
    • B.  Form: Special Notice of Defense  4.56

5

Conducting Discovery

Kenneth L. Freeman

  • I.  SCOPE OF CHAPTER  5.1
    • A.  In All Administrative Adjudicative Cases  5.2
    • B.  In Formal APA Hearings  5.3
    • C.  In Other Administrative Proceedings  5.4
  • II.  SCOPE AND METHODS OF DISCOVERY
    • A.  Limitations to Discovery  5.5
    • B.  Formal APA Proceedings
      • 1.  Discoverable Matters   5.6
      • 2.  Discovery Methods Available  5.7
    • C.  Other Administrative Proceedings
      • 1.  Matters Discoverable  5.8
      • 2.  Discovery Methods Available
        • a.  Depositions May Be Available in Non-APA Proceedings  5.9
        • b.  Inspection of Documents  5.10
        • c.  Informal Requests and Motions for Discovery  5.11
    • D.  Agency’s Investigatory Powers Not Discovery  5.12
  • III.  DISCOVERY PROCEDURE
    • A.  Formal APA Discovery Procedure  5.13
      • 1.  Form of Discovery Request  5.14
      • 2.  Time of Discovery Request  5.15
      • 3.  Compliance With Request for Discovery  5.16
    • B.  Depositions of Unavailable Witness in Formal APA Proceedings  5.17
      • 1.  Petition for Deposition  5.18
      • 2.  Order Requiring Deposition  5.19
    • C.  Discovery Procedures in Other Administrative Cases  5.20
      • 1.  Identifying Matters to Request  5.21
      • 2.  Motion for Prehearing Discovery May Be Necessary  5.22
      • 3.  Discovery During Hearing  5.23
  • IV.  COMPELLING DISCOVERY
    • A.  Motion to Compel Filed With ALJ in Formal APA Proceedings  5.24
      • 1.  Contents and Form of Motion  5.25
      • 2.  When to File and Serve Motion  5.26
      • 3.  Opposition to Motion  5.27
      • 4.  The Hearing  5.28
      • 5.  ALJ’s Decision  5.29
    • B.  Motion to Exclude Witness Testimony  5.29A
    • C.  Enforcing ALJ’s Decision in Formal APA Proceedings
      • 1.  Contempt Sanction  5.30
        • a.  Presiding Officer Certifies Facts to Court  5.31
        • b.  Court Conducts Contempt Proceedings  5.32
      • 2.  Monetary Sanctions  5.33
        • a.  Notice and Right to Be Heard  5.33A
        • b.  Format and Content of Sanctions Order  5.33B
        • c.  Judicial Review  5.33C
    • D.  Judicial Review by Writ Proceedings
      • 1.  Formal APA Proceedings  5.34
      • 2.  Other Administrative Proceedings  5.35
  • V.  FORMS
    • A.  Form: Request for Discovery  5.36
    • B.  Form: Motion to Compel Discovery  5.37
    • C.  Form: Declaration of Attorney in Support of Motion to Compel Discovery  5.38
    • D.  Form: Order Granting or Denying Discovery  5.39

