California Code of Regulations
Title 9 - Rehabilitative and Developmental Services
Division 4 - Department of Alcohol and Drug Programs
Chapter 3 - Programs for Alcohol and Drug Impaired Drivers
Subchapter 3 - Program Standards
Article 3 - Participant Records
Section 9868 - Proof of Enrollment Certificates

Universal Citation: 9 CA Code of Regs 9868

Current through Register 2024 Notice Reg. No. 38, September 20, 2024

(a) The DUI program shall issue a Proof of Enrollment Certificate (Form DL 107, Revised 7-06) to the Department of Motor Vehicles upon request at any point during the period of enrollment. The DUI program shall complete the certificate in electronic format, or by typewriter or by printing legibly in ink. The Proof of Enrollment shall have a unique, pre-printed number, assigned by the Department of Motor Vehicles, and shall be completed and issued pursuant to Section 120.01 of Title 13.

(1) The program director may sign the Proof of Enrollment Certificates and may designate up to two employees to sign the certificates.

(A) If the program director authorizes a designee to sign Proof of Enrollment Certificate on his/her behalf, the DUI program shall retain a copy of the written authorization in its files.

(B) The Proof of Enrollment Certificate shall not be signed until the individual signing has verified that the participant has completed enrollment forms including a participant contract and fee payment agreement.

(b) The DUI program shall maintain a program log, typed or printed in ink, to record the receipt, issuance and/or other disposition of each numbered Proof of Enrollment Certificate. At the DUI program's option this program log may be in electronic format if a certificate is issued electronically. The log shall contain, at a minimum, the information listed in subdivision (f)(5).

(1) Write "VOID" in large letters across the original and all copies of the Proof of Enrollment Certificate;

(2) Store the voided copies of the Proof of Enrollment Certificate in sequential order in the program log;

(3) Note in the program log that the Proof of Enrollment Certificate was voided; and

(4) Inform the Department of Motor Vehicles of the Proof of Enrollment Certificate numbers voided. The DUI program shall report the voided Proofs of Enrollment Certificates to the Department of Motor Vehicles on a monthly basis.

(d) The DUI program shall destroy voided Proof of Enrollment Certificates only after Department staff or county staff have reviewed the Proof of Enrollment Certificates during an on-site compliance review, and have authorized, in writing, their destruction. The method of destruction shall render the Proof of Enrollment Certificates useless.

(e) When the DUI program receives a book containing one or more Proof of Enrollment Certificates that were damaged during manufacturing or shipping, the DUI program shall either immediately return the entire book of 50 to the Department of Motor Vehicles or void the individual damaged Proof of Enrollment Certificates and use the remaining ones in the book.

(1) To return the entire book to the Department of Motor Vehicles the DUI program shall:

(A) Submit the entire book to the Department of Motor Vehicles, with a written request for free replacement; and

(B) Note in the program log that the Proof of Enrollment Certificates were damaged and returned to the Department of Motor Vehicles.

(2) To void and destroy the damaged certificates, the DUI program shall:

(A) Write "void" through the damaged certificates; and

(B) Obtain a signed written authorization for destruction from a Department or county staff person during an on-site review. The authorization for destruction shall contain the following information:

1. The DUI program name and license number;

2. The date of review;

3. The period reviewed;

4. The printed numbers of the Proof of Enrollment Certificates that were reviewed;

5. The printed numbers of void Proof of Enrollment Certificates that were authorized for destruction;

6. The name, title, and signature of the Department or county staff person conducting the on-site compliance review;

7. The printed numbers of the void Proof of Enrollment Certificates that were destroyed;

8. The proposed date of destruction;

9. The method of destruction to be used; and

10. The name, title, and signature of the DUI program director.

(3) The DUI program shall destroy the damaged certificates after a Department or county staff person reviews and signs the authorization for destruction.

(4) The DUI program shall retain the written authorization for destruction with the program log for four years from the date of destruction.

(f) If an eligible participant requests a Proof of Enrollment Certificate because the participant was referred by the court and the court requires a copy, the DUI program shall:

(1) Issue the original copy of the Proof of Enrollment Certificate to the Department of Motor Vehicles;

(2) Issue the court copy to the court of conviction;

(3) Provide the participant copy to the participant or a receipt, if submitted electronically;

(4) Retain the program copy in the participant's record; and

(5) Enter the following information into the program log in sequential order by printed Proof of Enrollment Certificate number or by date if submitted electronically:

(A) The printed number of the Proof of Enrollment Certificate;

(B) The name of the participant to whom the Proof of Enrollment Certificate was issued;

(D) The name of the DUI program staff person who issued the Proof of Enrollment Certificate; and

(E) The participant record identification number, if applicable.

(g) If a Proof of Enrollment Certificate issued to the Department of Motor Vehicles has been lost or destroyed, the DUI program shall issue a duplicate Proof of Enrollment to the Department of Motor Vehicles.

(h) At the time the DUI program receives a book of blank copies of the Proof of Enrollment Certificates from the Department of Motor Vehicles, the DUI program shall inspect the book of certificates to ensure the full order is included and undamaged and record the sequential numbers of the certificates received. The DUI program shall maintain a record of certificates received in a separate location from the Proof of Enrollment Certificates and shall secure the blank Proof of Enrollment Certificates in a locked desk, file, or cabinet which is not accessible to program participants.

(i) The DUI program shall issue a Proof of Enrollment Certificate exclusively to participants who have enrolled pursuant to Section 9848.

(j) The DUI program shall issue a Proof of Enrollment Certificate only for the type of program specified on the license issued by the Department.

(k) The DUI program shall not sell or transfer Proof of Enrollment Certificate to another DUI program or to any other entity.

(l) If the DUI program discovers that a blank Proof of Enrollment Certificate has been lost, stolen, or otherwise misplaced, the DUI program shall report the serial numbers of the lost certificates to the Department of Motor Vehicles pursuant to Section 120.02 of Title 13.

(1) The DUI program shall identify the following information in the written report and program log:

(A) The printed serial numbers of the lost, stolen, or misplaced Proof of Enrollment Certificates; and

(B) The date the loss was discovered.

(2) The DUI program shall retain in its business records a copy of the written report and a copy of the police or sheriff's department report until Department staff or county staff have reviewed the reports during an on-site compliance review, and they have authorized in writing the destruction of the reports.

(m) Within ten days of the date that the DUI program ceases program operation or the date that the DUI program's license is revoked, the DUI program shall return to the Department of Motor Vehicles by certified mail its unused supply of blank Proof of Enrollment Certificates.

1. New section filed 12-6-2004; operative 1-5-2005 (Register 2004, No. 50).
2. Amendment of section heading, section and NOTE filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).

Note: Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Section 11836.15, Health and Safety Code.

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