Section 968 - Enforcement of Regulations by Department(a) To determine compliance with these regulations and ensure the security and protection of the CARPOS De-Identified Individual-Level Data or Identified Individual-Level Data, the Department may, upon prior written notice and at mutually convenient times, inspect the facility, systems, and records, including emails and manuscript drafts related to the project identified in the Data Request Standard Application, of a Nonprofit Bona Fide Research Institution in which the CARPOS De-Identified Individual-Level Data or Identified Individual-Level Data is secured, stored, destroyed or disposed.(b) Within 10 business days following the inspection, the Department's Research Services shall notify the Bona Fide Researcher of its findings. The Nonprofit Bona Fide Research Institution and Bona Fide Researcher shall remedy any violation and shall certify the same to the Department's Research Services, in writing, within 30 calendar days of receiving the Department's Research Services' findings. If the violation cannot be remedied within 30 calendar days, the Nonprofit Bona Fide Research Institution, and Bona Fide Researcher shall notify the Department's Research Services and provide a remedial plan, including a reasonable alternative timeframe to resolve the violation.(c) Any violation of these regulations by a Nonprofit Bona Fide Research Institution, Bona Fide Researcher, or Team Member may, at the discretion of the Department's Research Services, result in restricted access to CARPOS De-Identified Individual-Level Data or Identified Individual-Level Data, closure of a current project and the destruction of CARPOS De-Identified Individual-Level Data or Identified Individual-Level Data, and/or a denial of future requests for CARPOS De-Identified Individual-Level Data or Identified Individual-Level Data. In exercising its discretion, the Department's Research Services may consider the following, including but not limited to, the severity of the violation, whether PII was involved, any previous violations, and the violator's culpability.(d) The fact that the Department has the right to inspect, conducts an inspection, or fails to inspect for compliance under subdivision (a) does not relieve the Nonprofit Bona Fide Research Institution and Bona Fide Researcher of their responsibility to comply with these regulations.(e) A Nonprofit Bona Fide Research Institution or Bona Fide Researcher may appeal any findings under subdivision (b) or any enforcement actions taken under subdivision (c). (1) Any appeal shall be filed with the Chief of the CJIS Division within 10 calendar days of receiving the Department's Research Services' findings. The appeal shall be filed at datarequests@doj.ca.gov(2) The Chief of the CJIS Division may serve as the appeal officer, or may appoint another designee. At their sole discretion, the appeal officer reserves the right to collect additional facts or information to aid in the resolution of any appeal, and to set the timeline for any additional collection of facts.(3) The appeal officer may request other entities, that may have relevant information or evidence that would assist in making the decision, that may be impacted by the decision, and/or that may be affiliated with the Department of Justice, Nonprofit Bona Fide Research Institution, Bona Fide Researcher, including but not limited to, the Department's Research Services, to submit a written response to the appeal request, and has discretion to set the deadlines for any additional written responses.(4) The decision of the appeal officer shall be based on all relevant statutory authority and these regulations, all facts and evidence, including but not limited to, the Department's Research Services' findings and/or enforcement action taken, the appeal, any other written responses, any additional facts or information collected, the underlying Data Request Standard Application, and any other documents submitted by the Nonprofit Bona Fide Research Institution or Bona Fide Researcher related to the Data Request Standard Application. The decision of the appeal officer shall consider the relevant statutory authority, these regulations, and the balance of harms to the Nonprofit Bona Fide Research Institution or Bona Fide Researcher and the public.(5) The appeal officer shall render a decision in writing within 30 calendar days of receiving the appeal.(6) The decision of the appeal officer shall be final and there will be no further administrative appeal.Cal. Code Regs. Tit. 11, § 968
Note: Authority cited: Sections 14231.5 and 14240, Penal Code. Reference: Sections 14231.5 and 14240, Penal Code.
Note: Authority cited: Sections 14231.5 and 14240, Penal Code. Reference: Sections 14231.5 and 14240, Penal Code.
1. New article 5 (section 968) and section filed 4-7-2022; operative 7/1/2022 (Register 2022, No. 14). Filing deadline specified in Government Code section 11349.3(a) extended 60 calendar days pursuant to Executive Order N-40-20. For prior history of Chapter 12, see Register 2006, No. 26.
2. Change without regulatory effect amending subsections (b)-(c), (e)(1) and (e)(3)-(4) filed 5-29-2024 pursuant to section 100, title 1, California Code of Regulations (Register 2024, No. 22).