6

Prehearing Motions and Procedures

Ruth S. Astle

Joel S. Primes

  • I.  SCOPE OF CHAPTER  6.1
  • II.  ROLE OF PRESIDING OFFICER
    • A.  Type of Presiding Officer
      • 1.  In General  6.2
      • 2.  Formal Hearing in Contested Case Must Be Heard by ALJ  6.3
      • 3.  County Hearing Officers  6.4
    • B.  Qualifications of Presiding Officer or ALJ
      • 1.  Separation of Functions  6.5
      • 2.  Qualifications of ALJ  6.6
      • 3.  Qualifications of County Hearing Officers  6.7
    • C.  How Presiding Officer Selected  6.8
    • D.  Authority of Presiding Officer  6.9
    • E.  Ex Parte Communications Prohibited  6.10
      • 1.  Permissible Communications  6.11
      • 2.  Prior Communications  6.12
      • 3.  If Improper Communication Received
        • a.  Make Part of Record  6.13
        • b.  Notice to Parties and Opportunity to Be Heard  6.14
        • c.  Possible Grounds for Disqualification  6.15
  • III.  CHALLENGING PRESIDING OFFICER
    • A.  Peremptory Challenge in Formal APA Cases  6.16
      • 1.  Making Challenge  6.17
      • 2.  When to Make Challenge  6.18
    • B.  Disqualification for Bias, Prejudice, or Interest in Proceeding  6.19
      • 1.  Determination of Bias  6.20
        • a.  Agency as Accuser and Judge  6.21
        • b.  Not Bias Under Govt C §11425.40(b)  6.22
        • c.  Prehearing Opinions as Evidence of Bias  6.23
        • d.  Conduct During Hearing  6.24
      • 2.  Rule of Necessity  6.25
      • 3.  How to Disqualify Presiding Officer for Actual Bias
        • a.  Voluntary Disqualification of ALJ or Agency Member  6.26
        • b.  Request to Disqualify  6.27
          • (1)  When to Make Request  6.28
          • (2)  Support Request With Affidavit  6.29
          • (3)  Who Decides Issue  6.30
          • (4)  Judicial Review of Issue  6.31
  • IV.  SETTING MATTER FOR HEARING
    • A.  Setting Time and Date of Hearing
      • 1.  Formal APA Proceedings  6.32
      • 2.  Other Proceedings  6.33
    • B.  Venue of Hearing
      • 1.  Formal APA Proceedings  6.34
      • 2.  Other Proceedings  6.35
      • 3.  Motion to Change Location in Formal Proceedings  6.36
    • C.  Notice of Hearing  6.37
  • V.  PREHEARING CONFERENCES: FORMAL APA PROCEEDINGS
    • A.  How to Set and Conduct Prehearing Conferences  6.38
    • B.  Prehearing Conference Statement
      • 1.  Documents Required to Be Exchanged  6.39
      • 2.  Exchange of Exhibits  6.40
      • 3.  When to File Prehearing Conference Statement (1 Cal Code Regs §1026)  6.41
      • 4.  Checklist: Contents of Prehearing Conference Statement  6.42
    • C.  Checklist: Possible Topics for Prehearing Conference  6.43
      • 1.  When to Stipulate to Facts  6.44
      • 2.  Most Motions Should Be Heard  6.45
    • D.  How and Where Prehearing Conference Conducted  6.46
    • E.  Converting to Other Types of Hearings by Consent at Prehearing Conference  6.47
      • 1.  Informal Hearing (Govt C §11445.10)  6.48
        • a.  When Informal Hearing May Be Used  6.49
        • b.  Objecting to Informal Proceedings  6.50
        • c.  Denying Informal Proceeding or Converting to Formal Proceeding  6.51
      • 2.  Alternative Dispute Resolution  6.52
    • F.  Prehearing Conference Order  6.53
  • VI.  PREHEARING MOTIONS AND OTHER PROCEDURES
    • A.  Motions Generally Under OAH Regulations
      • 1.  Form of Motion  6.54
      • 2.  Where and When to File Motion and Response  6.55
      • 3.  Setting Hearing  6.56
      • 4.  Hearing, Deciding Motion  6.57
    • B.  When Motion to Strike or Demurrer Appropriate
      • 1.  No Explicit Authority  6.58
      • 2.  Ruling on Motion  6.59
      • 3.  Curing Pleading Without Amendment  6.60
    • C.  Amendments to Pleadings
      • 1.  By Notice to All Parties
        • a.  Liberally Allowed in Formal APA Hearings  6.61
        • b.  Other Hearings  6.62
      • 2.  Filing Amended Pleading With OAH  6.63
      • 3.  Respondent May Seek Continuance  6.64
    • D.  Continuances
      • 1.  Authority to Grant  6.65
      • 2.  Grounds for Continuance  6.66
        • a.  OAH Practice  6.67
        • b.  OAH Regulation  6.68
        • c.  Pending Civil or Criminal Cases on Same Subject  6.69
        • d.  If Witness Fails to Appear  6.70
      • 3.  Procedure for Application for Continuance: Formal APA Proceedings
        • a.  When to Apply  6.71
        • b.  Where to Apply  6.72
        • c.  Apply in Writing  6.73
        • d.  Notice, Opposition, and Hearing on Application  6.74
      • 4.  Applying for Continuance in Other Proceedings  6.75
      • 5.  Judicial Review If Motion to Continue Denied
        • a.  Seek Immediate Review in Formal APA Proceedings  6.76
        • b.  In Other Proceedings  6.77
    • E.  Motions to Consolidate or Sever  6.78
      • 1.  Motions for Joint Hearings or to Consolidate  6.79
      • 2.  Motions for Severance  6.80
    • F.  Third Party Participation
      • 1.  Filing Accusation or Motion to Intervene  6.81
      • 2.  Motion for Intervention Under APA  6.82
    • G.  Motion for Conversion of Proceeding (Govt C §11470.10)  6.83
    • H.  Dismissal Before Hearing  6.84
    • I.  Motion in Limine  6.84A
    • J.  Reporting Testimony
      • 1.  Formal APA Proceedings  6.85
      • 2.  Other Hearings
        • a.  Due Process Requirements  6.86
        • b.  Request Reporter  6.87
    • K.  Request for Security at Hearing  6.87A
  • VII.  COMPROMISE OR SETTLEMENT
    • A.  Agency Has Authority to Compromise or Settle Case  6.88
      • 1.  Permissible Terms of Settlement  6.89
        • a.  Stipulation for Licensing Case  6.90
        • b.  Surrender of License for Licensing Case  6.91
        • c.  Impact of Time to Petition for Reinstatement on Handling of Initial Disciplinary Matter  6.92
      • 2.  When Settlement May Be Made  6.93
      • 3.  Evidence of Settlement Not Admissible  6.94
    • B.  Mandatory Settlement Conferences in Formal APA Proceedings  6.95
      • 1.  Parties Attending and Authority to Settle  6.96
      • 2.  Settlement Conference Statement and Settlement Proposal  6.97
      • 3.  Conduct of the Conference  6.98
      • 4.  Formalize Results  6.99
      • 5.  Settlement Must Be Approved by Agency  6.100
    • C.  Settlements Other Than at MSC  6.101
    • D.  Practice Suggestions Concerning Settlement  6.102
    • E.  Notify Clerk and OAH of Settlement  6.103
  • VIII.  PREPARATION FOR HEARING
    • A.  Notice to Attend  6.104
    • B.  Subpoenas
      • 1.  Authority of Agency to Issue Subpoenas  6.105
      • 2.  Effect of Subpoena  6.106
      • 3.  Obtain Subpoena From Agency or Presiding Officer  6.107
      • 4.  Service of Subpoenas; Witness Fees  6.108
      • 5.  Witness Objects by Motion for Protective Order  6.109
      • 6.  Procedure for Subpoenas Issued Under Statutes Other Than APA  6.110
      • 7.  Quashing Subpoenas  6.111
      • 8.  Enforcement of Subpoenas; Certify Facts to Superior Court and Order to Show Cause Re Contempt  6.112
    • C.  Affidavits In Lieu of Oral Testimony in Formal APA Proceedings
      • 1.  Effect of Affidavit  6.113
      • 2.  Notice of Intent to Introduce Affidavit and Request to Cross-Examine  6.114
  • IX.  FORMS
    • A.  Disqualifying Presiding Officer
      • 1.  Form: Peremptory Challenge  6.115
      • 2.  Form: Motion to Disqualify  6.116
      • 3.  Form: Declaration in Support of Motion to Disqualify  6.116A
    • B.  Form: Motion to Continue  6.117
    • C.  Third Party Participation in Proceedings
      • 1.  Form: Motion to Intervene as Party  6.118
      • 2.  Form: Opposition to Motion to Intervene as Party  6.119
      • 3.  Form: Order Granting or Denying Motion to Intervene  6.120
    • D.  Witness Forms
      • 1.  Form: Notice of Intent to Introduce Affidavit or Declaration  6.121
      • 2.  Form: Notice of Request to Cross-Examine  6.122

7

The Hearing Process

Jaime René Román

  • I.  SCOPE OF CHAPTER  7.1
    • A.  APA Rules Apply to All Adjudicative Proceedings Unless Exempted  7.2
    • B.  Other Types of Procedures Under APA  7.3
  • II.  WHO HEARS THE CASE
    • A.  Presiding Officer
      • 1.  Presiding Officer Defined  7.4
      • 2.  Informal and Other Hearings  7.5
      • 3.  Formal APA Hearings  7.6
      • 4.  Rehearings  7.7
    • B.  Qualifications of Presiding Officers  7.8
    • C.  Disqualification of Presiding Officer  7.9
      • 1.  Request to Disqualify  7.10
      • 2.  Rule of Necessity  7.11
    • D.  Peremptory Challenge  7.12
    • E.  Ex Parte Communications  7.13
  • III.  NATURE OF HEARINGS
    • A.  Rights Under Administrative Adjudication Bill of Rights and Due Process  7.14
      • 1.  Right to Present Evidence  7.15
      • 2.  Right to Confront Witnesses  7.16
        • a.  No Confidential Reports  7.17
        • b.  No Right to Be Present  7.18
      • 3.  Right to Interpreter  7.19
        • a.  Language  7.20
        • b.  Hearing Impaired  7.21
      • 4.  Right to Public Hearing  7.22
        • a.  Exception for Private Sessions in Certain Matters  7.23
        • b.  Exclusion of Witnesses  7.24
        • c.  Preservation of Proceeding Integrity  7.25
        • d.  Conducting Proceedings by Electronic Means  7.26
      • 5.  Presiding Officer’s Power to Protect Witnesses
        • a.  Persons with Developmental Disabilities and Minors  7.27
        • b.  Sexual Misconduct Proceedings  7.28
    • B.  Informal Hearings  7.29
      • 1.  Procedures in Informal Hearings  7.30
      • 2.  Presiding Officer May Convert to Formal Hearing  7.31
    • C.  Formal Hearings
      • 1.  Procedures in Formal Hearing  7.32
      • 2.  Reporting of Formal Hearing  7.33
  • IV.  CONDUCTING THE HEARING
    • A.  Hearing Chronology  7.34
    • B.  Strategy for Presentation of Case  7.35
      • 1.  Opening Statement  7.36
      • 2.  Hearing Memorandums  7.37
      • 3.  Gathering and Presenting Evidence  7.38
        • a.  Background or Foundational Evidence  7.39
        • b.  Prove or Disprove Every Element  7.40
      • 4.  Raise All Issues and Objections at Hearing  7.41
      • 5.  Closing Argument  7.42
    • C.  Hearing If Respondent Defaults  7.43
    • D.  Bifurcation of Issues  7.44
    • E.  Contempt and Sanctions
      • 1.  Contempt  7.45
        • a.  Certify to Superior Court  7.46
        • b.  Order to Show Cause  7.47
        • c.  Superior Court Proceedings  7.48
      • 2.  Sanctions  7.49
  • V.  BURDEN AND DEGREE OF PROOF
    • A.  Burden of Proof  7.50
    • B.  Degree of Proof
      • 1.  Generally Preponderance of Evidence  7.51
      • 2.  When to Raise Issue  7.52
    • C.  Specific Requirements
      • 1.  License Issuance  7.53
      • 2.  License Renewal  7.54
      • 3.  License Discipline: Suspension, Revocation
        • a.  Burden of Proof  7.55
        • b.  Degree of Proof  7.56
          • (1)  Interim Suspension Orders  7.57
          • (2)  Orders Revoking Probation  7.58
      • 4.  Licensing Violations: Citations  7.59
      • 5.  Reinstatement of License: Burden on Applicant  7.60
      • 6.  Personnel Matters: Hiring, Firing, Discipline  7.61
      • 7.  Other Matters  7.62
  • VI.  DEFINITION AND DESCRIPTION OF SUBSTANTIAL RELATIONSHIP REQUIREMENT
    • A.  Nexus Between Conduct and Fitness to Practice  7.63
    • B.  Substantial Relationship to Qualifications, Functions, or Duties of License  7.64
    • C.  Difference Between Nexus and Substantial Relationship Requirement  7.65
    • D.  No Requirement That Conduct Occur During Work  7.66
    • E.  Nexus Requirement Applicable to All Discipline Cases  7.67
    • F.  Legal Underpinnings
      • 1.  Constitutional Origin  7.68
      • 2.  Nexus Applicable in Absence of Statutory Requirement  7.69
      • 3.  Statutory Codification of Substantial Relationship Requirement  7.70
  • VII.  DETERMINING SUBSTANTIAL RELATIONSHIP REQUIREMENT  7.71
    • A.  General Considerations for Determining Nexus or Substantial Relationship  7.72
    • B.  Statutory and Regulatory Authorities on Substantial Relationship  7.73
      • 1.  Substantial Relationship Criteria  7.74
        • a.  General Definition of Substantial Relationship  7.75
        • b.  Specific Crimes or Code Sections Defined as Substantially Related  7.76
        • c.   Convictions Dismissed Under Pen C §1203.4  7.76A
        • d.  Reliance on Criteria  7.77
      • 2.  Laws Specifying Violations as Disciplinary Basis  7.78
        • a.  Conduct Conclusively Presumed to Be Substantially Related  7.79
        • b.  General Prohibitions in Disciplinary Laws  7.80
  • VIII.  PROVING OR DISPROVING NEXUS/SUBSTANTIAL RELATIONSHIP
    • A.  Factors to Consider  7.81
    • B.  Factual Evidence  7.82
      • 1.  No Factual Showing Required  7.83
      • 2.  Factual Showing Required
        • a.  When Crime or Conduct Not Specifically Listed in Agency Statutes or Regulations  7.84
        • b.  To Prove Crime or Conduct Falls Within Substantial Relationship Criteria  7.85
        • c.  To Assist Trier of Fact  7.86
      • 3.  Permissible Sources for Factual Inquiry  7.87
    • C.  Expert Testimony  7.88
  • IX.  EVIDENCE
    • A.  Rules Applicable in Formal APA Proceedings  7.89
      • 1.  Right to Present Evidence  7.90
      • 2.  Relevant Evidence  7.91
    • B.  Affidavits in Lieu of Testimony  7.92
    • C.  Hearsay  7.93
      • 1.  Admissible to Supplement or Explain  7.94
        • a.  Relevant and Reliable  7.95
        • b.  Record of Criminal Conviction  7.96
      • 2.  Admissible to Support Finding
        • a.  If Admissible Over Objection in Civil Action  7.97
        • b.  If No Timely Objection Made  7.98
      • 3.  When to Object  7.99
    • D.  Confessions and Admissions  7.100
      • 1.  Conviction Following Nolo Contendere Plea May Be Admissible  7.101
      • 2.  Prior Civil Judgment May Be Admissible  7.102
      • 3.  Admissions Made Without Warnings  7.103
      • 4.  Admissions or Acts by Others May Be Admissible  7.104
    • E.  Evidence Obtained by Illegal Search and Seizure
      • 1.  Exclusionary Rule Limited in Administrative Hearings  7.105
      • 2.  Only Unreasonable Searches Illegal  7.106
      • 3.  Exclusionary Rule Applied in Exceptional Circumstances  7.107
      • 4.  Objecting to Tainted Evidence  7.108
    • F.  Evidence Obtained Through Entrapment  7.109
    • G.  Official Notice  7.110
      • 1.  Must Give Parties Notice and Opportunity to Refute  7.111
        • a.  When to Give Notice  7.112
        • b.  Content of Notice  7.113
        • c.  Effect of Failure to Provide Notice  7.114
      • 2.  Placing Officially Noticed Matters in Record  7.115
    • H.  Administrative Hearings Follow Kelly on Scientific Evidence  7.116
    • I.  Judicial and Statutory Presumptions Apply  7.117
    • J.  Evidence Concerning Penalty Assessment
      • 1.  Aggravation, Mitigation and Rehabilitation  7.118
        • a.  How to Present  7.119
        • b.  Mitigation  7.120
      • 2.  Rehabilitation  7.121
      • 3.  Aggravation  7.122
    • K.  Make Objection or Objection Waived  7.123
    • L.  Improper Admission of Evidence Not Grounds for Reversal  7.124
    • M.  Discretionary Power of Presiding Judge to Exclude Evidence  7.125
  • X.  WITNESS EXAMINATION AND CROSS-EXAMINATION
    • A.  Right to Call and Examine Witnesses  7.126
      • 1.  Presiding Officer Can Limit Number of Witnesses  7.127
      • 2.  Rebuttal and Surrebuttal Witnesses  7.128
    • B.  Oath or Affirmation  7.129
    • C.  Right of Cross-Examination  7.130
      • 1.  Improper Denial of Cross-Examination  7.131
      • 2.  When Right Does Not Apply  7.132
      • 3.  Scope of Cross-Examination; Redirect and Recross  7.133
    • D.  Examination by Presiding Officer or Agency Members  7.134
    • E.  Right to Impeach Witness  7.135
    • F.  Privileges
      • 1.  Evidence Code Privileges  7.136
      • 2.  Privilege in APA for ADR and Settlement Negotiations  7.137
      • 3.  Privilege Against Self-Incrimination  7.138
      • 4.  Effect of Invoking Privilege  7.139
    • G.  Respondent as Witness
      • 1.  Formal Hearings  7.140
      • 2.  Other Hearings  7.141
    • H.  Agency Members or Personnel as Witnesses  7.142
    • I.  Expert Witnesses  7.143
    • J.  Character Witnesses and Other Evidence of Character  7.144
  • XI.  MOTIONS BEFORE COMPLETION OF HEARING
    • A.  Motions for Nonsuit or Dismissal  7.145
    • B.  Amendments to Pleadings
      • 1.  Before Submission  7.146
      • 2.  After Submission  7.147
    • C.  Costs
      • 1.  No Filing Fees  7.148
      • 2.  Witness Fees  7.149
      • 3.  Prejudgment Interest Not Allowed Unless Authorized by Statute  7.150
      • 4.  Cost Recovery Under Statute or Settlement  7.151

8

Decision and Review

Karl S. Engeman

  • I.  SCOPE OF CHAPTER  8.1
  • II.  OVERVIEW OF DECISION PROCESS
    • A.  Decision-Maker Determined by Statute or Ordinance  8.2
      • 1.  “Presiding Officer” Presides Over Hearing But May Not Be Decision-Maker  8.3
      • 2.  Who Cannot Serve as Agency Decision-Maker  8.4
      • 3.  Agency Ultimate Decision-Maker  8.5
      • 4.  Agency Head Has Authority to Review  8.6
    • B.  Time Requirements Usually Not Mandatory  8.7
    • C.  Ex Parte Communications Prohibited  8.8
    • D.  Correcting Mistake or Error in Decision
      • 1.  Who May Apply and When  8.9
      • 2.  Agency Options  8.10
    • E.  Correcting Technical Errors in Proposed Decision
      • 1.  Who May Request Corrections  8.11
      • 2.  Requesting Copy of Proposed Decision  8.11A
      • 3.  Application Procedures  8.11B
      • 4.  Corrections by ALJ or OAH  8.11C
  • III.  WHEN AGENCY HEARS CASE
    • A.  Form of Decision When Agency Hears Case  8.12
    • B.  Agency Deliberation
      • 1.  Agency Deliberates in Closed Session  8.13
      • 2.  Presumption That Agency Familiar With Record  8.14
    • C.  Agency Deliberation and Voting
      • 1.  Voting Members Must Have Heard Evidence  8.15
      • 2.  What Constitutes Majority or Quorum  8.16
      • 3.  When Voting May Be by Mail  8.17
    • D.  Agency Must Issue Decision Within 100 Days  8.18
    • E.  Agency Decision Must Be Filed and Served Immediately  8.19
    • F.  When Decisions Based on Stipulation  8.20
      • 1.  Scope of Settlement Terms  8.21
      • 2.  Timing of Settlement  8.22
      • 3.  Evidence of Settlement Inadmissible  8.23
  • IV.  WHEN AGENCY REVIEWS PROPOSED DECISION BY ALJ
    • A.  When There Is Proposed Decision
      • 1.  In Cases Governed by APA  8.24
      • 2.  In Cases Not Governed by APA  8.25
    • B.  Agency’s Filing and Service Requirements  8.26
    • C.  Due Process Does Not Require Opportunity to Object to Proposed Decision  8.27
      • 1.  Argument Allowed After Nonadoption of Proposed Decision  8.28
      • 2.  When Ex Parte Findings May Violate Due Process  8.29
    • D.  Agency Options When Reviewing Proposed Decision  8.30
  • V.  WHEN AGENCY ADOPTS PROPOSED DECISION
    • A.  Order Adopting Decision  8.31
    • B.  Due Process Considerations in Adopting Proposed Decision
      • 1.  Agency May Rely on Information From ALJ  8.32
      • 2.  Proposed Decision Sufficient Synopsis in APA Proceedings  8.33
      • 3.  Statute Controls in Other Administrative Proceedings  8.34
    • C.  When Agency May Reduce Penalty Provision  8.35
  • VI.  WHEN AGENCY DOES NOT ADOPT PROPOSED DECISION
    • A.  Options If Agency Does Not Adopt Proposed Decision  8.36
    • B.  Increasing Penalty Equals Nonadoption of Proposed Decision  8.37
    • C.  Agency May Decide Case Itself  8.38
    • D.  No Restrictions on Reasons for Not Adopting Proposed Decision
      • 1.  In Cases Governed by APA  8.39
      • 2.  In Cases Not Governed by APA  8.40
      • 3.  Determine If Special Statutory Provisions Applicable  8.41
    • E.  Preparation of Record When Proposed Decision Not Adopted
      • 1.  Procedure  8.42
      • 2.  Ordering Copy of Record  8.43
      • 3.  Proposed Decision Part of Record  8.44
    • F.  Independent Examination of Evidence  8.45
    • G.  Agency May Request Additional Evidence
      • 1.  When Appropriate  8.46
      • 2.  Nature of Evidence  8.47
      • 3.  When Agency Itself Takes Additional Evidence  8.48
    • H.  When Original ALJ Takes Additional Evidence  8.49
    • I.  Written or Oral Argument Must Be Allowed
      • 1.  When Agency Hears Matter  8.50
      • 2.  When Case Ordered Back to ALJ  8.51
  • VII.  REQUIREMENTS FOR FORM, CONTENT, AND SERVICE OF DECISION
    • A.  Decision Must Contain Factual and Legal Basis of Decision  8.52
    • B.  Sufficiency of Findings  8.53
      • 1.  When Findings Appropriate  8.54
      • 2.  Form and Specificity of Findings  8.55
      • 3.  Effect of Ambiguity or Omission of Findings  8.56
      • 4.  Revocation Decision Need Not Evaluate Lesser Penalties  8.57
      • 5.  Remand for Correction if Inadequate Findings  8.58
      • 6.  Findings Not Required for Challenge to Quasi-Legislative Actions  8.59
    • C.  If Credibility of Witness Involved in Decision  8.60
    • D.  Effective Date of Decision
      • 1.  Effective Date Under APA  8.61
      • 2.  Agency May Determine Effective Date  8.62
      • 3.  Why Effective Date Important to Respondent  8.63
      • 4.  Computation If Date Not Specified  8.64
    • E.  Serving Decision
      • 1.  Legal Requirements  8.65
      • 2.  Prevent Respondent From Claiming Lack of Knowledge of Decision  8.66
      • 3.  To Obtain Compliance of Nonparty  8.67
  • VIII.  REVIEW PROCEDURE FOR STAYS
    • A.  When Appropriate  8.68
    • B.  Types of Stays  8.69
    • C.  Effect of Stay  8.70
    • D.  Procedure for Obtaining Stays  8.71
    • E.  Request for Stay of Execution (APA)  8.72
    • F.  Request for Stay to Seek Reconsideration  8.73
    • G.  Order Granting or Denying Stay (APA)  8.74
  • IX.  WHEN PROPOSED DECISION IN LICENSING CASES
    • A.  If Licensee Convicted of Crime or Made False Statement  8.75
    • B.  If Separate Penalties Imposed for Same Act  8.76
    • C.  If License Revoked or Suspended for Separate Violations  8.77
    • D.  When Probationary Terms Imposed
      • 1.  When Appropriate  8.78
      • 2.  Notice and Hearing Required Before Revocation of Probation  8.79
    • E.  When to Make Order of Restitution
      • 1.  Authority to Make Restitution Order  8.80
      • 2.  Scope of Restitution Orders  8.81
    • F.  Penalty Guidelines  8.82
    • G.  Cost Recovery When Agency Prevails  8.83
    • H.  Termination of Proceedings Without Penalty  8.84
    • I.  Dismissal of Proceedings  8.85
    • J.  Setting Bond  8.86
  • X.  REHEARING OR RECONSIDERATION
    • A.  Right to Rehearing  8.87
    • B.  Power of Agency to Reconsider  8.88
    • C.  Petitions for Rehearing or Reconsideration
      • 1.  Grounds  8.89
      • 2.  Findings Supported Solely by Hearsay  8.90
    • D.  Filing the Petition; Format and Procedure
      • 1.  No Particular Form Required  8.91
      • 2.  Procedural Requirements  8.92
      • 3.  Include Request for Stay  8.93
    • E.  If Newly Discovered Evidence or Issues Arise  8.94
    • F.  Order Granting or Denying Petition for Reconsideration  8.95
    • G.  Format for Petition for Reconsideration  8.96
    • H.  Format for Order for Reconsideration  8.97
    • I.  Order Denying Petition for Reconsideration  8.98
    • J.  Effect of Order  8.99
    • K.  Due Process Considerations  8.100
    • L.  Determine if Further Administrative Appeals Possible  8.101
  • XI.  JUDICIAL REVIEW
    • A.  Governing Statute Controls Timing  8.102
    • B.  Finality of Decision
      • 1.  Governing Statute Controls  8.103
      • 2.  If Agency Has Power to Rehear or Reconsider  8.104
    • C.  No Inquiry Into Mental Processes of Decision  8.105
    • D.  Decision May Be Designated Precedential  8.106
    • E.  Matters That May Be Considered on Review  8.107
    • F.  Must Exhaust Administrative Remedies Before Seeking Review  8.108
      • 1.  When Exhaustion of Administrative Remedies Required  8.108A
      • 2.  Exceptions to Exhaustion Requirement  8.109
        • a.  Administrative Remedy Inadequate  8.110
        • b.  Irreparable Injury From Pursuing Administrative Remedy  8.111
        • c.  Pursuing Administrative Remedy Futile  8.112
        • d.  Challenging Administrative Decision for Public Benefit  8.113
        • e.  Question of Constitutionality of Statute, Regulation, or Guideline  8.114
        • f.  Test Claim  8.114A
        • g.  Judicial Remedy Elected  8.115
        • h.  Agency Lacks Jurisdiction  8.116
      • 3.  Effect of Failure to Exhaust Administrative Remedies  8.117
  • XII.  RECONSIDERATION OR REHEARING AFTER JUDICIAL REMAND
    • A.  Scope of Review  8.118
    • B.  When Remand Appropriate  8.119
    • C.  Scope of Rehearing  8.120
    • D.  Agency Action After Remand If One or More Findings Lack Sufficient Evidentiary Support  8.121
    • E.  Agency Decision After Reconsidering Case on Remand  8.122
  • XIII.  FORMS
    • A.  Form: Adoption of Proposed Decision  8.123
    • B.  Form: Notice of Nonadoption of Proposed Decision  8.124
    • C.  Form: Proposed Decision; Licensing Cases  8.125
    • D.  Form: Request for Stay of Execution (Govt C §11519)  8.126
    • E.  Form: Request for Stay to Seek Reconsideration (Govt C §11521(a))  8.127
    • F.  Form: Order Granting or Denying Stay  8.128
    • G.  Form: Petition for Reconsideration  8.129
    • H.  Form: Order for Reconsideration  8.130

9

Postdecision Administrative Proceedings

William L. Marcus

  • I.  SCOPE OF CHAPTER  9.1
  • II.  PETITIONS FOR REINSTATEMENT OR FOR MODIFICATION OR EARLY TERMINATION OF PROBATION
    • A.  Right to Petition
      • 1.  No Constitutional Right  9.2
      • 2.  Statutory Authority in Chapter 5 of the APA and Other Statutes  9.3
      • 3.  Other Prohibitions Against Reinstatement: Statutes, Fraud, Cheating  9.4
    • B.  When Petition May Be Filed  9.5
      • 1.  Not While Serving Criminal Sentence, Probation, or Parole  9.6
      • 2.  After Prior Denial of Petition for Reinstatement  9.7
    • C.  File Petition With Agency  9.8
      • 1.  Attorney General Represents Public Interest  9.9
      • 2.  Right to Oral or Written Argument  9.10
    • D.  What Petitioner Must File and Produce  9.11
      • 1.  Provide Complete Information in Petition: Hearing Not Required  9.12
      • 2.  Burden on Petitioner to Show Right to Relief  9.13
        • a.  Must Show Rehabilitation  9.14
          • (1)  Present Good Character  9.15
          • (2)  Good Conduct  9.16
        • b.  State of Mind  9.17
        • c.  Do Not Attack Prior Disciplinary Order  9.18
      • 3.  Declarations to Support Petition  9.19
      • 4.  Letters of Recommendation  9.20
      • 5.  Form: Petition for Reinstatement of License  9.21
    • E.  Agency Investigates Petition  9.22
    • F.  Evidence in Opposition to Petition  9.23
    • G.  Hearing and Deciding Petition
      • 1.  Staff Schedules Hearing and Agency Hears Petition  9.24
      • 2.  Conduct of Hearing  9.25
      • 3.  Presenting Evidence at Hearing  9.26
    • H.  The Decision
      • 1.  Decision Should Contain Reasons  9.27
      • 2.  Decision Might Contain Conditions for Reinstatement  9.28
      • 3.  Form: Decision  9.29
      • 4.  Service of Decision  9.30
    • I.  Reconsideration; Judicial Review  9.31
  • III.  PETITION TO REVOKE PROBATION  9.32
    • A.  Grounds for Petition to Revoke Probation  9.33
    • B.  When Petition Filed  9.34
    • C.  Form and Content of Petition  9.35
    • D.  Hearing and Deciding Petition
      • 1.  Who Hears Petition  9.36
      • 2.  Evidence at Hearing
        • a.  Burden on Agency to Produce Evidence  9.37
        • b.  Standard of Proof: Preponderance of Evidence  9.38
        • c.  Probationer Can Challenge  9.39
    • E.  Decision  9.40
    • F.  Judicial Review  9.41

CALIFORNIA ADMINISTRATIVE HEARING PRACTICE

(2d Edition)

October 2022

TABLE OF CONTENTS

 

File Name

Book Section

Title

CH02

Chapter 2

Prefiling Investigation and Evaluation

02-142

§2.142

Notice of Motion for Interim Order of Suspension (Bus & P C §494)

02-143

§2.143

Petition for Interim Order of Suspension (Bus & P C §494)

02-144

§2.144

Memorandum in Support of Petition for Interim Order of Suspension (Bus & P C §494)

02-145

§2.145

Request for Official Notice (Bus & P C §494)

02-146

§2.146

Declaration (Bus & P C §494)

02-147

§2.147

Sample Citation From Contractors’ State License Board

CH03

Chapter 3

Initiating Adjudicative Action

03-004

§3.4

Checklist: Initiation of Adjudicative Action

03-012

§3.12

Checklist: Sample Allegations for Disciplinary Action

03-013

§3.13

Checklist: Sample Allegations for Denial of License Application

03-036

§3.36

Statement to Respondent (APA/License)

03-037

§3.37

Notice of Defense (APA/License)

03-038

§3.38

Accusation (APA/License)

03-039

§3.39

Accusation and Petition to Revoke Probation (APA/License)

03-040

§3.40

Statement of Issues (APA/License)

03-041

§3.41

Request for Specification of Issues

03-042

§3.42

Verification

CH04

Chapter 4

Respondent’s Rights and Options

04-055

§4.55

Request for Hearing

04-056

§4.56

Special Notice of Defense

CH05

Chapter 5

Conducting Discovery

05-036

§5.36

Request for Discovery

05-037

§5.37

Motion to Compel Discovery

05-038

§5.38

Declaration of Attorney in Support of Motion to Compel Discovery

05-039

§5.39

Order Granting or Denying Discovery

CH06

Chapter 6

Prehearing Motions and Procedures

06-042

§6.42

Checklist: Contents of Prehearing Conference Statement

06-043

§6.43

Checklist: Possible Topics for Prehearing Conference

06-115

§6.115

Peremptory Challenge

06-116

§6.116

Motion to Disqualify

06-116A

§6.116A

Declaration in Support of Motion to Disqualify

06-117

§6.117

Motion to Continue

06-118

§6.118

Motion to Intervene as Party

06-119

§6.119

Opposition to Motion to Intervene as Party

06-120

§6.120

Order Granting or Denying Motion to Intervene

06-121

§6.121

Notice of Intent to Introduce Affidavit or Declaration

06-122

§6.122

Notice of Request to Cross-Examine

CH08

Chapter 8

Decision and Review

08-123

§8.123

Adoption of Proposed Decision

08-124

§8.124

Notice of Nonadoption of Proposed Decision

08-125

§8.125

Proposed Decision; Licensing Cases

08-126

§8.126

Request for Stay of Execution (Govt C §11519)

08-127

§8.127

Request for Stay to Seek Reconsideration (Govt C §11521(a))

08-128

§8.128

Order Granting or Denying Stay

08-129

§8.129

Petition for Reconsideration

08-130

§8.130

Order for Reconsideration

CH09

Chapter 9

Postdecision Administrative Proceedings

09-021

§9.21

Petition for Reinstatement of License

09-029

§9.29

Decision

 

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